Scoping Study by liuqingyan

VIEWS: 30 PAGES: 151

									    SCOPING STUDY
        TOWARDS

       DFIDSA’S
  REGIONAL HUNGER AND
VULNERABILITY PROGRAMME




     SEPTEMBER 2004

        prepared by
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ACKNOWLEDGEMENTS

The Southern African Regional Poverty Network (SARPN) would like to thank Tom Kelly,
DFIDSA Humanitarian Adviser and John Howell, DFID Programme Design Consultant for
the guiding role they have played throughout this scoping exercise.

SARPN would also like to acknowledge and thank the DFID country offices for their
assistance, especially:
• John Hansell & Clare Barkworth, Zambia;
• Harry Potter, Malawi;
• Tom Barrett, Zimbabwe;
• Diana Webster & James Atema, Lesotho; and
• Julia Compton & Emidio Oliveira, Mozambique;

As well as, a special thanks to:
• Amanda Sealy and Cecilia Chuisiwa, British High Commission, Botswana,
• Lungile Mndzebele and Alex Rees of the Vulnerability Assessment Committee in
   Swaziland, and
• The SARPN support staff, Ilona de Villiers & Ingrid du Toit for their assistance in the
   scoping exercise.

SARPN would also like to thank all those people who gave of their time to discuss regional
hunger and vulnerability issues with the scoping team (see Annex 1 for names &
organisations).



This scoping exercise was funded by the Department for International Development of the
British Government (DFID). However the findings, interpretations and conclusions expressed
in this paper are entirely those of SARPN and should not be attributed to DFID, who do not
guarantee their accuracy and can accept no responsibility for any consequences of their use.



Authors:    Steve Wiggins, Nick Maunder, James Carnegie, Ben Roberts, Reuben Mokoena
            & Norma Tregurtha.

           SARPN, South Africa




Southern African Regional Poverty Network (SARPN)
134 Pretorius Street
Pretoria
South Africa
Tel: +27 (12) 302 2334
Fax: +27 (12) 302 2284
Website: www.sarpn.org.za




                                                                                             I
Scoping Study: DFID Regional Hunger and Vulnerability Programme


TABLE OF CONTENTS
ACKNOWLEDGEMENTS ....................................................................................................... I
TABLE OF CONTENTS ..........................................................................................................II
ACRONYMS .......................................................................................................................... IV
EXECUTIVE SUMMARY ........................................................................................................ i
1. INTRODUCTION........................................................................................................... 10
  1.1      Context of the Regional Food Security Crisis ......................................................... 10
  1.2      DFID’s response to the crisis................................................................................... 11
  1.3      RHVP Scoping Study .............................................................................................. 12
     1.3.1      Purpose of the Scoping Project........................................................................ 12
     1.3.2      Project approach .............................................................................................. 12
     1.3.3      Scoping guiding framework ............................................................................ 13
     1.3.4      Methodology.................................................................................................... 14
2    CONCEPTS..................................................................................................................... 16
  2.1      Defining key terms .................................................................................................. 16
  2.2     The case for a regional programme ......................................................................... 18
3    KEY FINDINGS & ISSUES........................................................................................... 20
  3.1      Vulnerability Analysis............................................................................................. 20
     3.1.1      Food insecurity and vulnerability .................................................................... 20
     3.1.2      Vulnerability Assessment Committees............................................................ 21
     3.1.3      Conclusions ..................................................................................................... 34
  3.2      Social Protection...................................................................................................... 35
     3.2.1      Social safety nets and social protection ........................................................... 35
     3.2.2      Social protection applications in the region..................................................... 38
     3.2.3      Constraints and opportunities for social protection ......................................... 38
     3.2.4      Links with vulnerability information systems ................................................. 40
     3.2.5      Conclusions ..................................................................................................... 42
  3.3      Trade in foodstuffs and food security...................................................................... 42
     3.3.1      Improving access to food through trade .......................................................... 43
     3.3.2      Improving food availability through trade....................................................... 43
     3.3.3      Physical storage as an alternative to trade ....................................................... 44
     3.3.4      Additional measures to cope with uncertainty of food supply: financial
     reserves, futures, options, and insurance ......................................................................... 47
     3.3.5      The scope for more trade in basic foodstuffs................................................... 50
     3.3.6      Conclusion and discussion............................................................................... 57
  3.4      Policy for food security ........................................................................................... 60
     3.4.1      Food security policy in Southern Africa.......................................................... 60
     3.4.2      Policy-making for food security ...................................................................... 62
     3.4.2      Conclusions ..................................................................................................... 64
4. RECOMMONDATIONS & PROPOSALS .................................................................... 66
  4.1      Consideration of options.......................................................................................... 66
     4.1.1      Institutionalising and establishing Vulnerability Analysis Committees.......... 66
     4.1.2      Safety Nets Learning Network ........................................................................ 68
     4.1.3      Options for improving regional trade in basic foodstuffs................................ 70
     4.1.4      Improving policy-making for food security .................................................... 75
  4.2      Arrangements for Implementation........................................................................... 81
     4.2.1      Vulnerability analysis committee .................................................................... 81
     4.2.2      Safety Nets Learning Network ........................................................................ 82
     4.2.3      Support for medium- and small-scale food traders.......................................... 83
     4.2.4      Evidence and advocacy in food security ......................................................... 83
     4.2.5      Managing agent ............................................................................................... 85




                                                                                                                                   II
Scoping Study: DFID Regional Hunger and Vulnerability Programme

ANNEXES

Annex 1: People & organisations interviewed ....................................................................... 86
Annex 2: Regional trade & policy initiatives ......................................................................... 92
Annex 3: Information systems relevant to vulnerability systems......................................... 101
Annex 4: Institutional & financial arrangements for VACs................................................. 104
Annex 5: PRSP Status by country ........................................................................................ 106
Annex 6: Social Protection measures ................................................................................... 109
Annex 7: Maize trade in Southern Africa............................................................................. 112
Annex 8: Logical framework for scoping study ................................................................... 116
Annex 9: References & Bibliography .................................................................................. 120
Annex 10 TORS for Scoping studies – Overall, & Teams 1 & 2.......................................... 132




                                                                                                                        III
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ACRONYMS

ACP          African, Caribbean and Pacific countries
AMS          Aggregate Measures of Support
AoA          Agreement on Agriculture
AU           African Union
CANGO        Coordinating Agency for NGOs
CARE         Cooperative for Assistance & Relief Everywhere (an international
             development NGO)
CFSAM        Crop and Food Supply Assessment Mission
CISANET      Civil Society Agriculture Network
COMESA       Common market for Eastern and Southern Africa
CSO          Civil Society Organisations
DFID         Department for International Development
DHS          Demographic and Health Survey
DMMU         Disaster Management & Mitigation Unit
EU           European Union
EWS          Early Warning Systems
FANRPAN      Food, Agriculture and Natural Resources Policy Analysis Network
FAO          Food and Agriculture Organization of the United Nations
FARN         Food and Natural Resources
FEWSNET      Famine Early-Warning System Network
FFSSA        Forum for Food Security in Southern Africa
FHANIS       Food Security, Health & Nutrition Information Systems Project
FIVIMS       Food Insecurity and Vulnerability Information Mapping System
GM           genetically modified
GTZ          German Agency for Technical Co-operation
HEA          Household Economy Analysis
HIV/AIDS     Human Immuno-Deficiency Virus/Acquired Immune Deficiency Syndrome
ICRISAT      International Crops Research Institute for the Semi-Arid Tropics
IDSC         International Development Select Committee of the British House of
             Commons
IFPRI        International Food Policy Research Institute
IMF          International Monetary Fund
LCMS         Living Conditions Monitoring Survey
LVAC         Lesotho Vulnerability Assessment Committee
MDG          Millennium Development Goals
MEFN         Malawi Economic Justice Network
MSST         Medium & small-scale traders
MSU          Michigan State University
NAC          National Aids Commission
NDTF         National Disaster Task Force
NEPAD        New Partnership for Africa’s Development
NERCHA       National Emergency Response Council on HIV/AIDS
NGO          Non-Governmental Organization
NVAC         National Vulnerability Assessment Committee
ODI          Overseas Development Institute
OVC          Orphaned and Vulnerable Children
OXFAM        Oxford Committee for Famine Relief (international development NGO)
PMU          Poverty Monitoring Unit
PRS          Poverty Reduction Strategies
PRSP         Poverty Reduction Strategy Paper
RAPID        Research & Policy in Development



                                                                              IV
Scoping Study: DFID Regional Hunger and Vulnerability Programme

RATES        Regional Agricultural Trade Expansion Support Program
RH&V         Regional Hunger and Vulnerability
RHVP         Regional Hunger and Vulnerability Programme
RIACSO       Regional Inter Agency Coordination and Support Office
ROO          Rules of origin
RTFP         Regional Trade Facilitation Programme
RVAC         Regional Vulnerability Assessment Committee
SA           South Africa
SACU         Southern African Customs Union
SADC         Southern African Development Community
SAFEX        South African Futures Exchange
SAMP         Southern Africa Migration Programme
SARPN        Southern African Regional Poverty Network
SC-UK        Save the Children-United Kingdom (an international development NGO)
SETSAN       Technical Secretariat for Food Security & Nutrition (Mozambique)
SPS          Sanitary and phyto-sanitary
SRM          Social Risk Management
SVOPPSA      Strengthening the Voices of Poor People in Southern Africa
TAPS         Transitional Asset Protection System
TIFI         Trade, Industry, Finance & Investment Directorate (SADC)
TOR          Terms of Reference
TP           Trade Protocol
UCT          University of Cape Town
UKZN         University of KwaZulu-Natal
UN           United Nations
UNCTAD       United Nations Conference on Trade and Development
UNDP         United Nations development Programme
UNICEF       United Nations Children’s Fund
US           United States
USA          United States of America
USAID        United States Agency for International Development
UWC          University of Western Cape
VAC          Vulnerability Assessment Committee
VIS          Vulnerability Information System
WFP          World Food Programme
WTO          World Trade Organization




                                                                                   V
Scoping Study: DFID Regional Hunger and Vulnerability Programme



EXECUTIVE SUMMARY

Analysts generally agree that the poor weather that was the immediate cause of the harvest
failures of 2002 was not the only cause of the crisis. Its depth owed a great deal more to
underlying problems that left poor households and governments more vulnerable to shocks
than they had been in the past. The extent of harvest failure in 2002 was far less than in
1991/92 when one of the worst droughts of the C20 struck the region. Yet the scale and depth
of the crisis in 2002 was far greater. Moreover, it has lingered on with food aid shipments
continuing through 2003 and into 2004.

DFID contributed to alleviating the crisis; and has subsequently implemented a process to
develop a longer-term regional hunger and vulnerability programme. Part of the process has
been drawing up DFID’s Regional Hunger and Vulnerability (RH&V) Strategy, which
outlines four areas where DFID will deliver support through a three-year Regional Hunger
and Vulnerability Programme (RHVP) to improve regional food security. The four pillars of
the strategy are:

    Strengthening vulnerability monitoring and assessment systems;
    More effective safety nets;
    Promoting the role of the private sector and enhancing regional trade; and
    Strengthening regional policy discussions.

The Scoping Study towards the RHVP is based on the premise that there are policy and
institutional limitations across the region that, if satisfactorily addressed, will enhance poor
people’s access to food and thereby meet a key objective of DFID strategy.

The framework within which the scoping study was carried out was based on an outline
narrative summary of the RHVP. This included the goal of the RHVP: “To reduce
vulnerability to food insecurity in the Southern African region”. The purpose is: “to promote
region-wide adoption and implementation of coordinated policies with respect to the
availability, access and utilisation of food”.

The proposed outputs on which the scoping was based included:
   Regional information systems to support policies for humanitarian and development
   assistance improved;
   Understanding and dissemination of effective instruments for social protection of those at
   risk of food insecurity enhanced;
   The factors that inhibit regional food trade understood, and solutions developed; and
   Regional policy research and advocacy networks contributing to addressing key policy
   issues in the region strengthened.

The purpose of this scoping project is to inform the design of DFIDSA’s RHVP by
identifying opportunities for DFID to support national or, particularly, regional initiatives that
will enhance food security through policy or institutional interventions in one or more of the
four priority areas.

The core process of the methodology involved two regional scoping studies run in parallel
around which the other activities focused. The project ran continuously over June and July
2004, and consisted of the following main activities:

    Literature reviews for both studies;
    Attending the DFID supported RVAC process;
    Interviewing key regional stakeholders/informants in South Africa;



                                                                                                   i
Scoping Study: DFID Regional Hunger and Vulnerability Programme

   Visiting countries in the region including Zambia, Malawi, Lesotho, Zimbabwe,
   Swaziland and Mozambique;
   Visiting SADC and regional players in Gaborone, Botswana;
   Holding an advisory meeting with regional specialists; and
   Drafting and submitting a report.

SARPN was the regional institution responsible for the design, management, co-ordination
and quality of the outcome of the project, working from its offices in Pretoria, South Africa.
Mike de Klerk directed the project, and James Carnegie of Khanya – managing rural change,
co-ordinated the process. Study Team 1 was led by Nick Maunder supported by Ben Roberts,
and Steve Wiggins supported by Reuben Mokoena and Norma Tregurtha, of the DFIDSA-
supported ComMark Trust, led Study Team 2

SARPN reported to a DFID Steering Committee, which was responsible for giving guidance
to, and ensuring the focused direction of, the scoping studies. The Steering Committee
included a small team of DFIDSA Advisors led by Tom Kelly, Regional Humanitarian
Adviser with representatives from SADC DFID country offices, the London Policy Division
and John Howell, the Programme Design Consultant

Concepts
Key concepts for the scoping project are those of food security and vulnerability. Food
security is commonly said to exist when people at all times have physical, social and
economic access to sufficient, safe and nutritious food which meets their dietary needs and
food preferences for an active and healthy life. Achieving this is understood to involve:

   Ensuring that a wide variety of food is available in local markets and fields (availability);
   People have enough money to purchase a variety of foods (access); and
   Food is eaten in an environment that supplies appropriate care, clean water, and good
   sanitation and health services (utilization).

Vulnerability refers to the degree of exposure to factors that threaten well-being and the
extent to which individuals, households and other social groups can cope with these factors.
In the case of vulnerability to food insecurity an important distinction is drawn between
transitory and chronic food insecurity. Transitory food insecurity occurs when there is a
temporary inability to meet food needs, usually associated with a specific shock or stress such
as drought, floods or civil unrest. In contrast chronic food insecurity occurs when people are
unable to meet their minimum food requirements over a sustained period of time. This is
usually associated with slowly changing factors which have increased people’s exposure to
shocks or else decreased their ability to cope with the effects of these shocks – essentially
increased their vulnerability.

Key Findings
The widely shared perception is that vulnerability to food insecurity has increased
significantly in southern Africa over the last decade. Over this period the impact of structural
adjustment has led to a withdrawal of the state from the local level and, along with
HIV/AIDS, this is seen to have precipitated a long-term livelihoods decline (CARE, 2003).
The 2001/02 drought and poor policy choices compounded the underlying problems and
precipitated a major food security crisis.

The perception of increased vulnerability is borne out by unacceptable regional stunting rates
amongst children under five. There is a high, and increased, level of vulnerability to future
shocks. Therefore the next regional drought, in five or ten years, can be anticipated to
generate an even larger need for emergency support.




                                                                                               ii
Scoping Study: DFID Regional Hunger and Vulnerability Programme

The Vulnerability Assessment Committees (VACs) established through an SADC initiated
process have been at the heart of efforts to understand food insecurity in the region. However,
their activities have been dominated by the need to provide analysis for emergency response
planning. As the crisis recedes it is essential for the VAC system to focus on the longer-term
more developmental goal of overcoming chronic food insecurity while continuing to help
people overcome short-term crises.

Priorities for the VAC system include:
    Maintaining a focus on improving food insecurity and vulnerability data quality,
    integrating and exchanging this information and promoting the better use of information
    to improve action;
    Moving away from a focus on data collection towards working with, and supporting
    government data collection systems;
    Greater emphasis on the analysis of food insecurity and vulnerability, its occurrence and
    causes;
    Greater emphasis on relating this information to the needs of decision makers,
    government and donors, at policy level; and
    Capacity building within the system to improve the ability of stakeholders to engage with
    the debate on food insecurity and vulnerability

Ultimately the success of the VAC system will be determined at the national, rather than
regional, level. NVACs will require national level support, from Governments in conjunction
with donors, to achieve these goals. There are encouraging signs of growing multi-donor
support at the national level. It should be acknowledged that regional support cannot
substitute for sustained national level commitments.

Another important area is that of social protection, which is increasingly seen as a precursor
to effective growth, providing an essential boost to human resource development, rather than
a competitor for investment. From this perspective a social protection framework, can provide
an important part of the search for solutions to food insecurity and poverty. A number of key
needs emerge. The first is a requirement for better information to underpin planning. This
would be met through the VAC system providing information and analysis of those affected
by chronic and transitory food insecurity and a better understanding of risks and shocks.

There is a need to exchange information within the region on exiting social protection
mechanisms, their successes and failures and the necessary pre-conditions to bring these
pilots to scale. It is notable that there is no regional, or even national, institution or
organization currently tasked with this responsibility. There was a strong demand across all
stakeholders for the establishment of such a regional facility.

Trade can play an important role in making food available. The scope for trade in most years
is limited, since in much of the region the lowest cost staple foods are those grown
domestically, given the cost of transport that applies to imports. But when harvests fail, as
they typically have done at around twice a decade in recent times, there are only two options:
draw down of stores, or else import. Storage is generally more expensive than imports.

Trade in basic foods is thus erratic. When imports are needed, they are often needed in large
quantities that strain the capacity of transport routes and require large amounts of foreign
exchange to finance them. Keeping financial reserves is one response to the latter problem,
another, untried and innovative, possibility is using weather-based insurance. Futures and
options markets may one day have a role to play, but for the moment the scope for their use is
limited.

Three sets of obstacles hinder trade in basic foods: the high cost of transport, in part owing to
the parlous state of many of the region’s railways; arbitrary government interventions to


                                                                                               iii
Scoping Study: DFID Regional Hunger and Vulnerability Programme

restrict or control trade; and, the diverse difficulties that traders face in accessing information,
completing paperwork, meeting (often disparate) standards, getting credit and making
international transfers.

Trade is somewhat segmented between the bulk shipments made by public agencies and
large-scale traders, on the one hand; and the many petty movements made by small-scale
operators on the other. In some parts of the region, the combined weight of the small-scale
movements probably constitutes the majority of food traded. By and large, small-scale traders
face more severe restrictions to their operations, as listed above, than larger companies.

Considerations of food security tend to be dominated by food availability concerns, seen at
national level, in years of poor harvests. Issues of access to food, and of its utilisation, are less
well attended. Individual and household perspectives, social differentiation, and the fate of the
chronically poor tend to get second-best attention.

To influence food security policy effectively it is necessary to generate more evidence in the
fields of trade and markets for basic foods, vulnerability and the management of social risks,
and the interactions of health, sanitation with food intake. Equally, there is a pressing need to
improve the way that evidence is disseminated to those making policy decisions, a task that
calls for more understanding of policy processes.

Recommendations
Based on these findings the scoping project has made the following recommendations.

Institutionalising and establishing Vulnerability Analysis Committees
The existing VAC system (supported by DFID) should be enhanced and expanded. Existing
data collection and analysis systems created with VAC support will be institutionalised into
government systems, within as short a time frame as feasible. Future activities (barring an
emerging crisis) are expected to work in collaboration with national data collection systems,
to focus on analysis, dissemination and advocacy.

The Regional VAC (RVAC) will support this by:
   Working with established national VACs to institutionalise them within national
   structures;
   Assisting in the establishment of new VACs in a selected number of countries;
   Supporting the VAC system with technical advice and support;
   Organizing periodic cross-regional learning opportunities; and
   Providing capacity building to technicians.

Inputs
    A fulltime regional advisor based within SADC (36 man months) with appropriate
   support; and
    Funding to support national VAC work plans.

Within a broadly similar and regionally coordinated framework the precise objectives and
activities for each VACs need to be set at the national level. Questions on the VAC
interaction with established, potentially overlapping, national information systems, and the
choice of methodology should be decided at this level. The regional VAC can play an
important role in maintaining a regional convergence in objectives, providing flexible
technical and bridging financial support and facilitating the exchange of ideas.

Safety Nets Learning Network
A diversified set of response options is required to meet the needs of food insecure and
vulnerable people in the region. The potential of safety nets to address these needs is,
correctly, attracting increasing attention. Constraints include the limited dissemination of


                                                                                                   iv
Scoping Study: DFID Regional Hunger and Vulnerability Programme

information and experiences, and a debate about the allocation of funds between growth and
redistribution objectives in the context of limited budgets. The network would provide
evidence to inform this debate.

Activities
Establish a network on safety nets that would be responsible for:
    Disseminating information on safety nets widely throughout the region, including
    evaluative information on the effectiveness, sustainability and necessary pre-conditions to
    establish national safety nets;
    Advocating at policy level for the wider application of safety nets within the region
    Preparing short briefs on safety net practice and policies;
    Organizing safety net learning meetings on a national basis within the region to engage
    practitioners (governments and civil society), researchers, policy makers, financers and
    the media. Twelve national meetings are proposed per year;
    Organizing occasional regional seminars to present findings on safety net research
    opportunities;
    Organizing an annual regional meeting on social protection to engage policy makers at
    senior level; and
    Specifically linking with the Vulnerability Information System to promote an exchange of
    ideas and information.

Inputs
    A fulltime appointment responsible for the establishment and administration of the
   network;
    Short term technical support to assist with the outreach activities and linking information
   to policy;
    Establishment, operation and administration of a website; and
    Funds to organize safety net learning opportunities within the SADC region targeted at
   practitioners.

An additional module to conduct action research on safety nets, drawing from the experience
of innovative projects in Malawi, Ethiopia and Bangladesh is also recommended but is
beyond the current financial resources of the RHVP.

Improving regional trade in basic foods

Facilitating food trade in general
This would include:
    Reducing tariff and non-tariff barriers to trade; and
    Harmonising domestic agricultural policies.

However, it is hard to see either a pressing need here or a feasible way to take matters forward
within the RHVP programme, given the ongoing initiatives between governments and donors,
including DFID’s Regional Trade Facilitation Programme (RTFP).

Facilitating medium- and small-scale food trade
The evidence, incomplete as it may be, suggests that in parts of southern Africa small-scale
and often informal food trading plays an important role in making food available at
reasonable prices. Such trading may also introduce competition into markets where there is an
inherent danger of price rigging by cartels of large traders. As noted, medium and small
traders face formidable obstacles including official discouragement, lack of information,
onerous procedures, lack of trading credit, and meeting standards. For the most part
development programmes have by-passed these traders.




                                                                                                  v
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Activities might include:
    Representation to government on the difficulties facing smaller traders;
    Training in business practices, including ethics and trading standards that might attract
   certification;
    Facilitating links to banks and micro-finance agencies; and
    Linking traders to trade and market information services primarily as users, but also as
   potential sources of intelligence.

The starting point for these activities would be to consult with such traders, probably through
groups or associations of traders that might in themselves need to be formed.

The work might be initiated by a regional adviser, but perhaps better would be a set of
country-level advisers. They would work with national bodies – NGOS, chambers of
commerce, some government agencies – to develop programmes according to local needs.
Start-up funds to invest in meetings, training courses, publications and other seed corn to get
programmes going would be provided.

These initiatives would help to gather experiences and transmit them across the region
through personal contact, newsletters, a web site and other means. The advisers would be
expected to co-ordinate work with complementary initiatives, especially DFID’s RTFP. This
activity could be scale up, beginning with activities in three countries where small traders are
particularly active: Malawi, Mozambique, and Zambia.

Regional trade and market information systems
Medium and small-scale traders, unlike large-scale traders, lack access to information on
trade and markets. The aim would be to provide raw data and information to users at all
levels from regional to sub-national, drawn from existing national information systems.

This proposal has already been taken up by COMESA. In addition, the RATES project that
has set up some elements of these systems in East Africa, has agreed to work with COMESA
on information systems. There may, however, be scope for DFID to contribute by
strengthening national systems where needed, and by ensuring that regional information gets
good dissemination within countries. This, however, would be for country programmes to
consider.

Ancillary measures
Of the various complementary measures to trade, regional physical grain stores appear too
difficult and costly to recommend. The use of futures and options markets is not a priority at
the moment. Warehouse receipts have potential, but USAID has already funded initiatives on
these. Weather-based insurance at national level is an intriguing option, but the costs of this
need comparing to those of financial reserves that may be lower. But funding either of these is
beyond the scope of this programme.

Improving Policy Making for Food Security
Activities to promote evidence and advocacy on food security would include:

   A regional network for encouraging study of food security problems and the
   dissemination of results;
   A research and advocacy fund for food security learning in the region;
   Capacity building to promote understanding of food security issues in the region; and
   Support to raising the voices of the poor for advocacy on food security.

In co-ordination with the research and advocacy fund described below, a regional network
would be supported to encourage the study of food security issues and to disseminate results.



                                                                                                vi
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Activities would include networking researchers, defining research priorities, devising
innovative methodologies and collating, synthesising and disseminating the results.

The research fund would encourage formal study and analysis of food security issues on a
competitive basis and the dissemination of results to policy makers. An independent board of
eminent individuals constituted within a registered entity and working to agreed terms of
reference, would govern the fund.

The capacity building programme will work with a broad range of stakeholders to create a
platform for national and regional debate on the causes of, and solutions to, food insecurity
and vulnerability. The intention is to organize a number of short events (to engage with senior
decision makers and experts) at national level to introduce a basic understanding of key food
security, vulnerability and poverty concepts to a wide audience of national stakeholders.

Targets for this training include:
   Parliamentarians;
   Leaders of civil society organisations;
   Government staff and donor representatives, to build alliances in support of innovative
   food security concepts and programmes; and
   Journalists, so that the media can engage with the food security debate, and also be linked
   to national early warning capacity.

Inputs
Resources are needed for:
    The design of training courses;
    Resource people to travel within the region to conduct meetings;
    National seminars; and
    Organizing and conducting regional meetings.

There is a groundswell of work being done by civil society organisations (CSO) within the
region to promote voices from the grassroots, including those of the poor. DFID has already
funded (2003) “Strengthening the Voices of Poor People in Southern Africa (SVOPPSA)”, a
five-year programme that has precisely the objective of strengthening such efforts in southern
Africa. Hence any recommendation under this programme would risk duplicating existing
funded initiatives.

Arrangements for Implementation

Vulnerability analysis
The current VAC system was established within the SADC system and is institutionally
owned by SADC. The RVAC is currently housed within the SADC Food and Natural
Resources (FANR) section. SADC is struggling to correct a number of administrative and
financial weaknesses. This presents a major risk to the success of the RVAC. If
administratively located within SADC, the implementation of RVAC activities may be
impeded. The best option to minimize this risk is to physically locate the activity within the
SADC secretariat, have the RVAC activity report to a board that includes SADC, but to
contract out the financial and administrative management as part of a competitive bid. This
proposed arrangement is understood to be broadly acceptable to SADC.

Safety Nets Learning Network
The best choice would be to locate the functions within an existing network. This will draw
on established skills and regional contacts, minimize start-up costs and enhance the
opportunities for sustainability.




                                                                                                 vii
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Candidates include:
   Existing networks (SARPN, FANRPAN);
   Universities (Wits, UKZN, UWC, UCT, Botswana);
   NGOs (CARE, OXFAM, SC-UK);
   Private consultancy groups;
   Existing donor funded projects (FEWS NET);
   Intergovernmental regional organizations (SADC, COMESA);
   UN agencies (RIACSO);
   The establishment of an entirely new network; or
   Combinations of the above.

The risk associated with this is that the new network activity will not receive sufficient
attention and priority within an established structure. This risk may be mitigated through:

   The design of the activity, with a dedicated manager for the safety net activity; and
   Sufficient management oversight through a strong board and/or a quality control by the
   agent appointed to manage the RHVP funds.

As this project will fall under the overall RHVP, SADC should be invited to directly
participate in the management. This could occur through participation in the management
board.

Support for medium- and small-scale food traders
The managing agent would recruit the advisers, who would be seconded to private-sector
associations such as chambers of commerce.

Evidence and advocacy in food security
While the regional network for food security could be advertised on a competitive tender,
there are few agencies within the region that would be able to fill the technical requirements.
The recommendation is contract this to the leading existing network, the Food, Agriculture
and Natural Resources Policy Analysis Network (FANRPAN)

The proposal is to provide core funding for the centre, consisting of a director and two other
professionals, one a policy analyst to bring ideas together and recommend lines of
investigation, the other an information person with skills in communication and advocacy.
The core group would be expected to lead the network, providing services to the national
nodes and securing funds for research and dissemination.

In drawing up a contract with FANRPAN, emphasis could be placed on the need to ensure
that the work is focused on policy issues, that results are better disseminated, and that the
network links with other similar networks – such as that proposed for learning about safety
nets, the national VACs, and CSOs active on food security in the region.

The research and advocacy in food security fund would need two elements to operate, a
secretariat to run competitions and administer funds, and an independent board to provide
guidance and adjudicate on funding decisions. FANRPAN could act as the secretariat, while
the board could be an autonomous adjunct of the network. An alternative would be to use the
offices of the Southern Africa Trust.

The capacity building for promoting understanding of food security issues might be
implemented by the existing Regional Food Security Training Project, part of SADC FANR.
Otherwise possible implementers of this activity would include universities, NGOs and
networks that might be invited to tender for this work.




                                                                                                viii
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Managing agent
The whole programme would be administered by an agent with experience, skills and
competence in regional hunger and vulnerability issues, responsible in general for the
management of the programme, and specifically for hiring advisers, administering
competitive bids, holding funds for specified activities and other related activities.




                                                                                         ix
Scoping Study: DFID Regional Hunger and Vulnerability Programme



1.        INTRODUCTION

1.1     Context of the Regional Food Security Crisis

1         The poor maize harvest of 2002 in southern Africa triggered a food and humanitarian
crisis across the region.1 Between February and May 2002 several governments declared
emergencies. In July 2002 the UN issued a consolidated appeal for US$611million to address
the crisis in the six countries most affected: Lesotho, Malawi, Mozambique, Swaziland,
Zambia and Zimbabwe. By the end of 2003 it was estimated that more than 15 million people
were in need of assistance, and that more than 1 million tons (Mt) of food aid was needed to
help fill the 3.3Mt cereals gap.

2        Most, if not all, analyses2 agree that the poor weather that was the immediate cause of
the harvest failures of 2002 was but one trigger3 of the crisis. Its depth owed a great deal more
to underlying problems that left poor households and governments more vulnerable to shocks
than they had been in the past. The extent of harvest failure in 2002 was far less than in
1991/92 when one of the worst droughts of the 20th Century struck the region. Yet the scale
and depth of the crisis in 2002 was far greater. Moreover, the crisis has lingered on. The
international appeal for assistance in 2002 was followed by another appeal in mid 2003, and
large-scale food aid shipments continued into 2004 – although much of this prolonged
assistance went to Zimbabwe.

3       Why has the region apparently become so much more vulnerable to food insecurity?
The following factors have contributed:

      Economic setbacks since the 1980s, if not earlier, have led to faltering economic growth,
      with increasing urban unemployment, falling real wages, and stagnating rural incomes.
      Some of the mining industries in the region have declined with accompanying loss of
      jobs. Manufacturing industry that depended on protection was hit hard by economic
      liberalisation from the mid-1980s onwards with resulting loss of formal employment.
      These blows to the mining and urban economies have meant less work for migrants
      leading to reduced remittances to rural areas, and an increasing fraction of the urban
      population dependent on badly paid informal sector work.

      At the same time agricultural development has faltered. By the end of the 1980s
      governments in the region had abandoned state-led strategies for smallholder
      development owing to their high cost and inefficiencies. Yet farming – outside specially
      favoured enclaves – failed to flourish under the liberalised markets that replaced these
      strategies.

      Policy failures seem to have become more common as some governments take more
      reckless measures in the face of economic setbacks. Some analysts see this as
      symptomatic of deep-rooted problems in policy-making:4 others wonder to what extent
      the extraordinary difficulties of Zimbabwe constitute an isolated case, but one with heavy
      ramifications for the region.


1
  Malawi’s problems began a year earlier, with a low harvest in 2001 that triggered extraordinary rises in maize
prices through to early 2002.
2
  This section is based largely on the syntheses found in IDC 2003, FFSSA 2004, Mano et al 2003, and Wiggins
2003. Much of this thinking is reflected in DFID’s Regional Hunger & Vulnerability Strategy.
3
  There were other triggers. For example, stocks of grains had been run down prior to the 2002 harvest, in at least
one case, that of Malawi, rather willfully. The difficulties of Zimbabwe, with a shrinking economy and the major
disruption to the economy of fast-track resettlement can be seen as important as any rainfall failure.
4
  See, for example, Bird et al. 2003.


                                                                                                                  10
Scoping Study: DFID Regional Hunger and Vulnerability Programme

      The scourge of HIV/AIDS has pushed many affected and afflicted households into
      poverty and left them unable to cope with further shocks.

      In some areas, the combination of rising populations and stagnating rural economies has
      led to heavy pressure on natural resources with signs of falling soil fertility and
      consequent loss of agricultural productivity.

4        All told, the crisis seems to have been one that, while provoked by an initial shock to
the availability of food, has become more one of access and entitlements for the majority of
the affected population. This has made the degree of social differentiation in the rural areas –
something not always clearly appreciated in official policy thinking – more apparent. Those
vulnerable to food insecurity, it seems, fall into one or both of two marginalised groups. One
group is made up of the economically marginalised who lack land, capital and tools,
livestock; literacy and other formal skills. They make up a ‘working poor’ and an ‘under
employed poor’. The other group is socially marginalised by gender (women and girls), age
(children, elderly), and by illness or disability. Often also economically marginalised, they
form the core of the chronically poor, often unable to work, and usually having fewer coping
options. The marginalised are usually net buyers of food, even in a good farming year.
Although their numbers are not well known, they may represent from one- to two-thirds of the
rural population.

5       Public response to the crisis has had its failings. Governments were slow to declare
emergencies, delaying by three months or more beyond the point when the early warning
systems sounded a clear alarm. Reponses focused heavily on food availability, despite the
evidence that the emergency was more complex. This evidence included the increasingly
sophisticated livelihoods analyses presented by the Vulnerability Assessment Committees
(VACs). Subsequently it has become clear that the cereals gaps seen in national food balances
were far from being filled either by imports or food aid, and yet almost all nutrition surveys
have failed to find any significant rise in indicators of malnutrition.

6       There was also a marked reluctance in the cases of Malawi. Zambia and Zimbabwe to
allow the private sector to play a role in solving the problem. The governments of these
countries repeatedly either prevented private trade in grain, or interfered in the market and
sent confusing signals to traders that seem to have stalled the private sector response.

7        To sum up, the crisis has complex origins not all of which are well understood at
present. This presents a challenge in trying to take action to ensure that a similar crisis does
not occur the next time there is a shock to the food economy.

1.2     DFID’s response to the crisis

8       DFID contributed to alleviating the crisis, and has implemented a process to develop
a longer-term regional hunger and vulnerability programme. Part of the process has been the
drawing up DFID’s Regional Hunger and Vulnerability (RH&V) Strategy in response to the
issues outlined above and to the Report of the International Development Select Committee
(IDSC) of the British House of Commons on the crisis. The report made 67 recommendations
on improving the food security situation in southern Africa based on a wide range of
consultations with DFID, NGOs and academics5. It highlighted that vulnerability to shocks
has increased as coping strategies have progressively weakened, and stressed the need for
more effective, multi-sectoral interventions to tackle food security, both in emergency and
development programmes.


5
 Report of the International Development Select Committee into the Humanitarian Crisis in Southern Africa.
HMSO, March 2003.


                                                                                                             11
Scoping Study: DFID Regional Hunger and Vulnerability Programme

9        The RH&V Strategy sets out DFID’s assessment of the main factors contributing to
food insecurity in the region and builds on the analysis in Eliminating Hunger, DFID’s food
security position paper. The strategy provides a framework to guide DFID policy at regional
level around these issues, and a basis for engagement with national governments, UN
agencies, NGOs, and other donors on regional food security issues. It has served as a guiding
framework for this scoping study (refer section 1.3).

10     The strategy outlines four areas where DFID will deliver support through a three-year
Regional Hunger and Vulnerability Programme (RHVP) to improve regional food security.
The four areas are:

      Strengthening vulnerability monitoring and assessment systems;
      More effective safety nets;
      Promoting the role of the private sector and enhancing regional trade; and
      Strengthening regional policy discussions.

11      The programme will contribute to a better understanding of vulnerability, food
security and livelihoods, and how these are connected. This in turn can feed into DFID
programming in the region around pro-poor growth policy through mechanisms such as PRSP
discussions.

1.3     RHVP Scoping Study

13       The RHVP is based on the premise that there are a number of policy and institutional
limitations across the region that, if satisfactorily addressed, will enhance poor people’s
access to food and thereby meet a key objective of DFID strategy. This scoping study has
been developed on the assumption that the RHVP’s starting premise is a correct, if
insufficient, explanation of the apparent lack of capacity of existing policy and institutions to
respond to food insecurity in the region.

1.3.1     Purpose of the Scoping Project

14       The purpose of the project is to inform the design of DFIDSA’s RHVP by identifying
opportunities for DFID to support national or, particularly, regional initiatives that will
enhance food security through policy or institutional interventions in one or more of the four
priority areas.

1.3.2     Project approach

14       SARPN’s approached the task based on the direction given in the terms of reference
(TORs, see Annex 10) and initial meetings with DFIDSA, with the aim of ensuring that the
project:

15     Builds on existing work in the region by including:
• SADC country programmes that focus on hunger and vulnerability issues
• Work being done in a number of the DFID country offices in the SADC region that are
   providing strategic support to these programmes.
• The ODI Forum on Food Security6 being undertaken in SADC
• The DFIDSA supported Technical Assistance to the Regional Vulnerability Assessment
   Committee (RVAC) and the National VACs (NVACs) in Lesotho, Swaziland and
   Mozambique
• A three-stage consultation process with the VACs that DFIDSA has fast-tracked, and
6
 Forum for Food Security in Southern Africa covers the region as a whole and five specific countries: Lesotho,
Malawi, Mozambique, Zambia and Zimbabwe. www.odi.org.uk/food-security-forum


                                                                                                                 12
Scoping Study: DFID Regional Hunger and Vulnerability Programme

•   Other donor supported initiatives, notably those by USAID and the EU.

16     Positions the programme in the region, by:
• Recognising that the theme of regional hunger and vulnerability is being driven by
   multilateral organisations and aid agencies and that information and knowledge appears to
   be held by northern organisations and individuals. Therefore it will be an objective to
   engage and consult with national and regional stakeholders in order to create broader
   ownership, nationally and regionally, of initiatives by DFIDSA arising from the scoping
   studies.
• Taking into account that the RHVP is intended to be a regional programme. The RHVP
   will not in the first instance seek to undertake country level interventions – this remains
   the domain of DFID country programmes. However, in some instances elements of
   national support will be necessary, for example in building local capacity.

17      Ensures adequate geographical and national coverage, noting that:
• While the RHVP is intended to be a SADC-wide programme, the RH&V strategy is
   focused on those countries most affected by the recent humanitarian crises
• Existing vulnerability in particular countries not currently covered by the DFID RH&V
   strategy, such as Angola, and the influence and impact of countries in the region such as
   South Africa highlights the need for the programme to consider wider inclusion.

18      Considers the financial framework, since:
• In the context sketched above, and in the four priority areas outlined in the RH&V
   strategy, the scoping studies must identify what needs to be done, what is best done at
   regional level, and where DFID can best contribute. This clearly needs to take into
   account what governments and other donors are doing, and the resource envelope of the
   RHVP.

1.3.3   Scoping guiding framework

19    The RHVP design team considered several elements in developing a working
framework for the study, including:

    The recent programme development history;
    The RH&V Strategy and earlier DFID design notes;
    The Team’s discussions with the DFID Regional Humanitarian Adviser (Tom Kelly) and
    the Programme Design Consultant (John Howell); and
    Internal discussions within the team on key issues including the definition of ‘food
    security’ and ‘the value added by a regional approach’ (refer section 2: Concepts).

The draft framework outlined below was developed to guide the scoping studies and serves as
a basis for additional comment from DFID and partners. This is refined into the suggested
logframe of this scoping study in Annex 8.

20      The Goal for the RHVP is taken directly from the regional strategy, namely “to
reduce vulnerability to food insecurity in the Southern African region”.

21      Several working hypotheses underlie the development of the scoping framework.
Principal amongst these is the assumption that policy failures amongst the range of
stakeholders in the region have been a major cause of the southern African food security
crisis.




                                                                                             13
Scoping Study: DFID Regional Hunger and Vulnerability Programme

22       This framed the definition of the project purpose: “Region-wide adoption and
implementation of coordinated policies with respect to the availability, access and
utilisation of food.”

23      The proposed Outputs remain closely tied to the four pillars identified in the RH&V
Strategy, namely:

   National & regional information & analysis systems to support policy making and
   programming for humanitarian & development assistance institutionalised;
   Information on social protection mechanisms to reduce chronic food insecurity &
   vulnerability of those at risk of food insecurity disseminated and better understood in the
   region;
   The volume and efficiency of trading in basic foods among small-scale traders is
   increased; and
   Evidence generated on key policy issues for food security, and disseminated to policy-
   makers and stakeholders.

1.3.4   Methodology

24       The core process involved two scoping studies run in parallel around which the other
activities focused. The main activities of the scoping study included:

   Literature reviews for both studies (refer Annex 9 for references & bibliography);
   Attending the DFID supported RVAC process;
   Interviewing key regional stakeholders/informants in South Africa (Annex 1);
   Visiting countries in the region including Zambia, Malawi, Lesotho, Zimbabwe,
   Swaziland and Mozambique (Annex 1);
   Visiting SADC and regional players in Gaborone, Botswana (Annex 1);
   Holding an advisory meeting with regional specialists (Annex 1); and
   Drafting and submitting a report.

25      The project ran continuously over two months from the beginning of June until the
end of July 2004. Table 1.1 presents an outline schedule of the two teams’ activities.

Table 1.1:        Schedule of scoping team activities

Time                   Activities
Week of 31 May             Project planning
                           Literature reviews for both studies
Week of 7 June             Core team assembled – joint planning
                           Attended DFID supported RVAC workshop
                           Reviewed secondary information and literature reviews
                           Finalised research materials and interview guidelines
                           Interviewed key regional stakeholders/informants in South Africa
Week of 14 June            Planning continued (as above)
                           DFID Steering Committee Meeting
                           Visits/interviews with SA-based regional institutions
20-23 June                 Zambia country visit – whole team
23-27 June                 Malawi country visit – whole team
28-29 June                 Lesotho country visit – Reuben Mokoena and Ben Roberts
4-7 July                   Zimbabwe country visit – whole team
7-9 July                   Mozambique – Steve Wiggins and Nick Maunder
                           Swaziland – Ben Roberts and Reuben Mokoena
Week of 12 July            SADC visit, Gaborone – Steve Wiggins and Nick Maunder
                           Collate and verify findings
                           Follow up interviews – region and in-country



                                                                                              14
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Time                 Activities
                         Draft report
Week of 19 July          Advisory meeting
                         Finalise reports
Week of 26 July          27/07: Present draft final report to DFID and brief DFIDSA
                        advisors on process
Week of 2 Aug            04/08 Final Steering Committee Meeting, DFID
                         Submission of final report

26      The scoping teams each comprised two permanent members, one as the team leader:

     Study Team 1 was led by Nick Maunder supported by Ben Roberts; and
     Study Team 2 was led by Steve Wiggins supported by Reuben Mokoena and Norma
     Tregurtha of the DFIDSA supported ComMark Trust

27      SARPN was the regional institution responsible for the design, management, co-
ordination and quality of the outcome of the project, working from its offices in Pretoria,
South Africa. Mike de Klerk directed the project, and James Carnegie of Khanya – managing
rural change, co-ordinated the process. Logistic and administrative support was provided by
Ilona de Villiers & Ingrid du Toit.

28      SARPN reported to a DFID Steering Committee, which was responsible for giving
guidance to, and ensuring the focused direction of, the scoping studies. The Steering
Committee included a small team of DFIDSA Advisers led by Tom Kelly, Regional
Humanitarian Adviser with representatives from SADC DFID country offices, the London
Policy Division and John Howell, the Programme Design Consultant.




                                                                                         15
Scoping Study: DFID Regional Hunger and Vulnerability Programme



2      CONCEPTS

2.1     Defining key terms

29       DFID’s mission is the reduction of poverty. It is committed to improving the
economic situation of the poor through economic activity in general and through adequate
access to food, clean water, sanitation, health care, education and political empowerment.
This commitment is at the heart of the Millennium Development Goals, which specifically
link the elimination of poverty with targets to reduce extreme hunger and improve access to
services.

30       Concepts of food security are important in framing action on hunger. The definitions
used in this report broadly follow those of the 1996 World Food Summit. Food security is
commonly said to exist when people at all times have physical, social and economic access to
sufficient, safe and nutritious food which meets their dietary needs and food preferences for
an active and healthy life. Achieving this is understood to involve:

      Ensuring that a wide variety of food is available in local markets and fields (availability);
      People have enough money to purchase a variety of foods (access); and
      Food is eaten in an environment that supplies appropriate care, clean water, and good
      sanitation and health services (Haddad and Frankenberger, 2003).

31      Food security interventions may be conceptually organized under these headings,
with an important concern being the interactions between these factors in achieving the
desired state of food security. Adequate nutrition is a specific concern within food security.
Micronutrient deficiencies may occur even when sufficient dietary energy is available.

32        Vulnerability introduces a dynamic element into the discussion of poverty and food
insecurity. It conceptualises the risk of future food insecurity. Vulnerability is usually defined
as both the exposure of people to risk and stress, and the ability to cope with the consequences
of this risk.

33       In southern Africa the VACs have been important in introducing this concept of
vulnerability at national level. They have generally adopted a specific definition of
vulnerability from Save the Children, United Kingdom (SC-UK) (see Box 2.1), which
interprets food insecurity as a function of both external hazard (an external event) and
vulnerability (measured by the exposure to the event and ability to cope). The important
refinement of this definition is that vulnerability is assessed in the context of a specific shock
– the question asked is ‘vulnerable to what’?

34       Vulnerability analysis can be applied to non-food issues such as security, health,
nutrition and other measures of general welfare. However, in the context of this report and the
regional strategy the focus is on vulnerability to food insecurity.

35       This goes to the heart of the Millennium Development Goals (MDG). The first goal is
to eradicate extreme hunger and poverty, with targets of halving the proportion of people with
incomes of less than US$1 a day, and of people suffering from hunger by 2015.7




7
  As measured by the prevalence of underweight children under five years of age; and by the proportion of
population below minimum level of dietary energy consumption


                                                                                                            16
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Table 2.1: Dimensions of food security

Dimension           Food security issues:               Sub-elements, issues
Food availability   Food production and agricultural    • Input
                    development                         • Production
                                                        • Storage
                                                        • Processing
                    Trade                               • Domestic production versus inter-
                                                        national trade
                                                        • Annual variations: storage versus trade
                    Markets / physical infrastructure   Liberal markets or state control
Food access         All the above plus the following:
                    Prices                              Often key area of policy
                    Incomes                             Chronic and transitory poverty
                    Intra-household distribution
Food utilization    All the above plus the following:
                    Care                                • Food preparation
                                                        • Child care
                    Interactions with hygiene /
                    sanitation
                    Interactions with disease           HIV/AIDS a particular challenge
                    Education




Box 2.1: The VAC definition of vulnerability
Vulnerability refers to the degree of exposure to factors that threaten well-being and the
extent to which individuals, households and other social groups can cope with these factors.
Vulnerability thus has two sides: an external side (exposure to shocks and stresses) and an
internal side (ability to cope). The concept of vulnerability can be applied to a wide range of
issues under the general heading of “well-being”. In the context of household food security,
vulnerability refers to the degree of exposure to factors that threaten household food security
and the extent to which people can cope with these factors.

When thinking about vulnerability, it is useful to distinguish between vulnerability to slowly
changing trends and vulnerability to shocks. Slowly changing trends would include such
factors as gradual demographic changes, gradual rural – urban migration, gradual land
degradation, and the gradually debilitating effects of chronic disease. Shocks can be further
disaggregated into slow-onset and rapid-onset. An example of a slow onset shock would be
crop failure following poor rains, and an example of a rapid onset shock would be an un-
announced currency devaluation.

Source: Food Security And Vulnerability To Shocks: The SADC FANR VAC Conceptual Framework


36      An important differentiation is drawn between transitory and chronic food insecurity.
Transitory food insecurity occurs when there is a temporary inability to meet food needs,
usually associated with a specific shock or stress such as drought, floods or civil unrest. In
contrast chronic food insecurity occurs when people are unable to meet their minimum food
requirements over a sustained period of time. This is usually associated with slowly changing
factors which have increased people’s exposure to shocks or else decreased their ability to
cope with the effects of these shocks – essentially increased their vulnerability.



                                                                                                    17
Scoping Study: DFID Regional Hunger and Vulnerability Programme

37      Exploring the inter-relationships between these issues lies at the core of hunger and
poverty reduction. The scoping study considers potential food security interventions against
this background. In particular it focuses on examining opportunities for linking vulnerability
reduction to the overall goal of hunger reduction.

2.2       The case for a regional programme8

38       While the characteristics of vulnerability and food insecurity may be specific to
localities, the risks faced have dimensions that are common to the region and that relate to the
interdependency of countries, and the shared historical experience of the region.

39         Regional dimensions include:
       The HIV/AIDS pandemic;
       Variable weather brought about by a mono-seasonal rainfall pattern;
       Most countries are landlocked with poor communications;
       Weak governance; and
       Insecure land tenure.

40         Interdependency between the countries in the region can be seen in:
       Safety and security issues;
       Cross border trade, facilitated by many borders do not present natural physical barriers to
       movement;
       The deficiencies of physical infrastructure such as ports and railways, which usually
       affect more than one country;
       Shared watercourses and catchments; and
       Animal disease transmission.

41      Many of the countries have experienced similar patterns of development with
economic development based largely on mining, enclaves of large-scale farms and estates,
and large areas of smallholder farming. There is also experience of regional co-operation
through SADC and more recent co-operation through COMESA.

42        While the interactions are clear, when looking for policy responses to food insecurity
the starting point has to be the principle of subsidiarity: that policies should be decided and
implemented at the national and local levels whenever possible, with regional actions only
when there are clear benefits to be gained that could not be realised at a less aggregate level.
In this light, what kinds of the things can best be done regionally, and why? Table 2.2 below
sketches a reply, looking at the advantages of regional action from the standpoint of national
governments, donors and NGOs.

43      Of the possible reasons for actions at supra-national scale, those that typically apply
to food security actions are those that:

       Produce economies of scale in data collection and sharing of experiences, and
       Reduce information costs that would otherwise impede trade.




8
    John Hansell, DFID Zambia, provided helpful comments for this section


                                                                                                18
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Table 2.2: Types of regional collaboration for governments, donors and NGOs

Typical regional action with examples    Justification
National governments
Research and information networks, for   Economies of scale in data collection and analysis:
example                                  applies where results apply across borders
• Remote sensing                         [Smaller countries may simply not have the capacity to
• Meteorology                            carry out these functions.]
• Agricultural research
Learning networks, for example           Economies of scale in sharing experiences: applies
• Poverty policies                       where the lessons from country programmes may be
• Health practice                        applicable, with due modification, in other countries
Co-ordination mechanisms                 To reduce costs of information, increase certainty by
• Security                               harmonising definitions, standards, norms, and laws.
• Trade                                  To facilitate negotiation where there are cross-border
• Disease control                        externalities.
• Migration
• Water resources (river basins and
catchments, pasture, etc.)
Negotiating bodies                       To gain advantages of numbers in bargaining with other
• Trading areas and blocks               trading blocks.
Mutual insurance against hazards         By managing risk on a larger, multi-national scale, the
                                         extent of co-variant risk that is difficult to insure against,
                                         may be reduced.

Donors
Mirror inter-governmental institutions   Allow donor response and support to activities of official
                                         regional bodies
Cross-donor co-ordination                Allow the sharing of information, experience and plans
• RIACSO                                 with other donors working the same region
Internal organisation of donor agency    Allow for co-ordination and control of agency operations
Internal competence of agency            Allow for sharing of agency experiences that may apply
                                         across countries within the region
Procure and supply goods and services    Economies of scale in logistics

NGOs and CSOs
As for donors, plus:
Regional networks for advocacy           Empowerment and confidence, joining forces for greater
                                         impact




                                                                                                    19
Scoping Study: DFID Regional Hunger and Vulnerability Programme



3     KEY FINDINGS AND ISSUES

3.1     Vulnerability Analysis

3.1.1     Food insecurity and vulnerability

44       The widely shared perception is that vulnerability to food insecurity has increased
significantly in southern Africa over the last decade. It is argued that structural adjustment has
led to a withdrawal of the state from the local level and, along with HIV/AIDS; this has
precipitated a long-term livelihoods decline (CARE, 2003). The 2001/02 drought and poor
policy choices compounded the underlying problems and precipitated a major food security
crisis.

45       The nutrition data indicates that this food security crisis is widespread throughout the
region (Table 3.1). Furthermore this crisis has both acute (evidenced by the proportion
underweight) and chronic (as evidenced by the stunting data) dimensions. The data is less
clear in supporting the hypothesis that this crisis has developed in the last decade. For
example longitudinal data for Malawi records a high but constant rate of stunting since 1992.
Certainly it seems that while absolute levels are at unacceptably high rates, the process of
impoverishment is not uniform either between, or within, countries. The general conclusion
requires closer examination.

Table 3.1: Nutritional indicators for children under five

                    % of children          % of children
                    under five             under five
                    underweight            stunted
Zimbabwe            17.2% (national        26.5% (National
                    Nutrition Survey       Nutrition Survey
                    Feb 2003)              Feb 2003)
Zambia              30.8% (DHS 2001)       51.2% (DHS
                                           2001)
Mozambique          26.1% (DHS 1997)       35.9% (DHS
                                           1997)
Malawi              27.8% (DHS 2000)       53.6% (DHS
                                           2000)
Lesotho             17.9% (National        34.4% (National
                    Nutrition and EPI      Nutrition and EPI
                    Survey 2002)           Survey 2002)
Swaziland           11.9% (MICS 2000)      31.2% (MICS
                                           2000)

46      Given this context, the immediate improvement in regional food security can only be
seen as a temporary upturn based on improved crop performance. Emergency relief
operations tend to have limited success in protecting assets and even less in building them.
There is little evidence to suggest that the southern Africa operation was an exception. Two
main conclusions follow which should shape the design of continuing food security
interventions in southern Africa.

47       Firstly, there is severe under-nutrition, as evidenced by the unacceptable stunting
rates amongst children – most notably in parts of Zambia and Malawi. Large proportions of
the population are extremely poor and consequently remain unable to consistently meet their
regular food needs. This group, the chronically food insecure, were beneficiaries of the
regional emergency relief operation – although perversely the drought which triggered the
response may have had little to do with their hunger. While attention on food security may


                                                                                               20
Scoping Study: DFID Regional Hunger and Vulnerability Programme

ebb, and responses are scaled down, a large number of people remain deeply food insecure
and in need of assistance.

48      Secondly, even amongst the population who are once again judged currently ‘food
secure’ there is an extremely high level of vulnerability to future shocks. Insufficient action
has been taken to bolster people’s resilience. Therefore the next regional drought, in five or
ten years, can be anticipated to generate an even larger need for emergency support.

49      The challenge is to determine how policies, strategies and programmes can be
adapted to work towards the elimination of food insecurity. This more ambitious goal
requires not just treating the symptoms of food insecurity, but identifying the causes and
implementing remedial actions.

50      An understanding of vulnerability lies at the heart of this agenda. A better
understanding of risks and people’s susceptibility can help to explain causes of food
insecurity. It can also help to identify a wider set of complementary options for response,
which aim to reduce the exposure to stress, mitigate the potential impacts of shocks and
enhance coping strategies to relieve the impact once it has occurred.

51       It is recognized that the agenda of reducing risk and vulnerability demands enhanced
collaboration, and a pooling of resources between disaster and development institutions and
professionals. This challenges relief workers to ensure that interventions do not compromise
future food security – and that livelihoods are protected. On the converse side development
workers are challenged to ensure that their activities specifically factor in the reduction of
vulnerability to future food insecurity. Progress in achieving this collaboration has been
elusive, and remains an important goal.

3.1.2 Vulnerability Assessment Committees
52       Improved capabilities to generate sustainable improvements in food insecurity lie, in
part, with an improved understanding of the dimensions of vulnerability. Considerable
attention has been paid to generating improved information on vulnerability. Basic questions
include identifying who is food insecure and vulnerable, understanding why they are in this
condition, and identifying what can be done about it.

53      At the global level the Food Insecurity and Vulnerability Information Mapping
System (FIVIMS) has spearheaded this conceptual effort, supported by a wide alliance of UN
agencies, bilateral aid agencies and NGOs. A review of the global FIVIMS process is
underway and until this is completed it may prove difficult to establish more robust links with
national systems.

54       Within southern Africa, vulnerability information has been the responsibility of
national and regional VACs. The VAC process was initiated through SADC, with the region
supporting the establishment of NVACs. Founded in some countries in the late 1990’s,
NVACs came to prominence during the 2001/02 crisis providing critical analysis for
emergency response planning. NVACs were established in the six countries that constituted
the 2001/02 appeal (Zimbabwe, Zambia, Malawi, Lesotho, Swaziland and Mozambique). A
Regional Vulnerability Assessment Committee (RVAC), which supports the NVACs, is
located in Gabarone, Botswana, with the SADC FANR. VACs bring together a wide range of
technical collaborators from various government departments, the UN system and civil
society. They generally operate on a voluntary basis with no dedicated staff. DFID has been a
significant supporter of the VAC system since 2002. This support has largely been provided
by the DFID regional advisor, and channelled through the RVAC.

55     This scoping study was asked to examine the operations of the VACs and identify
areas where improvements are needed. The study benefited considerably from being


                                                                                                  21
Scoping Study: DFID Regional Hunger and Vulnerability Programme

conducted in parallel with a three-stage VAC consultation process. This exercise, coordinated
by the RVAC, set out to review the sustainability of the VAC process and develop a longer-
term vision. This has involved consultation within and between the national and regional
levels. The key issues debated in this consultation include:

    Defining mandates at national and regional level;
    The relationship between countries and the region;
    The relationship to policy, and
    Institutional issues and definitions of vulnerability.

56      Various RVAC reports are available documenting the full outcome of these
consultations (see bibliography). This scoping exercise builds on this consultation and
examines methodological, institutional and policy aspects.

57      The RHVP is by definition a regional programme. Therefore this study considers how
the region (RVAC) can support the national systems. However, to answer the question
involves a careful examination of issues at the national level. This is presented in the section
below.

A focus for the VACs: disasters or development?
58       This question of purpose lies at the heart of the discussion about VACs, preceding
methodological and institutional concerns. The VAC system was first established to
contribute to the longer-term goal of reducing vulnerability to food insecurity. It was designed
to bring food security and vulnerability information into the development sector. While many
information systems existed at national level, none specifically sought to introduce concepts
of vulnerability across the disaster-development divide.

59      As the 2001/02 crisis unfolded the emergency community engaged strongly with the
VACs to conduct needs analyses as a means of informing their food assistance operations.
Essentially the VACs have continued with a needs assessment focus up until the current
2003/4 assessment cycle with relatively minor modifications.

60      As the immediate crisis recedes the VACs have begun to re-examine their mandates
and determine whether they should return to a more developmental focus. From the evidence
of the NVAC consultations there is consensus that VACs need to refocus on the longer-term
goals. This would have methodological and institutional implications, and the consequences
need to be clearly thought out.

61      It is important to recognize that they enjoyed a number of pre-determinants of success
working within a disaster management system. They had a clear clientele (WFP, donors and
governments) able to articulate their information needs and then use the results of the
analysis. There were pre-existing methodologies that could be rapidly introduced. These
advantages do not apply in the longer-term context. However, the ability to create awareness
of concepts of vulnerability amongst a wider client group is critical.

62       Even while the long-term goal may be overcoming chronic food insecurity, it is
obviously necessary to help people manage short-term crises. This is a pre-requisite for
achieving the longer-term goal. The same basic information is required to work in both arenas
including the location and characteristics of food insecurity and vulnerability. The difference
is in the analysis and conclusions for action.

63       This study examined the role and functioning of the VACs within the broader
national institutional landscape. There are considerable overlaps in the generation of data
related to understanding food insecurity. This includes diverse information systems related to
sectoral Ministries (agriculture, health, water, etc.), poverty monitoring and early


                                                                                             22
Scoping Study: DFID Regional Hunger and Vulnerability Programme

warning/disaster management systems. However, none of these national systems are currently
providing an analysis of the extent and causes of chronic food insecurity with the goal of
identifying appropriate responses. Even if this will be a difficult challenge for the VACs
given their genesis and composition, there are no alternative groups engaged with this goal.

64       In summary an effective VAC must engage with both short-term relief and long-term
development. It would be a mistake to neglect an engagement in disaster management, even
while prioritising an increased engagement with poverty reduction and development. The
ideal would be a flexible system that has capacities to contribute in both areas, but could
easily shift the balance of activities in response to the demands of the specific situation.

Use of VAC information in disaster management
65       Typically VACs operate in a context where national Early Warning Systems (EWS)
are fragile or even failing. Consequently they fulfil a critical information need and provide a
unique source of information. The VACs have developed specific research tools, organized
and mounted large annual assessments, and produced annual reports based on these
assessments.

66      The core question that the VACs have attempted to answer on an annual basis is the
number and location of food insecure people and the size of their food deficit. The VACs
have moved towards adopting a common methodology to support this – the Household
Economy Analysis (HEA) piloted and developed by SC-UK. There has been a degree of local
adaptation, most notably in Mozambique. Conversely, in Malawi, Swaziland and Lesotho
application remains close to the original SC-UK model. Box 3.1 highlights some of the issues
surrounding the use of HEA.

Box 3.1:        Household Economy Analysis
HEA provides a framework for identifying food deficits, based on livelihoods. It involves
constructing a ‘baseline’ of the rural economy. Using qualitative enquiry methods, in
combination with existing secondary datasets, relatively homogenous food economy zones
are defined at national level. Within these areas, wealth groups are defined, the various
sources of food and income identified, links to markets explored and coping strategies
identified. The product is designed to allow the analyst to model the impact of a shock, such
as a harvest failure, on the ability of households to meet basic food needs. Data to define this
shock may come from existing data channels (such as crop production estimates and price
data) or require local collection through qualitative methods.

HEA introduces an expanded, and more systematic, understanding of household food
security. Previous food security analyses were limited to a consideration of food availability –
as typified by the CFSAM process. HEA has increased the understanding of access issues at
the national level. It provides a framework for analysing the impact of a wider range of shock
factors (including economic shocks) and consequently the underlying rigor of beneficiary
estimates has improved. However, a number of operational limitations have been observed in
its application:

   A lack of statistical confidence associated with the qualitative methods used to construct
   the baseline
   Reconciling the food economy zones (the unit for reporting results) and administrative
   boundaries used for targeting and decision making
   The expense involved in establishing the system at the national level
   Limited success in building national analytical capacity due to its complexity and a
   continuing reliance on external analytical resources
   Limited relevance to urban situations
   Limitations in capturing and analysing multi-year shocks (including HIV and AIDS)
   National, community and intra-household issues around food security are not addressed
   The garbage in – garbage out syndrome – a misleading sense of precision in results



                                                                                              23
Scoping Study: DFID Regional Hunger and Vulnerability Programme


Box 3.1:         Household Economy Analysis
    based on poor input data

A willingness to adapt methods is required to address these practical constraints. The
Mozambique VAC has made conscious attempts to address these constraints with some
success – including ensuring that reporting is done on an administrative basis and
incorporating statistical rigor into the reporting.

There are also inherent constraints within the method that need to be appreciated. HEA is
specifically designed as a calculator of food deficits. Naturally it is most effective in suggesting
a deficit filling solution, either in cash or kind. It is less effective in designing actions to
address causes.

In conclusion the HEA framework has had a positive impact on the interpretation and analysis
of food insecurity. However, like all models, a keen appreciation is needed of the limits to its
application. While it has a role to play in VAC analysis it should not be seen as a magic
solution. Rather its advantages and limitations appreciated should be appreciated and it
should be integrated into a larger toolkit of vulnerability analysis methods.



67      Study interviews briefly assessed the uptake of the VAC information. In all countries
the VAC provides the accepted national estimates of food aid and beneficiary numbers.
Importantly, the derivation of the results through broad consensus amongst the VAC partners
means that the results are generally acknowledged as authoritative. The figures are widely
used as an advocacy tool for fund raising. VAC results are used for planning detailed
emergency responses by disaster agencies such as the Disaster Management and Mitigation
Unit (DMMU) in Zambia, the INGC in Mozambique and the National Disaster Task Force
(NDTF) in Swaziland.

68       However, there were common concerns over the usability of VAC information. Many
clients (WFP in several countries, CARE and UNICEF) commented that the figures were
unreliable at sub-national level. This prevents applications for planning food relief
programmes. Consequently, local level surveys by individual organizations are the norm. The
issue was not just at the level of community targeting mechanisms, where the NVAC is not
expected to have a role. A problem was also apparent at the geographic targeting level.

69      One of the main limitations is that the basic units of analysis used – the food economy
zones – cut across multiple administrative boundaries. Results are typically expressed by food
economy zone, making it difficult for administrators to interpret. There are relatively simple
methodological changes, which could be incorporated to improve the relevance to
geographical targeting. One option, as adopted by Mozambique, is to compromise by fitting
the food economy zone boundaries to fit within lower level administrative boundaries.
Alternatively an intermediate analytical step can occur, that reconfigures the outcome of the
analysis by administrative boundary.

70      At the same time it is important to acknowledge that a national level analysis is
inherently constrained in resolution and accuracy. The goal of the NVAC is to inform national
level decisions. This includes information that can assist with the targeting of resources.
However, it is unlikely to provide an adequate resource in itself for detailed local level
planning.

71      NVACs have limited success in identifying alternatives to specific recommendations
to food aid as an emergency response. However, the HEA model does have the capacity to
estimate cash transfers as an alternative to food aid. The Malawi 2004 VAC report
successfully made this calculation at national level and the EU is using these conclusions in


                                                                                                 24
Scoping Study: DFID Regional Hunger and Vulnerability Programme

planning their national cash transfer programme. Similar applications were undertaken in
Swaziland. This is an important innovation and this analysis should be extended to other
countries.

72       The VACs need to play a more proactive role in opening up the debate on how
emergency resources can contribute to long-term goals of vulnerability reduction, and
alternatives to food aid. As well as cash transfers other possible social protection mechanisms
include public works programmes, fee waivers (for health and education), micro-finance and
small micro-enterprise and food and agricultural based safety nets. Increasingly the VAC
analysis should consider a wider set of alternatives; the analysis of cash transfers is one
practical illustration of this.

73      In conclusion, given southern Africa’s heightened vulnerability to food insecurity, it
is important to maintain capacities to identify and estimate food insecurity at national level. In
the absence of effective national systems, the VACs successfully generate national level
estimates of food aid needs. In turn these have been influential in mobilizing a response. To
date VACs have been less successful in addressing the question of alternatives to food aid.

VAC influence on sectoral programmes and policies
74      There are a limited number of examples of the VACs working directly with sectoral
ministries. During the current round, the Mozambique VAC identified a number of key
development options that could reduce vulnerability aimed principally at the different
ministries (Info Flash June 2004). The livelihoods analysis contained in the baselines
underpins the analysis, although the recommendations are very general. Several NGOs
reported drawing on these results in ‘general orientation’ and fund raising.

75       VACs have had a variable record in engaging sectoral policy makers. In Mozambique
there is a major effort to identify targeted decision makers and package products specifically
for their use. This may provide a useful model for other NVACs to consider. Additionally
Mozambique VAC members have a close relationship with the GTZ group in redrafting the
food and nutrition security policy. However, it is hard to determine whether this was in their
personal capacity or through the VAC as a corporate entity. In Zambia the NVAC is engaging
with the EU team working on the (lengthy) redrafting of the national food security policy.

76      One of the constraints to the use of vulnerability information is the lack of
understanding of food security and vulnerability concepts amongst the sectoral decision
makers that the VACs are interacting with. Broad education on these concepts is needed. It
should extend to a wide group of stakeholders, and not just be targeted at governments.

77      Allied to this is the need to complement the conceptual arguments for risk reduction,
with hard evidence. If decision makers are to be convinced of the need to shift to a risk
reduction framework they will require quantitative evidence. There is a relative dearth studies
on the economic impacts of risk reduction and mitigation programmes. Consequently
arguments the relative merits of this against growth focussed objectives remain highly
subjective.

78      Less attention is given to the policies of donors and interactions with the VACs.
Meaningful change of the relief system is highly dependent on the policies of the financers.
Direct engagement between the VAC and donors is essential.

Improving the vulnerability information system
79        One of the starting points for analysing the VAC operations is to situate it in a
broader information system. Maxwell (2002) outlined the components of an effective
humanitarian information system – applicable in both chronic and acute contexts. He argues
that all parts need to be present if the information system is to operate effectively. An analysis


                                                                                               25
Scoping Study: DFID Regional Hunger and Vulnerability Programme

of VAC operations against this model system identifies possible priorities for future VAC
activities.

80      To date VACs have worked largely on the livelihood baselines and needs assessment.
These are both costly exercises, but are not required on an annual basis. The livelihood
baselines have been particularly useful and influential VAC products, with application in both
emergency and development contexts. There is a strong justification for completing these
exercises, which remain incomplete in many countries.

81       There should be greater emphasis on early warning/ monitoring/ surveillance
systems. National early warning systems (EWS), including crop forecast systems, are
typically extremely weak despite sustained donor support over many years. VACs
increasingly depend on outputs from national systems for their analysis (thinking beyond
HEA) and need to advocate for their strengthening.

82      The monitoring methodology needs careful consideration. Traditional EWS are based
on trend analysis of key indicators, for example food and livestock prices. A better
understanding of livelihoods (as offered by the VACs) can help to refine the choice of the
most informative indicators in specific livelihood areas. Ultimately the EWS should remain
simple, cheap and light to operate.

83       The specific early warning indicators, and the systems that most justified support, will
vary from Country to Country. He starting point for determining the national priorities will be
the livelihoods baselines. The indicators need to be matched to the key sources of income and
expenditure patterns of the most vulnerable households. Crops, livestock, casual labour and
remittances will play a varying role. However, information on crop production, staple food
prices and nutritional status will be of broad relevance and concern across all Countries.

84      HEA advocates have suggested a shift from traditional EWS to a ‘rolling
assessments’ approach. The argument is that that the ‘so what’ question needs to be
answered, along with the EWS data. This may not be the most appropriate use of VAC time
and energy. Firstly, there are questions of practicality. The HEA assessments have relied on
large-scale primary data collection to underpin their analysis. Even then, the limitations
associated with the model imply that the conclusions only have limited application. The data
streams to support regular assessment do not exist and significant investment is needed to
make this a feasible proposition. Then there is the question of sustainability. Most national
EWS, despite large-scale donor support, are foundering. Institutionalising the capacity
required to undertake a ‘rolling assessment’ is a daunting proposition. Secondly, there is the
desirability of focusing on such a process. This approach may unwittingly further emphasize
emergency response at the expense of addressing causes of food insecurity.




                                                                                              26
       Scoping Study: DFID Regional Hunger and Vulnerability Programme




TABLE 3.1.1: Different forms of vulnerability information systems
Component           Information Categories/Questions Addressed                                                    Frequency of        Links to Program and Policy
                                                                                                                  Analysis
1. Baseline         • What are the basic livelihoods of groups?                                                   Infrequent          •   Long-term development/vulnerability reduction planning
Vulnerability and   • What are known or likely hazards: natural and environmental; social, economic and           (Every five         •   Emergency Preparedness planning
Poverty               political?                                                                                  years, or when      •   Mitigation planning
Assessment          • What is the likelihood of these occurring, and what indicators would predict?               context changes)    •   Community-based preparedness activities
                    • Who are the most vulnerable groups?
                    • What capacities, services and resources (physical, human, social) exist to mitigate
                      vulnerability?
                    • What are coping and risk minimization strategies?
                    • Baseline information against which to analyse trends?
2. Early Warning    Indicator trend analysis: is there a problem shaping up?                                      Continuous          •   Activate and focus needs assessment
                    • Where and how quickly is it developing?                                                                         •   Contingency and scenario planning
                    • What are the geographic dimensions of the problem?                                                              •   Activates mitigation plans
                    • In what areas should an in-depth assessment be concentrated?                                                    •   Geographic targeting
                                                                                                                                      •   Mobilize community/public awareness
3. Emergency        •   What is nature and dimensions of the problem?                                             As needed           •   Detailed emergency response plans and programs
Needs Assessment    •   How long is it going to last?                                                                                 •   Detailed targeting
                    •   Who are the most vulnerable groups?                                                                           •   Mobilize resources
                    •   What and how much is needed; what is the best response?                                                       •   Mobilize public awareness
                    •   To what extent is local coping capacity and provision of services overwhelmed?
                    •   What are major logistical and resource considerations?
4. Program          • Are inputs accounted for (logistical accounting)?                                           Continuous          •   Adjust inputs or logistics
Monitoring          • Are outputs achieved (end-use monitoring)?                                                  (While program      •   Adjust targeting
                    • Pipeline analysis: is the pipeline “flow” adequate for meeting upcoming requirements?       is on-going)        •   Adjust pipeline
5. Impact           • Is the intervention achieving the intended result?                                          Regular Intervals   •   Increase or decrease levels of delivery
Evaluation          • What adjustments are necessary (response, quantity, targeting)?                             (While program      •   Change targeting criteria
                                                                                                                  is ongoing)         •   Change activities

6. Context          •   What are the possibilities for exit, recovery, or transition for longer-term responses?   Continuous          •   Transition to rehabilitation/development programming
Monitoring          •   What are institutional capacities and vulnerabilities?                                                        •   Re-assess situation
                    •   What are the risks of transition?                                                                             •   Institutional capacity building
                    •   Doe situation require re-assessment?

7. Program          • How can overall program (information system, preparedness, response) be improved?           Periodic            •   Improvements to overall system:
Evaluation and      • Are humanitarian principles being upheld by programs
Lessons Learned     • What lessons can be learned from experience and mistakes?




                                                                                                                                                                                     27
Scoping Study: DFID Regional Hunger and Vulnerability Programme

85       Generating sustainable improvements to EWS is a formidable task, especially given
the limited success of previous programmes of support. Both the SADC Regional Early
Warning System Unit and the USAID FEWS NET project have been supporting the
development of national capacities, from the regional level, over many years. USAID will
continue to support regional early warning, with FEWS NET due to be extended through to
2010. The RHVP will have to work closely with FEWS NET in particular, although with the
new phase still under design and no details available yet, it is hard to say what form this
collaboration will take.

86       Improving national EWS capacities has both technical and political dimensions.
Generally donor projects have had more success in technical innovation. This continues to be
so; for example new technologies offer the possibility of using remote sensing applications to
estimate crop production. FEWS NET and the EU MARS unit, under the Joint Research
Service, are leading this work. However, the systems have generally failed to be sustained
because of limited political commitment. It is therefore proposed that the VACs need to be
effective advocates for these systems, as much as technical resources.

87       Needs assessments should be an ad hoc activity triggered by an impending crisis. As
the crisis recedes there is less justification for large-scale annual surveys and expenditure on
these should decrease rapidly.

88     A number of other important weaknesses are apparent in humanitarian information
systems. These include:

   A weak and inadequate programme evaluation and lessons learnt component remains a
   major concern across the humanitarian sector. A failure in feedback contributes to the
   persistently poor use of emergency resources. While not exclusively a VAC role, the
   VACs may be a useful platform to assist in evaluation exercises;
   A significant professional and analytical divide exists between food security, and
   nutrition and health. The consequence is over emphasis of availability and access, but the
   relative neglect of the utilization aspects. Interventions are frequently planned and
   implemented in isolation. We still lack the ability to determine the relative importance of,
   and inter-relationships between, food, nutrition, health and education interventions;
   There is a large gap in the monitoring of urban populations. This is an obvious priority,
   especially given that the highest rates of increase in HIV-AIDS are occurring in urban
   areas. The Zimbabwe NVAC has developed useful experience in urban monitoring
   systems; and
   Additionally there is a concern to capture the social and political dimensions of
   vulnerability. The existing methodology operates an economic model at the household
   level.

89        The VACs can play an important role in addressing some of these shortcomings. In
particular there is an obviously link to evaluation and lesson learning. The emerging argument
is that the VAC needs to identify the incidence of food insecurity; the underlying causes and
then links this through to the design of more appropriate interventions. Engagement in the
evaluation process would be a natural complement, with strong feedback to future planning
cycles. At the highest level the VACs should be providing longitudinal data on food
insecurity. Intra-annual changes should be accompanied by an analysis of the impact of risk
management interventions at the macro-level. The VAC should also participate in strategic
project-level evaluations – especially where these inform key choices between alternative
safety net mechanisms.

90      This study suggests the organization of a ‘research’ fund, which will be linked to the
VAC framework (refer section 4.1.4), and provide additional short-term resources to address
the problems identified in paragraph 88. Specific research priorities could be identified in


                                                                                              28
Scoping Study: DFID Regional Hunger and Vulnerability Programme

collaboration with the VACs. The VACs would provide a channel to feed the conclusions into
policy.

91      At the heart of this discussion lies the thorny issue of the extent to which the VACs
should operate as data collection platforms as opposed to data analysis platforms. The VACs
have established their reputation through collecting information when no other reliable
sources were available. However, preceding arguments suggest that the greatest potential
value from the VACs lie in an analytical role.

92      Much of the data necessary for the VACs to undertake this analysis should be
available from alternative sources. Annex 3 provides a detailed listing of these systems. This
makes it clear that there are an extensive number of national data collection systems. In some
cases there is already a surfeit of information providers; Zambia being a prime example.
However, these systems may be inactive or else the data is of inadequate quality and
timeliness.

93       It makes sense for the data collection function to be handled by government
institutions with an existing mandate. The solution is complicated by the deep institutional
weaknesses in national data collection systems, and the urgency of information for emergency
planning needs. However, as a general principle, priority should be given to capacity building
rather than capacity substitution. The VACs would help to coordinate the various information
sources, identify gaps and improve quality.

94       Such an approach would clarify some of the concerns over overlapping institutional
mandates for data collection. Given the immediate problems in the wake of the crisis the
VACs have established a substantial independent data collection capacity. The proposition is
that they should not continue with this direct responsibility. On an occasional basis the VACs
may initiate specific field qualitative enquiries to fill important gaps. However, they should
not be perceived as the ‘system’ for the routine collection and dissemination of this
information. The VACs do offer a framework that can rapidly mobilize and coordinate non-
government resources to supplement government systems in a crisis.

95      In conclusion, VACs are concerned with improving food insecurity and vulnerability
data quality, integrating and exchanging this information and promoting the better use of
information to improve action. This entails a shift from serving as a primary data gatherer to
one where the VACs are more reliant on national systems.

96       The development of the VACs to date has focussed considerable energy on the
question of the selection of an appropriate methodology. There were indications that this has
been at the cost of an adequate consideration of purpose. The scoping study therefore
concluded that at the design stage the key question is the overall VAC purpose and how this
can be incorporated in national mandates.

97       A standardized approach and analytical framework is desirable this does not imply a
standardized methodology. It is proposed that the choice of methodology is more
appropriately dealt with at the national, rather than regional level. It should be acknowledged
that a variety of methods may be usefully employed in answering the same question. The
choice between methods may be most appropriately made at the national level. The role of the
region should be to provide flexible technical support in accordance with national needs, not
to promote the adoption of a single uniform method.

98      Given fundamental weaknesses in national systems the VACs need to advocate for
the improvement of these systems. However, the focus should be on the analysis of the
information and ensuring the use of this information in decision making.



                                                                                            29
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Vulnerability, poverty and growth
99       A strong relationship exists between vulnerability, poverty and growth. There has
been a resurgence of interest in vulnerability, as risk and vulnerability have been rediscovered
as key features of rural livelihoods and poverty. Better management of damaging fluctuations
and risks by those in or near poverty is seen, together with growth and redistribution, as one
of the three mechanisms for poverty reduction. This has placed vulnerability reduction as a
central aspect of development policy (Prowse 2003). Efforts to converge the poverty
reduction and vulnerability agendas have followed.

100      National poverty reduction strategies (both the World Bank/IMF PRSPs and national
strategies for non qualifying countries) are an attractive target for co-operation. These direct
both poverty focused development and social protection activities. The growing emphasis on
the PRSP as a budgetary framework and the basis for accessing concessional funding from
the Bank and donors provides a further argument for working within this framework.

101      While most NVACs have greater co-operation with the poverty reduction strategies
as an explicit goal, only limited progress has been made so far in this regard. In part this is
due to the uneven status of poverty reduction policies across the region (see Annex 5).

102      In most of the countries visited, the links to the national poverty reduction strategies
and associated poverty monitoring units (where they exist) are underdeveloped. In Lesotho,
one of the members of the PRSP Secretariat has been assigned to attend Lesotho VAC
meetings and workshops and the Lesotho VAC did make a submission on vulnerability during
the PRSP formulation process. However, the link still remains tenuous and the extent to
which the information produced by the LVAC will inform the operations of the poverty
monitoring unit once it is established remains unclear. In Swaziland, the Poverty Reduction
Unit, which is based in the Ministry of Economic Planning and Development and tasked with
the production of the PRSAP, has recently taken the initiative and approached the Swaziland
VAC to explore potential areas of collaboration. However, for those countries that have well-
established poverty reduction strategies, such as Zambia, Malawi and Mozambique, the
relationship has apparently not been developed.

103      This is an area of concern for a number of reasons. The NVACs produce information
that is not produced by other institutions in the region and that could be useful for the ongoing
monitoring and evaluation of poverty reduction strategies (PRS). As the suite of policies and
interventions contained in the PRSs are implemented over forthcoming years, we might
expect to see the ability of households to withstand shocks improve if the policies are
effective. These improvements in chronic and transitory poverty should be captured, in part,
by the NVACs. Conversely, the survey-based and administrative data collected and analysed
by poverty monitoring units could be used as important contextual material for the NVACs.

104      The desire among many NVACs to broaden their mandate beyond emergency relief
to longer-term development also suggests a natural relationship with the PRSs and associated
institutional structures.

105     One reason why the suggested expansion of the VAC activities should be treated with
caution is that the units could end up being too generalized and fail to develop and refine their
specialized focus on vulnerability and livelihoods assessment. Therefore, formalizing linkages
with the PRSs would be mutually beneficial enabling the VACs to incorporate more of a
developmental focus without compromising their existing mandate. Those overseeing the
PRS would benefit from the opportunity to expand the poverty reduction evidence base.




                                                                                                  30
Scoping Study: DFID Regional Hunger and Vulnerability Programme

106       Specific areas of collaboration with the poverty reduction structures could include:

      Improving, or in some cases introducing, the discussion of the concept of vulnerability in
      PRSP policy documents. The treatment of vulnerability issues within the PRSPs is
      summarized in Annex 5; generally it is under discussed. In Mozambique there is an
      opportunity for collaboration as the new policy is currently under revision;

      NVAC participation in poverty monitoring. While acknowledging the mandate of the
      poverty monitoring unit (PMU) in this area, the VAC may have a preceding or
      complementary role. Where PMUs are yet to be established the VAC information is
      particularly useful. The critical refinement is the disaggregation of the numbers of food
      insecure into transitory and chronic, where the chronically food insecure could be closely
      correlated with the poor. For established PMUs, NVAC livelihood information adds
      insights to poverty dynamics; and

      Using NVAC baselines to model the impact of policy shifts and suggest policy
      refinements. The example of how the Malawi baseline has been used in examining
      income transfers illustrates this point. However, the limitations of the HEA methodology
      should be borne in mind. As NVACs widen their enquiries into vulnerability alternative
      and complementary methods should be considered. The Swaziland NVAC study “The
      links between HIV-AIDS, demographic status and livelihoods in rural areas” is a good
      example. Previous attempts to assess HIV/AIDS impacts with HEA tools have had limited
      success.

107      Overall, while there is genuine potential for collaboration with poverty reduction
strategies, expectations should be pragmatic. The relevant skills within the VAC are limited
and demands are high. The VAC role will be one of adding insight to the dimensions and
dynamics of poverty and hunger. It will not be, nor should it be seen as, an alternative to the
role of bureaus of statistics within the PMUs. NVAC information and analyses should be used
to add depth to official poverty statistics.

108      A sustained dialogue between the NVAC and poverty reduction strategies on mutual
areas of reinforcement is a necessary starting point. The form of the collaboration will be
determined by the national context and is likely to be highly variable.

Institutional arrangements for the VACs
109      The VACs were originally founded as independent committees. One of the common
discussions amongst VACs is a push to formalise their position in government. There are
significant advantages:

      The inclusion of the VAC within regular budget lines. If a core secretariat could be
      established this would take the burden from the over stretched (voluntary) members of the
      VAC;
      A more stable source of finance would improve the ability of VACs to plan their
      activities. As the crisis recedes there is a real danger that donors will lose interest. Too
      often in similar contexts the interest wanes, funding fails and capacities are lost. The best
      remedy is inclusion in regular government budgets;
      The lack of official status makes it hard for donors to buy-in to the VAC process – there
      is no official ability to receive, expend and account for funds; and
      There have been examples where the lack of formal position of the VAC (Swaziland) has
      affected the credibility, or official endorsement, of VAC information. It also makes it hard
      for government staff to justify the use of their time on VAC activities.

110    Reflecting the inter-sectoral nature of food security, the VACs work with a large
number of government ministries. This includes disaster management units and poverty


                                                                                                 31
Scoping Study: DFID Regional Hunger and Vulnerability Programme

monitoring units in ministries of economic planning and national development. The ministries
from which the VAC chairs are drawn vary (see Annex 4). In nearly all cases there was a
strong logic at national level that justified the decision.

111      As can be seen from the table in Annex 4, the institutionalisation of VACs within
government is an on-going process in most countries. The various NVACs are developing
along differing lines, taking best advantage of the national situation. Attempts to standardize
the location, and by extension the mandate and even methodology, would undermine the
strong and positive relationships that have been established with the current hosting
institutions. The general observation was that there appeared to be a genuine interest in
governments to gain ‘ownership’ of the VAC process at the national level. The extent to
which this was underpinned by an appreciation of the VAC role (beyond a food aid
calculator) is not so clear.

112      There is a concern that the very success of the VAC may have been due to its
independence from government structures and the active participation of partners.
Institutionalisation has to be carefully managed to garner the benefits and minimize the risks.
It is important that the unique networking and collaboration that has driven the VACs is not
lost.

113     There were suggestions that the membership of the VACs might need to be
formalised. The current situation where self-appointed members wield significant influence
on national policy and programme decisions is questionable. This process would also allow
the VACs to bring in much needed skills including nutrition and health, where UNICEF is an
important member. Expanding the mandate to include social protection (Section 3.2) will
have direct consequences for membership, including both government departments and key
NGOs such as CARE.

114     A pervasive concern is the dearth of professionals at national level with an
understanding of the importance of vulnerability. The ability to sustain a national debate on
issues of vulnerability depends on a quorum of competent individuals, both technicians and
decision makers. This lack of capacity contributes to the continued marginalisation of
governments in humanitarian affairs.

115      The VAC process to date has trained a cadre of enumerators rather than analysts. It
has also enabled a number of mid-level government individuals to engage with, and advocate
for, the VAC process and results. However, analytical capacity remains minimal. To a very
large extent the VAC process remains highly reliant on technical assistance located in other
countries.

116      Similar concerns exist at the regional level, with SADC also highly reliant on external
skills. This position may have been exacerbated by the FANR move from Harare and the
disengagement from the Regional Early Warning Unit where capacity-building efforts had
been located.

117      There are many arguments for national capacity development. However, achieving
this, given the experience required and the relative sophistication of the skills involved, is not
straightforward. One element of the solution might be a wider dispersion of knowledge to
include politicians, the media and civil society. Increasingly there are examples of local NGO
coalitions engaging in both food security and poverty monitoring and providing an important
complement to Government capacity.

118      The VACs have important relationships with a large number of existing data
collection systems. A summary of related data collection systems is itemized in Annex 3.
Related data systems considered include those which collect data for diverse purposes


                                                                                                32
Scoping Study: DFID Regional Hunger and Vulnerability Programme

including early warning and disaster management monitoring, crop performance monitoring,
climate monitoring and forecasting, HIV-AIDS surveillance, nutritional surveillance, market
prices, poverty monitoring, income expenditure surveys and other regular statistical surveys.

119      The variety and wealth of data providers emphasizes the need for VACs to serve as
analysts rather than merely another data collection system. The study ToR (Annex 10) asked
the team to investigate the relationship of the VACs to these national systems and recommend
future interactions. At the generic level the important conclusion was that the variety and
wealth of established data providers emphasizes the need for VACs to serve as analysts rather
than an additional data collection system.

120      More specific recommendations cannot be appropriately made under this scoping
study for three reasons. Firstly, such a task is in itself a major undertaking given the large
number of national systems (this is estimated to be in the order of 50 related national data
collection systems across the six scoping countries) which VACs interact with. Even a
relatively superficial, but systematic, examination of all of these systems was beyond the
capacity of this mission. Secondly, this task is more appropriately approached at the national
level. The NVACs need to own this process, which should link a prioritisation of which data
systems to support with their nationally defined NVAC mandates. This cannot be
appropriately defined at the regional level, or using purely technical considerations. Instead
this needs to be a process that takes into account institutional realities.

121      A good start has already been made in analysing these relationships in the NVAC
studies conducted as part of the DFID funded three-stage VAC review. This can be developed
further. The DFID national support to the development of the Zambia NVAC is explicitly
promoting these linkages at the national level. This anticipates a six-month consultative
process, engaging with these national institutions and systems, as part of the NVAC project
design.

122     While the VAC process has been highly reliant on DFID resources this is not
exclusively so (Annex 4). Not least is the time and energy expended by various VAC
members. Large in-kind contributions in the form of consultancy support have been made by
the USAID FEWS NET project. WFP is also heavily engaged through the Vulnerability
Assessment Mapping Unit. UNDP and the EU supported the Zimbabwe NVAC. The EU in
Malawi is supporting technical assistance to the Malawi VAC.

123      It is notable that the objectives and methods of the VACs are entirely consistent with
the operation of the UN Food Insecurity Vulnerability Information Mapping System
(FIVIMS). Currently FIVIMS is not represented in any of the six ‘priority’ countries. A
FIVIMS is being set up in South Africa. Additionally the South African government has
allocated R10 million for establishing a regional food security system in southern Africa. This
offers a potential collaborative source of finance.

124      In conclusion, the VAC may fulfil an important analytical role that is not addressed
by existing government institutions. Institutionalisation of the VACs is an important priority,
but must be done in a way that preserves the partnerships that have energized the VACs.
Given the inter-sectoral nature of the VACs there is unlikely to be a single best institutional
home and this will be decided best at country level. A wide process of capacity building is
required amongst all stakeholders to promote a wider discussion on vulnerability and support
the attainment of the overall objectives.

Relationships between the NVAC and RVAC
125     From the national perspective the RVAC was seen to provide support in two key
areas. The first is as a channel of resources. In the absence of alternative funds the NVACs
were originally funded through the regional mechanism. While this was a necessary interim


                                                                                               33
Scoping Study: DFID Regional Hunger and Vulnerability Programme

measure to establish the VACs, the clear desire from all partners is that Governments with
donor support should increasingly fund NVACs at the national level. The consensus is that
the NVACs should be a nationally owned and driven system. The financing arrangements
need to support this, by encouraging local control and building sustainability.

126      The RVAC channel (specifically DFID funded) is not the only way that financial
needs are currently met. There are significant contributions from other partners,
USAID/FEWS NET and WFP across the region, and increasing national level buy-in, DFID
in Zambia, and the EU in Malawi. In terms of long-term sustainability it is desirable to
encourage diversification of support, including contributions by Government. However, that
several of the national VACs remain highly reliant on external support. Therefore continued
gap filling is required from the regional level to maintain the system until it is fully
institutionalised and national support comes on stream.

127     The second broad area for regional support is in facilitating an exchange of ideas,
experiences and professionals. The closely related need for capacity development was also
mentioned widely. This role of information exchange is important in promoting national
systems and keeping the VAC goals broadly comparable across countries.

128      One of the big debates centres on the desire for regional comparability, an important
agenda from the regional perspective. Ideally information on food insecurity would be
available in exactly the same format at the sub-national level. This would facilitate
prioritisation of relief programming across the region. While desirable, achieving regional
comparability remains problematic for practical reasons. This approach was adopted in early
rounds of the VAC assessments with standard instruments and analytical procedures
proscribed by the region. However, this proved problematic given; differences at the national
level in the institutions involved, their competency and contribution; differences of opinion
on the role for quantitative and qualitative methods of enquiry; investigating income and
expenditure sources which vary by Country; and problems of scale – the same approach is
unlikely to work equally well at the national level in Swaziland and Mozambique.

129     Therefore, strengthening national ownership and quality of analysis may be more
relevant short-term objectives. A regional programme can equally well support appropriate
national adaptation and does not have to be linked to a standardized methodology.

3.1.3   Conclusions

130     Long-term trends and short-term shocks have combined to increase vulnerability to
food insecurity in southern Africa. While emergency programmes may have treated the
symptoms, little has been done to address the causes. A better understanding of vulnerability
and risk is required for an improved response.

131     The VAC system has spearheaded attempts to improve information on food insecurity
and vulnerability, offering an important complement to existing national systems. In the
context of the recent crisis its focus has been to identify food deficits and recommend
response requirements. This important function needs to be institutionalised and sustained.
But as the immediate crisis recedes the VAC system is grappling with its longer-term
mandate. Some broad priorities may be identified:

   VACs should maintain a focus on improving food insecurity and vulnerability data
   quality, integrating and exchanging this information, and promoting the better use of
   information to improve action;
   A move away from a focus on data collection (especially large annual surveys), and a
   greater reliance on working with, and in sport of, government data collection systems;



                                                                                              34
Scoping Study: DFID Regional Hunger and Vulnerability Programme

      A greater emphasis on the analysis of food insecurity and vulnerability, its occurrence and
      causes;
      A greater emphasis on relating this information to the needs of decision makers,
      government and donors, at policy level; and
      Capacity building within the system to improve the quality of conversations on food
      insecurity and vulnerability.

132     This is a challenging agenda and may take the VACs out of their comfort zone.
Grappling with these issues calls for methodological innovation and the VACs need to
diversify their analysis from a narrow focus on HEA based analysis. The methods should
follow from the agreed purpose and objectives, with room for a more eclectic and innovative
approach. This will require external support and a role for the region.

133       In the short term the objectives of support should include:

      The institutionalisation of VACs within government structures, including defining
      national VAC mandates;
      Establishing new partnerships, both within the VAC system, and between the VACs and
      national institutions that reflect its new mandate;
      The completion of livelihood baselines;
      Transferring the skills and data for national baselines and needs assessments into
      government systems, as outlined in Annex 3;
      Developing an agenda for future research (on the incidence, causes and appropriate
      responses to food insecurity) and a strategy for linking this to decision makers at all
      levels; and
      Developing a methodological toolkit, as opposed to reliance on a single method, to
      support these objectives.

134      This will necessitate targeted resources from the region to countries, which will be
limited to short-term support within the current resource envelope. This is intended as a
transitional measure until national support from both governments and donors can be
generated.

135     Pragmatism over the VAC role should be maintained. The system still operates on a
largely voluntary basis with limited resources and has to maintain a tight focus.
Complementary research, advocacy and training activities are advocated to enhance and
synergise the VAC work.


3.2     Social Protection

3.2.1     Social safety nets and social protection

136     Although welfare programs have been long established in southern Africa, social
safety nets gained prominence following the publication of the 1990 World Development
Report. This included them as one of the three pillars of the new poverty agenda. In this
context, safety nets were conceived as ‘some form of insurance to help people through short-
term stress and calamity’ (World Bank, 1990:90). Safety nets were introduced as a means of
addressing transitory poverty rather than chronic poverty. For most of the 1990s,
development policy makers focused on safety nets to support those that would otherwise fall
below a minimum acceptable standard of living. Of special concern was offering protection or
compensation to the losers from structural adjustment and other macroeconomic reform
processes.




                                                                                                35
Scoping Study: DFID Regional Hunger and Vulnerability Programme

137     In more recent years the notion of safety nets has received renewed interest, driven
predominantly by donor agencies (notably the World Bank) and repackaged as social
protection. This entailed broadening the concept to include interventions directed at both
chronic and transitory poverty by:

   Protecting poor people who have a chronic incapacity to work or earn (for reasons of age
   or health), and
   Mitigating the vulnerability of the working poor to short-term shocks such as droughts,
   floods and illness.

138     The Social Risk Management (SRM) framework further disaggregates social
protection activities in response to short term shocks. Interventions may be considered under
the general headings of:

    Risk reduction strategies, which reduce the exposure to risk;
    Risk mitigation strategies, which reduce the potential impact of shocks; and
    Risk coping strategies, which relieve the impact once it has occurred.

139    These strategies can be either informal, market based or public in nature. An
important design feature of public strategies is ensuring that they don’t crowd out beneficial
informal risk management strategies.

140     There is a long running debate underlying social protection on the implicit trade-off
between the desire for social justice and economic growth. Social protection can be perceived
as expensive, with a high opportunity cost to growth, and a disincentive to work for both
taxpayers and recipients.

141      However, there is a growing argument that advocates social protection as an integral
part of growth strategies, not an alternative. Haddad (2002) argues that adequate nutrition
underlies mental, physical and social development. While large numbers of people remain
malnourished and ill growth may remain illusory. Social protection can therefore be viewed
as a precursor or investment in growth, which contributes to asset protection and social
cohesion, and facilitates households engaging in productive activities that have higher risk.
Establishing the links between social protection and growth is taken as one of the key areas of
enquiry for this scoping study.




                                                                                               36
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Table 3.2:        Social protection arrangements and strategies

Arrangements               Informal                Market-based                      Public
 & Strategies
Risk Reduction

                       Less risky production       In-service training         Public labour
                       Migration                   Financial market         standards
                       Proper feeding and         literacy                     Pre-service training
                      weaning practices            Company-based and           Labour market policies
                       Engaging in hygiene        market-driven labour         Child labour
                      and other disease           standards                   interventions
                      preventing activities                                    Disability policies
                                                                               Good macroeconomic
                                                                              policies
                                                                               AIDS and other
                                                                            disease prevention
                                                                               Legislation to remove
                                                                              gender inequalities in
                                                                              property rights,
                                                                              marriage, and access to
                                                                              labour markets.


Risk Mitigation

Portfolio              Multiple jobs              Investment in                 Multi pillar pension
                       Investment in human,     multiple financial assets     systems
                      physical and real           Micro-finance                 Asset transfers
                      assets.                                                   Protection of property
                       Investment in social                                   rights (especially for
                      capital (rituals,                                       women)
                      reciprocal gift-giving)                                   Support for extending
                                                                              financial markets to
                                                                              poor people.


Insurance              Marriage/family             Old-age annuities           Mandated/provided
                       Community                   Disability, accident      insurance for
                      arrangements                and other personal         unemployment, old-age,
                       Share tenancy              insurance                  disability, survivorship,
                       Tied labour                 Crop, fire and other      sickness and so on.
                                                  damage insurance

Risk Coping

                        Selling real assets        Selling financial           Transfers/social
                        Migration                 assets                     assistance
                        Borrowing from             Borrowing from              Subsidies
                      neighbours                banks                          Public works
                        Intra-community
                      transfers/charity
                        Sending children to
                      work
                        Dis-saving in human
                      capital




                                                                                                    37
Scoping Study: DFID Regional Hunger and Vulnerability Programme

3.2.2   Social protection applications in the region

142    A preliminary mapping of social safety nets and social protection is presented in
Annex 6. This focuses on the larger programmes including all the national initiatives. The
Annex does not capture the multitude of smaller local activities.

143      An examination of the list of projects and programmes documented for the six
country case studies provides unequivocal evidence that a wide range of safety net initiatives
are ongoing in the region. Very few of these are in the form of cash transfers, with examples
including Mozambique’s Food Subsidy Programme, an urban-based cash transfer programme
for the destitute, and Malawi’s pilot studies in Dedza as a basis for its Direct Transfers
Programme. Lesotho also intends to introduce a modest old age pension scheme in November
2004. In-kind transfers are the predominant form of formal safety net. Of particular note are
food related programmes such as supplementary feeding, education programmes such as fee
waivers and the provision of materials, health programmes including fee waivers and free
basic health care, and public works programmes (food-for-work and cash-for-work).
In some of the countries visited there is some experimental safety nets work being undertaken
in response to the mounting impact of the HIV/AIDS pandemic. Perhaps the most notable
example comes from Swaziland, where the Indlunkhulu project is attempting to building on
existing structures and re-establish Indlunkhulu fields, which are the chief’s fields for
members of the community that are unable to support themselves. The intention is to provide
food for orphaned and vulnerable children (OVC). Also educational programmes have been
introduced with the aim of getting OVCs back to school.

144      Despite these diverse programmes in many of the region’s poorer nations, there are
lingering questions about coverage, integration and targeting. Moreover, many of these
initiatives lack systematic mechanisms for monitoring and evaluating whether objectives are
being achieved or missed. A prime example of this is Zambia’s Public Welfare Assistance
Scheme, a social safety net initiative that has existed for around fifty years but has never had
any in-depth evaluation. As a result policymakers can only provide anecdotal evidence on
how well the programme meets the needs of the poor and vulnerable, and no lessons can be
extrapolated and used to inform planning decisions.

145    Innovative safety nets, which explicitly link social protection programmes to growth
and development objectives, are increasingly being developed. An example is the TAPS
programme in Ethiopia (Box 3.2).

3.2.3   Constraints and opportunities for social protection

146     Based upon a review of evidence emerging from the six country visits and existing
documentation, we can identify a number of constraints facing policymakers in southern
Africa in the field of social protection.

147      Perhaps most readily apparent is the limited capacity to implement social protection
(for example safety nets and non-contributory pension systems) given the co-existence of a
high incidence of poverty and vulnerability with scarce government resources. While a
wealthier country such as South Africa has the means to successfully provide, operate and
sustain a suite of welfare benefits for vulnerable and impoverished groups, poorer countries in
the region face fiscal and human resource limitations. Some of them have nevertheless begun
to support modest interventions, as indicated in the preceding discussion.




                                                                                               38
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Box 3.2: The Transitional Asset Protection System (TAPS) in Ethiopia
The Ethiopian Government is in the process of developing the Transitional Asset Protection
System (TAPS) safety net programme, in collaboration with donors (including The World
Bank, DFID, USAID and EU). Under TAPS safety nets do not have a narrow welfarist
objective, nor are they seen as a substitute for development. Instead they are designed to
serve as a springboard for growth, working in concert with traditional development
programmes.

Given fiscal realities TAPS is based upon an assumption of external funding. It is argued that
this is largely a question of reorganizing existing donor funding, rather than incremental
funding. Current support systems revolve around annual emergency responses. However,
funding could be reorganized between the chronically (or predictably) food insecure and the
transitory (or unpredictably) food insecure. TAPS seeks to protect the assets of the
predictably food insecure in a more effective and efficient manner, with asset protection as an
explicit precursor to asset building. At their recent meeting the G8 leaders rallied behind the
‘productive safety nets’ approach to reverse ‘decades of dependency and chronic hunger’.

Source: Raisin 2003



148      Questions of affordability mean that it is not realistic to expect comprehensive
nationally owned social protection systems for many countries in the region in the medium to
long-term. Therefore there is a need to advocate a more pragmatic, narrowly defined focus on
those interventions that are likely to have the greatest impact in addressing chronic and
transitory food insecurity within the fiscal and institutional realities of a given context and
time.

149     Social protection occurs within a rather ad hoc framework. The institutions,
programmes, and partnerships required to address concerns of food security and social
protection in a coordinated, integrated framework are evidently weak or non-existent.
Although there are some relatively robust partnerships and interventions in the region they
mainly operate in a fragmented and ad hoc manner. This leads to various inefficiencies, such
as duplication of efforts, overstretching of limited human resources, and uncoordinated policy
and programme initiatives.

150     A great deal of consensus building on the approach and operational linkups among
different technical groups is needed. As is true for all multi-sectoral initiatives, the social
protection agenda requires a strong advocate to ensure that it becomes a core issue on the
development agenda. Risk and vulnerability need to be at the core of the Poverty Reduction
Strategy Paper (PRSP) initiatives. Sector strategies need to mainstream these issues.

151     Donors have supported many of the recent efforts to assist the poor to reduce,
mitigate and cope with vulnerability and food insecurity without sufficient ownership by
government and other key local stakeholders. Governments are also struggling with capacity
constraints in the delivery system. Zimbabwe reports close to 50% of positions in the key
Ministries of Agriculture, Health and Education are vacant.

152      Information and administrative systems are inadequately developed to ensure that the
poorest and most vulnerable are effectively reached or targeted by social protection efforts
undertaken in the region. Despite notable progress over the last decade, problems with the
regularity and reliability of data still persist, thus complicating the identification of groups at
risk and making targeting especially difficult. Enhanced vulnerability information systems
therefore need to produce data that can feed into the design of social protection interventions,
better targeting the vulnerable with more effective interventions. Partly as a result of these


                                                                                                  39
Scoping Study: DFID Regional Hunger and Vulnerability Programme

information gaps, there is a bias towards crisis-driven social protection measures as opposed
to longer-term, strategic interventions that improve the resilience of the poor and vulnerable
in a systematic and sustainable manner.

3.2.4   Links with vulnerability information systems

153      As identified above, the links between vulnerability information systems and social
protection are relatively weakly developed at both technical and institutional levels. In the
current landscape one of the key information providers will be the VACs. The VACs are
potentially well placed to provide the basic information that is needed for targeting social
protection measures; including the occurrence, nature and causes of food insecurity.

154     However, the VACs have not generally established effective links on this agenda.
The VACs currently focus on linking analyses of food insecurity to food aid requirements –
one form of safety net. They generally do not analyse alternative social risk management
options. Nor are institutional linkages well developed with agencies responsible for non-food
based interventions, meaning that the potentially useful information is not adequately utilized.

155      VACs have an important role in analysing alternatives to food aid. This has both
information and policy dimensions. The main concrete example of the VAC attempting a
systematic analysis of alternatives was given in Malawi where cash for food was considered.
In the Malawi context, where donors are prepared to fund cash safety nets, the information
was well received and applied. Cash transfers were also considered in Swaziland. However,
in other countries where food aid is viewed as the preferred or only option cash transfers will
require an initial policy debate before they become a viable alternative.

156     On the information side a couple of critical opportunities stand out. The starting point
for planning safety net interventions is an analysis of risk and vulnerability. Social protection
planners need to know who is food insecure and where they are located. While VAC reports
provide estimates of total numbers they generally fail to provide the differentiation required
by social protection planners.

157     A basic disaggregation is required between chronic and transitory food insecurity.
Understanding this distinction is intrinsic to many of the choices between safety nets. The
VAC methodologies are currently geared to answer the question of who is currently food
insecure and do not disaggregate these groups. Other information sources, such as income
expenditure surveys and nutritional data, may have more specific application as chronic food
insecurity is closely allied to poverty. VACs can attempt this analysis by bringing together
various information sources, including the results of their own surveys. Indeed, the continuing
relevance of VAC analysis depends on making this distinction and tracking changes over
time.

158      As noted from previous discussions the VACs will be most effective at analysing this
information either at national or meso scale. Their information is unlikely to have sufficient
resolution to assist in local level planning. Instead it would help to move the debate forward at
national level on the best mix of responses.

159      In addition the VAC analysis has largely concentrated on looking at the vulnerability
side of the equation. There has been much less consideration of risks and shocks. The VAC
analysis of food security is organized around modelling the impact of a limited number of
large scale shocks such as drought or floods. The ability to analyse more diverse shocks, such
as policy impacts is less evident. It totally fails to examine household level shocks.
Interestingly, research from Bangladesh suggests that much of the risk that precipitates a
serious decline into poverty is idiosyncratic (for example the death of a household member)
rather than covariate (Hulme & Shepherd, 2002). This methodological weakness might


                                                                                                40
Scoping Study: DFID Regional Hunger and Vulnerability Programme

explain why the impact of HIV-AIDS was not acknowledged sooner. By extension the VACs
will consider risk reduction strategies that will be effective against the larger scale shocks.
However, if the drivers of poverty and food insecurity lie elsewhere then different emphasises
in vulnerability reduction strategies are warranted.

160     VACs are well placed to provide an understanding of the distribution, frequency and
severity of risks – an important planning input. The Swaziland VAC has been requested to
map potential shock factors to assist in planning vulnerability reduction based interventions.
UNDP is also working to

161      One of the areas where the VACs have addressed particular attention is the
relationship between HIV/AIDS, vulnerability and food security. To date, VACs in southern
Africa have mostly only incorporated HIV/AIDS in a cursory manner:

   The Lesotho VAC acknowledges that links between HIV/AIDS and food security are not
   yet well established. It plans to undertake a special study on the impact of HIV/AIDS on
   food security before the end of 2004 to inform policy and programming. LVAC partners
   such as CARE and the National University of Lesotho are also analysing HIV/AIDS and
   food security.

   In Malawi the VAC lists HIV/AIDS as a future priority, but believes it lacks capacity to
   deal with the issue at present. It sees extending its data collection to include new and
   emerging issues such as HIV/AIDS as critical for increasing interest among potential
   consumers of VAC data. The National Aids Commission (NAC), the government
   organization coordinating HIV/AIDS related activities in the country), has no formal links
   with the MVAC either as an information user or provider. Although the VAC does not
   use the information collected by the NAC in assessing vulnerability to food insecurity,
   this type of information is very important since household food security is affected by the
   HIV/AIDS pandemic.

   In Mozambique, the GAV has identified HIV/AIDS and food security and nutrition as a
   topic requiring a specific thematic study. At present SETSAN is hosting a working group
   to discuss HIV/AIDS and food security and nutrition. The group will contribute to the
   final Strategic Plan to Combat STD/HIV/AIDS. There are no explicit references in the
   draft strategy to household food security and nutrition.

   The Zambia VAC is considering broadening its mandate to incorporate multi-sectoral
   issues such as HIV/AIDS, poverty and macro-economic policies. There was an attempt to
   incorporate HIV/AIDS in the most recent 2004 VAC assessment, and a recent study
   looked at targeting and developing vulnerability criteria for HIV/AIDS. A concern,
   however, remains about the potential erosion of the VAC’s core competency that could
   result from transforming its mandate.

   Of the countries visited during the scoping exercise, Swaziland is exceptional in that
   HIV/AIDS has begun to feature prominently in NVAC operations. In May / June 2003,
   the Swaziland VAC conducted a Livelihoods Based Assessment that examined the food
   security situation and responses, the links between food security and HIV/AIDS, and
   other appropriate food and non-food interventions. The findings revealed the wide-
   ranging economic and social impacts of HIV/AIDS, and demonstrated links between food
   security and HIV/AIDS. In addition, a national survey to analyse the impact of HIV/AIDS
   on demography and livelihoods of the rural population was done in 2003 and the report
   was officially presented in mid-2004. The RVAC supported the Swaziland VAC in
   conducting the HIV/AIDS assessment. The Swaziland VAC intends to produce detailed
   HEA studies on HIV/AIDS in the form of local community studies of 150 or so
   households over the next few years. The government parastatal National Emergency


                                                                                            41
Scoping Study: DFID Regional Hunger and Vulnerability Programme

      Response Council on HIV/AIDS (NERCHA) is a member of the secretariat of the
      Swaziland VAC, and has expressed interest in possibly funding the VAC to conduct a
      corresponding urban HIV/AIDS assessment.

162     Further concentration on thematic areas of vulnerability research, with HIV/AIDS
standing out, may be the best future direction for VACs.

163     VACs need to forge expanded or strengthened linkages with new institutional
partners to work effectively in the field of social protection. This would include links to
ministries of social welfare, health and education. An expanded range of NGO partners would
be appropriate. The current VACs have a limited exposure to, and understanding of, social
protection issues and their links to vulnerability analysis. Training and capacity building for
VAC members may be necessary as a precursor to more active engagement in this role.

164     It is notable that particularly innovative examples of vulnerability research and
analysis, and the links to social protection are being done outside the VAC system at
community, local, national and regional levels. The CARE studies of Zambia, Malawi and
Lesotho are excellent examples. It is important to maintain space and support for other
methods and institutions to engage in this work. However, the VAC could be a useful
mechanism for sharing and disseminating this information.

3.2.5     Conclusions

165     A diversified set of safety nets, under the broad social protection framework, can
provide an important part of the search for solutions to food insecurity and poverty. A number
of key needs emerge. The first is a requirement for better information to underpin planning.
There is a specific demand for disaggregated information on the chronic and transitory food
insecure. There is also a need for a better understanding of risks and shocks.

166      The VACs are well placed to undertake this analysis. However, this will require
capacity enhancement within the VACs to improve their understanding of social protection
issues. It will also require stronger institutional links with the agencies responsible for social
protection. The VACs should concentrate on providing an analysis of risks and
vulnerabilities. This will be most useful for policy level debate and advocacy, rather than
detailed local level planning.

167      A better analysis of vulnerability and risk is one part of the solution. This can help to
identify the priorities for improved vulnerability management. However, the scoping study
concludes that this needs to be complemented by an expanded knowledge of the various
social protection options. There is insufficient knowledge in the region on a range of social
protection mechanisms that can be taken to scale. This exchange of information needs to draw
on both international and regional experience. This information is needed as an input to both
policy and programme questions.

3.3       Trade in foodstuffs and food security

168     Trade in foodstuffs can contribute to food security, by improving both access to food
and, perhaps more importantly, the availability of food.9




9
 The discussion here is, for the most part, limited to trade in basic foodstuffs — largely those of cereals, and
mainly unprocessed cereals because most food security concerns are about assuring the main component of the
diet.



                                                                                                                   42
Scoping Study: DFID Regional Hunger and Vulnerability Programme

3.3.1 Improving access to food through trade
169     Trade in foodstuffs can help create jobs and incomes and thereby enhance access to
food. For example, a liberal trade regime may allow the poor to grow cash crops for domestic
markets and export. Freer trade in inputs such as seed and fertiliser may encourage such cash
cropping. There will also be some jobs created in trading itself.

170     Trade can allow specialisation of production, at higher productivity, with consequent
increases in total output.

171      On the other hand, liberal trade may present a threat to some domestic enterprises that
are currently protected. The main threats probably apply to protected manufacturing 
import-substituting industry  including some food processing. But some farm activities may
also face loss of market to imports. There are, for example, great concerns in Lesotho and
Swaziland about the impact of imported food, including processed flour and cabbages, on
their farm and milling industries. It is alleged that South African growers and millers enjoy
advantages  including subsidies  that domestic industries do not.10 Policy-makers in these
countries justify trade barriers on the grounds that they have infant industries that need
protection, and that small-scale production lacks economies of scale.

172      Fears about freer trade are understandable. Sometimes the costs are more immediate
and apparent than the benefits. This applies, for example, when a local factory closes down in
the face of competition from imports. The countervailing gains to local consumers in terms of
lower cost products or inputs to industries, and the opportunities for exports that arise when
liberalisation is reciprocal, may take longer to materialise or be less obviously a result of trade
reform.

173    A policy concern here is the understanding of how to make the best use of the
opportunities of freer trade while finding ways to mitigate against its adverse impacts.

3.3.2       Improving food availability through trade

174      Trade can contribute to food availability in two main ways. First, it can reduce the
cost of food, since food may be imported at lower cost than domestic supply with clear
benefits to net food buyers, a category that probably includes many of the poor and those
vulnerable to food insecurity. But in southern Africa trade in staple foods of this nature may
be limited. Owing to the high costs of moving basic foodstuffs within the region,11 and the
often quite modest cost of domestic production of staples such as maize,12 domestic supplies

10
  The converse has been argued for wheat milling: under the SACU rules, a tariff on imported wheat has to be
paid by millers in South Africa, whereas a rebate applies to users in other parts of SACU, thus giving wheat
millers in Swaziland, for example, access to lower cost wheat than that paid by their competitors in RSA. Although
the duty-free wheat is meant only to be milled for domestic production, the milled flour leaks across the borders
(Zunckel 2002)
11
     Typical costs of transport (from Imani 2003):
From                      To                     Cost, US$/ton
US Gulf Ports             Durban                     25.5
Durban                    Gauteng                    23.6
Gauteng                   Harare                     55.6
Gauteng                   Lusaka                     73.2
Gauteng                   Lilongwe                   50.6
Costs are sea freight for the first row, otherwise road transport in 32 ton trucks.
12
   In areas of moderate to high potential for arable farming that exist within several countries of the region — for
example, parts of central Zambia, north-central Zimbabwe, northern Mozambique, the southern highlands of
Tanzania, etc., food crops can be grown at relatively low cost — for example, maize for less than US$100 a ton,
well below import parity prices.



                                                                                                                   43
Scoping Study: DFID Regional Hunger and Vulnerability Programme

are usually available at lower cost than competing imports. Thus in years of favourable
weather during the crop season, trade flows in cereals, above all maize, are low in the region
(see Annex 7). For example, in Malawi, Zambia, and Zimbabwe less than 5% of the total
maize used in a normal year would typically be traded.

175      Second, and more important, trade can even out inter-annual variations in domestic
food supply. Most domestic food is produced on rain-fed fields, and so is particularly subject
to the vagaries of the weather. Drought is a recurring threat throughout the region and in some
areas excess rains, floods and hail damage also threaten crops. Production of the main cereals
crops is thus quite variable. Trade is one important way to even out year-to-year supply
variations. Hence most of the cereals trade seen in southern Africa occurs in years of poor
weather for farming. This makes trade in cereals decidedly erratic. For example, taking the
case of maize, average imports between 1980 and 2001 into the region made up by the SACU
member countries plus Malawi, Mozambique, Zambia and Zimbabwe were 1.36M tons a
year: but the standard deviation was 1.47M tons  a coefficient of variation of more than
100% (see Annex 7).

176     The variability of the cereals trade implies that both private traders and the managers
of public grain reserves have to be flexible and agile in their operations. The grains trade is
anything but a routine, programmable activity. To meet this challenge dealers need good
information on production, stocks, and prices as well as flexible access to credit, storage and
transport. To this we can add a trade and customs environment that allows borders to be
crossed with a minimum of delay and costs.

3.3.3     Physical storage as an alternative to trade

177      Trade, of course, is not the only way to even out yearly variations in domestic supply:
an alternative is to store domestically produced food. Figure 3.1 sets out these options,
summarises their advantages and disadvantages, and the complementary measures that might
be taken to offset particular drawbacks.

178      Whether it is better to store or import depends in part on the relative costs, and in part
on the risks arising when large-scale imports have to be arranged. In much of the landlocked
part of the region the calculation may be quite finely balanced (see Box 3.3), although it does
seem that storage is likely to be more expensive than imports sourced from Gauteng or some
other part of the region.13

179      Annual variations in domestic supply can be extreme, so that in some years harvest
failures create the conditions for food crises or emergencies – times when food simply is not
available, or only at exorbitant prices. Some commentators see such years as qualitatively
different to those of lesser harvest failures. They are right in as much as unusually large calls
on imported food raise issues of access to finance to meet the costs, and the capacity of
transport systems to handle exceptionally high volumes of freight within a short time. Such
worries become arguments for holding physical reserves of food in country.




13
  For Zambia and Malawi, for example, supplies from Southern Tanzania and Northern Mozambique are often
available at an import parity price below that of maize sourced either from South Africa or from the international
market.



                                                                                                                 44
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Figure 3.1: Options for responding to the problem of fluctuating national supplies of
basic foodstuffs

                                                   Bad harvest



      Storage: draw down on                                         Import grains
         physical reserves



     Pro: Grains           Con:         Pro: No         Cons: Requires funds          Con:            Con:
      available           Costs in      storage        Cost imports drives down      Prices         supplies
        when            locked-up       costs                exchange rate           may be         may be
      needed;             capital,                                                    high          delayed
       Costa              storage
                        costs and
                         losses in
                           store



               Financial             Weather-based          Futures contract             Call Option
                reserve                insurance




           Con:           Pro:            Con:                 Con:         Pro: Locks        Con: Cost
          Cost of       Automatic        Cost of             Inflexible      in price         of option
          reserve        pay-out         premiu
                                           m




180     Owing to these concerns and others over the sheer availability and price of cereals,
several governments in the region favour keeping national grain reserves under public
ownership. There is little evidence to show that the reserves have been effective in achieving
objectives of stabilising prices or of averting national food crises, although to be fair, when
major shocks have occurred, the reserves have often been at a low ebb,14 and hence have not
been able to prove their worth.

181      The costs of storage have been quite high as well. For example, holding three
months’ supply in any of the landlocked countries of Malawi, Zambia and Zimbabwe means
investing in 500,000 tons of maize, at a cost of perhaps US$50M (assuming a buy-in cost at
store of US$100 a ton); plus storage costs of a minimum of US$15M a year, not including
losses to spoilage or foregone interest on the capital.

Box 3.3: Comparing costs of stored to imported maize for Harare, Zimbabwe
Producing maize for the market in natural region II of Zimbabwe in 1995/96 was estimated to
cost US$69 a ton on large-scale commercial farms, and US$79 a ton on smallholder farms in
the communal areas (Sukume et al. 2001). To these costs of production may be added some
US$15 a ton to cover an assumed average 150 km haulage to Harare. Domestic maize thus
cost US$84 or US$94 a ton delivered to Harare – or a simple average of US$89 a ton.

Imported maize costs US$220 or more from international sources, and perhaps US$160 from
Gauteng South Africa both prices subject to variations depending on international maize

14
     Cases include the grain reserves in Zimbabwe in 1992 and in Malawi in 2001.



                                                                                                               45
Scoping Study: DFID Regional Hunger and Vulnerability Programme


Box 3.3: Comparing costs of stored to imported maize for Harare, Zimbabwe
prices and those applying on the Safex exchange in Johannesburg.

Storage costs between US$30 and US$60 a ton a year in Zimbabwe15 (Goedicke 2004), not
including the opportunity cost of the capital invested in the maize. If the opportunity cost of
capital were as little as 10% a year,16 then annual storage costs would come to US$39 to
US$69 a ton. Some additional allowance needs to be made for losses of maize in store,
perhaps 5% a year in a reasonably well-managed store, thus raising costs to US$44 to
US$74 a ton a year.

If there is a low harvest twice a decade in Zimbabwe, then the cost of covering the deficit from
grain stored in the years of good harvests will be on average the costs of local production plus
2.5 years of storage – that is from US$199 to US$274 a ton.

It seems that it would thus be cheaper to import maize from Gauteng than to store it, but the
financial calculation changes if maize has to be acquired from the world market (usually US
maize), when the decision will turn on the precise cost of storage.

Those considering storage versus imports in this case would also want to consider the
uncertainty that might apply to the availability and price of imported maize, versus the risks of
storage in terms of possible heavier losses in store, and varying costs of capital.

182      An alternative to national stores is to hold a regional reserve. The advantages of
economies of scale are clear: there is less variation in the food production of a region
compared to that of any individual country, so that the reserves necessary to cover for harvest
failures would be less. Put otherwise, a regional reserve would benefit from pooling the risks.

183      Two recent sets of reports review the case for such reserves (the companion studies of
Goedicke 2004 and Koester and Takavarasha 2004, produced for SADC; and the FAO/WFP-
assisted study for NEPAD 2004). All three reports spell out the considerable challenges of
establishing and operating such reserves, including:

    Deciding on contributions to be made by participating states, and their entitlements to use
    the stocks;
    Agreeing on the location of the stocks (could be a single location, or a series of
    networked silos);
    Defining and adhering to clear and transparent rules of operation covering procurement
    and release of stocks. Rules would need enforcement, with penalties for violations; and
    Operating the reserve facilities effectively, implying the need for adequate physical
    facilities, and qualified staff.

184      The operation of such stocks would also need to be co-ordinated with food aid
shipments. Given the magnitude of the challenges, two of the reports do not recommend
establishing such reserves, while the other draws attention to the demanding nature of the
conditions necessary to run such a reserve successfully. As Goedicke (2004) points out, if
countries have had problems in operating national reserves, how can they be expected to
handle the additional co-ordination required by a regional reserve?




15
   These costs are quite high: storage can currently be leased for R0.34 a day a ton in Gauteng – that is, about
US$20 a ton a year.
16
   This may well be the economic opportunity cost of capital internationally. Domestically, interest rates in recent
years have been far higher – pushed up by heavy borrowing by the government on domestic markets.



                                                                                                                  46
Scoping Study: DFID Regional Hunger and Vulnerability Programme

3.3.4    Additional measures to cope with uncertainty of food supply: financial reserves,
         futures, options, and insurance

185      Given the costs and difficulties of physical storage, the idea of holding a financial
reserve sufficient to buy in imports at the first sign of a harvest failure looks attractive. The
financial reserve would not require the costs of operation of large public silos, would not
suffer losses in store, and could earn interest. But it does imply an opportunity cost to these
funds: they would need to be set aside from scarce government revenues. A reserve sufficient
to command say 200 000t of maize imported from the world market would probably need to
be at least US$44M.

186     An intriguing alternative is to take out insurance premiums against bad weather that
would pay out when thresholds had been passed  for example, when an index of rainfall in
the cropping season17 was below, say, 75% of the long-term average (Hess & Syroka 2004).
What is contemplated here is the national counterpart to the farm-level insurance package
mentioned in section 3.2. Such risks can be re-insured on international markets.

187      The beauty of such a scheme would be the automatic nature of payouts. A country
would have immediate access to additional funds to buy imports of food to cover harvest
losses, and an immediate source of funds to pay for relief for those most affected by the bad
weather. There would be none of the delays that currently arise as governments seek extra
funds, either by re-arranging their own finances, or appealing to donors. For the case of
Malawi the study cited calculates that a premium of US$7M a year might be the cost of
insurance that would pay out up to US$70M in a worst case scenario. This sum would be
sufficient to import more than 300 000t from the international market in most years.
Another important benefit from weather-based insurance is that a bad harvest would not carry
the risk of macro-economic instability as the exchange rate deteriorates in response to the
demand for foreign exchange to cover additional imports. In the case of Malawi in 2001, for
example, additional imports arranged by the NFRA required finding US$75M. The Kwacha
fell from September 2001 onwards, depreciating from less than MK65 to the US dollar to
more than MK80 to the US dollar over the next year.18 This meant that when food supplies
arrived, their values in Malawi Kwacha were that much higher owing to exchange rate
depreciation. The same depreciation had inflationary effects throughout the economy.

188      Since donors often end up footing large bills for food emergencies, it might be
simpler for them to contribute to the insurance premiums  thereby turning occasional large
disaster budgets into routine and programmable spending. But they could also contribute to
financial reserve.

189      How do financial reserves compare to insurance costs? Box 3.4 sets out a simple
calculation. On the assumptions made, it seems the financial reserves are clearly considerably
cheaper than the insurance premium.

Box 3.4: Cost of weather-based insurance versus financial reserves

Suppose we have a country that requires 300kt of additional imports twice a decade to cover
for bad harvests. Assume imports cost US$230 a ton c.i.f., making a total financing need of
US$69M.
Weather-based insurance might involve a premium equivalent to the average loss for insurer

17
   Rather than total rainfall, rains in ten-day periods through the season could be monitored, and weighted by
importance to the development of crops, to produce an index of rains. Hess & Syroka (2004) demonstrate just such
a weighted index for Malawi, and find that it correlates well with typical yields harvested.
18
   Thanks to Sarah Levy for pointing this out.



                                                                                                             47
Scoping Study: DFID Regional Hunger and Vulnerability Programme


Box 3.4: Cost of weather-based insurance versus financial reserves
 two times US$69M a decade, times three (Hess & Syroka 2004, p. 36 considering
Malawi).This would make an annual premium of US$41.4M a year.
This seems steep. In another section of their report, Hess & Syroka (see page 61, Fig. 11) see
premiums set as the expected annual loss, plus 25% of the standard deviation of losses. If we
set the standard deviation equivalent to that for maize imports in Malawi 1980 to 2001,
thereby using a coefficient of variation of 94%, then the premium might be US$17.04M a
year.

Financial reserves:
The financial reserve of US$69M would cost an annual average of US$13.8M a year in
capital, plus the opportunity cost of reserving the funds. If they are kept in international
securities they might yield 4% a year or more. This can be compared to the opportunity cost
of capital invested domestically. Assume this to be 10%, making a net cost of 6% a year, then
the reserve costs another US$4.14M a year, giving a total cost of US$17.9M.
The opportunity cost of domestic capital would have to rise around 40% before the cost of
reserves equalled that of the insurance premium, well beyond any conceivable return to
capital.

But, it does depend on how insurance premiums are computed: if the second method were
realistic, there is hardly any difference between the costs of a financial reserve and an
insurance premium.

190      If financial reserves or insurance would take care of the risk of not having funds to
import food when harvests fail, what about the risk of high prices when imports are needed?
Using futures markets, such as that operated by Safex in Johannesburg is one way to avoid
these. In this case, a contract is made for future delivery of grains, with specified quantity,
date, price and delivery point. Such a contract might be taken out when there is early warning
of a crop failure. In southern Africa, the progress of the maize crop is usually apparent by
February. If a poor crop is harvested additional supplies might be needed by as early as
October in the marketing year, so there up to ten months of warning before supplies are
physically needed: sufficient time to arrange contracts and take delivery. The drawback of a
futures contract is that it locks the buyer in on price and quantity. It would mean taking an
early estimate on the harvest shortfall, and a judgment on whether the future spot market price
would be higher than the price on the futures market.19

191      An alternative is to use the options markets – again offered in the region by Safex –
to lock in the price of a future grain delivery. In this case a call option is made for a specific
quantity of grain at a particular price. The advantage here is that the call may or may not be
taken up, depending on both the need to call on imports – perhaps the harvest was not as bad
as expected – and the spot market price when supplies are needed – which could be lower
than the call option price. If the call is not exercised the premium paid for the option is lost.
This might be of the order of US$1.6M for a contract worth US$70M.20

192      The possibility of using futures and options markets to insure against price risks when
sourcing cereals internationally has frequently been mooted. In August 2001, for example, the
SADC FANR ministers asked that the use of futures markets and options be explored,
specifically examining cost savings, the physical capacity of SAFEX and any drawbacks of
trading in futures (FEWSNET 2002). Study tours to SAFEX for policy-makers to explore

19
   The futures market is likely to move in concert with harvest forecasts. So if there were a region-wide drought,
for example, the price on the futures market is likely to rise to reflect the expected upward pressure on the market
in the near future. So an attractive price on the futures market may not be available when it is most valuable.
20
   Based on a 2.3% cost of the call option.



                                                                                                                  48
Scoping Study: DFID Regional Hunger and Vulnerability Programme

these possibilities have been organised. These have apparently not led to much, if any, use of
options on that market; either by public agencies or by private traders. Box 3.5 discusses the
reasons for this.

Box 3.5:       Why are options markets not used more in Southern Africa (outside of
               SACU)?

Several reasons may explain why traders and public agencies north of the Limpopo make
little or no use of the Safex options in grains:

The first possible reason is that the options market does not respond to the main problems
that traders and agencies face. The options market allows hedging against price risks. But,
as can be seen in section 3.3.5, and illustrated in Figure 3.1, these are not necessarily the
main barriers to trade.

Second, even if one wanted to make use of the options markets, foreign exchange may be a
stumbling block. Safex works in Rand  in accordance with South African monetary policy 
and anyone trading in options has to be able to cover variation margins in Rand. That may be
possible for large traders that operate internationally and have South African offices, but not
for others who encounter problems in obtaining foreign exchange and making international
bank transfers.

Third, and this affects futures contracts as well as options, is that market participants may
need to be able to take physical delivery of grain. But this introduces another risk for traders
in countries where governments control, albeit in some cases occasionally, the movement of
grains across borders. What would happen, for example, if the government refused an import
permit?

Fourth, and this may be a minor obstacle, there may also be issues arising with standards in
as much as Safex deals with grains handled in bulk, not bagged. Most of the grain moved
north of the Limpopo is in bags.

In general, futures and options markets are sophisticated institutions that require other
institutions  such as banking services, telecommunications, storage operations, transport
services (with bulk handling), standards and grading, etc.  to be in place to make them
work. They cover certain risks and to a limited degree: they are not meant to be panacea.
Safex, for example, could do nothing to prevent the spot market price of white maize in
Gauteng doubling during the second half 2001. That was largely down to market
fundamentals, and no amount of sophisticated trading could have prevented that price
spike.21

For countries with less well developed markets, progress may lie in attending to the basics of
markets  information, finance, transport and storage, standards and grades, predictable
rules-based policy-making, etc.  and building up from reliable and effective spot markets.

Main source: Interview with Safex management

192    These measures for dealing with harvest failures are not necessarily exclusive. Hess
& Syroka (2004), for example, propose that shocks to food availability be dealt with in
sequence as follows:


21
   The late 2001 price spike for white maize reveals the downside of sophisticated markets  major players may
either try to manipulate the market or make mistakes that others dare not challenge (floor traders are rarely
criticised for following market leaders). In this case a major trader gambled on the market and lost heavily, leading
to an official investigation and suspension from trading rights. The spike may have been exaggerated by such ill-
informed trading.
On the other hand, when the markets fundamentals moved, Safex was effective in removing the price spike.



                                                                                                                  49
Scoping Study: DFID Regional Hunger and Vulnerability Programme

     Relying on commercial imports;
     Drawing down on a small grain reserve;
     Using the pay-out from a weather-based insurance scheme; and
     Calling for food aid.

3.3.5     The scope for more trade in basic foodstuffs

193     Current levels of trade in basic foods are quite low, above all in years of normal farm
weather. Is there scope for increased trade in foodstuffs? Weeks & Subasat (1998) have
examined the degree to which countries in eastern and southern Africa have similar patterns
of food production and consumption. They find that there is relatively little correlation and
thus there is scope for complementarity – the exceptions to this include, however, the pairing
of Mozambique with Tanzania, and the interactions between Malawi, Zambia and Zimbabwe.

194     Poulton & Dorward (2003) look at variations in maize production in the region from
1972 to 2002, and see correlations between production witihin two main groups of countries:
one formed by South Africa, Zambia and Zimbabwe; the other by Malawi, Mozambique and
Tanzania. This suggests that there may be opportunities to trade grains between the two
blocks.

195     Studies carried out by researchers at Michigan State University demonstrate the
potential benefits of freer trade in cereals within the region. Arlindo and Tschirley (2003)
show how trade in maize between northern Mozambique and Malawi benefits farmers in the
former and consumers in the latter. Mwiinga et al. (2003) reports on the ways in which
imports of yellow maize to Mozambique in 1992 helped hold down prices to poor consumers
when white maize experienced a sharp price spike.

196      While it is commonplace in the literature and in discussion with informants to hear
that freer trade would improve food availability and reduce the incidence of price spikes,
there is little formal evidence to show how true this is.22 Just how much of a difference would
freer trade in food make? The lack of studies that can provide an answer makes it that much
more difficult to convince key policy-makers to liberalise their trade practices.

Obstacles to the regional trade in foodstuffs
197     There is widespread agreement that there are significant obstacles to trade in
foodstuffs within the region – see, for example, Amani 2003, IF Malawi 2004, Imani/Kadale
2003, Maasdorp 1998, Madola et al. 2002, RATES 2003. The list of impediments includes:

     Cost of transport that could reasonably be reduced by investment in improved and
     rehabilitated roads, railways, bridges, ports and other transport infrastructure;
     Lack of information available to traders on trading opportunities, coupled with inadequate
     telecommunications;
     Lack of credit and uncertainty about being paid for supplies by trading partners in other
     countries with imperfect banking systems and contract law, or saddled by restrictive
     foreign exchange rules. In some cases exchange rate volatility may introduce uncertainty
     into deals;
     Too little capacity in storage and transport;
     Border delays arising both from lack of capacity (staffing, opening hours, etc.), as well as
     from cumbersome procedures;
     Trade policy and practice – tariffs, bans and quotas, customs charges, bribes, complex
     documentation, standards and technical regulations, rules of origin;

22
  No one interviewed was able to point to more precise evidence on the benefits of trade, nor was any literature
found on this. The working hypothesis, then, is that no one knows. This is reflected in the discussion of priorities
for additional evidence in sections 3.4 and 4.1.4.



                                                                                                                   50
Scoping Study: DFID Regional Hunger and Vulnerability Programme

    Market failures including those of co-ordination and imperfect competition; and
    Fears of arbitrary action by governments, including offloading reserves onto domestic
    markets when prices are not high and bans on moving grains that may wreck
    opportunities for profitable trade. In Swaziland and Zimbabwe state enterprises control
    the maize trade outright.
Again, while there is widespread agreement in both reports and interview on these obstacles,
there is less evidence on their ranking.

198      From the interviews conducted it seems that different sets of traders may face
different sets of problems. Large-scale, formal trading companies expressed concern over
transport costs – specifically inability in some parts of the region to use the existing railways
and the corresponding opportunity to use bulk handling, the uncertainties of being paid (at all,
or at least on time) by partners, and the problems of arbitrary government action. Information
was not a problem, since they have networks of personal contacts. Customs rules and
regulations of customs were also not seen as problematic as they were well versed in meeting
the requirements.

199      Small-scale traders, on the other hand, face precisely these latter two obstacles.
Information may be difficult to come by, especially on the rules and regulations of formal
trade. Fulfilling the demands of formal import-export business, above all getting the
paperwork in order, is often daunting for small-scale operators. Consequently smaller traders
tend to avoid controls, either by outright smuggling, or by disguising their shipments as small
consignments for personal consumption  this latter involving costs of breaking bulk and
hiring people to walk maize across borders bag-by-bag. (RATES 2003, Whiteside 2003)
They also often face limitations from lack of working capital, and find it impossible to make
use of formal banking.

200     Finally an important caveat for Malawi  at least: it may also apply in other parts of
the region. It has been argued strongly (see IF Malawi 2004, Madola 2002) that the main
impediments to increased trade arise from domestic, supply-side limitations  and not the
obstacles posed by trade policy and conditions in themselves.23 For these authors, the first
step towards taking advantage of opportunities to trade lies in macroeconomic reform and
domestic investment in improved infrastructure and the like.

Obstacles: tariffs on basic foods
201      Table 3.5 shows the tariffs applied by SADC in 2003. Most tariffs on cereals are low
at 10% or less, with the exceptions of those applied by Zimbabwe on items other than wheat,
the duties imposed by SACU on wheat and maize  equivalent to 15% or more of the typical
value of cereals landed at Durban  and those applied by Malawi and Zimbabwe on flour.

202      While the tariffs applying to most trade in basic foods could be reduced still further,
in particular reducing the anomalously high rates indicated in the table, these duties do not
constitute major barriers to trade. If they were the only costs of crossing borders, they would
be small in comparison to the costs of transport within the region. But they are not the only
costs: non-tariff obstacles are rife.




23
   Madola et al. (2002) interviewed agricultural traders. The main problem cited for exporting was high transport
costs, followed by lack of transport, and, only third, lack of market information. In addition, those interviewed
often saw poor quality and insufficient quantity of produce as barriers to their exports: information was less often
mentioned; while duties and non-tariff barriers were hardly cited at all.



                                                                                                                  51
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Table 3.5:       SADC Applied Cereal Tariffs (2003)
Cereals       HS tariff   Malawi     Mauritius    Mozambique         SACU:        Zimbabwe
               lines                                                RSA/Nam/
                                                                    Swazi/Bot/
                                                                      Les

                           0.0%        0.0%           0.0%                0.0%       0.0%

Wheat          100190      0.0%        0.0%           2.5%            19.6c/kg       5.0%
                                                                   [US$31 ton]

Oats             1004      0.0%        15.0%          2.5%                0.0%       15.0%

Maize seed     100510      0.0%        15.0%          2.5%           13.74c/kg       30.0%
                                                                   [US$22 ton]

Maize other    100590      0.0%        15.0%          2.5%           13.74c/kg       30.0%
                                                                   [US$22 ton]

Rice             1006     10.0%        15.0%          2.5%                0.0%       15.0%

Sorghum          1007     10.0%        15.0%          2.5%                3.0%       15.0%

Flour            1107     40.0%        15.0%          2.5%                0.0%       30.0%
Source: WTO, Unctad Trains database, SA Customs & Excise, taken from Charman & Hodge 2003;
www.alfandega.org.mz for Mozambique tariffs. Rand: Dollar exchange taken as R6.25=US$1.


Obstacles: non-tariff barriers to food trade
203     To what extent are non-tariff barriers blocking food trade? Three concerns can be
highlighted:

    Sanitary and phyto-sanitary (SPS) requirements and accompanying quality standards;
    Rules of origin (ROO); and
    The debate over genetically modified (GM) crops.

204       Most countries in the region have SPS requirements for maize. Typically these
require fumigation against pests and certification that this has been carried out. Given that
facilities for the former are not well distributed, and that certification centres are highly
centralised, fulfilling these conditions can be onerous for small traders. (RATES 2003)
It is not clear, either, if border controls are necessary. They presumably would not be if bio-
safety measures were harmonised across SADC.

205     Quality standards on maize – affecting, for example, moisture content – vary
between countries (RATES 2003). Some countries require certification, and in general this
introduces uncertainty for traders and probably scope for discretion and bribe taking by
customs officials.

206      A particular standards issue concerns genetically modified (GM) maize. This
bedevilled food aid supplies to Zambia and Zimbabwe in 2002. In the most alarming case an
entire shipment of maize to Lusaka had to be re-exported. In other cases, maize kernels had to
be milled before distribution; resulting in extra expense and delay in delivering food. At the
time rules on GM plants were not clear in some countries let alone harmonised across the
region.




                                                                                                  52
Scoping Study: DFID Regional Hunger and Vulnerability Programme

207     In April 2003 SADC set up an Advisory Committee on Biotechnology and Bio-safety
‘to develop guidelines to safeguard Member States against potential risks in the areas of
human and animal food safety, contamination of genetic resources taking into account ethical,
and trade-related issues including consumer concerns.’ (SADC PR Unit, 16 April 2003) By
August 2003, the Committee had agreed on interim measures, as set out in Box 3.6.

Box 3.6:    SADC Interim Measures on Bio-technology and Bio-safety
1 Handling of Food Aid
  • SADC should develop and adopt a harmonised transit information and management
     system for Genetically Modified food aid designed to facilitate trans-boundary
     movement in a safe and expeditious manner;
  • SADC is encouraged to source Food aid preferably from within the region, and advise
     all cooperating partners accordingly;
  • Donors providing Genetically Modified food aid should comply with the Prior Informed
     Consent principle and with the notification requirements in accordance with Article 8 of
     the Cartagena Protocol on Bio-safety;
  • Food aid consignments involving grain or any propagative plant material that may
     contain GMOs should be milled or sterilized prior to distribution to beneficiary
     populations;
  • Food aid in transit that may contain GMOs should be clearly identified and labelled in
     accordance with national legislation;
  • SADC countries managing or handling food aid in transit that may contain GMOs are
     encouraged in the absence of national legislation to make use of the requirements
     under the AU Model Law on Bio-safety and/or the South African Guidelines on the
     handling of transit material which may be GMO.

2 Policy and Regulations
  • Each Member State should develop national biotechnology policies and strategies and
      expedite the process of establishing national bio-safety regulatory systems;
  • All Member States should sign and ratify the Cartagena Protocol on Bio-safety to the
      Convention on Biological Diversity;
  • The region should develop a harmonized policy and regulatory systems based on the
      African Model Law on Bio-safety and the Cartagena Protocol on Bio-safety and other
      relevant international processes;
  • Member States without a regulatory framework for GM crops should use approved
      guidelines and should not import GM grain for seed before approved guideline are in
      place;
  • Risk assessments should be done on a case-by-case basis and every genetic
      modification should be tested in the environment under which it will be released.

3 Capacity Building
  • Member States should develop capacities at national and regional level in order to
     develop and exploit the benefits of biotechnology;
  • SADC should allocate resources for capacity-building in management of biotechnology
     and bio-safety;
  • SADC should encourage Member States to commission studies on the implications of
     biotechnology and bio-safety on agriculture, environment, health and socio-economics
     as part of an integrated monitoring and evaluation system.

4 Public Awareness and Participation
  • Member States should develop public awareness and participatory programmes on
     Biotechnology and Bio-safety that involve all stakeholders.
Source: http://www.sadc.int/fanr.php?lang=english&path=fanr/agrres&page=sadc_biotechnology_gmo.

208.    The main recommendations include that: any GM shipments of food aid need to be
labelled and declared as such; any GM food aid has to be milled or sterilised before



                                                                                              53
Scoping Study: DFID Regional Hunger and Vulnerability Programme

distribution; and, that countries need to adopt national regulations as well as ratify the
Cartagena Protocol on Bio-safety.

209      Commercial trade in GM grains seems not have been explicitly considered and
presumably would be subject to whatever national regulations are devised and applied. In the
meantime, large amounts of maize are traded in the region, some of which could be GM.
South Africa, for example, has for several years permitted the growing of GM varieties of
maize. Shipments of maize from Gauteng are thus quite likely to contain GM maize – even if
only a small fraction of the white maize crop is from GM plants. The same applies to US
maize. To date, there are no reports that commercial shipments have been affected by bio-
safety considerations. Whether this is because traders have taken care to avoid shipping GM
maize internationally, or whether it is because the question of GM origin is simply not posed
at the borders, is not clear.

210      The SADC Trade Protocol (TP) includes quite restrictive rules of origin (ROO)
(Flatters & Kirk 2004). For agriculture such ROO are undemanding. Much of the maize
traded, for example, has been grown within the countries covered by the TP. The issue begins
to have an impact, however, the moment produce is processed. Wheat flour is a sensitive case
in point, where ROO have not yet been agreed after several years of wrangling. At one end of
the negotiating table is the requirement that the flour has been milled within the region, at the
other is the suggestion that as much as 70% of the wheat must have been grown within the
region. For mills outside South Africa and Zimbabwe this latter is such a restrictive proposal
as to be impossible to fulfil. Millers in these two countries could thus continue to enjoy the
heavy protection  75% to 127% effective (Flatters & Kirk 2004)  that they had before the
TP was signed.24

211      Similar debates surround the ROO for biscuits and pasta, where some argue that local
wheat must be used despite its unsuitability for making pasta. Whatever the merits of this
discussion, wheat flour and further derivatives are marginal to food security. To be sure, some
of the urban poor in the region do consume bread as a staple and are hurt by measures that
raise wheat flour prices. But it is unlikely that this effect is marked: the urban food insecure
are very probably sensitive to prices and if offered a cheaper staple will probably switch to
that commodity. Evidence for this can be seen in the acceptance of hammer-milled maize
meal in Lusaka and Maputo, and milled yellow maize, when such staples have been
significantly cheaper than highly refined white maize meal (Mwiinga et al. 2003).25

Obstacles: market failures
212      A concern arises with trade (and domestic market) liberalisation: will markets deliver
the expected benefits? There are two reasons for concern that they may not. One is the issue
of co-ordination failures: where actors in the food supply chain – including those growing,
storing, trading and processing foods – may not invest sufficiently since they have incomplete
knowledge about market opportunities and about the intentions of others in the chain. Lacking
knowledge and reassurance, investors hold back from committing funds to increase capacity.
(see Poulton & Dorward 2003) 26


24
   Zunckel (2002) provides a different perspective: he argues that it would be equally unfair if SA millers, who
have to bear the costs of import tariffs on wheat, were open to competition from millers in countries such as
Mozambique that enjoy access to wheat at zero tariff, and sometimes even to wheat from food aid donations sold
at subsidized prices or distributed free.
25
   The rural counterpart to this is the way in which farmers in Northern Mozambique are prepared to switch their
consumption between maize and cassava, depending on the opportunities to sell maize to Malawi (Arlindo &
Tschirley 2003).
26
   For example, a would-be investor in a flour mill needs to be convinced that farmers will plant sufficient cereals
to keep the plant running to capacity: if for reasons of ignorance or distrust, the miller is not reassured, the
investment becomes risky.



                                                                                                                  54
Scoping Study: DFID Regional Hunger and Vulnerability Programme

213      The other is that of imperfect competition, where a few large suppliers dominate
small markets and are able to collude and fix prices to their own advantage. Concerns in the
region include the power of millers in South Africa (Traub & Jayne 2004, Flatters 2004), and
road transport services in Malawi (IF Malawi 2004). A common fear is that when prices rise
grain traders will speculate on food markets and drive them still further upwards.

214      There is clear scope for governments to act to limit and correct such failures. In
practice, governments see such failures as reasons for more comprehensive interventions to
control trading both domestically and internationally. Devising more subtle ways to avert the
dangers that work in harmony with the markets, and selling such ideas to policy-makers,
remains an important policy challenge in food policy.

Obstacles: domestic protection and trade
215     To what extent does domestic protection affect and distort trade in food? Vink &
Tregurtha (2003) conclude there is little in SADC country support to farmers that
substantially affects trade. They computed aggregate measures of support (AMS) to farmers
for Botswana, Malawi, Mauritius, South Africa and Zambia. Varying levels of total spending
per farmer were observed, from US$15 a year in Malawi, to US$66 in Zambia, to over
US$900 for Botswana. But almost all of the support was within the provisions of the Green
Box or Special and Differential Treatment (SDT) allowed under the Agreement on
Agriculture (AoA). Only two measures exceeded the de minimis provisions – onion
production and fertiliser subsidy in Mauritius. The AMS for all countries but Mauritius was
thus zero. It is likely that the same result would apply to other countries in SADC.

216      In a similar vein, Charman & Hodge (2003) argue that domestic subsidies and market
access are scarcely threatened by the provisions of the AoA. They fear, however, that future
rounds of liberalisation may bite, in particular the EU-USA proposals for agricultural trade
liberalisation in the current Doha Round of trade negotiations.

218      Notwithstanding the obligations of countries as WTO member states, the issue of
domestic protection has been raised as a trade impediment within the region. The use of
general and targeted distribution of small quantities (starter packs) of seed and fertiliser to
smallholders in Malawi, and the consequent boost to domestic maize production – of the
order of 350 000 tons (Levy 2003 reporting estimated impact in 2002-03) – has been
criticised by donors and government in Mozambique. In the absence of such support, they
argue, the lower-cost maize grown by farmers in northern Mozambique would have a larger
market. Not only does this measure prevent trade, but uncertainties over the distribution and
the consequent harvest in Malawi deter investment in maize production and trading in
northern Mozambique.

219     While this may be the case, Malawi is well within the provisions of SDT permitted
under the AoA. Moreover, it can be argued that the starter packs are less a subsidy, more a
way to overcome chronic failures in the supply of inputs and credit to farmers.

220     The issue does signal the case for harmonising domestic support measures across the
region, or at least beginning negotiations towards this end. It also reveals inconsistencies in
donor programmes: DFID funds inputs in Malawi, but would reportedly not contemplate such
a measure in Mozambique. Do the different country contexts justify the difference?

Segmented markets? Informal trade in foods and informal traders
221    Trading in basic foods in the region is stratified. For example, in the case of Malawi,
Whiteside (2003) identifies the following different modes of trade:




                                                                                              55
Scoping Study: DFID Regional Hunger and Vulnerability Programme

         Official imports by the National Food Reserve Agency, donors, and NGOs in
         response to estimates of need, political considerations, availability of finance. Often
         delayed response;
         Commercial imports motivated by price differences and profits, usually legal and
         recorded. Often between medium to large companies, governed by contracts; and
         Informal and unrecorded flows, often in small lots, motivated by profit and need.
It is likely that similar divisions apply in other parts of the region.

222.    Markets are segmented to the extent that supply chains from producer to consumers
can be quite distinct  above all when contrasting grain that is grown, traded, milled and
consumed, all in small lots, within circuits composed of villages and district-level markets; to
that which is grown on a larger scale, traded nationally and internationally, processed by
large-scale millers in major cities, and consumed mainly by urban dwellers. As noted
(paragraphs 180, 181), the obstacles faced by different scales of traders can be distinct.

223      It is a moot point, however, to what extent markets are separated and not integrated.
Large-scale millers will source maize from traders who have bought locally and in small lots;
rural households who do not grow all their own food sometimes get access to maize
distributed by the larger agencies  indeed, in remote areas in the hungry season, supplies
from parastatals or donors may be the only source of basic grains. The often wide price gaps
that are seen in grain markets through space and time can usually be accounted for by the high
costs of transport and of storage (including interest on inventories), respectively.

224      Why is it that there is such a variety of scale of operation? It might be thought that
larger traders would have sufficient economies of scale to dominate the market and drive
smaller competitors out of business. Examining this question, Fafchamps et al. (2003)  in a
study of three countries that include Malawi in this region  see that small traders can
survive, partly since they may have special knowledge of highly localised circumstances, and
partly since the lack of technology and institutional innovations prevent larger operators from
realising their potential. For example, increased use of telephones would reduce transport
costs. Invoicing and cheques might reduce some of the need for working capital.

225     In some parts of the region, it is likely that informal and unrecorded trade in basic
foodstuffs exceeds the formally recorded trade.27 The most salient case is that of Malawi.

       Imani (2001) points to the results of a study on informal cross-border trade,
       which show that, in 1995/96, the country exported US $13.7 million worth of
       goods to Tanzania, Zambia and Mozambique. Imports from these countries
       during that period amounted to US $30.4 million. By contrast, formal trade with
       those countries totalled US $9.5 million for exports and US $18.9 million for
       imports. Thus, informal cross-border trade with those countries totalled US
       $44.1 million as against US $28.4 million for formal trade. (Madola et al. 2002,
       14–15)

226     Since 1996, and setting aside the years of major harvest failures, recorded maize
imports into Malawi have been in the range 50 000-80 000 tons a year. Whiteside’s (2003)
estimates of the unrecorded flows of maize into the country range from 70 000 tons when
harvests are good to 200 000-250 000 tons in years of poor harvest. Another indication of the
importance of informal trade in foodstuffs is the sheer extent to which small- and medium-

27
  Some informal trade occurs to escape high duties. Arndt & Tarp (2003) show the benefits of removing tariff
peaks that encourage contraband into Mozambique, and the imposition of a 7% flat rate duty with no exemptions
— revenues would probably increase.



                                                                                                            56
Scoping Study: DFID Regional Hunger and Vulnerability Programme

scale traders handle the maize trade: for the COMESA area it is estimated that they handle
60% of the trade (RATES 2003).

Current initiatives for trade facilitation and trade liberalisation
227     All countries in southern Africa are engaged in processes of trade liberalisation –
some in bilateral agreements with countries in the region and further a field, including the EU
and USA. The most notable regional preferential trading agreements are COMESA, SACU
and SADC. Multilateral arrangements beyond the region are mainly in the form of obligations
as members of the WTO. Almost all countries are involved in several of these arrangements.
Looking at the regional configurations, COMESA has already set up a preferential free
trading area for nine of its members including Malawi, Zambia and Zimbabwe, with plans to
become a customs’ union by 2005. SACU has been a customs’ union since 1969, and SADC
adopted a Trade Protocol in 2000 that establishes a preferential trading area with duty-free
trading by 2008, with the exception of certain sensitive products, which face a deadline of
2012.

228      At first sight, the commitment to freer trading is impressive, as are the accompanying
technical efforts to harmonise standards, trade documentation, and border crossing
procedures. The reality, however, seems to be otherwise. Adherence to the spirit of the
agreements is less than perfect: in food trading. The governments of Malawi and Zambia (and
Tanzania) routinely invoke special clauses to impose restrictions on both exports and imports,
while Zimbabwe has re-nationalised grain trading both internally and externally. Even within
SACU Lesotho and Swaziland have found reason to stop trade in foodstuffs. The non-tariff
barriers to free trade, some of them discussed above, show little sign of being abandoned:
instead they may even be proliferating.

229       Both COMESA and SADC have technical assistance to their secretariats to help them
facilitate trade. In the case of SADC, for example, Germany, the USA and DFID have
programmes specifically designed to support trade initiatives. Annex 2 sets out the main trade
facilitation programmes with relevance to food security issues.

3.3.6   Conclusion and discussion

230      To begin, an important caveat. Trade can help make food physically available: it does
not necessarily do anything more to improve access to food. Above all it does not guarantee
that the price of food will be affordable to the poor.

231     This last point needs expanding. In years of favourable weather, in much of the
region grains can be grown domestically for costs of under US$100 a ton (not including
milling costs) to consumers. When, however, there is a poor harvest, the cost of grain at the
margin becomes the import parity price. This can easily be between US$150 and US$250 a
ton a more; depending mainly on the ruling price and availability of stocks in the Gauteng
market, and on the distance from that Province.

232      Even this is an ‘at best’ outcome: if the transport routes are clogged or trade is
otherwise blocked, then physical shortages will send prices much higher. If the macro-
economy of a country is feeble, then the additional imports of grain may cause the exchange
rate to depreciate, thus inflating the cost of imported food still higher in local currency. Put
simply, the fluctuations in food production in the region mean that in some years food prices
are likely to rise by 50%, 100% or more. Trade will not solve that problem.

233      The release of stored domestic grains may appear to avert such price rises, but only if
the cost of storage is disguised  by some form of subsidy. The cost of storage added to that
of grain, will probably exceed, although not necessarily by a large margin, that of imports.
Hence a self-financing store could not afford to release grains at prices below import parity.


                                                                                                57
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Trade is thus probably a more efficient way to cope with the problem of fluctuating
production from year to year.

234      Given the erratic nature of food trade, a major challenge is simply finding the funds
to import when needed. There are several ways of doing this28: amongst the more prudent is
to set aside a financial reserve, ready to be drawn on when the harvest is bad; the other  as
yet novel and unproven  way is to take out weather-based insurance that would pay out
when the weather is poor. There are, as yet, no formal comparisons of the economic costs of
these alternatives; but a back-of-the envelope comparison suggests the financial reserve
would be clearly and considerably cheaper.

235     The use of options and futures markets will not markedly help solve the problems:
they tackle just one of the risks, that of price  and even then, they provide no guarantee of
an affordable price at the time needed. At the margin, they serve a useful function. But they
are no panacea for the fundamental problems of fluctuating domestic production.

236       Trade in foodstuffs in the region faces three sets of obstacles:

•         One is the high cost of transporting bulky foodstuffs across a large area without cheap
          river transport. This is currently exacerbated by the parlous state of the railways, a
          means of transport that, for bulk loads over long distances, costs potentially about
          half that of road haulage.
•         A second issue is the longstanding distrust of governments of trading in foods, and
          their inclination to introduce bans and other controls on grain movements across
          borders.
•         A third set of problems is made up of the diverse difficulties that some traders have in
          getting the job done. These include: getting accurate information on trading
          possibilities; completing customs paperwork; meeting standards that sometimes differ
          from country to country, are unpublished, and possibly excessive; and, depending on
          financial systems that cannot provide enough working capital nor cope with
          international transfers.
237       What can be done about these?

•         The first requires sizeable capital investments, and no doubt important changes to the
          operations of transport. Further consideration of this issue is beyond the terms of
          reference of this report, but that should not detract from its importance.

•         The second requires governments to abandon their instincts and trust the markets.
          They might be helped if the potential of freer trade were fully appreciated; but
          perhaps more important, by an understanding of the limits to what trade can do. To
          repeat the point made, trade can help make food available: it cannot make more
          expensive, imported food cheap. Just because prices go up when imports increase,
          does not mean that trade has caused prices to rise. It is easy to overstate the case for
          trade, and thereby make it an Aunt Sally for critics.

•         If there’s an issue of access to food and its affordability, then governments, and their
          donor partners, need to do something in addition to allowing free trade. That may be
          some form of safety net, such as food vouchers. It may even be a blanket subsidy on
          food prices in years of poor harvests. But controlling trade is unlikely to help matters.


28
   Amongst the other options is that of simply appealing for international help. But for how long are countries of
Southern Africa expecting to do this?



                                                                                                                 58
Scoping Study: DFID Regional Hunger and Vulnerability Programme


•     The third is a job for trade facilitation. As will be argued in section 4.3, there is plenty
      of activity in that field already. But there is probably one segment of the market that
      gets little help from current efforts, and that is small-scale traders. They are most
      deprived of information and working capital, and are prey to arbitrary obstacles
      created by policy and the way that officials at borders implement it. The large traders,
      in comparison, can probably fend for themselves in this regard  provided progress
      can be made on the first two sets of obstacles.




                                                                                               59
Scoping Study: DFID Regional Hunger and Vulnerability Programme


3.4       Policy for food security

3.4.1     Food security policy in Southern Africa

Table 3.6 sets out some of the main elements of food security policy in the region.

TABLE 3.6           Food security policies in southern Africa

               Food self-      Agricultural       Public       Trade stance           Social safety nets
               sufficiency     production         storage
Botswana       No              Commercial and 52kt of          No restrictions        Pension scheme,
                               smallholder focus maize,                               supplementary school
                                                 wheat, rice                          feeding and mother / infant
                                                                                      support
Lesotho        No              Smallholder        None         No restrictions.       Pensions, FFW/public
                               focus                                                  works, Supplementary
                                                                                      feeding
               Yes             Smallholder        100kt of     Permits needed to      Supplementary school
Malawi                         focus              maize        export grains          feeding and mother / infant
                                                               Significant informal   support.
                                                               cross-border trade     FFW/public works
                                                                                      [Targeted farm inputs]
Mozambique Yes, but            Smallholder        None         No restrictions.       Limited, but some social
           deficits            focus                           Significant informal   funds, FFW
           expected in                                         cross-border trade.
           south
South Africa No                Commercial and None             No restrictions        Pensions, school feeding,
                               smallholder focus                                      mother / infant support
Swaziland      No              Smallholder        None         Restricted maize       Welfare programmes,
                               focus                           trade. Government      including orphans and
                                                               monopoly               vulnerable children
Zambia         Yes             Smallholder        200kt of     Permits needed to      Welfare programme for
                               focus, some        grains       export, import         chronically food insecure
                               commercial                      grains                 Some public works
                                                               Floor prices for
                                                               smallholders
Zimbabwe       Yes             Smallholder        500kt        Government             Some FFW/public works,
                               focus              maize,       monopoly on            Supplementary feeding,
                               Fast-track         200kt        trading in grains      Farm inputs distribution
                               resettlement       wheat                               [Large-scale food relief
                                                                                      operations]
FFW = Food-for work
Sources: Charman & Hodge 2003, Mano et al. 2003


Strategies for food security in the region might be summarised as follows:

238      Food availability: given the high costs for most countries of importing staple foods
to the main centres of consumption (SACU countries and the coastal cities of Mozambique
being the exceptions), most countries are determined to produces as much staple food
domestically as they reasonably can. Some countries, such as Botswana and Lesotho, accept
the limits of their natural resources and the consequent need for imports. Within Mozambique
there is also recognition that the south of the country faces similar limits and will need to
import food.




                                                                                                      60
Scoping Study: DFID Regional Hunger and Vulnerability Programme

239      Strategies for achieving domestic production goals vary by scale of production,
technologies used, crops, and state intervention. Most countries depend very heavily on
smallholders for grain production, while others such as Zambia (and South Africa) have
significant production from large-scale cereals farms. In technology almost all of the region
depends largely on rain-fed crops, but there are variations in the degree of use of hybrid
versus open-pollinated varieties, and the amount of chemical fertiliser applied. In crops,
maize is a preferred grain throughout the region although in the drier areas millets and
sorghum are grown, and in the cooler areas wheat may be grown in winter. A more significant
difference, though, is the degree to which cassava and other tubers are grown either as a
regular staple, or as a back-up crop to be consumed when grain harvests are poor. Since
liberalisation of domestic food marketing in the 1990s that took place throughout the region,
state support to production and marketing has been limited. But in Zimbabwe controls on
marketing have been re-imposed, while in Malawi, Swaziland and Zambia public agencies
continue to intervene in cereals markets. In response to concerns over smallholder access to
farm inputs, there have been large-scale distribution of these in Malawi, and some less large
programmes in Zambia and in Zimbabwe (although in this case carried out by NGOs as part
of relief and rehabilitation efforts).

240      Some important differences in food policy arise in dealing with periodic harvest
failures arising from bad weather. Most landlocked countries, with the exceptions of Lesotho
and Swaziland, hold physical reserves. Other countries  the two mentioned, plus
Mozambique  rely largely on imports and hold minimal stocks. International trade is
another line of cleavage. Although much has been done to liberalise trade in grains both
domestically and internationally Zimbabwe has re-nationalised trading, while Malawi and
Zambia from time to time control trade in foodstuffs through permits and outright
prohibitions.

241      Access to food: active policies for food access are seen most clearly when poor
harvests lead to crises of restricted supply and soaring prices, at the same time that farming
communities have lost harvests and incomes. In such cases programmes of public works, food
distribution to the needy and vulnerable, and supplementary feeding for children are typically
instituted – usually with donor and NGO assistance. In ‘normal’ times, however, food access
questions tend to be subsumed within wider questions of economic growth and poverty
reduction. In some countries, and in part, they may be addressed through policies designed to
try and stabilise the price of basic foodstuffs  although most countries cannot afford
extensive intervention in food markets.

242      The problems that the chronically poor face in obtaining food are less well addressed.
The HIV/AIDS epidemic has thrown the fate of those plunged into poverty by their inability
to work, and by the costs of their care, into stark relief. By raising the profile of one section of
the chronically poor, it has opened debate on appropriate, effective and economical forms of
social protection.

243      Food utilisation: in most cases, issues of utilisation such as care practices,
environment, sanitation and health are addressed mainly by specialists in education, nutrition
and public health located in ministries of education and health. Programmes in these fields are
not closely co-ordinated with the rest of food security policy, where ministries of agriculture
and planning tend to hold sway. Statistics on malnutrition, for example, are compiled and
published by health agencies and do not always enter into the analyses carried out by
specialists working on food availability and access issues. Although many working in these
fields are well aware of the divide between food security and nutrition, it remains the case that




                                                                                                 61
Scoping Study: DFID Regional Hunger and Vulnerability Programme

food security is seen largely as a matter of food availability with some considerations of
access, while nutrition is treated as a separate matter.29

244     The interactions between disease, sanitation, care practices and food are thus not well
understood,30 making it difficult to set priorities amongst competing programmes to tackle the
underlying causes of malnutrition.

245      In broad terms, food security discussions in the region are dominated by
considerations of food availability. This is not just a matter of emphasising one dimension of
policy, but it is closely associated with particular temporal, geographical and social foci.

246      Temporally, in most years food availability is not a great concern: a normal harvest
will, for most countries of the region, produce enough food for national requirements and at
reasonable cost.31 Hence concerns of food availability concentrate on the years of poor
harvests.

247     Geographically, the country level is the unit of analysis. The national food balance
sheet becomes central, perhaps complemented by data on prices in the main wholesale
market. Less discussion takes place on issues that arise at the household level, for example
those of access to food, and within households where utilisation concerns emerge.

248     Socially the combined focus on bad years and national concerns, means that chronic
conditions of poverty and malnutrition get less attention than those of transitory poverty.
Considerations of social differentiation, so cruelly illustrated by nutrition statistics, are
blurred when the majority are affected by a national crisis.

3.4.2     Policy-making for food security

249     For want of a more widely accepted model, the elements of policy-making may be
seen as follows:32

     Evidence: knowledge and understanding – based on available data, analysis and
     discussion;
     Links: communication and influence – channels of dissemination, information networks,
     advocacy, location of analysts and so on; and
     Political context – decision-making processes, powers within the political system.

To these may be added:
    Implementing capacity of public agencies – resources, staff, experience, structure,
    procedures, etc.

250     The programme under consideration cannot address all these issues. Implementation
capacity, for example, can only be addressed for particular activities – for example, in
strengthening an early warning unit. Actions in the political domain have to be limited by

29
   Even in Malawi where there a Food and Nutrition Security Strategy is being developed, there is still a separate
nutrition plan being developed in parallel.
30
   After the major drought of 1991/1992, almost all relief was focused on making food available and accessible.
The health implications of the crisis were marginalised.
31
   The typical delivered cost of unmilled maize to central cities in the region is less than US$100 a ton. A family of
five might be meet as much as 85% of dietary needs for energy from one ton of maize. Even allowing for a 100%
mark-up to meet milling and distribution costs, the family could gain most its basic diet for just US$200 a year, or
just US$0.55 a day. Even a household living on the US$1 a day poverty line could access food at this price.
[Assume: 50% of household budget spent on food, and 50% of that spent on the staple = US$5*0.5*0.5 =
US$1.25.]
32
   Based loosely on the framework proposed by the Research & Policy in Development (RAPID) Group, Overseas
Development Institute, London



                                                                                                                   62
Scoping Study: DFID Regional Hunger and Vulnerability Programme

considerations of national sovereignty. Even where there may be some scope for influence, it
is not clear how feasible action may be. For the most part, then, this leaves scope for work on
improving the base of evidence and making the links from this to policy-makers more
effective.

What issues require more information or analysis to guide and inform policy thinking?
251      The balance between the need for more evidence, on the one hand, and making more
effective use of existing knowledge, on the other hand, is not always clear. Several
interviewees stated that the priority was not more evidence. Instead, they argued for making
better use of existing understanding. But that said, there are still several important issues on
which not enough is known with the detail necessary to make policy with confidence. Four
priority areas for more evidence can be picked out:

     Trade and markets for basic foods: ensuring that supplies of basic foods are available
     year round countrywide, and at prices that are both modest and reasonably stable,33 is a
     necessary but not sufficient condition for food security. This is understandably a prime
     concern for policy-makers. To what extent can private agents in liberal food markets, with
     open trade, meet these conditions? Are there failures in markets that require public action,
     and if so, how can this be achieved effectively and economically? Since liberalisation of
     markets, governments have struggled to understand their role: lacking such knowledge,
     they have repeatedly made ad hoc, heuristic interventions that more often than not have
     simply not worked. The advocates of unfettered private enterprise in fully liberalised
     markets also have some difficult questions to answer. These include the extent to which
     competing traders can function in markets, about competition policy and cartels, the
     equity of social outcomes from market functioning, and not least, what happens to
     domestic prices when harvests fail.

     Vulnerability to food insecurity and the management of social risks: in some
     countries, there is a divorce between thinking about, and planning for, economic growth
     and poverty reduction (the province of the Poverty Reduction Strategies) and about the
     risks arising from recurrent hazards, including drought. Strategies for the former tend to
     be formulated without regard to inevitable future shocks, while responses to those shocks
     may be devised with little regard to subsequent recovery and development efforts. Part of
     the reason for the divide is that concepts, including vulnerability, risk mitigation and
     disaster preparedness, and their implications are not well enough understood. There is a
     need to bring together ideas and practices to bridge this breach. Differences between
     households, both geographical and social, will be central to such thinking.

     Health and food insecurity: as mentioned in the previous section, a divide exists
     between:

     (a) Those working on issues of food availability and access, usually agriculturalists,
         economists and other social scientists; and
     (b) Those concerned with care practices, sanitation, disease challenges and overall
         nutritional outcomes, usually specialists from the fields of public health,
         environmental sanitation, education, medicine and nutrition.

     Partly as a consequence there is little firm evidence on the ways in which food intake,
     care, health and sanitation interact to produce nutritional outcomes. Scarce resources
     therefore have to be allocated between competing activities in these fields based on
     judgments so imprecise at times as to be guesswork.

33
  ‘Modest’ prices might be defined as being at the import parity price or below; ‘reasonably stable’ means that
prices should not vary by more than the costs of storage between the immediate post-harvest and pre-harvest
seasons – and this should not exceed 25-30%.



                                                                                                                  63
Scoping Study: DFID Regional Hunger and Vulnerability Programme



     Influencing policy for food insecurity: several informants noted that even when they
     had enough evidence to make confident judgments, using this to influence decision-
     making at high levels was based on largely empirical means. Although there may be more
     important ways to improve policy-making, as set out in the next section, there is scope for
     some study of effective ways to ensure that the evidence gets fuller consideration in
     policy-making.

How can the evidence have more influence on policy-making?
252      On some food security issues there is reasonable agreement on the broad outlines of
policy. So much so that several interviewees stated that there was little need to spend more
time gathering data, analysing it or discussing the implications. Instead, they argued the
priority was to make better use of existing understanding, and above all to find ways to use
this to best effect in policy-making.

253      In some cases, there was frustration at the disparity between the technical consensus
and policy decisions. A case in point is trade in food. Few professionals would argue for
limitations on moving staple foods within the region. Most see increased trade as likely to
improve food security. Yet despite this, several governments (see section 3.3 above)
repeatedly place obstacles in the way of free trade in basic foods. Why is this so? Part of the
answer may lie in not transmitting clear messages based on convincing evidence to senior
decision makers effectively.34

254   Progress might be made to improve dissemination and influence in the following
ways:

     Better understanding of the ways in which food policy is made, and how the influence of
     evidence may be brought to bear on the process. Study here might be less a matter of
     formal research, more a matter of examining cases of success and failure, deriving lessons
     and disseminating them; and, probably more importantly, and
     Building capacity amongst those with influence on policy to understand concepts and
     concerns, and to inform them on experiences and best practice. This would include
     voters, elected politicians, the media, public servants, and NGO and donor staff.

255      A complement to these would be to encourage a wider range of stakeholders to
contribute to policy-making, including the voices of the poor and food insecure. This
promises to improve the quality of debate by ensuring that the concerns and needs of all those
with a stake in food security are considered. It will also be more democratic and increase the
likelihood that implementing agencies in government, donor institutions and NGOs will be
held to account.

3.4.2    Conclusions

256     Policy for food security in the region is dominated by debates over making food
available at affordable prices. This is understandable: achieving this goal is a prior condition
to people having access to food, and using it well. But it does mean that policy-making is
focused on occasional crises, national food balances, and on food production and trade. Issues
of chronic poverty, and the corresponding geographical and social differences seen amongst


34
  Another part of the answer is the wretched business of public perceptions. A government faced by some
emerging public concern, such as rising food prices, that does not act in the belief that market forces will bring
prices down, risks incurring the wrath of the public. The accusation that the government knew of the problem, but
did nothing, is powerful. This applies even when action may be unwise. A government that intervenes clumsily, in
contrast, can always blame the poor outcome on some extraneous factor. In food markets, traders can always be
lambasted as unscrupulous and unpatriotic opportunists. Who will defend them from such allegations?



                                                                                                               64
Scoping Study: DFID Regional Hunger and Vulnerability Programme

households and individuals, and the interactions of food with health, sanitation, and care, get
second attention if any.

257     The evidence base for policy-making is incomplete, certainly in detail. Key issues
that need more understanding are, and no order of importance: how food markets can and do
function; vulnerability, risks and their implications; the influences of health, sanitation and
care on nutrition; and, effective ways to influence policy-making.

258     Existing knowledge might be better used if concepts and concerns were better
understood, together with best practices from experience. This would be reinforced if there
were more participation in policy-making by diverse stakeholders.




                                                                                              65
Scoping Study: DFID Regional Hunger and Vulnerability Programme



4.        RECOMMENDATIONS AND PROPOSALS

4.1       Consideration of options

4.1.1     Institutionalising and establishing Vulnerability Analysis Committees

Aim: To reduce and better manage chronic and transitory food insecurity, through the
establishment of vulnerability information systems within regional and national
government structures.

Justification
259      Populations in southern Africa are both chronically and transitorily food insecure.
Current response systems are not effective in providing differentiated responses to better
protect assets, nor a mechanism to lift people out of poverty. Consequently the vulnerability
to future food insecurity is growing. Better information on the occurrence and causes of food
insecurity and vulnerability is required as a basis for policy making and planning.

260      The existing VAC system (supported by DFID) will be enhanced and expanded.
Existing data collection and analysis systems created with VAC support will be
institutionalised into government systems, within as short a time frame as feasible. Future
activities (excepting the occurrence of an emerging crisis) are expected to work in
collaboration with national data collection systems, to focus on analysis, dissemination and
advocacy.

261     The analysis needs to be linked to an improved set of interventions that, in addition to
responding to immediate needs, address both the management of chronic food insecurity and
reduce future vulnerability to shocks. This requires that the VAC analysis is linked to specific
recommendations that consider a wider set of social protection mechanisms.

Activities
262     Promote the institutionalisation of, and establish where required, national VAC. The
VAC will be established within, and supported by, national Government. The VAC is
expected to:

      Advocate for, and support, national systems responsible for food insecurity and
      vulnerability data and monitoring;
      Analyse information on the occurrence and severity of food insecurity and vulnerability
      within the country;
      Distinguish between, and monitor trends of, chronic and transitory food insecurity;
      Analyse and describe the livelihoods of the food insecure;
      Analyse the causes of causes of food insecurity;
      On the basis of this analysis advocate for the sustainable reduction of food insecurity,
      through appropriate tools, including the use of safety nets and social protection
      mechanisms; and
      Effectively communicate this information to decision makers at both policy making and
      practitioner levels.

263     The Regional VAC will be responsible in collaboration with other staff posted to the
regional unit by partners (FAO, WFP), for:

      Working with established national VAC to institutionalise them within national
      structures;
      Assisting in the establishment of new VACs in a selected number of countries;



                                                                                               66
Scoping Study: DFID Regional Hunger and Vulnerability Programme

    Supporting the VAC with technical advice and support, including;
       The revision of technical mandates for the NVACs,
       Agreement on the revised work-plans, research priorities and support required, and,
       The identification of toolkits to meet the new mandates.
    Organizing periodic cross-regional learning opportunities; and
    Providing capacity building to technicians around the newly introduced methodologies.

Inputs
   A fulltime regional advisor based within SADC (36 person months) with appropriate
   support
   Funding to be made available in support of a national VAC work plans.

Narrative and comments
264     The regional VAC will be based within SADC. This places ownership of the system
within the ambit of Governments and increases prospects of sustainability. This will also
include a component of capacitating the SADC secretariat to more effectively represent the
Countries on food security issues at the regional level.

265      Institutionalising a VAC within SADC involves an acknowledgement that the scope
of the coverage would be, in principle, the wider SADC region. However, a phased approach
to implementation could be argued for. Support from Countries with established VAC may be
redirected to new Countries on a phased basis –especially those Countries which are able to
generate national support.

266     Given the similarity in objectives it is hoped that the VAC will work with FIVIMS.
The VAC would benefit from the conceptualisation of concepts that FIVIMS is able to offer.
At present one of the major constraints lies around confusions on the understanding of
vulnerability and an injection of experience would be beneficial.

267     The regional activity will support to the Countries. The region should recognize that
the process is nationally owned and led.

268      The overall success depends on activities outputs at the national level. Ideally
technical assistance at the national level is required to promote NVAC activities. Donors need
to be strongly encouraged to support the NVACs at national level. National level support is
already evident in Malawi (from the EU) and Zambia (from DFID). The RHVP resource
envelope will not permit the recruitment of fulltime national resource persons.

269      Small grants from the region will be necessary to energize the process in countries
where national support has not yet kicked in, for example by bringing in technical expertise
and skills. The objective will be to support the NVACs in mobilizing funding at the national
level from both donors and governments.

270     The VAC generally has well established linkages disaster managers, and to a lesser
degree, line ministries such as agriculture. Emphasis will be given to establishing new
linkages with partners in social protection and the PRS. In this regard, there is scope for the
regional system, working in conjunction with other development partners that are closely
linked to PRSP/VAC activities (DFID, UNDP, World Bank, etc), to assume an advocacy role.
While the VAC is looking for opportunities for constructive engagement with the PRS, the
scoping mission felt that this was not always reciprocated. Donor representations at a higher,
and possibly multi-country level, may be required to initiate the discussion.

271     The safety nets learning network and the research funds would be closely integrated
with the operations of the VAC.



                                                                                             67
Scoping Study: DFID Regional Hunger and Vulnerability Programme

4.1.2   Safety Nets Learning Network

Aim: To promote the uptake of a range of safety nets in the region, to address immediate
needs and provide a platform for growth.

Justification
272     A diversified set of response options is required to meet the needs of food insecure
and vulnerable people in the region. Options include income transfers for the very poorest,
asset protection for the vulnerable and opportunities for growth. The potential of safety nets to
address these needs is, correctly, attracting increasing attention.

273      A number of constraints are inhibiting the wider regional application of safety nets.
One critical constraint identified was very limited dissemination of information and
experiences within and between countries. Additionally, social protection policies are very
diverse.

274     A fierce debate about the allocation of funds between growth and redistribution
objectives, within a limited fiscus, underlies these policy differences. There is a need for
evidence to inform this debate. The network would be one mechanism to share available
information, including new approaches that emphasize the role of safety nets as precursors to
development. Few examples of these approaches currently exist in the region.

Activities
275     Establish a network on safety nets that would be responsible for:

   Disseminating information on safety nets widely throughout the region;
   Advocating for the wider application of safety nets within the region at the policy level;
   Preparing short briefs on safety net practice and policies;
   Organizing safety net learning meetings on a national basis, within the region to engage
   practitioners (governments and civil society), researchers, policy makers, financers and
   the media. Twelve national meetings are proposed per year;
   Organizing occasional regional seminars to present findings on safety net research
   opportunities;
   Organizing an annual regional meeting on social protection to engage policy makers at
   senior level; and
   Specifically linking with the Vulnerability Information System to promote an exchange of
   ideas and information.

Inputs
   A fulltime appointment responsible for the establishment and administration of the
   network;
   Short term technical support to assist with the outreach activities and linking information
   to policy;
   Establishment, operation and administration of a website; and
   Funds to organize a safety net learning opportunities within the SADC region targeted at
   practitioners.

Narrative and comments
276      Safety nets are finding increasing application in the six countries reviewed, with
multiple programme examples in government and civil society. At the programme level there
is a need for information on implementation. Innovative examples are emerging both within
the region (for example in Malawi and Zambia), and beyond (in Ethiopia and Bangladesh).
The need for better information on safety nets for HIV-AIDS affected people is apparent at
both policy and programme levels.



                                                                                                 68
Scoping Study: DFID Regional Hunger and Vulnerability Programme

277      One of the often cited constraints to adopting safety net programmes are the limited
fiscal resources. Although national governments remain highly constrained, there are
increasing external resources for this purpose. The EU, the World Bank, USAID and DFID
are making major investments in safety net programmes in the region.

278      A large clientele exists for this information and good uptake can be anticipated as no
similar system currently exists. International resources on social protection / safety nets do
already function, most notably through the World Bank website. Therefore the proposal is
based on the assumption that there is a distinct justification for a regional system. Firstly, as
Countries in the region shares many similarities, both in the process which has generated the
current food security status and the capacities to respond to it, solutions are likely to be
regionally specific. Secondly, this grouping brings stakeholders together to collectively work
on solutions, in part to causes that are common across the region. Thirdly, a regional network
allows for opportunities for direct interaction which may be more persuasive than a purely
virtual network.

279     The UN system is increasingly interested in developing its’ safety net/ social
protection strategy and programmes in east and southern Africa. UNICEF has been
commissioned to lead a survey by the end of the year. This is designed to map out the social
protection programmes in operation and identify options that can be taken to scale. It will be
important to coordinate with this initiative. However, no other donor appears to be
considering establishing a similar, on-going, regionally based knowledge sharing initiative.

280     The main challenge will be ensuring that such a network will actively engage key
decision makers and precipitate change. An innovative design is required that proactively
advocates for social protection at the policy level. The network needs to have a strong
evaluative component to assess performance and adapt operations.

Additional module
281     It is suggested that the network should be complemented by action research in safety
nets. The research should take the form of multi-year commitments designed to take people
out of chronic food insecurity. These projects could draw from the experience of innovative
projects in Malawi, Ethiopia and Bangladesh. The Ethiopia TAPS programme in particular
requires close attention.

282     An action research component is proposed to link with advocacy and accelerate the
diffusion of ideas. The network would manage a fund to support the implementation of action
research in safety net projects within the region. These would have the following
characteristics:

    Multi-year interventions;
    Strong links to policy and advocacy;
    A strong internal evaluation component;
    Draw out comparative lessons on replicability and appropriate scale of the safety nets;
    Consider HIV-AIDS implications in the design;
    Link asset development to actions to explore the relevance of ‘lifting people out of
    poverty’;
    Explore a variety of safety net approaches, including issues of complementarities between
    income transfers, input supply, health, nutrition and education; and
    Strive for multi-donor support in order to provide a platform for changing donor
    behaviour.

283    However, this activity is currently outside the financial resources of the RHVP.
Should additional resources become available it is suggested that this component is activated.



                                                                                                69
Scoping Study: DFID Regional Hunger and Vulnerability Programme

4.1.3     Options for improving regional trade in basic foodstuffs

284       The options reviewed here include:

      Facilitating food trade in general;
      Facilitating medium- and small-scale food trade;
      Ancillary measures to support trading, and (as an alternative and complement to trade);
      Storage.

Facilitating food trade in general

285       Reducing tariff and non-tariff barriers to trade: clearly there is much to be done
to facilitate trade by reducing non-tariff barriers, including harmonising standards and the
corresponding needs for certification and by simplifying customs procedures. However, this is
a field where there is already significant donor activity, including DFID’s Regional Trade
Facilitation Programme (RTFP). Is there something special, then, about food trading that may
not receive attention from more general trade programmes? Trade in basic foods has two
unusual dimensions. One is the high variation in annual amounts traded. The other is that
much and, across some borders, the bulk of trade is small-scale and usually unrecorded.
Hence while no further action on trade facilitation is recommended, there is scope for specific
work on medium- and small-scale trade in foods that would complement the RTFP.

286      Harmonising domestic agricultural policies: this could potentially even out
competition and facilitate trade based on underlying competitive advantages. That said, it is
not clear just how much this is a technical problem. Policy-induced disruptions to trade in the
region have arisen primarily from radical policies, at variance with policies in neighbouring
countries, which respond to strong political imperatives. The clearest examples come from
Zimbabwe in the form of the re-nationalisation of grain trading and fast-track land
redistribution. These policies were never going to be influenced by, say, the deliberations of a
meeting of SADC permanent secretaries.

287      Even when considering more mundane policies that have impacts on neighbouring
countries, such as Malawi’s input distribution programmes, it is hard to see how another
initiative could achieve more than arrangements currently in place in resolving differences
between countries. There are already regular meetings of ministers at SADC level and in the
AU, as well as trade facilitation programmes that provide technical support to such
discussions. In sum, it is hard to see either a pressing need, or a feasible way to take matters
forward within the programme under discussion.

Facilitating medium- and small-scale food trade

288      In the COMESA region, RATES estimates that medium- and small-scale traders
(MSST) handle most of the cereals trade. The evidence, incomplete as it may be, suggests that
in parts of southern Africa, small-scale and often informal food trading plays an important
role in making food available at reasonable prices. Such trading may also introduce
competition into markets with an inherent danger of price rigging by cartels of large traders.

289      It is also known that MSST face formidable obstacles including official
discouragement, lack of information on trading possibilities and regulations, onerous
procedures, product standards that are not harmonised and in some cases may be over-
elaborate, and lack of trading credit. For the most part they have been marginalised by
development programmes, seen as unworthy of attention by governments suspicious of
trading for profit, and ignored by donors and NGOs setting their sights on the poor.

290       There is scope for stimulating trading on this scale. The objectives would be to:


                                                                                                70
Scoping Study: DFID Regional Hunger and Vulnerability Programme



      Reduce obstacles to such trade posed by paperwork and petty restrictions;
      Increase the flow of information to small traders both on markets and on official trading
      requirements;
      Raise the business skills of small traders; and
      Improve access to credit.

291        Typical activities might include:
      Representation to government of the difficulties faced by smaller traders;
      Training in business practices, including ethics and trading standards that might attract
      certification;
      Facilitating links to banks and micro-finance agencies; and
      Linking traders to trade and market information services primarily as users, but also as
      potential sources of intelligence.

292     Given the lack of detailed knowledge of the circumstances faced by traders in
different locations, the starting point for these activities would be to consult with such traders,
probably through groups or associations of traders that might in themselves need to be
formed.

293     There are at least three options for implementation. One would be to have this work
conducted by a regional confederation of associations of medium and small-scale traders in
foodstuffs. But this has to be discounted since such a body does not apparently exist. But it
might come to be formed in time.

294      A second option would be to fund an advisor based in the region. She or he might
work with national bodies – NGOs, chambers of commerce, some government agencies – to
develop programmes according to country-specific needs. The advisor would have access to
start-up funds to spend on meetings, training course, publications and other seed corn to get
programmes going. These initiatives would help to gather experiences and transmit them
across the region through personal contact, newsletters, a web site and other means.

296      A third option would be a variant on the second. In this case the regional adviser
would be replaced by national-level advisers, working within national chambers of commerce
or similar structure. They could be linked regionally through six-monthly meetings under the
aegis of SADC, with the RTFP perhaps acting as a secretariat, the encounters designed to
share experiences, and to access formal technical assistance in the form of training days. This
way, a programme might be developed incrementally, starting with advisers in Malawi,
Zambia, Mozambique  countries where we know there is already a high level of cross-
border trade35  and expanding to other countries as and when the idea proves itself.

297       The third option has some significant advantages over the second. It would develop
capacity nationally, within existing organisations. It could potentially be sustained in the long
run by contributions from members of associations of trade associations that pay for services
of information and professional updating. Having a permanent presence in country would
help forge the links to traders and understanding of their particular circumstances that will be
critical to the facilitation role of the advisers. In come countries, work with chambers of
commerce would complement existing initiatives such as the National Action Group in
Malawi, or the Zambia Trade and Investment Enhancement Project (ZAMTIE).




35
   In the case of Zambia, the most important flows seem to be those between the Copper Belt and Kinshasa region
of the Democratic Republic of Congo.



                                                                                                             71
Scoping Study: DFID Regional Hunger and Vulnerability Programme

298      The adviser(s) would be expected to co-ordinate work with complementary
initiatives, especially the RTFP. The time to do this is opportune, complementary initiatives
include:

     The FEWSNET pilot study of cross-border informal food trading in Malawi,
     Mozambique, Zambia and Zimbabwe;
     The RTFP study of informal trade in general; and
     SAMP interests in informal traders.

299      More information on the volume of unrecorded grain movements and traders and
their characteristics should thus be available within the next year or so, from FEWSNET
reports and from SAMP.

Regional trade and market information systems
300     Medium and small-scale traders, unlike large-scale traders who have their contacts
and access to formal data sources, lack access to information on trade and markets. The aim
would be to provide raw data and information to users at all levels from regional to sub-
national, drawn from existing national information systems. Data might include:

     Country information – trade guides, economic and trade statistics, trade policies and
     regulations;
     Market data — prices, stocks, production forecasts;
     Market access — duties, taxes, non-tariff barriers, standards, certification, labelling,
     environmental, safety regulations;
     Companies and trade associations; and
     Transport and storage.

301      Dissemination could be by media as diverse as radio broadcasts, printed bulletins,
text messages to cell phones, and web sites. An electronic bulletin board could be provided
for interested traders. The idea is attractive in that it could meet a real need amongst smaller
traders, it draws on existing data and could therefore be done economically and established
quickly. Such systems would also provide useful data for early warning purposes.

302      On the other hand, a regional system would only be as good as the national
information systems feeding it – and in some of these are weakly developed. What incentives
would there be, to a public agency operating the system, to strive to ensure that information is
collated promptly, and that efforts are made to reach the widest spectrum of traders? An
answer might lie in the governance of the public agency, in making it partly answerable to
traders. This requires the formation of some body that represents the latter group. In Zambia,
ZAMTIE is in the process of assisting precisely this. In Malawi, one of the working groups
facilitated by the National Action Group might fulfil this function.36

303      This proposal has already been taken up. The RATES project has already set up some
elements of these systems in East Africa and the COMESA region as a whole. COMESA
itself has just received (2004) three years of funding from the African Development Bank to
set up an agricultural marketing promotion system across the COMESA member states.
RATES have already agreed to work with COMESA on information systems with the
COMESA initiative providing a possible way to institutionalise this part of the RATES
project.



36
  An alternative is that government tenders for data collection and dissemination it requires, the contract only
being renewed subject to the approval of a body representing users. But this would only be possible in countries
where there are competing organisations with the capacity to carry out these tasks.



                                                                                                                   72
Scoping Study: DFID Regional Hunger and Vulnerability Programme

304     There may, however, be scope for DFID to contribute by strengthening national
systems where needed, and by ensuring that regional information gets good dissemination
within countries. Such action, however, should really be a matter for DFID country
programmes. They would need to be approached by RATES/COMESA with specific
proposals as and when needed: there might be role for the RHVP or simply the regional food
security adviser to liaise with COMESA/RATES and country offices to ensure that messages
get through, with recommendations that carry weight.

Ancillary measures

305     Use of futures and options markets to hedge against price risks: this has been a
frequently recommended option. Effective use of such facilities would take away the risk that
when grains are most needed, prices are at their highest. SADC ministers, for example, have
asked for guidance on the scope for making use of these possibilities. Study tours have been
arranged for policy-makers from countries outside SACU.

306     Despite the study tours, there is no sign at all that public agencies, or NGOs, are
making use of the futures and options markets, and use by traders based north of the Limpopo
is minimal or nil. It may be that awareness and skills are lacking.37 But it may be simply that
these markets do not address the most pressing problems in cereals trading in the region. As
Figure 3.1 shows, these markets are not panacea: they deal with one risk, and even then they
cannot always deliver what policy-maker would like when they want it  that is, cheap food
imports in years of bad harvests.

307     These markets will no doubt have their role in the future when markets north of the
Limpopo have resolved some of their more pressing concerns  such as avoiding arbitrary
and sudden government interventions, having functioning and efficient transport systems
(railways) in place, and banking systems that can handle international transfers reliably. For
the time being, then, no further action is recommended.

308      Weather-based insurance: as outlined above, two proposals stem from the Hess &
Syroka (2004) study. One is to set up weather-based insurance to aid small farmers, the other
to insure countries as a whole (and perhaps groups of countries) against weather risks.

309     The farmer option deserves piloting on a limited scale (as has already happened in
Andhra Pradesh, India), probably in tandem with input credit as a way to hedge against
unwilling default. But such a pilot programme would be a national activity. A regional
dimension might be discussing, advocating & distributing information on the experience.

310    The country option is unproven and has not been piloted. Even a single country pilot
scheme would be expensive – US$7M a year to insure Malawi against drought risks, for
example, according to Hess & Syroka (2004). This is beyond the financial means of this
programme. The idea, however, is interesting. It might be something to explore in
combination with a consortium of donors.

311     That said, if as Hess & Syroka suggest, insurers would charge premiums at three
times their expected average annual pay-out, then as set out in Box 3.4, holding a financial
reserve would be cheaper. But confusingly, those authors give another, much cheaper basis
for premiums that gives a cost similar to that of the financial reserve. Clearly the financial

37
  A further limitation may be the ability of public organisations to make option calls: could a Minister answer to
Parliament that the government had bought a call option at a cost of US$500 000 or more, and then not exercised
the option? That such a sum had been spent and not a single bag of maize had been delivered? There are informal
reports that a state agency in the region did precisely this: it cost the chief executive his job. Similar considerations
apply to NGOs. WFP is one of the larger players in the regional cereals market: it uses spot trading only.



                                                                                                                      73
Scoping Study: DFID Regional Hunger and Vulnerability Programme

analysis needs to be carried out before proceeding with any interest in weather-based
insurance.

Storage

312     Regional grain reserves: both SADC and NEPAD have been instructed by their
ministers to explore this possibility. Three studies carried out in 2004 are now available. All
three suggest that while such reserves may be superior to national reserves, there are
formidable challenges to making such a reserve work. Two of the reports explicitly do not
recommend taking the idea further.

313      In addition to the arguments set out in these studies it is questionable whether there
should be any public stocks for purposes of price stabilisation and emergency response. If
there is a reason to store grain between years then private traders should be prepared to so.
That they are not currently doing so is probably due to the uncertainties generated by arbitrary
and unpredictable handling of publicly controlled reserves, and the high interest rates that
apply in some countries owing to government indebtedness. Finding ways to overcome these
problems and so encourage private grain storage might be a better use of resources.

314      Warehouse receipts: These could be offered by private silo operators to farmers and
traders for grains stored. They would be tradable instruments against which bank loans might
be raised. The liquidity offered might allow more actors to enter storage and increase the
amount of arbitrage in grain markets, thereby potentially stabilising prices, and encouraging
more investment in production.

315      Warehouse receipts clearly have potential. USAID, however, is currently funding
such initiatives in Zambia, through the Development Credit Authority. Before DFID
considers complementary actions or replication in other countries it might be better to see the
results of this initiative.

Table 4.1:        Summary of options for food availability through trade

Proposal              For                             Against                           Recommendation
Trade policy        Necessary actions: trade          Field already well attended       Scope for work with
harmonisation, etc. faces many obstacles              by other programmes               smaller-scale traders
Domestic policy       Would even out field for        How great a need is there         Part of the policy
harmonisation         competition, facilitate trade   for this?                         agenda – for existing
                      based on real competitive       How to do this? Key issues        trade negotiation and
                      advantages                      are highly politically            other fora
                                                      sensitive
Facilitating medium   Potentially high pay-off,       How to do this? Activities        Proposal: Regional
and small-scale       given high volumes of           here are part of:                 adviser on medium-
trading in food:      informal trade across some      • policy influence,               and small-scale trade
Remove barriers,      borders (eg Malawi,             • micro-finance, or               in food, with funds for
facilitate credit,    Mozambique)                     • MIS (above)                     starter activities.
provide               Supports development of         Specific activities might be
Information,          markets, competition,           national specific, or bilateral
training etc.         private sector initiative




                                                                                                                  74
Scoping Study: DFID Regional Hunger and Vulnerability Programme


Proposal             For                           Against                        Recommendation
Market information   Small traders lack            Is information the main        COMESA, RATES
systems              information – good info       obstacle?                      already active.
                     could be useful               Can the systems be run         Probably scope for
                     Can build on existing data    well – timely information?     supporting national
                     sources                       Incentives to public           systems where
                     Relatively low cost           providers?                     needs are greatest.
                     Web technology facilitates    Depends heavily on             For consideration for
                     information sharing, FM       availability of good data at   DFID country
                     radio, cheap cellular         national and more local        programmes.
                     phones and texting            levels
                     possible
Use of futures and   May be a cost-effective way   How important is price risk    Probably not a
options              to manage price risks and     as contributor to food         priority at the
                     uncertainty                   availability?                  moment
                     SAFEX exists, works           Can governments use
                     Relatively cheap to educate   options?
                     potential users of such       Previous study tours have
                     markets                       not led to use of these
                                                   markets
Weather-based        For farmers might allow       Unproven                       Farmer insurance
insurance            credit to be offered with     Expensive?                     may be worth piloting
                     much lesser risk              Needs multi-donor              — but a national, not
                     At country level it would     collaboration                  regional initiative
                     bring automatic relief to                                    Country insurance:
                     affected country — allowing                                  needs a bold initiative
                     prompt response, less                                        — beyond the scope
                     dependency on donors                                         of this programme
Financial reserves   Covers the costs of           Cost of setting aside funds    Beyond the scope of
                     meeting additional imports,                                  this programme
                     avoids pressure on
                     exchange rate
Regional grain       Lower cost than national      Should there be public        Not recommended —
reserves             grain reserves                storage at all? Why would     too risky, costly
                     Might be a precursor to       private stores not operate if
                     more practical co-operation   useful?
                     between sister countries      Governance, management
                                                   conditions demanding ( see
                                                   reports)
Warehouse            Injects liquidity into        Institutional requirements:    USAID currently
receipts             marketing system              certification, standards,      funds, promotes —
                     Encourages private sector     insurance of storage, etc.     progress on USAID
                     storage and arbitrage                                        programmes not
                                                                                  known


4.1.4     Improving policy-making for food security

316       Three areas of possible action were indicated in section 3.4:
      Improving the evidence base for policy;
      Strengthening links from evidence to decision-making; and
      Widening participation in policy-making.

Consideration of options and specific recommendations follow.

317      Evidence and advocacy on food security: Table 4.2 sets out a provisional list of
priority areas for better understanding of food security and nutrition in the region, with details
arranged under the four programmes set out in section 3.4.2.




                                                                                                          75
Scoping Study: DFID Regional Hunger and Vulnerability Programme

A regional network for encouraging study of food security problems and the dissemination
of results
318     In co-ordination with the research and advocacy fund described below, a network
would be supported to encourage the study of food security issues and to disseminate results.
Specifically this would be expected to:

   Form a network of researchers and their host institutions with capacity and interest in
   food security across region;
   Form alliances with researchers outside the region who may collaborate with researchers
   based in the region;
   Define research priorities, in close consultation with key stakeholders including policy-
   makers, private sector, and civil society;
   Help shape proposals for study and research into food security issues and help researchers
   in the region to secure funding for proposals. The network would be expected to explore
   and encourage study by innovative means to address practical policy concerns;
   Collate the results of studies carried out in the region of food security. A priority here
   would be ensure that the results of reviews, evaluations, case studies, and other semi-
   formal means of research carried out by implementing agencies are assembled, as well as
   formally published research papers; and
   Synthesise and disseminate these by means of bulletins and briefing papers, web-sites,
   workshops and public meetings. The network will consult with end-users on preferred
   modes.

To support additional studies in priority areas, the network would be expected to act as
secretariat for the following:




                                                                                           76
Scoping Study: DFID Regional Hunger and Vulnerability Programme
Table 4.2:         Priorities for research and advocacy on food security in Southern Africa
Programme           Component                                    Policy issues addressed, complementary programmes
Trade and        Trade: the (precise) impact of trade            Making the case for freer trade: What are the costs of obstacles to trade in foodstuffs? What are the gains to
markets in basic liberalisation on prices and their stability,   removing such obstacles? [May need modelling to demonstrate reasonably precise impacts]
foods            and on jobs and incomes.                        Programming specific work to facilitate small-scale trading: What are the more important obstacles faced by
                 Obstacles to trade : especially for             private traders in foodstuffs? How do these differ by scale of trader? How large are informal and unrecorded
                 smaller-scale actors, and experiences in        flows of basic foods? [NB: FEWSNET is funding a pilot one-year study of such flows in Malawi, Mozambique,
                 removing them.                                  Zambia and Zimbabwe.]
                    The functioning of markets for staple        Making the case for freer trade: To what extent would free trade stabilise food prices and prevent price spikes?
                    foods: how can reasonably stable prices      [May require modelling.]
                    be achieved, and correspondingly how         Understanding markets and storage: How much can storage help stabilise market prices? What are the
                    can price spikes be avoided? There may       obstacles to increase investment in private storage? What is the scope for the development of warehouse
                    be scope here for modelling grain            receipts to increase liquidity in the food supply chain?
                    markets.                                     Combating market failures:
                    Understanding the extent of market           • To what extent does lack of information and trust prevent investments in the food supply chain? How can such
                    failures owing both to co-ordination         obstacles be overcome?
                    failures, and the operation of cartels in    • What innovations in institutions, or public action to improve economic co-ordination would be effective? [Scope
                    food trading, processing and transport       for comparisons of innovations across countries.]
                    operations; and how to correct such          How can competition be ensured in parts of the supply change where economies of scale confer market power?
                    failures.                                    • What is the scope for effective competition policy in countries with weakly-developed formal economic
                                                                 institutions?
                                                                 [NB: MSU, in collaboration with FANRPAN and ministries of agriculture, have started (2004) a research project
                                                                 into the functioning of maize markets in Malawi, Mozambique, South Africa and Zambia.]
Vulnerability to    Vulnerability, disaster preparedness,        Understanding vulnerability and social protection:
food insecurity     risk mitigation and social protection:       • What are the causes of food insecurity and vulnerability in the region? What are the trends?
and social risk     Understanding of concepts and their          • What is the distribution, frequency and severity of risks or shocks? How do these differ between countries?
management          practical implications.                      • What tools and methods are available for vulnerability analysis?
                    Linking results: results need to be          Guidelines for practical applications:
                    linked to the agenda of growth and           How to measure food security and vulnerability in urban settings. How can chronic and transitory vulnerability be
                    poverty reduction, to remedy the current     distinguished?
                    divides between relief and development,      • How are the concepts of vulnerability and food insecurity currently understood by stakeholders (including
                    between welfare and growth                   governments, UN agencies and donors)?
                    approaches;                                  • How is it incorporated into policy? What factors influence the uptake of this information?
                    Effective social safety nets: evaluate       Evaluating social safety net programmes:
                    longstanding safety nets, learn from new     • What is the full range of safety nets and institutions engaged in safety nets within the country?
                    initiatives.                                 • What interventions are available for urban areas?
                    Emergency programmes and food aid:           • What safety nets are appropriate to respond to HIV-AIDS?
                    evaluate impacts, ensure that lessons        • What is the impact of safety nets on economic and social development, as opposed to welfare support?
                    are learned                                  • Which interventions have the most positive impact?
                                                                 Evaluating emergency programmes:
                                                                 • What are the relative merits and demerits of cash and food based interventions as used in the region? Which
                                                                 option is more cost effective?
                                                                 • What determines the choice of instrument?
                                                                 • What methods are available for assessing nutrition, health and water and sanitation needs?
                                                                 • How do people prioritise their needs between these different factors?
                                                                                                                                                                                  77
Scoping Study: DFID Regional Hunger and Vulnerability Programme
Programme         Component                                   Policy issues addressed, complementary programmes
Health and food   Health, economic growth and poverty:        Programming HIV/AIDS funds:
insecurity        the impact of the HIV/AIDS pandemic,        • What are the impacts of HIV/AIDS on economic growth and poverty, and how may they be mitigated. [NB
                  and how to alleviate the consequences       Several research programmes underway on this topic.]
                  Impact of other serious diseases            • To what extent do other serious diseases affect economic growth and poverty?
                  (malaria, TB, etc.) and malnutrition upon   What is the extent of malnutrition in the region, what are the key nutrition problems, and what are the trends in
                  growth, poverty and human well-being.       malnutrition?
                                                              • To what extent are programmes in the health and nutrition fields justified in terms of investing for future
                                                              economic growth and welfare?
                  Understanding the interactions              • What accounts for differences in malnutrition, above all of young children, in the region?
                  between health, sanitation, and food        • To what extent do health, sanitation, food intake, and other factors account for such differences?
                  intake, and nutrition outcomes              • How effective are investments in public programmes to improve sanitation and child health in terms of nutrition
                                                              outcomes?
                                                              • How effective are, and what are the relative returns to, remedial actions for malnutrition, including distribution of
                                                              vitamins, food fortification, education on care practices and supplementary feeding?
Improving food    Influencing and changing policy and         Using evidence to best effect:
security policy   programmes for food security and            • What evidence is used in food security policy-making? How complete and reliable is the evidence? How may
making            nutrition: how can knowledge be             the coverage and quality of evidence be improved?
                  generated, and this evidence used to        • What are the ways in which policy-makers and other key stakeholders receive information? Which channels
                  best effect?                                and forms are most effective?
                                                              • What examples do we have of policy change?
                                                              • Why did change take place?
                                                              • What was the role of evidence in this?
                                                              • Are there cases of particularly successful strategies for communicating evidence to decision-makers? [Studies
                                                              of cases of change across countries]
                                                               [NB: Colleen Voegel, University of the Witwatersrand. has a doctoral student looking at the influence of VAC
                                                              findings on policy-making].




                                                                                                                                                                                  78
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Research and advocacy fund for food security learning in the region

319    The aim would be to encourage formal study and analysis of food security issues, and the
dissemination of the results of this work to policy-makers.

320    The means would be a competitive fund to which research organisations in the region
could make bids. The fund would be divided into grants for research projects, funds for
dissemination, and a small grants fund to cover small requests either to initiate research or
disseminate results.

321     Research might be interpreted liberally, to allow forms of action learning and
participatory studies to be funded. Preference would be given to studies that were multi-country,
but studies specific to countries and smaller units would be considered, so long as they showed
the potential to inform thinking across the region.

322      An independent board, constituted within a registered entity and working to agreed terms
of reference, would govern the fund. The board would be made up of eminent individuals in the
food security field acting in their personal capacity, but drawn equally from government, the
research community, NGOs involved in food security work, civil society, and the private sector.
It would meet twice a year to set priorities for studies and issue calls for proposals, to review
submissions, and to suggest ways and means to disseminate results.

323      The fund might also sponsor an annual meeting to present results of the work
commissioned, and to promote discussion on policy implications, dissemination, and further
studies. The Board would be served by a secretariat – in this case the network.

Capacity building for promoting understanding of food security issues in the region

Justification
324      In an area as critical as food security leadership has to come from within countries. Yet
the scoping mission has repeatedly seen the limited national capacity for food security analysis,
planning and policy-making. This shortage is attributed to the exodus of skilled staff from
government and losses to HIV-AIDS. Capacity constraints are evident both within government
and civil society. Lack of capacity further marginalizes governments from humanitarian
activities.

325      A fundamental need is a shared language and conceptual framework for food security; to
be developed with a wide range of stakeholders in each country – including government, civil
society, NGOs, and donors. This spreads the risk from future depletion of government staff and
recognises that civil society plays an important role in decision-making.

Objective
326      The capacity building programme will work with a broad range of stakeholders to create
a platform for national and regional debate on the causes of, and solutions to, food insecurity and
vulnerability.

Activities
327     The intention of this activity is to organize a number of short events (to engage with
senior decision makers and experts) at the national level to introduce a basic understanding of key
food security, vulnerability and poverty concepts to a wide audience of national stakeholders.
Targets for this training include:


                                                                                                     79
Scoping Study: DFID Regional Hunger and Vulnerability Programme



   Journalists, so that the media can engage with the food security debate, and also be linked to
   national early warning capacity;
   Parliamentarians;
   Leaders of civil society organisations; and
   Government staff and donor representatives, to build alliances in support of innovative food
   security concepts and programmes.

328      Twelve in-country training events and two regional events, designed to bring together
senior level policy makers, are planned per year. The precise training agenda would need to be
developed in accordance with country contexts and expressed needs, but priorities are likely to lie
in exploring and explaining concepts of vulnerability, poverty and food insecurity and their
implications for policy.

Inputs
329     Resources are needed for:
    The design of training courses;
    Resource people to travel within the region to conduct meetings;
    National seminars; and
    Organizing and conducting regional meetings.

Comments
330     Training needs to be co-ordinated with both the safety nets learning network and the
vulnerability information system (VIS), since it is intended to create the context for the more
detailed (technical) discussions on vulnerability analysis and safety nets. It is designed to prime
the wider audience. Events need careful sequencing. Specific training needs could be identified
using the national VIS to define both needs and identify participants. The intention is not to do
detailed training for technicians under this component. This would remain under the VIS, or the
safety nets learning network.

Support to raising the voices of the poor for advocacy on food security

331     There is a groundswell of work being done by civil society organisations (CSO) within
the region to promote voices from the grassroots, including those of the poor. Examples include:

   The Malawi Economic Justice Network that includes CISANET, an organisation dedicated to
   agricultural and food issues;
   The Group of 20 in Mozambique, which includes the Poverty Observatory that tracks
   implementation of the Poverty Reduction Strategy (PRS); and
   The Coordinating Agency for NGOs (CANGO) in Swaziland.

Similar groupings are believed to exist in other countries.

332     The emergence of such networks promises to improve the quality of the debate by
ensuring that the diverse voices of the poor and disadvantaged are heard. This would be a
welcome complement to the professional and technical analyses already being carried out.

333      There are questions about the best ways of doing this and the effectiveness of existing
initiatives. Such processes may run the risk of usurping political processes, and hindering the
development of democratic institutions such as political parties.



                                                                                                   80
Scoping Study: DFID Regional Hunger and Vulnerability Programme

334      This said the attractions of work in this area are strong enough to outweigh the
difficulties and risks. A component in this area would be recommended for the this programme,
were it not for DFID having already funded (2003) “Strengthening the Voices of Poor People in
Southern Africa” (SVOPPSA), a five-year programme that has precisely the objective of
strengthening such efforts in southern Africa. This includes a fund to make grants to civil service
organisations in the region, as well as a facility for public policy learning.

335     In addition DFID country programmes in Malawi, Mozambique, Zambia and Zimbabwe
include support to civil society organisations. Hence any recommendation under this programme
would risk duplicating existing funded initiatives.


4.2       Arrangements for Implementation

4.2.1 Vulnerability analysis committee
336     The current VAC system was established within the SADC system and is institutionally
owned, at the regional level, by SADC. The RVAC secretariat (consisting of a SADC FANR staff
member, a SC-UK advisor and a jointly funded WFP/FAO advisor) is co-located in Gaborone
with the SADC FANR secretariat. This location offers a number of advantages:

      It creates a sense of ownership of the RVAC amongst the countries engaged in the VAC
      process;
      In the absence of institutionalisation this gives a degree of legitimacy to the VAC process and
      results at the national level;
      SADC is potentially (although this has not yet been clearly demonstrated) able to use its
      access to the highest level of government to advocate for the VAC process and results;
      The RVAC can work within SADC to introduce concepts of vulnerability into the regional
      level debates;
      Potentially (although this is not foreseeable in the short term) the VAC process could be
      sustained at the regional level through SADC;
      It offers a platform for the extension of the VAC model into the wider region; and
      There is no other regional organization with a governmental mandate for southern Africa,
      short of working through the AU’s NEPAD programme.

337      While a number of other organizations, institutions or even companies could manage the
technical activities there is really no alternative to housing the activity within SADC. The
question that really needs to be debated is where the best position within SADC is, what are the
institutional risks and how can these be minimized.

338      The RVAC is currently housed within the SADC Food and Natural Resources (FANR)
section. This technically holds the mandate for food security. It is closely linked to national
ministries of agriculture and has a particular responsibility for enhancing agricultural production.
In some regards the broader cross-sectoral responsibilities of the VAC sit uncomfortably with
SADC-FANR. SADC has noted this and is considering alternative locations. A more strategically
located Poverty Monitoring Unit is being established, and may be a more suitable location.
However, it is yet to be capacitated. Until this happens the RVAC is expected to stay within the
SADC FANR.

339     SADC is struggling to correct a number of administrative and financial weaknesses. This
presents a major risk to the success of the RVAC. If administratively located within SADC, the
implementation of RVAC activities may be impeded. The best option to minimize this risk is to


                                                                                                  81
Scoping Study: DFID Regional Hunger and Vulnerability Programme

physically locate the activity within the SADC secretariat, have the RVAC activity report to a
board that include SADC, but to contract out the financial and administrative management as part
of a competitive bid. This proposed arrangement is understood to be broadly acceptable to SADC.

4.2.2   Safety Nets Learning Network

340     The organization knowledge, skills and experience required for hosting this activity
include the following criteria:

    A regional profile which includes technical expertise in food security, social welfare and
    vulnerability issues;
    Linkages to government staff, researchers, practitioners, donors and civil society actors in the
    relevant field;
    Ability to manage a large, internet based, information dissemination system for the SADC
    region and beyond;
    An ability to quickly develop a targeted regional database for dissemination;
    Skills in advocacy and linking information to policy making, including links to the media;
    Ability to organize regional workshops and meetings; and
    A location within the region that offers cost effective and good physical and virtual regional
    communications (flights, internet connectivity and language considerations).

341     A number of regional institutions match, with varying accuracy, this profile. Candidates
could be drawn from amongst:

    Existing networks (SARPN, FANRPAN)
    Universities (Wits, UKZN, UWC, UCT, Botswana)
    NGOs (CARE, OXFAM, SC-UK)
    Private consultancy groups
    Existing donor funded projects (FEWS NET)
    Intergovernmental regional organizations (SADC, COMESA)
    UN agencies (RIACSO)
    The establishment of an entirely new network
    Combinations of the above.

342      This theoretically large list would need to be assessed further against practical criteria.
Many of these agencies may have little interest in hosting such a network. It would obviously be
more cost effective to attach the safety nets learning network to an established institution. The
start-up costs of a new network would be considerable. A further critical consideration is a
strategic location that will maximize the opportunities for sustainability.

343     Taking all of these factors into account the obvious choice would be to locate the
functions within an existing network. This will draw on established skills and regional contacts,
minimize start-up costs and enhance the opportunities for sustainability.

344      The risk associated with this is that the new network activity will not receive sufficient
attention and priority within an established structure. This risk may be mitigated through:

    The design of the activity, with a dedicated manager for the safety net activity, and
    Sufficient management oversight through a strong board and/or a quality control by the agent
    appointed to manage the RHVP funds.



                                                                                                      82
Scoping Study: DFID Regional Hunger and Vulnerability Programme

345     As this project will fall under the overall RHVP, SADC should be invited to directly
participate in the management. This could occur through participation in the management board.

4.2.3       Support for medium- and small-scale food traders

346      Two variants were presented. In the favoured option, that of national advisers, these
would be recruited by the managing agent and seconded to national associations of private sector
interests, probably a chamber of commerce. Starter funds would be handled by the managing
agent, the advisers having an imprest in a bank account in their country, to be drawn down
according to agreed rules and subject to reporting and auditing.

347      In the other option, that of a single regional adviser, again the managing agent would
recruit. It is recommended that the adviser be attached to the SADC secretariat. Either FANR or
TIFI might be home for the adviser, or else, given the crosscutting nature of the adviser’s role
s/he might report directly to the Chief Director’s office. To avoid a possible bottleneck in the
handling of the starter funds these might remain with the managing agent, to be drawn upon by
the adviser according to terms of reference and with dual reporting to the managing agent and
SADC.

4.2.4       Evidence and advocacy in food security

348      Regional network for food security: while this could be advertised on a competitive
tender, there are few agencies within the region that would be able to fill the technical
requirements. The recommendation is contract this to the leading existing network, the Food,
Agriculture and Natural Resources Policy Analysis Network (FANRPAN) — see Box 4.1 for
more details of the network.

349      The advantages of using FANRPAN include that it is established and constituted, based
in the region, uses regional capacity and aims to enhance that capacity. It is the main and,
perhaps, the only network that deals specifically with food security. Thanks to its origins it is seen
as a locally owned, rather than a donor-driven body. This means that potentially it can broach
difficult policy issues, such as land tenure reform, without raising the suspicion that this is a
stalking horse for extra-regional interests. FANRPAN is also linked to external research centres,
including IFPRI, ICRISAT, MSU and ODI.

350     On the other hand, some of its national nodes are weak. They have no funding from the
centre other than the chance to participate in research and consultancy contracts, and depend on
the goodwill and resources of the node hosts – in some cases themselves short of resources. A
stronger core will provide them some benefits, as would the opportunity to bid for a competitive
research fund. If there were more resources, providing them with the kind of programme assistant
that FANRPAN has in mind would raise their capacity.

351     It is not clear how effective a network FANRPAN can be, either in creating useful,
policy-orientated learning or disseminating this. Outputs so far have been modest, and
dissemination limited – few informants even knew of FANRPAN, let alone made any use of its
outputs. That said, in March 2003 FANRPAN was the principal agency in bringing together more
than 100 stakeholders in food security policy from across the region, including deputy secretaries,
permanent secretaries and a few ministers. Not many other agencies could have achieved this.38


38
     At least one DFID adviser present commented favourably on the meeting.


                                                                                                   83
Scoping Study: DFID Regional Hunger and Vulnerability Programme

352     There also some doubts about the status of FANRPAN, now that it is not only legally, but
also geographically split from SADC-FANR. It is understood, however, that the board of
FANRPAN is looking to reach a working agreement with the secretariat that preserves the
autonomy of the network, while ensuring that it has the SADC’s blessing. This is important for
making its work acceptable to the governments of the member states.

353    Funding FANRPAN would be a risk, but some of the deficiencies to date arguably stem
from not having the core funding to make progress on a programme of work.

Box 4.1:      Food, Agriculture and Natural Resources Policy Analysis Network (FANRPAN)

FANRPAN was started in 1999 on the initiative of concerned academics, NGO practitioners and
policy-makers, all of them nationals of the region, as a vehicle to promote learning and informed
debate on policy issues surrounding food and food security, agricultural and rural development
and the management of natural resources.

Although FANRPAN corresponds to SADC structures, it is an autonomous NGO registered in
Zimbabwe. A board that has two representatives from each of the private sector, universities,
governments, donors and farmer associations governs it. Serving the board is a core team that
has varied between two and three professionals. The centre serves national nodes in eleven
SADC member countries. The nodes have the same structure of a national committee with similar
representation, and each node should have a technical group in place. In most of the eleven
countries39 a policy analyst in the agricultural ministry or in a university department of agricultural
economics makes up the technical side of the node.

Funding has been a persistent bugbear over the five years of the Network’s existence. USAID
and the Rockefeller Foundation have provided grants but for periods of less than one year and
specifically for purposes of planning and establishment. FANRPAN has survived through donor
consultancies40 but these have given only partial coverage of topics and countries and the
network has been unable to build a programme.

354     The proposal is to provide core funding for the centre, consisting of a director and two
other professionals, one a policy analyst to bring ideas together and recommend lines of
investigation, the other an information person with skills in communication and advocacy. The
core group would be expected to lead the network, providing services to the national nodes and
securing funds for research and dissemination.

355      In drawing up a contract with FANRPAN, emphasis could be placed on the need to
ensure that the work is focused on policy issues, that results are better disseminated, and that the
network links with other similar networks – such as that proposed for learning about safety nets,
the national VACs, and CSOs active on food security in the region (see below).

356      Research and advocacy in food security fund: the fund would need two elements to
operate; a secretariat to run competitions and administer funds, and an independent board to
provide guidance and adjudicate on funding decisions. FANRPAN could act as the secretariat,
while the board could be an autonomous adjunct of the network. Members of the FANRPAN
board could not, however, also sit on the board to the fund. The advantage of having FANRPAN
act as secretariat to the fund is that the network would then be well placed to disseminate the

39
  Covers the SADC countries, but not Angola, DR Congo, Seychelles.
40
  Examples include work on livelihoods for USAID/RCSA, contract farming for the French government, agricultural
bio-technology for the US Grains Council, and on HIV/AIDS for the EU & SADC.


                                                                                                              84
Scoping Study: DFID Regional Hunger and Vulnerability Programme

results of the studies carried out. An alternative would be to use the offices of the Southern Africa
Trust.

357       Capacity building for promoting understanding of food security issues: the EU-
funded Regional Food Security Training Project (RFSTP) would be well placed to implement
this. It has experience of identifying training needs, and contracting out the provision of courses.
Currently funded until the end of 2005, its future beyond that date is uncertain. SADC has not
made this a priority for funding under the 9th EDF  despite a recommendation form the mid-
term evaluation of 2002 that it should be funded through this window.41

358      If the RFTSP were not suitable or able to implement this part of the programme might be
advertised under a competitive tender administered by the managing agent. Possible bidders for
this activity would include universities, NGOs and networks.

4.2.5 Managing agent
359    The whole programme would be administered by an agent, responsible in general for the
management of the programme, and specifically for hiring advisers, administering one
competitive bid, holding funds for specified activities and so on.

Table 4.3:             Summary of proposals and implementing agencies

Proposal                                      Implementing agency
Managing agent                                Let out on competitive tender within the
                                              region
Regional technical assistance to the Adviser hired by managing agent,
national VAC                         attached to SADC
Safety net learning network                   Let out on competitive tender within the
                                              region
Capacity building for food security           Let out on competitive tender within the
                                              region
Supporting medium- and small-                 1. Adviser hired by managing agent,
scale food traders                            attached to SADC
                                              2. 3 x country advisers attached to
                                              chambers of commerce
Research and advocacy network                 FANRPAN

Research and advocacy fund                    FANRPAN as secretariat; independent
                                              Board to govern




41
     It is not clear just how active the RFSTP is: the last annual report available is for 2002.


                                                                                                   85
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Annex 1:              People & organisations interviewed


NAME                                           DESIGNATION                   INSTITUTION42

                                                Regional: SA based
Gauteng
Michael Drinkwater                                                   CARE, Regional
Rene Verduijn                     RVAC Support                       Consultant: VACs
Steve Goudswaard                                                     C-SAFE
Johan Kirsten                     Professor                          Department of Agricultural
                                                                     Economics, University of Pretoria
Graham Farmer                                                        FAO
Phumzile Mdladla                                                     FEWSNET
Steve Shone                       General manager                    Grain South Africa
Richard Hess                      Chairman                           Imani Development Group
Bruce Mawere                      Trader                             Louis Dreyfus Africa (Pty) Ltd,
                                                                     Sandton
Maarten Venter                    Procurement & Marketing            Louis Dreyfus Africa (Pty) Ltd,
                                  Manager                            Sandton
Tobias Takavarasha                Agricultural Advisor (FAO)         NEPAD, Midrand
Richard Mkandawire                Agriculture Advisor                NEPAD, Midrand
Jane Cocking                                                         Oxfam
Chris Sturgess                    Manager                            Safex, Agricultural Division, JSE,
                                                                     Johannesburg
Greg Ramm                         Regional Office Coordinator        Save the Children UK
Anne Witteveen                                                       Save the Children UK
Chris van Rensberg                General manager                    South African National Seed
                                                                     Organisation SANSOR
Stephen Hanival                   Executive Director                 Trade & Industrial Policy
                                                                     Strategies
Patrick Smith                                                        USAID
Pedro Figueiredo                  Logistics Officer, Southern        World Food Programme
                                  Africa
Catharina Powell                                                     World Food Programme
Philip Hovmand                                                       World Food Programme
Deborah Saidy                                                        World Food Programme
Joyce Luba                                                           World Food Programme

                                                  Country Visits
Botswana
Maria-Lisa                                                           European Commission,
Santonocito                                                          Gaborone
Margaret Nyirenda                 Supervisor                         Food, Agriculture & Natural
                                                                     Resources Directorate, SADC,
                                                                     Gaborone
Stefan de Keyser                  Technical Advisor for Crop         Food, Agriculture & Natural
                                  Development                        Resources Directorate, SADC,
                                                                     Gaborone
Bentry Chaura                     VAC Chair                          SADC

42
     Institution names in alphabetical order


                                                                                                          86
Scoping Study: DFID Regional Hunger and Vulnerability Programme

NAME                             DESIGNATION                          INSTITUTION42
Gary Sawdon               VAC Support                        SC-UK
Stefan Andersson          Programme Officer                  Swedish Embassy, Gaborone
Sennye Obuseng,           Deputy Resident Representative     UNDP, Gaborone
Bioneelo Letshabo                                            UNDP, Gaborone
Constance Formson                                            UNDP, Gaborone
Eliot Vhurumuku           VAC Member                         WFP/FAO

Lesotho
James Atema               PRSP                               DFID
Diane Webster             Head of Office                     DFID
Tlelima Phakisi                                              DFID
Dr Castro Camarada        Representative                     FAO
Alex Carr                 Representative                     FAO
Mr              Pepetsi   Nutritionist                       FNCO
Manyamalle
Ms.           Pseletso    Assistant Economic Planner         FNCO
Makhema
Simon K Phafane           Executive Director                 KDA
                          Deputy President                   LCCI
Mr. Thuso Thokwa                                             LCCI
Seabata Motsamai          Director                           LCN
Peter Muhangi             Livelihoods Advisor                LVAC
Mapalesa Mothokho         Chair                              LVAC
Lineo Mathule             Lesotho Agricultural College       LVAC
Mrs Lesenya               Senior Economic Planner,           MAFS
                          Planning and Budgeting Division
Lucy Phakisi              Senior Economic Planner,           MAFS
                          Department of Planning and
                          Policy Analysis
Mrs L. Hlasoa             Chair, PRSP Secretariat            MoFDP
Mahlape T Qoane           Deputy Principal Secretary         MTICM
Makali P Nathane          Senior Industrial Development      MTICM
                          Officer
Dr Agostino Munyiri       Project Officer – Child Survival   UNICEF

Malawi
Ed Musopole                                                  Action Aid
Mathews Madola            Research Fellow                    Agricultural Policy Research
                                                             Unit, Bunda College of
                                                             Agriculture, University of Malawi
Nick Osborn               Country Director                   CARE Malawi
Dr Harry Potter OBE       Livelihoods Advisor                DFID Malawi
Paul Ginies               Food Security Expert               European Union
Sam Chimwaza              Country Representative             FEWS NET
Andrea Pozza              Technical Advisor                  Food Crisis Joint Taskforce
Allan Chintedza           Food Security & Nutrition Policy   Food Security & Nutrition Policy
                          Coordinator                        Working Group
Pickford S                Agro-economist                     Food Security & Nutrition Policy
                                                             Working Group, Lilongwe
Beatrix N                 Nutritionist                       Food Security & Nutrition Policy
                                                             Working Group, Lilongwe
Collins Magalasi          Co-ordinator                       Malawi Economic Justice
                                                             Network



                                                                                                 87
Scoping Study: DFID Regional Hunger and Vulnerability Programme

NAME                           DESIGNATION                  INSTITUTION42
Patricia Nyirenda    Food Security Unit, also      Ministry of Agriculture & Co-
                     member of VAC                 operatives, Planning Division
Isaac Chirwa         Statistician                  Ministry of Agriculture & Co-
                                                   operatives, Planning Division
Christine Chamina    Commerce                      Ministry of Commerce &
                                                   Industry, Lilongwe
J Bunda              Planning Unity                Ministry of Commerce &
                                                   Industry, Lilongwe
Fanny Bibi Kundaya   Deputy Director of Industry   Ministry of Commerce &
                                                   Industry, Lilongwe
Patricia Zimpita     NVAC Zambia Chair, Deputy     Ministry of Economic Planning
                     Director (monitoring &        and Development
                     evaluation)
Teresa Banda                                       Ministry of Health
Jason Agar                                         National Action Group, Blantyre
Patrick Makina       General Manager               National Food Reserve Agency,
                                                   Lilongwe
TN Saukila                                         National Food Reserve Agency,
                                                   Lilongwe
Catherine Lefebvre   Food Security Advisor         Oxfam, Malawi
Charles Rethman      Food Security Advisor         SC-UK
Peter Hailey         Nutrition Project Officer     UNICEF, Lilongwe
Kenneth Wiyo         Agriculture                   USAID, Lilongwe
Austen Tembo         Natural Resource Management   USAID, Lilongwe
Richard Kimball      Private Sector Development    USAID, Lilongwe
Gerard van Dijk      Representative                World Food Programme,
                                                   Lilongwe
John Mandere                                       WVI

Mozambique
SETSAN Group
Marcella Libombo     SETSAN Chair
Leonor Domingos      VAC Chair
Gabriel Dava         Director                      CIDA, Maputo
Julia Compton        Livelihoods Adviser           DFID, Maputo
Emidio Oliveira                                    DFID, Maputo
Alison Beattie                                     DFID, Maputo
Alicia Herbert                                     DFID, Maputo
Paul Wafer                                         DFID, Maputo
Melanie Speight                                    DFID, Maputo
Esther Bouma         Food Security Analyst         FAO
Peter Vandor         Country Representative,       FAO
                     Mozambique and Swaziland
Michele McNabb                                     FEWS NET
Bridget Walker       Economic Advisor              Irish Aid, Maputo
Representatives                                    Ministries of Health, Education
                                                   and Women
Kathy Duffield                                     Oxfam Australia
Karen Jackson        Development Programme         SC UK
                     Officer
Owen Calvert                                       WFP
Anthea Spinks                                      World Vision, Maputo
Carlos Santapiedra                                 World Vision, Maputo



                                                                                     88
Scoping Study: DFID Regional Hunger and Vulnerability Programme

NAME                          DESIGNATION                           INSTITUTION42

Swaziland
Choice Ginindza      Statistician                          Agriculture Division, Central
                                                           Statistical Office, Ministry of
                                                           Economic Planning and
                                                           Development
Emmanuel             Co-ordinator                          CANGO
Ndlangamandla
Maqhawe David        Principal Statistician, Agriculture   CSO, MEPD
Gama                 Division
George               Swazi VAC Chair                       Dept. of Agricultural Extension,
Ndlangamandla                                              MOAC

                     Deputy Prime Minister                 DPMO
Dr Ben Sibandze      Chair, National Disaster Task         DPMO
                     Force
Aloys Lorkeers       Resident Advisor                      European Union
Lungile Mndzebele    VAC Coordinator                       EWU, MOAC

Khanyisile Mabuza    Assistant Representative              FAO
Ephraim M. Hlophe    Principal Secretary                   MEPD
Thembumenzi Dube     VAC Core Team member                  Ministry of Agriculture and
                                                           Cooperatives
Lonkhululeko         Senior Economist, Poverty             Ministry of Economic Planning
Sibandze             Reduction Unit                        and Development
N.M. Nkambule        Permanent Secretary                   MOAC
Patrick K. Lukhele   Director of Agriculture               MOAC
                     Senior Agricultural Economist         MOAC
Dube Thembumenzie    Agricultural Economist                MOAC
Obed N Hlongwane     Chief Executive Officer               NAMBOARD
Peter M Ginindza     Chief Financial Officer               NAMBOARD
Deborah L Cutting    Project Co-Ordinator: Baby            NAMBOARD
                     Vegetables
Henry Mndawe                                               NAMBOARD
Derek von Wissell    National Director                     National Emergency Response
                                                           Council on HIV/AIDS (NERCHA)
Busi M Dlamini       Accountant                            National Maize Corporation (Pty)
                                                           Ltd
Alex Rees            Livelihoods Advisor                   Save the Children, UK

Jordan Hamilton      Recovery Programme Officer            UN Office of the Resident
                                                           Coordinator
Nombusu Thanda       UNDP Poverty Unit                     UNDP
Jabulane Dlamini     Head of Governance                    UNDP
                     Programme and Economist
Sibongile Maseko     Head of HIV/AIDS and Poverty          UNDP
                     Mainstreaming Programme
Cedric Dladla        Programme Assistant                   UNDP
Lare Sisay           Resident Coordinator                  UNDP
Sharon Neeves        Project Officer                       UNFPA
Gabriel Galgalo      Consultant                            UNICEF
Christian Anumand    Information Specialist                WFP




                                                                                              89
Scoping Study: DFID Regional Hunger and Vulnerability Programme

NAME                           DESIGNATION                      INSTITUTION42

Zambia
George Allison         Managing Director                Afgri Corporation Limited,
                                                        Lusaka
Brenda Cupper                                           CARE
Charles Chanthunya     Director of Trade, Customs &     COMESA
                       Monetary Affairs
Shamseldin Salim       Agricultural Economist           COMESA
Waitpaso Mkandawire    Senior Investment Promotion      COMESA
                       Officer
Mrs Asfaw              Technical co-operation           COMESA
Isaac S                Technical co-operation           COMESA
Mark Pearson           Regional Integration Advisor     COMESA
Carolyn Chibinga       Project Coordinator, Public      Department of Social Welfare,
                       Welfare Assistance Scheme        Ministry of community
                       (PWAS)                           Development and Social
                                                        Services
John Hansell           Private Sector Advisor           DFID Zambia
Grace Chibowa          Senior Programme Officer,        DFID Zambia
                       Education and Social
                       Development
Chembo Mbula           Head, Information Management     DMMU
                       System and NVAC Chair
Patrick Kangwa         Principal Research Officer       DMMU
Tesfai Ghermazien      Emergency Coordinator for        FAO
                       Zambia
Chansa Mushinge        Country Representative, Zambia   FEWS NET
Alfred Mwila           Deputy Country Representative    FEWS NET
Jan Nijhoff            In-country Project Coordinator   Food Security Research Project,
                                                        Michigan State University,
                                                        Lusaka
Claire Barkworth       Ex Relief & Recovery Advisor     Formerly DFID Zambia
Jan Neirhoff                                            FRSP
Vesper Chisumpa        Quantitative Analyst             Policy Project (USAID)
Kaseba Roberts         Office Manager                   Policy Project (USAID)
Kabwe
Shem Simuyemba         Trade Policy Specialist          Regional Agricultural Trade
                                                        Expansion Support Program
                                                        (RATES), Lusaka
Dr Stella Goings       Country Representative           UNICEF
Dr Birthe Locatelli-   Head: Health Section             UNICEF
Rossi
Rory                                                    UNICEF
Jorge Fanlo-Martin     Deputy Country Director          World Food Programme
Jacob Mwale            Trade & Policy Analyst,          Zambia Trade & Investment
                       Agribusiness                     Enhancement Project (ZAMTIE,
                                                        Lusaka)

Zimbabwe
Erika Keogh            Independent consultant
Stephen     Gwynne-    Assistant Country Director       CARE Zimbabwe
Vaughan
Reneth Mano                                             Department of Agricultural



                                                                                          90
Scoping Study: DFID Regional Hunger and Vulnerability Programme

NAME                          DESIGNATION                        INSTITUTION42
                                                        Economics & Extension,
                                                        University of Zimbabwe
John Hansell          Rural Livelihoods Adviser         DFID Zambia
Tom Barrett           Rural livelihoods adviser         DFID Zimbabwe
Joanne Manda          Deputy Programme Manager          DFID Zimbabwe
Luke Mukubvu          Governance Advisor                DFID Zimbabwe
Patrick Phipps        Regional Food Aid/Food            European Commission
                      Security Co-ordinator
Lindiwe Sibanda       Chair                             FANRPAN, Harare
Kathy Rutivi          Programme Co-ordinator            FANRPAN, Harare
Roderick Charters     Emergency co-ordinator for        FAO, Harare
                      Zimbabwe
Michael Jenrich       Agricultural Advisor, Emergency   FAO, Harare
                      Unit
Blessing Butaumocho                                     FEWS NET
Jonathan Kafesu       Director                          FOSENET
Leonard Turugari      Deputy Director, Policy and       Ministry of Public Service,
                      Special Programmes, Social        Labour and Social Welfare
                      Services Department
Antoine Gerard        Head of Unit, OCHA Senior         Office of the Humanitarian
                      Humanitarian Advisor              Coordinator, Relief and
                                                        Recovery Unit
Vincent Lelei         Humanitarian Affairs              Office of the Humanitarian
                      Coordinator                       Coordinator, Relief and
                                                        Recovery Unit
Chris McIvor          Country Programme Director        Save the Children
Alwin Nijholt                                           UNDP
Paul Weisenfeld,      Mission Director                  USAID, Harare
Candace Buzzard       General Development Officer       USAID, Harare
Kevin Farrell         Country Representative            WFP
Joyce Chanetza        Chair                             Zim VAC

Advisory Meeting
Michael Drinkwater    CARE, Regional
Tom Kelly             DFIDSA
Phumzile Mdladla      FEWSNET
Scott Drimie          HSRC
Gavin Maasdorp        Imani
Tobias Takavarasha    NEPAD
John Howell           ODI, DFID RHVP Programme Design Consultant
Richard Humphries     SARPN
Hilton Zunckel        Tralac
Claudia Hudspeth      UNICEF
Coleen Vogel          Wits University




                                                                                      91
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ANNEX 2: REGIONAL TRADE & POLICY INITIATIVES

There are several trade agreements that have been entered into by the most of countries in the
Southern African region. These include the customs union, regional; bilateral and
international trade agreements. Currently the trade initiatives that exist within the region are
Southern African Customs Union (SACU) Agreement; Southern Africa Development
Community Trade Protocol (SADC TP); Common Market for Eastern and Southern Africa
Free Trade Agreement (COMESA FTA) as well as the bilateral trade agreements between
some of the countries within the region. Trade initiatives that exist at the international level
include the World Trade Organization (WTO); United States’ Africa Growth and Opportunity
Act (AGOA); and the Partnership Agreement between the African, Caribbean and Pacific
countries and the European Union (ACP-EU) of Cotonou. Objectives of the above trade
policy initiatives are summarized as follows:

Trade                                                    Objectives
Agreements
SACU             •    Provides for a common external tariff and a common excise tariff to this common
                      customs area.
                 •    Promote ease trade flows in the area.
                 •    Provides an extended market for members’ goods including agricultural products
SADC TP          •    Harmonisation and rationalisation to enable the pooling of resources to achieve
                      collective self-reliance in order to improve the living standards of the people of the
                      region.
                 •    Establish an FTA in 2008.
COMESA FTA       •    Removal of the structural and institutional weaknesses in the member States by
                      pooling their resources together in order to sustain their development efforts either
                      individually or collectively.
                 •    Promote free trade between member states.
WTO              •    Eliminate all quantitative restrictions, establish, bound, tariff-based protection and
                      reduce existing border protection.
                 •    Substantial improvements in market access.
                 •    Reduction of, with a view to phasing out, all forms of export subsidies.
                 •    Substantial reductions in trade-distorting domestic support.
AGOA             •    Offers tangible incentives for African countries to continue their efforts to open their
                      economies and build free markets
                 •    Provides reforming African countries with the most liberal access to the US market
                      available to any country or region with which the United States does not have a
                      Free Trade Agreement. Extends Generalised System of Preferences (GSP) to a
                      large number of tariff lines
ACP-EU           •    Provides non-reciprocal trade preferences available to ACP countries.
                 •    Poverty reduction in ACP countries




                                                                                                92
Scoping Study: DFID Regional Hunger and Vulnerability Programme



            Agreement      SACU           SADC       COMESA         WTO          AGOA     ACP-EU
Country
Lesotho                                                X
Malawi                          X                      X
Mozambique                      X                      X
Swaziland
Zambia                          X
Zimbabwe                        X



Donor matrix for COMESA

Project/Study                              Donor              Funding              Countries
Rules of Origin                            EU                 N/A                  COMESA
WTO Rules and Regulations                  USAID              US$221 000           COMESA
African Trade Insurance Agency (ATI)       IDA/EU             EUR740 000           4 member states
Regional Harmonization of Customs &        EU                 EUR 12.6 million     COMESA
Statistics (RHCSSP)
COMESA PPIU                                ADF                US$ 3.2 million      COMESA
Irrigation Development Study               ADF                US$ 0.19 million     COMESA
NTBs                                       EU/UNCTAD          N/A                  COMESA
FTA Expansion                              EU/USAID           N/A                  COMESA
Regional Integration Phase II              EU                 EUR 2.0 million      COMESA
Standardization, Quality, Metrology and    EU                 EUR 8.5 million      COMESA
Testing Programme (SQMT)
Harmonization of agricultural policy in    PGTF/UNDP          US$ 60 000           COMESA
COMESA
Policy networking & communications         USAID              US$ 210 000          COMESA
systems
Regional Integration Research Network II   IDRC/EU            US$ 260 000          COMESA




                                                                                                93
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Donor matrix for SADC

Directorate   Sector          Project                            Donor        Project        Start & End       Project Status
                                                                              Amount         Date
FANR          Crop            Institutional support to the       Belgium      € 1 596 967    03/01/2002 –      Implementation phase:
                              Directorate in crop development                                31/122004         Ongoing
              Livestock       Promotion of Regional              European     € 7 900 000    26/01/2004 –      Ongoing
                              Integration in the SADC            Commission                  31/12/2009
                              Livestock Sector: - PRINT
                              Food and Mouth Disease             European     € 12 500 000   N/A               Formulation Phase:
                                                                 Commission                                    Pipeline
                              Animal Disease Control             European     € 10 000 000   17/03/1994 –      Closed
                                                                 Commission                  31/12/2002
              Food Security   8 ACP RAU - Regional Food          European     € 4 153 000    13/08/1999 –      Ongoing
                              Security Training Workshop         Commission                  31/12/2010
                              9 ACP SAD - Regional Food          European     € 830 000      13/08/1999 –      Ongoing
                              Security Training Workshop         Commission                  31/12/2010
                              Promotion of small scale seed      Germany      € 1 789 521    9/1999 – 3/2002   Finalised
                              production
                              Support to the sorghum and         Germany      € 2 061 528    10/1993 –         Finalised
                              millet improvement program                                     3/2002
                              Promotion of legume cultivation    Germany      € 2 362 168    7/1995 – 6/2003   Finalised
                              Regional Food Security             UK           € 7 482 790    Ends 2007         Design stage
                              Programme (Regional Hunger
                              and Vulnerability)
                              Regional Land Facility             UK           €7 482 790     N/A               In discussion between
                                                                                                               DFID/UNDP/SADC
                              Expanded Market for                USA          € 6 764 000    13/06/2000 –      Ongoing
                              Commercial Agriculture                                         30/09/2004
              Agricultural    Agriculture and Research           European     € 15 000 000   14/11/2003 –      Ongoing
              Research and    Training Programme: ICART          Commission                  31/12/2010
              Training        Fund for Innovative and Regional   France       € 1 600 000    2002 – 2006       Ongoing
                              Collaborative Projects (FIRCOP)




                                                                                                                                       95
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Directorate     Sector       Project                            Donor        Project        Start & End       Project Status
                                                                             Amount         Date
                             Support to agricultural sector     France       € 1 600 000    2003 - 2007       Ongoing
                             stakeholders of Southern Africa
                             Support to SACCAR                  Germany      € 6 264 222    1/1995 –          Finalised
                                                                                            12/2002
                             Support to the training            Germany      € 2 045 167    9/1993 – 3/2002   Finalised
                             programme CONVERDS
SHDSP           HRD          HIV/AIDS in the HRD sector         Belgium      € 4 250 000    2004 - 2007       Identification phase:
                                                                                                              Pipeline
                Health       Multi-sectoral response to         European     € 3 114 000    20/11/2000 –      Ongoing
                             HIV/AIDS (capacity building        Commission                  30/06/2006
                             component funded under EDF)
                             Multi-sectoral response to         European     € 4 500 000    23/01/2001 –      Ongoing
                             HIV/AIDS (grant component          Commission                  22/01/2006
                             funded under SA budget line)
                             Regional HIV/AIDS awareness        European     € 10 000 000   N/A               Ongoing
                             and education programme            Commission
                             Southern Africa regional SADC      UK           € 11 448 668   Ends 31/12/2006   Ongoing
                             HIV/AIDS Programme
                             Soul City Regional HIV/AIDS        UK           € 5 986 232    Ends 31/12/2007   Ongoing
                             Programme
                             Regional DFIDSA HIV/AIDS           UK           € 9 428 315    Ends 31/12/2006   Ongoing
Parliamentary                Seminar on role of Parliament in   Belgium      € 100 000      11/2003           Under negotiation:
Forum                        the Cotonou Agreement                                                            Pipeline
TIFI            Trade        SADC Regional Integration and      European     € 9 000 000    N/A               Identification/
                             Trade Facilitation                 Commission                                    formulation phase:
                                                                                                              Pipeline
                             SADC EPA Negotiation Support       European     € 5 000 000    N/A               Identification/
                             Facility                           Commission                                    formulation phase:
                                                                                                              Pipeline
                             Customs Modernisation              European     € 20 000 000   N/A               Identification/
                                                                Commission                                    formulation phase:
                                                                                                              Pipeline




                                                                                                                                      96
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Directorate      Sector      Project                            Donor        Project        Start & End        Project Status
                                                                             Amount         Date
                             UNCTAD Trade and Services          European     € 1 090 000    N/A                Appraisal phase:
                                                                Commission                                     Pipeline
                             Support to the Implementation of   Germany      € 771 942      12/2000 –          Finalised
                             the SADC Protocol on Trade                                     9/2002
                             Advisory services for private      Germany      € 3 322 374    12/1998 –          Phase completed
                             business                                                       12/2002
                             Advisory services for private      Germany      € 3 579 000    1/2003 –           New phase: ongoing
                             business                                                       12/2006
                             Support to the Implementation of   Germany      € 1 500 000    N/A                Planned: Pipeline
                             the SADC Protocol on Trade at
                             national level
                             Regional Trade Facilitation        UK           € 16 462 137   Ends 2007          Ongoing
                             Programme
                             Africa Trade and Poverty           UK           € 1 945 525    Ends 2007          Ongoing
                             Programme
                             Making Commodity and Service       UK           € 22 448 369   Ends March         Ongoing
                             Markets Work for the Poor                                      2008
                             (ComMark)
                             Regional Market Integration        USA          N/A            18/9/1998 –        Ongoing
                                                                                            30/9/2004
                 Other       EU/SADC Regional Statistical       European     € 4 800 000    03/01/2001 –       Implementation phase:
                             Training Programme                 Commission                  31/12/2005         Ongoing
Infrastructure   Transport   Rehabilitation of                  European     € 10 000 000   1992 – no expiry   Ongoing
and Services                 Maputo/Chicualacuala (Limpopo)     Commission                  date
                             Railway
                             Rehabilitation of Beira-Inchope    European     € 20 000 000   1995 – no expiry   Ongoing
                             Road                               Commission                  date
                             Rehabilitation of Monze-Zimba      European     € 13 000 000   18/02/1999 –       Closed
                             Road                               Commission                  31/12/2003
                             Rehabilitation of Mpulungu         European     € 1 500 000    07/03/2000 –       Ongoing – to be closed
                             Harbour                            Commission                  31/12/2004
                             Mtwara Corridor                    European     € 20 000 000   N/A                Identification/formulation
                                                                Commission                                     phase: Pipeline




                                                                                                                                        97
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Directorate   Sector         Project                           Donor        Project        Start & End    Project Status
                                                                            Amount         Date
                             Great Limpopo Trans-frontier      European     € 4 900 000    N/A            Identification/formulation
                             Park                              Commission                                 phase: Pipeline
                             Walvis Bay Corridor               European     € 10 500 000   N/A            Formulation phase:
                                                               Commission                                 Pipeline
                             Lubango to Santo Clara Road       European     € 30 000 000   N/A            Identification/formulation
                             (Angola)                          Commission                                 phase: Pipeline
                             Rehabilitation of Milonge-        European     € 30 000 000   N/A            Formulation phase:
                             Macuba Road, Mozambique           Commission                                 Pipeline
                             Regional Market Integration:      USA          N/A            18/9/1998 –    Ongoing
                             SADC Transport Efficiency                                     30/9/2004
                             Project
Secretariat   General        EU/SADC Regional Integration      European     € 15 615 000   04/07/2001 –   Ongoing
                             and Capacity Building             Commission                  30/06/2007
                             Programme
                             Support to the SADC Secretariat   Germany      € 4 535 000    10/2002 –      Ongoing
                             (incl. Trade component and                                    5/2005
                             Private Sector component)
Regional      HIV/AIDS       Action to combat the spread of    European     € 999 507      01/03/2000 –   Ongoing
Other                        HIV/AIDS and other STD’s in the   Commission                  31/12/2005
                             road transport sector of South
                             Africa, Zimbabwe and
                             Mozambique (grants contract
                             GTZ)
                             PSG Regional HIV/AIDS             Norway       € 17 006 587   2002 - 2006    In progress
                             Programme
                             SANASO – Southern African         Sweden       € 108 696      01 – 12 2003   Ended
                             Network of Aids Services
                             SANASO – Southern African         Sweden       € 130 435      01/2003 –      Indicative: Pipeline
                             Network of AIDS Services                                      12/2004
                             Organisations
                             NIR/SMF development of            Sweden       € 108 696      2003 – 2004    Indicative: Pipeline
                             HIV/AIDS workplace Policies at
                             Swedish related companies




                                                                                                                                   98
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Directorate   Sector         Project                               Donor        Project       Start & End    Project Status
                                                                                Amount        Date
                             SAfAIDS – Southern Africa Aids        Sweden       € 652 174     08/2001 –      Ongoing
                             Information Dissemination                                        05/2004
                             Service
                             SAFAIDS: Aids in Africa – A           Sweden       € 239 130     2003 – 2004    Ongoing
                             Continent in crisis
                             Regional Psychosocial Support         Sweden       € 2 939 130   05/2002 –      Ongoing
                             Initiative for Children Affected by                              05/2007
                             Aids (REPSSI)
                             UNDP Capacity Building                Sweden       € 217 391     2002 – 2003    N/A
                             Programme for Mainstreaming
                             HIV/AIDS in Development
                             UNICEF-OVC Programme on               Sweden       € 3 260 870   2002 – 2004    Ongoing
                             Aids orphans Children’s rights
                             FEMINA                                Sweden       € 1 346 152   2002 – 2005    Ongoing
                             International HIV/AIDS Alliance       Sweden       € 652 174     2002 – 2004    Ongoing
                             (IHAA)
                             UN Habitat: Building Capacity for     Sweden       € 691 304     2004 – 2005    Indicative
                             Municipal Government and other
                             Stakeholders to deal with the
                             Impact of HIV/AIDS
                             UNAIDS Scenario                       Sweden       € 543 478     2003 – 2004    Ongoing
                             ILO: HIV/AIDS in the Transport        Sweden       N/A           N/A            Indicative
                             Sector
                             ILO: HIV/AIDS in the Informal         Sweden       N/A           N/A            Indicative
                             Sector
                             Partnership on HIV/AIDS and           Sweden       € 1 630 435   10/2003 –      Ongoing
                             Mobile Populations in Southern                                   10/2006
                             Africa (IOM-PHAMSA)
              Other          Macroeconomic reform and              European     € 427 597     01/08/1997 –   To be closed
                             sustainable development in            Commission                 30//06/2004
                             southern Africa (grants contract
                             (WWF)




                                                                                                                              99
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Directorate   Sector         Project                           Donor        Project        Start & End    Project Status
                                                                            Amount         Date
                             Conservation and development      European     € 936 333      15/12/2000 –   Ongoing
                             opportunities from the            Commission                  30/06/2005
                             sustainable use of biological
                             diversity in the communal lands
                             of Southern Africa (grants
                             contract Africa Resources Trust
                             – UK)
                             Sub-Saharan Africa Transport      Sweden       € 1 576 087    2003 - 2005    Ongoing
                             Program (SSATP)
                             Strengthening the Voice of Poor   UK           € 14 965 579   Ends 2008      Early implementation:
                             People for Pro-Poor Change in                                                Ongoing
                             Southern Africa (SVOPPSA)




                                                                                                                                  100
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ANNEX 3: INFORMATION SYSTEMS RELEVANT TO
         VULNERABILITY SYSTEMS
Information Providers                               Name of System                                        Comments
Lesotho:
Lesotho Meteorological. Services          Meteorological Information system -      Products: Monthly weather bulletin; Ten day agro-
                                          CLICOM                                   meteorological bulletin; monthly agro-meteorological
                                                                                   bulletin.
Bureau of Statistics Agricultural         Agricultural Statistics System of        Products: Crop Forecasts Surveys, Agriculture
Statistics Section                        Lesotho                                  Production Surveys, Agriculture Censuses

Bureau of Statistics: Demography,         Lesotho Core Welfare Indicators
Labour & Social Statistics Division       Questionnaire (CWIQ) Survey
                                          End Decade Multiple Indicator Cluster
                                          Survey (EMICS)
Dept of Crops, MoAFS                      Crop Situation Report/Crop Monitoring
                                          System
NEWU, DMA                                 National Early Warning System
                                          (NEWS) Agro-meteo. data; Agro-
                                          statistical data
Food & Nutrition Coordinating Office      National Nutrition Surveillance System
(FNCO)                                    (NNSS)
National AIDS Prevention & Control        HIV Sentinel Surveillance System
Programme, Ministry of Health & Social
Welfare
FAO / WFP                                 Crop Estimates Study
CARE South Africa-Lesotho & Sechaba
Consultants
MoAFS / CARE SA– Lesotho                  Livelihoods Recovery through
                                          Agricultural Production (LRAP)
Malawi:
National Statistical Office, in           Crop production estimates (survey)       The system is used to monitor food availability based on
collaboration with MoAIFS and FAO                                                  production. Information is formally released to FEWS-
                                                                                   NET and VAC in a spread sheet who conduct the GIS
                                                                                   mapping
Ministry of Agriculture, Irrigation and   Market Information System: Price         Purpose: To improve the availability quality market
Food Security                             information (of retail and farm gate     information for use by various users for food security
(collaboration with Government,           prices of some selected food and         monitoring and market development planning
FEWS-NET, FAO, UN, NGOs, SADC)            cash crops). Dissemination is through
                                          the radio and newspapers
Ministry of Health                        Health Management Information            Data on health services, health status, drugs and
                                          Systems (HMIS), especially the           supplies, finance and administration, human resources
                                          Disease Surveillance (the incidence of   and management activities, for monitoring the
                                          selected diseases) and Health            performance of health services in order to improve
                                          Information (on morbidity and            quality and coverage.
                                          mortality patterns, and burden of
                                          disease) components
FEWS NET                                  Early Warning Information System         To provide up to date and reliable information on food
                                                                                   security situation.
National Aids Commission                  HIV/AIDS Prevalence/Incidence            Monitoring the prevalence and Incidence of HIV/AIDS
(collaborates with USAID, CIDA,
NORAD, CDC, DFID, Malawi
government, NGOs, FBOs, and CBOs.)
Mozambique:
Nutrition Unit, Ministry of Health        Nutrition Surveillance System            Monitoring nutrition status (growth monitoring; low birth
(collaboration with UNICEF)                                                        weight)
Early Warning Department, Ministry of     Crops monitoring & harvest forecast      Monthly Monitor of crops productions and harvest
Agriculture                                                                        forecast; Quarterly estimative of planted area and
(collaborating with FAO, INAME, INIA,                                              harvest forecast; Annual measure of areas and
SADC-REWU, MIC)                                                                    agriculture yields
Ministry of Agriculture and Rural         Agricultural Market Information          Collect and disseminate information on prices and
Development (MADER) Statistic             System (SIMA)                            market information, to support the decision making of
Department                                                                         stakeholders in all steps of agricultural production
(collaborating with Central level:
Ministry of Industry and Commerce
(MIC)and Fews-Net. Provincial level in
Nampula: NGOs such as CLUSA,
CARE and OLIPA)



                                                                                                                                       101
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Information Providers                                Name of System                                         Comments
National Institute of Meteorology          Agroclimatological Data                   Daily Agroclimatological data;
(INAM)                                                                               Dekadal Agroclimatological data;
(collaborates with MADER, Civil                                                      Monthly Agroclimatological data;
Aviation, Gov of Portugal, Spanish and                                               Annual Agroclimatological data
Finland and some NGOs)
World Food Programme                       Post Distribution Monitoring              Output Monitoring System to monitor the perception that
                                                                                     both beneficiaries and non-beneficiaries have of a WFP
                                                                                     operation. Information is collected after services have
                                                                                     been delivered to assess the extent of access to, use of,
                                                                                     and satisfaction with the outputs of the operation. This
                                                                                     will give an indication of whether or not the operation is
                                                                                     leading towards the achievement of its objectives.
World Food Programme                       Community and Household                   Outcomes monitoring system that: Monitors the
                                           Surveillance                              outcomes of WFP interventions, through the
                                                                                     measurement of trends in key variables; improves
                                                                                     understanding of relationship between food security and
                                                                                     other factors (in particular HIV/AIDS and demographic
                                                                                     factors); and detects early signs of a food crisis.

National Statistics Institute              Household Budget Survey – IAF             IAF – Evaluation of the household budgets, including
(collaborating with UNICEF, USAID,         Well being indicators – QUIBB             expenditure and income.
DANIDA, NÓRDICOS, MISAU)                   DHS                                       QUIBB – Basic well-being indicators for the Mozambican
                                                                                     population.
                                                                                     DHS - Mother and child health and demographic data,
                                                                                     HIV knowledge, family planning etc.
MIC – Ministry of Industry and Trade of    INFOCOM (Sistema de Informação            Collection, processing, storage and transmission of
Mozambique, National Directorate of        Comercial e do Mercado – Agricultural     market and trade information related to food and
Trade (MIC-DNC)                            Market and Trade Information              commodity prices and market conditions to the
(collaborating with Ministry of            System)                                   Government, public and private organizations and the
Agriculture – SIMA/MADER, National                                                   commodity trade sector.
Government Institutions (INA, INCAJU
and IAM), private sector, Projects,
NGOs, etc.)
Zambia:
Central Statistical Office                 Living Conditions Monitoring Surveys      Highlight and monitor poverty/vulnerability of households
(collaboration with the World Bank and                                               periodically in Zambia. Specifically, the surveys also
government institutions)                                                             provide information required for targeting vulnerable
                                                                                     households. Many independent studies in the area of
                                                                                     poverty, food security, health and nutrition have been
                                                                                     commissioned using data from the surveys. CSO
                                                                                     conducts the Indicator Monitoring Surveys (IMS) once in
                                                                                     every 2 years and the Integrated Surveys (IS) once in
                                                                                     every 5 years. The former is designed to produce reliable
                                                                                     district estimates while the later produces estimates at
                                                                                     province level.
the LCMB branch of CSO                     Food, Health, Agriculture and Nutrition   The overall objective of the FHANIS is to provide quick,
(collaboration    with   Ministry     of   Information System (FHANIS)               timely and regular indicators on food security, health and
Agriculture and Cooperatives, Disaster                                               nutrition so as to facilitate policy making, planning and
Management and Mitigation Unit                                                       decision making with regard to targeting of interventions
(DMMU), Central Board of Health                                                      by government and its cooperating partners. The
(CBOH), Ministry of Health (MOH) and                                                 FHANIS surveys are planned to be undertaken every
National      Food     and    Nutrition                                              quarter of the year. At the moment, all the FHANIS
Commission (NFNC))                                                                   rounds for this year are budgeted for by the government
                                                                                     in the 2004 Budget.
Central Statistical Office                 Post Harvest Survey (PHS)                 The main purpose of the PHS is to provide annual
(collaboration with key stakeholders                                                 agricultural data that is useful for generating performance
such as the Ministry of Agriculture and                                              indicators required for programming government, donor
Cooperatives (MACO) and the Food                                                     and NGO interventions. The data is also used to
security Research Project (FSRP))                                                    determine the current post harvest stocks of major crops
                                                                                     in Zambia and also the current stock of livestock.
                                                                                     Specifically, this information is vital in ascertaining the
                                                                                     food reserve requirements in the Country. Further, the
                                                                                     information is also required for estimating the contribution
                                                                                     of the agricultural sector to Gross Domestic Product
                                                                                     (GDP) and its growth.
Central Statistical Office                 Crop Forecasting Survey (CFS)             Provide reliable estimates on food crops grown at
(Collaboration with the Ministry of                                                  household and community levels. The main aim of this
Agriculture and Cooperatives)                                                        survey is to collect pre-harvest data that can be used to
                                                                                     predict the expected food deficit at national and
                                                                                     household levels. These estimates form the basis for
                                                                                     early warning and remedial measures to be instituted
                                                                                     during times of disasters. The estimates are also used to




                                                                                                                                           102
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Information Providers                               Name of System                                  Comments
                                                                             construct the National Food Balance Sheet.

National Early Warning Unit (NEWU) in     National Early Warning System      The following are some of the primary data that
the Ministry of Agriculture and           (NEWS)                             MACO/NEWU collects for its own use:
Cooperatives (MACO/)                                                             i. Area under food crops
                                                                                ii. Production of food crops
                                                                               iii. Yield rates of various food crops
                                                                              iv. Sales of food crops
                                                                                v. Number of Livestock and their conditions
                                                                              vi. Information on Poultry
                                                                              vii. Fish farming
                                                                             The secondary data includes the following:
                                                                                 i. Information on weather conditions such as rainfall
                                                                                ii. Food crop conditions
                                                                               iii. Area harvested under food crops
                                                                              iv. Production levels of various crops in all the 72
                                                                                    districts
                                                                                v. Price changes of major food crops
                                                                              vi. Outlook of marketing seasons
                                                                              vii. Distribution, sales and usage of fertilizer by
                                                                                    farming households

Meteorological Department                 System on weather conditions       The department has provided valuable information on
                                                                             weather forecasts ideal for the agriculture and tourism
                                                                             sector planning. The main purpose of the system is to
                                                                             provide agricultural agents data that can be used to
                                                                             efficiently plan for various season specific agricultural
                                                                             activities. Agro-climatic information such as daily rainfall,
                                                                             temperature (hourly), evaporation (Daily) humidity, wind
                                                                             and pressure are vital in setting up both agricultural
                                                                             inputs and output markets in the country.
Ministry of Health and Central Board of   Health information systems         Collect information on nutritional and health issues facing
Health (MOH/CBOH)                                                            the Zambian population on a quarterly basis. The
                                                                             following information related to under-five child nutrition
                                                                             is collected from health centres: Under weight
                                                                             prevalence, malnutrition case fatality, and incidence of
                                                                             malnutrition. In addition to the above information the
                                                                             MOH/CBOH systems also collect the following
                                                                             information from health centres; Number of Antenatal
                                                                             visits; Number of supervised deliveries; New family
                                                                             planning visits; Fully immunized children; Health care
                                                                             drug kit opened per 1000 population; Health care client
                                                                             contacts; Incidence of various illnesses including malaria,
                                                                             measles respiratory infections; Patients with prolonged
                                                                             illnesses, etc.
National Food and Nutrition               Food and nutrition studies         NFNC collects data twice a year using a national wide
Commission (NFNC)                                                            sample covering the following indicators: Coverage of
                                                                             vitamin A for children under 5 years; Knowledge of child
                                                                             health week; Use of fortified sugar among households;
                                                                             Coverage of under-five attending under five clinic; and
                                                                             Usage of iodated salt among households
FEWS NET                                  Early Warning Information System   To provide up to date and reliable information on food
                                                                             security situation.
Agricultural Consultative Forum, the      Food Security Research Project     The project is not into data collection per se but has been
Ministry of Agriculture and               (FSRP)                             supporting CSO when conducting the Post harvest
Cooperatives and the Michigan State                                          surveys. In addition, the FSRP has been financing
University’s department of Agricultural                                      agriculture supplementary surveys that have been
Economics (USAID funded)                                                     carried out jointly between CSO and MACO. The main
                                                                             purpose of the project is to help government formulate
                                                                             informed policy interventions in the area of food security
                                                                             in the country.
World Food Programme                      Information System                 Collects from about 39 districts where it has some food
                                                                             relief distribution interventions / programmes. The in
                                                                             Zambia is among organization involved in in the country.
Source: Adapted from National Vulnerability Assessment Committee (VAC) Consultation Process Reports




                                                                                                                                   103
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ANNEX 4: INSTITUTIONAL & FINANCIAL ARRANGEMENTS
         FOR VACS
Country      Hosting Ministry                  Comments on institutionalization: status and issues                    Sources of Support
Lesotho           Disaster         •         LVAC considered initially weak, but some feel it is showing signs of    DFID (funding/TA)
                Management             strengthening: now better organized; strong committee.                        WFP (funding)
              Authority (DMA),     •         No dedicated staff, resulting in a delicate balance between full time   RVAC (TA)
             Office of the Prime       responsibilities and LVAC activities.                                         SC UK (TA)
                   Minister        •         No government funding for direct LVAC activities, but transportation    FAO (TA)
                                       and fuel, equipment and communication expenses are covered.                   DMA/FNCO/Lesotho
                                   •         Recognition that a situation where only DFID funds the LVAC is not      Meteorological
                                       a sustainable. Expectation that government will take over responsibility      Services (transport)
                                       for LVAC due to perceived government demand for VAC data.
                                   •         LVAC: developing a 3-year strategic plan, which it will submit to
                                       government.
                                   •         LVAC working hard to link to LPRS. Proposed Poverty Monitoring
                                       Unit is an area where LVAC linkages could develop.
                                   •         Continued technical support needed.
Malawi           Ministry of       •         MVAC has a weak institutional framework.                                DFID (funding)
             Economic Planning     •         Most MVAC staff members have full time jobs aside from VAC              WFP (funding)
              and Development          work. Membership is on ad hoc basis. Capacity building is slow. Some          FEWS NET (TA)
                  (MEPD)               members of MVAC change jobs after receiving training.                         SC UK (TA)
                                   •         Although MEPD chairs MVAC, it is yet to become part of
                                       government structure and funded through budget. Government should             World Vision
                                       take ownership of MVAC because they are the ultimate data users.              FAO
                                   •         Emerging consensus that MEPD is best suited to house the MVAC.          CARE International
                                       Would enhance coordination with the Safety Nets Unit in the ministry in       Action Against Hunger
                                       order to influence policy.                                                    Concern Worldwide
                                   •         Concern: effective collapse of government structures over last 3        CISANET
                                       years and implication for MVAC sustainability.
                                   •         Recommended that MVAC look for extra financial resources to
                                       strengthen activities. Need commitment, incl. finances, from government,
                                       otherwise dependence on external resources will remain problematic.
                                   •         Need continuation of technical assistance
Mozambique   Food Security and     •         GAV strength: has an institutional home in SETSAN, a body               DFID (funding)
                  Nutrition            mandated to work on Food Security and Nutrition policy.                       WFP (TA)
                Secretariat        •         GAV is flexible and innovative, and concerned with internal and         UNICEF
                (SETSAN),              external capacity building.                                                   OCHA
                 Ministry of       •         Despite a full time coordinator, all other GAV members are part-        FEWS NET
              Agriculture and          time with various levels of commitment from their institutions. This          SCF-UK
             Rural Development         creates a level of instability within the group.                              World Vision
                                   •         Limited dissemination of the VAs. To be addressed through a more
                                       directed dissemination plan.
                                   •         Uncertain future due to financial constraints. Very few dedicated
                                       government resources for GAV, and donor funds have a restricted
                                       timeframe.
                                   •         Concern that external agendas (for example, RVAC) will not align
                                       with GAV decisions, resulting in a conflict of interests.
                                   •         RVAC: possible source of technical and financial support.
Swaziland     Early Warning        •         Weak institutional base of Swazi VAC limits ability to lobby and        DFID (funding)
              Unit, Ministry of        increase its profile and credibility in government circles.                   WFP (funding)
              Agriculture and      •         Options for housing the Swazi VAS include the Poverty Reduction         RVAC (funding/TA)
               Cooperatives            Unit (MEPD), CSO (MEPD), National Development Task Force (Office of           SC UK (TA)
                                       the Deputy Prime Minister), and MOAC.                                         UNAIDS (TA)
                                   •         No one institution has been charged with the responsibility to          NERCHA (TA)
                                       coordinate vulnerability assessments at the national level. Consequently,     CSO (TA)
                                       there are highly fragmented and uncoordinated efforts by the different
                                       stakeholders to undertake assessments.
                                   •         The current VAC secretariat is a starting point towards encouraging
                                       inter-institutional linkages on vulnerability issues and information
                                       systems. The secretariat is made up of MoAC, MEPD, Save the Children
                                       Fund Swaziland, UNDP, WFP, CANGO, NDTF and NERCHA.
                                   •         Need for the formalisation of the Swazi VAC so that there is a
                                       coherent institutional framework to link existing information systems
                                       relevant to VAs into an overall VA network.
                                   •         Continued technical support is needed to ensure continuity and
                                       sustainability of VAC activities. This may be through direct DFID support
                                       or through the RHVP.




                                                                                                                                      104
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Country    Hosting Ministry                   Comments on institutionalization: status and issues                    Sources of Support
Zambia         Disaster         •          NVAC not yet formally institutionalised in the government system,        DFID (funding)
           Management and           with no defined mandate.                                                        WFP (TA)
            Mitigation Unit     •          Lack of VAC pro-activeness: only reacts to emergencies.                  FEWS NET
            (DMMU), Vice-       •          Lack of harmonization of mandates and structural relationships           RVAC (TA)
           President’s Office       between VAC members collecting and providing data.                              RRU
                                •          Ad hoc representation on VAC by some membership institutions,            CARE
                                    esp. government institutions.                                                   WHO
                                •          NVAC members are part time employees and some tend to pay                CSO (FHANIS)
                                    little attention to VAC activities relative to regular responsibilities. NVAC
                                    work is seen by some as an added responsibility. Contributed to poor
                                    coordination of VA activities.
                                •          Suggested institutional placement: (1) DMMU, bec. it has the
                                    institutional mandate on disaster management and being based in the
                                    Office of the Vice President would provide political leverage for resource
                                    mobilization. (2) CSO, bec. it is already housing the Food, Health,
                                    Agriculture and Nutrition Information System Project (FHANIS), has
                                    necessary infrastructure and qualified technical staff, and is the only
                                    institution with mandate to generate statistical information for
                                    development planning purposes. (3) UN OCHA, bec. very experienced in
                                    coordinating humanitarian aid, and could help mobilise donor/UN agency
                                    funding for secretariat operations.
                                •          Concern that donor/UN agency logistical support to NVAC may
                                    crowd out government ownership and institutionalisation of NVAC
                                    activities in long-term.
                                •          Irregular funding of the DMMU by government is critical constraint
                                    affecting VAs. RVAC should help fund the NVACs. Donor agencies
                                    should only come in to supplement the shortfall.
Zimbabwe   Food and Nutrition   •          NVAC not yet formally institutionalised in the government system,        DFID, EU
              Council; Sub-         with no defined mandate.                                                        FEWS NET (TA)
            committee of the    •          VAC needs human resources, a budget and office equipment. Lack           SC UK (TA)
             Social Services        of permanent staff to be able to oversee VAC planning. Politics of the          UNDP (in-kind support)
             Cabinet Action         VAC: if it becomes difficult or uncomfortable for certain members, they         UNICEF (in-kind)
               Committee            want to pull out. High turnover of staff once they have received training.      GOAL Ireland
               (SSCAC)          •          Do not know if there can be any major changes to the VAC under           Farm Community Trust
                                    the current political situation.                                                of Zimbabwe (FCTZ)
                                •          Perception that Zim VAC analysis will bring the country into             Government of
                                    disrepute rather than being seen as a useful tool for planning and              Zimbabwe (in-kind)
                                    monitoring.
                                •          VAC is not under direct government support. Food and Nutrition
                                    Council volunteered to host the VAC. Only reason Zim VAC exists is
                                    because of the Chair’s strong personality.
                                •          Is capacity to support the Zim VAC, but not being fully utilized.
                                •          The Social Affairs Committee (SAC) is an institution close to
                                    Cabinet that is recognizing the ZIM VAC. Although there was some
                                    resistance and difficulty, the government played the game and endorsed
                                    the VAC. Ministry of Social Welfare is fairly favourable to the Zim VAC.
                                •          Need to ensure that there is effective communication between VAC
                                    Chair and MOLSW. The ministry needs to be kept in the loop for all
                                    decisions. These kinds of activities could be used to strengthen the
                                    FNC/VAC and the Dept of Social Welfare.
                                •          DFID funded the 2004 VAC report, without which the assessment
                                    would not have happened. Government would probably not fund Zim
                                    VAC in the absence of donor support.
                                •          USAID were going to help fund VAC in 2004, but pulled out when
                                    they saw the quality of the fieldwork. They may still put in some funding.




                                                                                                                                    105
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ANNEX 5: PRSP STATUS BY COUNTRY
SADC              PRSP Status                  Poverty Monitoring Unit                            Inclusion of “vulnerability” in PRSP
Country
Angola         Currently preparing an               Not established                                                 N/A
                    Interim PRSP
Botswana     Does not quality for PRSP              Not established                                                 N/A
             bec. upper middle income
                country. A National
                 Poverty Reduction
                 Strategy has been
                 formulated but not
                     implmented
DRC         Interim PRSP completed in               Not established                                                 N/A
               Mar-02. PRSP under
                     preparation

Lesotho     Interim PRSP completed in     Plans to establish a PMU in the         •       Food security: second most important priority area after
                Dec-00. Full PRSP         Ministry of Finance and                     employment creation.
             currently awaiting Cabinet   Development Planning. Not yet           •       FS strategies incl: expanding formal and informal
                      approval            operational. The Cabinet will provide       employment opportunities to improve purchasing power and FS;
                                          oversight leadership for the poverty        measures to improve agricultural productivity; legislation to
                                          monitoring system                           address inequalities in land ownership
                                                                                  •       Special emphasis on improving nutritional status of
                                                                                      vulnerable groups (esp. OVCs) and ensuring these have access
                                                                                      to social welfare services.
                                                                                  •       Activities: refining nutrition policy; improving disaster
                                                                                      preparedness; school/supplementary feeding, promoting good
                                                                                      nutrition practices; nutritional food packages and micronutrient
                                                                                      supplements.
                                                                                  •       One cornerstone of LPRS: deliver poverty-targeted
                                                                                      programmes to empower the poor and vulnerable
                                                                                  •       Proposed strategies incl.: modest pension; assist NGOs
                                                                                      working with orphans, PLWAs, disabled and child-headed HH.
                                                                                  •       No apparent inclusion of VAC information.
Malawi      Malawi Poverty Reduction      National Economic Council is            •       Poverty diagnostics: FS seen as a serious threat to better life
             Strategy completed in        responsible for coordination and            and a core poverty concern.
                    Apr-02                analysis.                               •       MPRS framework for poverty reduction: activities and
                                          Four levels to rest of system:              policies grouped around 4 strategic pillars
                                          1. Cabinet Committee on the              1. Sustainable pro-poor growth
                                          Economy (provides political              2. Human capital development.
                                          guidance and oversight);                 3. Improving the quality of life of the most vulnerable.
                                          2. MPRS Monitoring Committee             4. Good governance.
                                          comprising Principal Secretaries;       •       Some core poor, who may not be in a position to take
                                          3. Technical Working Committee              advantage of any economic opportunities from interventions
                                          (with range of members); and                under Pillars 1-2. They will therefore require deliberate
                                          4. Government institutions                  redistribution programmes under safety nets.
                                          responsible for monitoring.             •       Pillar 3 aims to ensure that the needs of the vulnerable
                                            •      MoF: inputs and outputs            people are met and assist the transient poor to be self-
                                            •      MEP&D/NSO: outcome and             supporting after the programme by providing social safety nets.
                                                   impact.                        •       These are seen to consist of:
                                                                                   (a) productivity enhancing interventions for the transient poor
                                                                                   (poorest 30% of the population who are capable of moving out of
                                                                                   poverty)( targeted distribution of inputs for capital-constrained poor;
                                                                                   public works programmes for the land-constrained poor) and
                                                                                   (b) Substantial welfare transfers to the chronically poor (poorest 5-
                                                                                   10 percent). targeted nutrition interventions for malnourished
                                                                                   children and vulnerable pregnant and lactating mothers, and direct
                                                                                   welfare transfers for the poor who cannot be supported by any of
                                                                                   the other three programmes. These include groups like the
                                                                                   chronically ill, the elderly and orphans. Persons with disabilities
Mauritius   Does not quality for PRSP               Not established                                                   N/A
            bec. upper middle income
                     country.
             National Action Plan for
            Poverty Alleviation (APPA
             2001) is currently being
                  implemented




                                                                                                                                         106
Scoping Study: DFID Regional Hunger and Vulnerability Programme

SADC               PRSP Status                   Poverty Monitoring Unit                            Inclusion of “vulnerability” in PRSP
Country
Mozambiq       Action Plan for the          Poverty and PARPA Observatory is        •       Poverty diagnostics: Apart from acute material poverty, poor
ue            Reduction of Absolute         committee for management and                Mozambiquans suffer from high degree of vulnerability to natural
                Poverty (PARPA)             oversight of the PARPA M&E                  disasters and economic shocks.
                  completed in              system. Consultative body with          •       PARPA emphasises the reduction of absolute poverty
                     Apr-01                 range of participants.                      defined in terms of material needs and lack of capacity and
                                                                                        opportunities. The strategy also covers other basic dimensions of
                                                                                        poverty, namely vulnerability and empowerment.
                                                                                    •       Main key areas of action are agriculture, health, education,
                                                                                        rural development, basic infrastructure, good governance, and
                                                                                        macro-economic and financial management.
                                                                                    •       Other complementary areas of action: selected social
                                                                                        programmes (targeted social welfare programmes), housing;
                                                                                        income generation programmes and policies (business
                                                                                        development, fisheries, mining, industry, tourism); programmes
                                                                                        to reduce vulnerability to natural disasters; and policies that
                                                                                        support sustainable growth (transport and communications,
                                                                                        technology, environmental management).
                                                                                    •       PARPA prioritises structural policies that stimulate equitable
                                                                                        growth, which it turn will ensure that additional resources are
                                                                                        available for social safety net programmes for the most needy
                                                                                        and vulnerable groups.
Namibia     Does not quality for PRSP       Co-ordinated by the National                                                N/A
             bec. lower middle income       Planning Commission Secretariat
            country. Poverty Reduction      (NPCS) and involved an inter-
             Strategy (1997), National      ministerial team, the World Bank,
             Poverty Reduction Action       the UNDP, NEPRU and the Social
                Programme (NPRAP            Science Division of the University of
                 2000) and National         Namibia.
            Development Plan (NDP2,
                      2001-06).
Seychelle   Does not quality for PRSP                 Not established                                                N/A
s            bec. upper middle income
                       country.
South       Does not quality for PRSP       No official poverty monitoring unit                                      N/A
Africa       bec. lower middle income       has been established, although
             country. Introduced many       there has been discussion over the
                PRSP-type reforms–          last few years of establishing one in
                 moved from broad           the National Treasury.
                strategies on poverty
            reduction as enunciated in
              the RDP towards sector
                specific programmes
             governed by The Growth,
                  Employment and
               Redistribution (GEAR
               1996) macroeconomic
                      strategy.
Swaziland   Does not quality for PRSP       In the Ministry of Economic Planning                                     N/A
             bec. lower middle income            and Development, a Poverty
            country. Currently finalising    Reduction Unit established in early
                 Poverty Reduction           2004. The Poverty Task Force, the
             Strategy and Action Plan         coordinator of the PRSAP, is also
             (PRSAP) (due end Sept-                 based in the Ministry.
                          04)
Tanzania        Completed in Oct-00         Cabinet oversees Poverty                •     Poverty diagnostics: Vulnerability to unpredictable events is a
                                            Monitoring Master Plan. Poverty           major concern of the poor. HIV/AIDS resulted in growing
                                            Monitoring Steering Committee             numbers of AIDS victims and orphans, disabled, elderly, and
                                            leads - broad membership. Linked is       refugees. There is, therefore, a growing need for safety-nets.
                                            the Technical Committee for the         •     Apparent breakdown of traditional systems that used to take
                                            Poverty Reduction Strategy,               care of vulnerable groups and the escalating number of
                                            supported by a Poverty Monitoring         dependents have increased the need for safety-net programmes.
                                            Secretariat, hosted by VPO (not an      •     Stakeholder consultations prioritised, inter alia, effective
                                            empowered secretariat). Body of the       safety-nets to assist vulnerable groups.
                                            system is made up of four Technical     •     Focus of poverty reduction strategy: efforts to (i) reduce
                                            Working Groups (TWGs) which will          income poverty; (ii) improve human capabilities, survival and
                                            do the substantial work on poverty        social well-being; and (iii) contain extreme vulnerability among
                                            monitoring and all involve a range of     the poor.
                                            stakeholders
Zambia         Completed in Mar-02          Planning and Economic                   •     Poverty diagnostics: The worsening poverty trend in Zambia
                                            Management Department in the              is seen partly as a product of inadequate or inappropriate
                                            Ministry of Finance and National          targeting of the poor and vulnerable people. Analysis therefore
                                            Planning is the focal point for           incorporates aspects of vulnerability and coping strategies
                                            coordination and M&E.                   •     The Zambian PRSP has as its major objectives to promote



                                                                                                                                          107
Scoping Study: DFID Regional Hunger and Vulnerability Programme

SADC            PRSP Status                  Poverty Monitoring Unit                        Inclusion of “vulnerability” in PRSP
Country
                                        Planning and monitoring of the         growth and diversification in production and exports, to improve
                                        PRSP/TNDP is spearheaded               delivery of social services and to incorporate crosscutting
                                        through the Sector Advisory Groups     policies for HIV/AIDS, gender and the environment.
                                        (SAGs) and the Provincial            •     Greater attention should have been given to social safety net
                                        Development Coordinating               programmes: The Public Welfare Assistance Scheme (PWAS),
                                        Committee (PDCC) and the District      which targets specific vulnerable segments of the population,
                                        Development Coordinating               receives only occasional references.
                                        Committees (DDCCs)
                                        subcommittees.
                                        Also highlights the role of the
                                        Poverty Monitoring and Analysis
                                        Unit at the Zambia Social
                                        Investment Fund (ZAMSIF)
                                        Macro level monitoring will be
                                        carried out by the ZAMSIF and
                                        CSO. Sectors will monitor sector
                                        specific interventions.
Zimbabwe     Some discussion has                    Not established                                          N/A
              taken place on the
           possibility of preparing a
             PRSP but the current
             political situation has
           forestalled this for being
                   developed




                                                                                                                                 108
       Scoping Study: DFID Regional Hunger and Vulnerability Programme

       ANNEX 6: SOCIAL PROTECTION MEASURES

    Project Information                                                                                                                                                                                                                                                                                             Types of Safety Nets Intervention
                                                                                                                                                              Cash Transfers                                                                                                                                                                                                 In-Kind Transfers                                                                                                                                                                         Others
                                                                                                                                                                                                                                                                            Food-Related                                                                             Education/ Training                                                                                        Health




                                                                                                                        Social Assistance/Transfers; Income




                                                                                                                                                                                                                                                                                                                                Fee waivers/ Scholarships to cover




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Micro-Credit / Income Generation
                                                                                                                                                                                                                                                                                   Food Aid Assistance / Programs
                                                                                                                                                                                         Non-Contributory Pensions




                                                                                                                                                                                                                                                                                                                                                                                                                                     Training for Unemployed
                                                                                                                                                              Child / Family Allowance




                                                                                                                                                                                                                                           Unemployment Benefits




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Fee Waivers for Heating
                                                                                                                                                                                                                                                                                                                                                                                                                                                               Fee Waivers / Vouchers


                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         Free Basic Health Care
                                                                                                                                                                                                                                                                                                                                                                                           Transfers to Schools
                                                                                                                                                                                                                     Disability Benefits




                                                                                                                                                                                                                                                                                                                                                                       Conditional Costs




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              Others (specify*)
                                                                                                                                                                                                                                                                                                                                                                                                                  School Materials
                                                                                    Date Approved




                                                                                                                                                                                                                                                                   Food Subsidy




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Public Works
                                                                                                                                                                                                                                                                                                                                school costs
                                                                                                         Closing Date
                                                                  Institutions




                                                                                                                        Support




                                                                                                                                                                                                                                                                                                                      Feeding




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Housing
Lesotho
    Old age pension                            MEPD, MoHSW                       Nov-04                                                                                                  ***
    Livelihoods Recovery through Agriculture
    Programme (LRAP)                           DFID, CARE, MAFS                  Oct-02             Sep-05
    Food-for-work                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     ***
    Supplementary feeding                      UNICEF                                                                                                                                                                                                                                                                 ***
    Free Primary Education                     MoE, UNICEF                       Jan-00             ongoing                                                                                                                                                                                                           ***              ***                                                                        ***
    Free basic health                          UNICEF                                                                                                                                                                                                                                                                                                                                                                                                                                   ***
    Food aid                                   WFP, FAO, DMA                                                                                                                                                                                                                      ***
Malawi
    Malawi Social Action Fund (MASAF)          WB                                Dec-98             ongoing                                                                                                                                                                                                                                                                                                                                                                                                                                           ***                                                    C
    Free Primary Education                                                                                                                                                                                                                                                                                                             ***

    Technical Education, Vocational and
    Entrepreneurial Training (TEVET)                                                                                                                                                                                                                                                                                                                                                                                                 ***

    Essential Healthcare Package                                                                                                                                                                                                                                                                                                                                                                                                                                                        ***

    Targeted Inputs Programme (TIP)            MOA                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           ***
    Public Works Programmes                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           ***
    Targeted Nutrition Programmes                                                                                                                                                                                                                                                                                     ***
    Direct Transfers Programme (Dedza Safety
    Nets Project)                                                                                                        ***




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         109
       Scoping Study: DFID Regional Hunger and Vulnerability Programme

     Project Information (continued)                                                                                                                        Cash Transfers                                                                                                                                                                                                 In-Kind Transfers                                                                                                                                                                         Others
                                                                                                                                                                                                                                                                            Food-Related                                                                           Education/ Training                                                                                        Health




                                                                                                                      Social Assistance/Transfers; Income




                                                                                                                                                                                                                                                                                                                              Fee waivers/ Scholarships to cover




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Micro-Credit / Income Generation
                                                                                                                                                                                                                                                                                   Food Aid Assistance / Programs
                                                                                                                                                                                        Non-Contributory Pensions




                                                                                                                                                                                                                                                                                                                                                                                                                                   Training for Unemployed
                                                                                                                                                             Child / Family Allowance




                                                                                                                                                                                                                                          Unemployment Benefits




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Fee Waivers for Heating
                                                                                                                                                                                                                                                                                                                                                                                                                                                             Fee Waivers / Vouchers


                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Free Basic Health Care
                                                                                                                                                                                                                                                                                                                                                                                         Transfers to Schools
                                                                                                                                                                                                                    Disability Benefits




                                                                                                                                                                                                                                                                                                                                                                     Conditional Costs




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            Others (specify*)
                                                                                                                                                                                                                                                                                                                                                                                                                School Materials
                                                                                       Date Approved




                                                                                                                                                                                                                                                                   Food Subsidy




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      Public Works
                                                                                                                                                                                                                                                                                                                              school costs
                                                                                                       Closing Date
                                                                   Institutions




                                                                                                                      Support




                                                                                                                                                                                                                                                                                                                    Feeding




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          Housing
Mozambique
   Social Fund for Medicines and Infant Food
   Supplements                                                                                                                                                                                                                                                                                                                                                                                                                                               ***                      ***
    Caixa Escolar (school fund)                                                                                                                                                                                                                                                                                                                                                                                 ***
    School Feeding Programme                                                                                                                                                                                                                                                                                        ***
    Food Subsidies Programme                   National Institute for
                                               Social Action (INAS),
                                               Ministry of Social
                                               Action                             late 80s                                                                                                                                                                        ***
                                               INAS, Ministry of
    Food-for-work                              Social Action                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        ***
                                               INAS, Ministry of
    Social Security System                     Social Action                                                           ***                                  ***
    Integrated National Social Welfare,        Ministry of Social
    Employment and Youth Programme             Action ?                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                ***
                                               National Institute for
    Microcredit facilities                     Social Welfare                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          ***
Swaziland
    Public Assistance Programme                MOHSW                                                                   ***
    Free Primary Edcuation                     MOE                                                                                                                                                                                                                                                                                   ***                                                                        ***
    School Feeding Campaign                    WFP, SC, DPMO                                                                                                                                                                                                                                                        ***
    Indlunkhulu Project                        NERCHA, MOAC                                                                                                                                                                                                                       ***                                                                                                                                                                                                                                                                                                                      H,C
                                               MEPD, MOF, MOE,
    Social Protection of Orphans and Other     MOHSW, MOAC,                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                ECD,
    Vulnerable Children Project                DPMO                                                                                                                                                                                                                                                                 ***              ***                                                                                                                     ***                                                                                                                                            C




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       110
            Scoping Study: DFID Regional Hunger and Vulnerability Programme

          Project Information (continued)                                                                                                                            Cash Transfers                                                                                                                                                                                                In-Kind Transfers                                                                                                                                                                         Others
                                                                                                                                                                                                                                                                                    Food-Related                                                                           Education/ Training                                                                                        Health




                                                                                                                               Social Assistance/Transfers; Income




                                                                                                                                                                                                                                                                                                                                      Fee waivers/ Scholarships to cover




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                Micro-Credit / Income Generation
                                                                                                                                                                                                                                                                                           Food Aid Assistance / Programs
                                                                                                                                                                                                Non-Contributory Pensions




                                                                                                                                                                                                                                                                                                                                                                                                                                           Training for Unemployed
                                                                                                                                                                     Child / Family Allowance




                                                                                                                                                                                                                                                  Unemployment Benefits




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        Fee Waivers for Heating
                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Fee Waivers / Vouchers


                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               Free Basic Health Care
                                                                                                                                                                                                                                                                                                                                                                                                 Transfers to Schools
                                                                                                                                                                                                                            Disability Benefits




                                                                                                                                                                                                                                                                                                                                                                             Conditional Costs




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   Others (specify*)
                                                                                                                                                                                                                                                                                                                                                                                                                        School Materials
                                                                                            Date Approved




                                                                                                                                                                                                                                                                           Food Subsidy




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              Public Works
                                                                                                                                                                                                                                                                                                                                      school costs
                                                                                                                Closing Date
                                                                         Institutions




                                                                                                                               Support




                                                                                                                                                                                                                                                                                                                            Feeding




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  Housing
     Zambia
         Zambian Social Investment Fund (ZAMSIF)    WB                                  May-00              Dec-05                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 C

         Public Welfare Assistance Scheme           MCDSS                               1950s                                                                                                                                                                                             ***                                                ***                                                                                                                     ***                                                                          ***
         Food-for-Work                              WFP                                  1995                                                                                                                                                                                                                                                                                                                                                                                                                                                               ***
         Project Urban Self-Help (PUSH)             CARE                                                                                                                                                                                                                                  ***                                                                                                                                                                                                                                                               ***

         Fertiliser Support Programme
         Food Starter Pack Programme                Prog. Against
                                                    Malnutrition, WFP,
                                                    MCDSS                                                                                                                                                                                                                                 ***
         School Feeding Programme                   WFP                                                                                                                                                                                                                                                                     ***
     Zimbabwe
         Microfinance project                       CARE                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       ***

         Community Action Project                   WB                                  May-98              Dec-03                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 C

         Urban permaculture and food supply         John Snow Int., DFID
         Home based care                            WFP
         Supplementary feeding                      WFP                                                                                                                                                                                                                                                                     ***
         Food-for-work                              CARE                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    ***
         Protracted Relief Programme                DFID                                 2004               2006                ***                                                                                                                                       ***             ***                               ***                                                                                                                                                                                                                                                                                    C
          Rural microfinance and credit scheme         SIDA, CIDA, DFID                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        ***                                 G
Note: Category of Others include: C=Community-based development, E=ECD, EMP=employment, H=HIV/AIDS




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               111
Scoping Study: DFID Regional Hunger and Vulnerability Programme


ANNEX 7: MAIZE TRADE IN SOUTHERN AFRICA

       Imports - Qty (Mt)       1980        1981      1982        1983         1984         1985        1986       1987       1988       1989       1990
 SADC                          1,197,466    978,999   627,485    1,891,755    3,808,413    1,528,479    674,666    770,779   1,076,687   847,340    840,148
 Angola                         142,735      99,394   119,103      75,500      110,965       79,557      40,455     65,239     67,323     61,880    107,000
 Botswana                        23,000      15,000    17,535      38,908       47,363       47,869      35,000     39,420     51,523     45,070     62,398
 Congo, Dem Republic of         147,435     353,592   123,000     101,000       96,000       84,000      75,000    100,000     80,000     42,707     80,000
 Lesotho                         35,000      30,000    40,000      28,500       40,000       27,000      50,000     28,000     97,000     50,000     50,000
 Malawi                          11,160      56,063     1,153            0            0            0           0    44,903    119,500    149,000    116,500
 Mauritius                       11,785      12,964    12,043      17,150       12,694       11,046      15,929     25,667     21,180     32,580     22,694
 Mozambique                      92,000     102,000    91,000      71,000      215,000      402,699     110,697    183,000    380,700    297,000    250,000
 Namibia                         20,000      20,000    22,000      22,000       23,000       36,974      29,169     59,425     46,506     39,693     32,000
 Seychelles                            80       55        63             87           65           70       56       2,120      3,347      4,853      5,368
 South Africa                     4,685       3,268     1,283    1,276,746    2,673,665     420,531     209,414     92,266     33,108      2,377      3,438
 Swaziland                              0    11,000    10,000      24,000       36,000       12,000       9,200     12,700     27,500     32,100      8,484
 Tanzania, United Rep of        249,541     158,817   121,516     120,939      138,000      276,732      34,731     31,000      9,000        80       2,208
 Zambia                         315,000     116,721    68,787     115,925      143,719      130,000      65,000     87,000    140,000     90,000    100,000
 Zimbabwe                       145,045        125           2           0     271,942             1        15         39            0          0       58
 SACU + Mal, Moz, Zam, Zimb     645,890     354,177   251,760    1,577,079    3,450,689    1,077,074    508,495    546,753    895,837    705,240    622,878




                                                                                                                                                              112
Scoping Study: DFID Regional Hunger and Vulnerability Programme

                             1991       1992        1993        1994        1995        1996        1997      1998        1999        2000      2001
 SADC                       1,021,566   7,191,905   3,086,727   1,534,224   1,877,057   1,684,495   986,071   1,836,359   1,196,018   891,077   1,083,748
 Angola                       92,897      87,000      98,500     183,000     165,000     231,000     97,500    111,000      85,000    113,900    170,000
 Botswana                     43,707      54,463      35,823      47,045      54,946      52,824     50,520     45,762      26,300     54,439     62,997
 Congo, Dem Republic of       30,000      38,000      26,700     100,000      21,500      22,001      9,300      8,000       1,500     12,500     10,500
 Lesotho                      51,905     178,500     170,100     198,100      99,900     196,486     78,914    119,929     107,748    107,748    107,748
 Malawi                      150,000     347,344     490,000     389,000     235,000      83,000     54,140    324,583      28,163      7,879     51,000
 Mauritius                    35,787      35,617      42,585      36,574      60,293      50,277     48,142     55,473      64,068     61,239     69,766
 Mozambique                  350,000     750,000     376,000     273,600     205,000     115,000    121,000    110,000     150,000    125,000    300,000
 Namibia                      46,940     151,512     128,705      42,863     145,178     201,378    127,965     72,700      92,127     53,878     85,145
 Seychelles                    5,687         539       6,072       6,112       2,769       1,027      7,713      2,918       2,200       917       2,000
 South Africa                150,393    3,594,870    830,242      29,760     750,177     506,760    252,704    128,682     376,681    251,012    109,285
 Swaziland                    20,259      22,000      25,000      20,300       6,300       7,300     10,834     19,955      29,236     36,420     72,124
 Tanzania, United Rep of       1,651      44,000      49,000     193,000      43,917      50,575     12,989    269,615      35,585     49,453     31,045
 Zambia                       42,000     680,000     316,000      13,461      84,811      40,000     70,000    415,000      14,410      5,481     10,334
 Zimbabwe                        340    1,208,060    492,000       1,409       2,266     126,867     44,350    152,742     183,000     11,211      1,804
 SACU + Mal, Moz, Zam,
 Zim                         855,544    6,986,749   2,863,870   1,015,538   1,583,578   1,329,615   810,427   1,389,353   1,007,665   653,068    800,437




                                                                                                                                                        113
Scoping Study: DFID Regional Hunger and Vulnerability Programme


Maize Exports
      Exports - Qty (Mt)        1980       1981        1982        1983       1984      1985       1986        1987       1988       1989        1990
 SADC                         3,386,351   4,642,487   4,254,561   1,925,817   169,855   633,368   2,338,126   2,985,309   756,157   3,165,721   2,815,746
 Angola                             500           0           0           0         0         0           0           0         0           0           0
 Botswana                             0         100         270         105        79        27          60          17     1,033          14         787
 Congo, Dem Republic of               0           0           0           0         0         0           0           0         0           0           0
 Lesotho                              0           0       2,700      10,000        40        10           0           0         0           0           0
 Malawi                               0           0          49     120,541   127,345    64,602      85,080         490         0         200       1,088
 Mauritius                            1           0          17           0         0         3       6,763       4,167     4,641         650          22
 Namibia                              0           0           0           0         0         0           0           0         0           0           0
 South Africa                 3,317,301   4,400,000   3,900,000   1,300,000    40,000   379,504   1,770,271   2,480,350   337,185   2,932,876   2,000,515
 Swaziland                            0           0           0           0         0         0       4,700       9,900     2,000         200         150
 Tanzania, United Rep of            251           0           0           0         0         0           0      90,000    18,711      30,347      57,039
 Zambia                               2           0           3           0         0       548      35,000         163       485         500      14,119
 Zimbabwe                        68,296     242,387     351,522     495,171     2,391   188,674     436,252     400,222   392,102     200,934     742,026
 SACU + Mal, Moz, Zam, Zimb   3,385,599   4,642,387   4,254,274   1,925,712   169,776   633,338   2,331,303   2,891,125   731,772   3,134,710   2,757,898




                                                                                                                                                            114
Scoping Study: DFID Regional Hunger and Vulnerability Programme

                            1991      1992      1993      1994        1995        1996        1997        1998        1999      2000      2001
 SADC                      869,850   554,150   451,018   5,043,732   1,800,718   2,185,153   2,116,231   1,364,650   558,447   768,197   663,614
 Angola                          0         0         0           0           0           0           0           0         0         0         0
 Botswana                      549       266     2,341       1,163         506       1,383          55         604       604       567     1,968
 Congo, Dem Republic of          0         0         0           0          30          33          36          39        41        95        95
 Lesotho                         0         0         0           0           0           0           0           0         0         0         0
 Malawi                          0         0     4,125       1,259       3,126         450         685          52        90    11,000       200
 Mauritius                      36       533         0         105         150           0           0           1         2         2         1
 Namibia                         0         0         0           0           0           0           0           0         0       461       104
 South Africa              374,731   523,750   216,000   3,760,177   1,508,450   1,948,230   1,695,585     897,068   420,921   616,848   620,267
 Swaziland                       0         0         0           0           0           0         709         639       415     1,424       791
 Tanzania, United Rep of     7,000     4,141     9,637           0           0           0      16,185          20     1,588    16,871    26,386
 Zambia                        300       115     3,088       1,100         638         140          32         100     8,277    14,189    11,726
 Zimbabwe                  487,234    25,345   215,827   1,279,928     287,818     234,917     402,944     466,127   126,509   106,740     2,076
 SACU + Mal, Moz, Zam,
 Zim                       862,265   549,210   439,040   5,042,464   1,800,032   2,183,737   2,099,955   1,363,986   556,212   750,201   635,060




                                                                                                                                                   115
Scoping Study: DFID Regional Hunger and Vulnerability Programme


ANNEX 8: LOGICAL FRAMEWORK FOR SCOPING STUDY
 Narrative summary                                   Indicators (OVI)             Verification (MoV)     Assumptions and risks
 Goal                                                -Reduced rates of            - DHS and other
 Reduced vulnerability to food insecurity in         malnutrition amongst         surveys
 Southern Africa                                     under-fives [stunting]
 Purpose                                             -Effective policies in       - Review of food       1. That governments allow trade in basic foods, do not
 Region-wide adoption and implementation of          place and implemented        security policies in   impose arbitrary barriers
 coordinated policies with respect to the            for addressing issues of     2007                   2. That senior policy-makers are prepared to accept
 availability, access and utilisation of food        food availability, access                           evidence when making policy.
                                                     and utilisation
                                                                                                         3. Regional policy and decision making bodies (eg SADC)
                                                                                                         are able to influence national governments
                                                                                                         4. Policy makers continue to prioritise food security as the
                                                                                                         acute emergency in southern Africa abates

 OUTPUTS
 Output 1: National & regional information &         - Vulnerability analysis     - At least 6           1.1 National governments and partners are convinced that a
 analysis systems to support policy making and       systems established          governments                risk reduction approach to food security can be effective
 programming for humanitarian & development          within SADC                  receiving budget       1.2 There is effective inter-sectoral and inter-agency
 assistance institutionalised                        governments and              support for VA             collaboration in the establishment of the VACs
                                                     receiving budget support     systems at the end
                                                     - improved timeliness and    of 3 years
                                                     quality of information       - Reports on
                                                     available from               vulnerability
                                                     established data             produced by
                                                     collection systems           national systems

 Output 2: Information on social protection          - Information from the                              2.1 Adequate information, especially evaluative information,
 mechanisms to reduce chronic food insecurity &      VAC system incorporated                             on regional social protection experiences available for
 vulnerability of those at risk of food insecurity   in the planning of social                           sharing within the region
 disseminated and better understood in the region    protection programmes                               2.2 Established agency behaviour can be influenced by
                                                     - decreasing proportion of                          evidence and research
                                                     emergency assistance in                             2.3 That the constraints of limited financial resources and
                                                     the region is delivered as                          procedural constraints are addressed
                                                     food assistance
                                                     - Inclusion of diverse
                                                     measures of social

                                                                                                                                                                  116
Scoping Study: DFID Regional Hunger and Vulnerability Programme
 Narrative summary                                   Indicators (OVI)             Verification (MoV)   Assumptions and risks
                                                     protection measures in
                                                     government, UN agency
                                                     and CSO emergency
                                                     appeals
 Output 3: The volume and efficiency of trading in   Increased volumes of         Extension of         3.1 Smaller-scale traders use information and credit, better
 basic foods among small-scale traders is            trade in basic foods, both   FEWSNET pilot        working environment, to exploit market power over farmers
 increased                                           formal and informal,         project              3.2 That the COMESA-RATES market information system
                                                     carried out by smaller-                           proves effective and useful
                                                     scale traders
                                                                                  Possibly from MSU    3.3 That advocacy on the benefits of freer trade in foodstuffs
                                                     Reduced margins in food      marketing project    leads to measures to reduce official obstacles to food
                                                     trading, with lower price                         trading
                                                     spikes

 Output 4: Evidence generated on key policy          4 Research reports,          Reports from         4.1 Research capacity in the region proves unable to tackle
 issues for food security, and disseminated to       briefing papers, briefing    FANRPAN, mid-        the major questions
 policy-makers and stakeholders                      meetings, workshops,         term evaluation
                                                     web site activity
 Activities                                          • NVAC committees            Strategy documents   1.1.1   Countries have sufficient technical capacity to
 1.1 Regional technical assistance to the               operational in X          Work plans                   cooperate with RVAC
 national VACs to:                                      countries                                      1.1.2   NVACs receive funding at the national level from
                                                                                  Workshop reports
 • Establishment of NVACs in an additional X         • Preparation of X NVAC                                   governments and donors to synergise the regional
    countries                                           multi-year strategies                                  activities
 • Define NVAC mandates & annual work-plans,         • Preparation of X NVAC                           1.1.3   SADC is an effective intermediary and inter-locutor
    within agreed common regional parameters            annual work plans                                      in supporting an institutionalisation process
 • Work through SADCV system to support              • Advocacy events
    institutionalisation of NVACs                       organised with
                                                        national governments
 • Provision of budget support to selected NVACs
    in support of agreed work plan activities        • Budget disbursement
                                                        technical assistance &
 • Organisation of requested technical support to
                                                        regional meetings
    NVACs in support of work plans
                                                        held
 • Organise regional learning opportunities
 • Facilitate capacity building events

 2.1 establish and manage a regional learning        • Electronic (web &          Website exits
 network in social protection & food security           email) dissemination      Documentation
 safety nets                                            system established

                                                                                                                                                                117
Scoping Study: DFID Regional Hunger and Vulnerability Programme
 Narrative summary                                  Indicators (OVI)          Verification (MoV)   Assumptions and risks
 • Dissemination of information on safety nets      • X number of practices   Event reports
 • Advocating safety net policy issues                 shared per annum
 • Organising learning & sharing events             • X in-country & Y
                                                       regional learning
                                                       events organised
 3.1 facilitating small & medium scale food
 trade
 • Organisation of traders in for a to articulate
    needs
 • Capacity building
 • Improving access to financial services
 • Improving access to and sharing of market
    information

 3.2 Support regional trade and market
 information systems from SADC

 3.3 Ancillary measures




                                                                                                                           118
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ANNEX 9: REFERENCES & BIBLIOGRAPHY

Adato, M. and L. Haddad (2001) Targeting Poverty through Community-Based Public Works
     Programs: A Cross-Disciplinary Assessment of Recent Experience in South Africa.
     FNCD Discussion Paper No.121. Washington, D.C.: International Food Policy
     Research Institute.

Alderman, H. (2002) Subsidies as a Social Safety Net: Effectiveness and Challenges. Social
     Protection Discussion Paper No. 0224. Washington, D.C: World Bank.

Amani, H.K.R. (2003) Agricultural trade in the SADC region: a synthesis report, Paper to the
    Regional Dialogue on Agricultural Recovery, Food Security and Trade Policies in
    Southern Africa, organized by FANRPAN, USAID/RCSA, CTA, March 26-27, 2003,
    Gaborone, Botswana

Arlindo, P. and D. Tschirley (2003) ‘The Effects of Regional Trade of Agricultural
      Commodities on National Producers and Consumers. The Case of Maize between
      Northern Mozambique and Malawi’, Paper to the Regional Dialogue on Agricultural
      Recovery, Food Security and Trade Policies in Southern Africa, organized by
      FANRPAN, USAID/RCSA, CTA, March 26-27, 2003, Gaborone, Botswana

Arndt, C. and F. Tarp (2003) ‘Equity and efficiency gains from trade policy reform:
     accounting for marginal; and average tariff rates in a gendered CGE analysis for
     Mozambique’, Draft paper for comment, Paper to 6th Annual Conference on Global
     Economic Analysis, June 2003, Scheveningen, NL

Ayala Consulting Co. (2003) Workshop on Conditional Cash Transfer Programs (CCTs):
     Operational Experiences. Prepared for the World Bank. Quito, Ecuador: Ayala.

Badiane, O. (2003) Strategies to respond to food emergency crises in the SADC region. The
     role of weather-indexed insurance and commodity stockpiling, Concept note.

Barahona, C. and S. Levy (2003) How to generate statistics and influence policy using
     participatory methods in research: reflections on work in Malawi 1999-2002. IDS
     Working Paper, Brighton: Institute of Development Studies.

Bennett, J. (2003) Review of School Feeding Projects. London: Department for International
     Development.

Besley, T., Burgess, R. and I. Rasul (2003) Benchmarking Government Provision of Social
     Safety Nets. Social Protection Discussion Paper No. 0315. Washington, D.C: World
     Bank.

Bird, K., Booth, D. and N. Pratt (2003) Food Security Crisis in Southern Africa: The Political
      Background to Policy Failure. Forum for Food Security in Southern Africa (FFASA),
      London: ODI.

Bitran, R. and U. Gidion (2003) Waivers and Exemptions for Health Services in Developing
      Countries. Social Protection Discussion Paper No. 0308. Washington, D.C: World
      Bank.




                                                                                          120
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Bryceson, D.F., Fonseca, J. and J. Kadzandira (2004) Social Pathways from the HIV/AIDS
     Deadlock of Disease, Denial and Desperation in Rural Malawi. CARE Malawi, May
     2004.

CARE (2002) Household Livelihood Security Assessments: A Toolkit for Practitioners.
    Prepared for the PHLS Unit by: TANGO International Inc., Tucson, Arizona.

CARE with TANGO International (2003) Managing Risk, Improving Livelihoods: Program
    Guidelines for Conditions of Chronic Vulnerability. CARE Eastern/Central Africa
    Regional Management Unit, Nairobi., April.

CARE International (2004) Understanding the Causes of the Southern African Crisis: Terms
    of Reference for Developing Country and Regional Strategy and Policy Position Papers.
    Johannesburg: CARE.

CARE (2002) Central Region Infrastructure Maintenance Programme (CRIMP): Qualitative
    Impact Study Volume 1. CARE International.

Charman, A. and J. Hodge (2003) SADC Food Security Policy and WTO.

Charman, A, S. Matemba and W. Ehret (2004) Year Two of the Case Study of the Partnership
     between Limbe Leaf Tobacco Company and Kasungu Smallholder Virginia Tobacco
     Growers,, published by GTZ AES Project, June 2004.

Chirwa, E.W., McCord, A., Mvula, P. and C. Pinder (2004) Study to Inform the Selection of
     an Appropriate Wage Rate for Public Works Programmes in Malawi. National Safety
     Nets Unit, Government of Malawi, 31 May 2004.

Chirwa, E.W. and P.M. Mvula (2004) Study to Inform the Selection of an Appropriate Wage
     Rate for Public Works Programmes in Malawi” Phase 1 Report. National Safety Net
     Unit, MASAF and CARE International.

Coady, D.P. (2004) Designing and Evaluating Social Safety Nets: Theory, Evidence, and
     Policy Conclusions. FCND Discussion Paper No. 172, Washington, D.C.: IFPRI.

Clay, E. (2003) International and DFID Responses to the Southern African Humanitarian
      Crisis 2001-2003: selected issues from reviews and evaluations. Prepared for SAHC
      DFID Learning Review, 24-25 September.

Coates, J., Webb, P. and R. Houser (2003) Measuring Food Insecurity: Going Beyond
     Indicators of Income and Anthropometry. Washington, D.C.: Food and Nutrition
     Technical Assistance Project, Academy for Educational Development, November.

Conway, Tim and Norton, Andy, (2002) Nets, Ropes, Ladders and Trampolines: The Place of
    Social Protection within Current Debates on Poverty Reduction. Development Policy
    Review, Vol. 20, No. 5, pp.533-540.

Cook, S. (2002) From Rice Bowl to Safety Net: Insecurity and Social Protection during
     China’s Transition. Development Policy Review, Vol. 20, No. 5, pp.615-635.

Crane, W., Atieli, G. and S. Matemba (2004) Are We Making a Difference in Improving
     Conditions and Positions of Poor and Marginalised People: Malawi Country Review
     Report. Action Aid Malawi. March 2004.




                                                                                     121
Scoping Study: DFID Regional Hunger and Vulnerability Programme

C-SAFE (2003) Malawi Baseline Survey: Report of Findings. TANGO-International in
    collaboration with C-SAFE M&E Team. September 2003.

Cutts, M. and R. Hassan (2003) An Econometric Model of the SADC Maize Sector, A paper
      presented at the 41st AEASA Annual Conference, October 2003, Pretoria, South Africa.

DFID (2002) Eliminating Hunger: DFID Food Strategy and Priorities for Action. London:
    DFID.

DFID (2003) Agriculture and poverty reduction: unlocking the potential: A DFID Policy
    Paper. London: DFID, December.

DFID (2003) Learning Review - DFID Response to the Recent Southern Africa Humanitarian
    Crisis: Recommended Actions. DFID, Pretoria, 24-25 September (prepared by ODI
    Support Team on behalf of DFID).

DFID (2004) A review of school feeding programmes: Summary of key findings. Policy
    Division Briefing Note. London: Department for International Development.

DFID Zambia (2004) Views about Current and Future Vulnerability Analysis in Zambia,
    input for 7-8 June RVAC Retreat.

De Haan, A., Drinkwater, M., Rakodi, C. and K. Westley (2002) Methods for understanding
     urban poverty and livelihoods. London: Department for International Development.

Devereux, S (2001) Livelihood Insecurity and Social Protection: A Re-emerging Issue in
     Rural Development. Development Policy Review, Vol.19, No. 4, pp.507-519.

Devereux, S (2002) Can Social Safety Nets Reduce Chronic Poverty? Development Policy
     Review, Vol. 20, No. 5, pp.657-675.

Devereux, S (2002) Social Protection for the poor: Lessons from recent international
     experience. IDS Working Paper 142. Brighton: Institute of Development Studies.

Devereux, S (2002) From Workfare to Fair Work: The Contribution of Public Works and
     other Labour-Based Infrastructure Programmes to Poverty Reduction. Issues in
     Employment and Poverty Working Paper No. 5, Geneva: ILO, November.

Devereux, S. (2003) Policy Options for Increasing the Contribution of Social Protection to
     Food Security: DRAFT 1. Forum for Food Security in Southern Africa, ODI, 10 June
     2003.

Devereux, S. (2003) Policy Options for Increasing the Contribution of Social Protection to
     Food Security Forum for Food Security in Southern Africa, ODI, September. (final
     draft)

Dorward, A. and J. Kydd (2003) Work in Progress: Policy Analysis for Food Security,
    Poverty Reduction and Rural Growth in Malawi. Centre for Development and Poverty
    Reduction, Imperial College, London.

Drimie, S. (2004) The Underlying Solutions to the Food Crisis in the Southern African
     Region – Zimbabwe, Zambia, Mozambique and Malawi. Oxfam-GB Policy Research
     Paper. Oxfam.




                                                                                        122
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Duncan, A. (1999) The food security challenge for Southern Africa’, Food Policy, 23(6),
     459–475

Ellis, F. (2003) Human Vulnerability and Food Insecurity: Policy Implications. for Food
       Security in Southern Africa, London: ODI, August.

Fafchamps, Marcel, Eleni Gabre-Madhin & Bart Minten, 2003, ‘Increasing returns and
     market efficiency in agricultural trade’ MTID Discussion Paper 60, Markets, Trade and
     Institutions Division, International Food Policy Research Institute, 2033 K Street,
     N.W., Washington, D.C. 20006 U.S.A., April 2003

Farrington, J., Slater, R. and R. Holmes (2004) The Search for Synergies between Social
      Protection and Livelihood Promotion: The Agriculture Case. London: Overseas
      Development Institute. (Final report to DFID)

Farrington, J. (2004) Agriculture and Poverty Reduction: Making the Connection. London:
      Overseas Development Institute (ODI).

Farrington, J. (2004) Social Protection and Livelihood Promotion in Agriculture: Towards
      Operational Guidelines. London: DFID, draft manuscript.

FEWSNET (2002) Establishing a trade and market information network to enhance food
    security in Southern Africa, Concept note.

FFSSA (2004) ‘Achieving Food Security in Southern Africa: Policy Issues and Options’,
    FFSSA Synthesis Paper, Forum for Food Security in Southern Africa, London: ODI.

FFSSA (2004) Lesotho Food Security Issues Paper:, Forum for Food Security in Southern
    Africa, London: ODI.

FFSSA (2004) Mozambique Food Security Issues Paper:, Forum for Food Security in
    Southern Africa, London: ODI.

FFSSA (2004) Zambia Food Security Issues Paper:, Forum for Food Security in Southern
    Africa, London: ODI.

FFSSA (2004) Zimbabwe Food Security Issues Paper:, Forum for Food Security in Southern
    Africa, London: ODI.

Flatters, F. (2001) The SADC Trade Protocol: which way ahead? Southern African Update,
       Trade & Industry Policy Secretariat, SADC, June 2001, Vol. 10.

Flatters, F. (2002) The SADC Trade Protocol: Outstanding issues on Rules of Origin,
       February 2002.

Flatters, F. (2002) Wheat Flour in SADC: Rules of Origin, Tariff Preferences and
       Competition, April 2002.

Flatters, F. (2002) SADC Rules of Origin: Undermining Regional Free Trade, Prepared for
       TIPS forum, Johannesburg, South Africa, September 2002.

Flatters, F. and R. Kirk (2004 Rules of Origin as Tools for Development: Some Lessons from
       SADC, February 2004.




                                                                                       123
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Frankenberger, T.R., Drinkwater, M. and D. Maxwell (200?) Operationalizing household
     livelihood security: A Holistic Approach for Addressing Poverty and Vulnerability.
     CARE International.

Frankenberger, T., Luther, K., Fox, K. and J. Mazzeo (2003) Livelihood Erosion Through
     Time: Macro and Micro Factors that Influenced Livelihood Trends in Malawi Over the
     Last 30 Years. CARE Southern and Western Africa Regional Management Unit
     (SWARMU), March 2003.

Garrett, J. (2001) Lessons from the Urban Food-for-Work Program CARE-Ethiopia: Notes
      and Observations. Washington, D.C.: International Food Policy Research Institute.

Gaynor, M., Masoo, M. and I. Manjolo (2003) Malawi: Lessons Learned from Public Works
     Programs. Findings Infobrief No. 89. Washington, D.C.: World Bank.

Goedike, P.T. (2004) Strategies to respond to food emergency crisis in the SADC region,
     Collective Reserve System Study, prepared for the World Bank, April 2004.

Haddad, L. (2002) Nutrition and Poverty. In Nutrition: A Foundation for Development.
     Geneva: UN ACC/SON.

Haddad, L. and M. Adato (2001) How efficiently do Public Works Programs Transfer
     benefits to the Poor? Evidence from South Africa. FNCD Discussion Paper No.108.
     Washington, D.C.: International Food Policy Research Institute.

Haddad, L. and T. Frankenburger (2003) Integrating Relief and Development to Accelerate
     Reductions in Food Security in Shock-Prone Areas. USAID Office of Food for Peace
     Occasional Paper No.2. Washington, D.C.: USAID.

Haddad, L. and T. Frankenburger (2003) Integrating Relief and Development to Accelerate
     Reductions in Food Security in Shock-Prone Areas: Implications for the USAID Office
     of Food for Peace 2004-2009. Washington, D.C.: IFPRI.

Hedley, D. and D. Sanderson (2000) Strengthening urban livelihoods, Zambia: PUSHII and
     PROSPECT case study. CARE International.

Hess, U. and J. Syroka (2004) Weather Based Insurance covariate shocks in Southern Africa.
      Food Security and Weather Risk Management in SADC. Focus on Malawi, Report
      prepared for SADC Secretariat, June 2004, Commodity Risk Management Group
      (CRMG), ARD, World Bank.

Hodinott, J., Adato, M., Besley, T. and L. Haddad (2001) Participation and Poverty
     Reduction: Issues, Theory, and New Evidence from South Africa. FNCD Discussion
     Paper No.98. Washington, D.C.: International Food Policy Research Institute.

Holzmann, R, and S. Jorgensen (2000) Social Risk Management: A new conceptual
     framework for Social Protection, and beyond. Social Protection Discussion Paper No.
     0006. Washington, D.C.: World Bank.

Holzmann, R, and S. Jorgensen (2000) Social Risk Management: A new conceptual
    framework for Social Protection, and beyond. Washington, D.C.: World Bank.

Hulme, D. and A. Shepherd (2003) Conceptualising chronic poverty. World Development,
    Vol. 31, No. 3, pp.403-423.



                                                                                      124
Scoping Study: DFID Regional Hunger and Vulnerability Programme

IFPRI (2003) Achieving food security in Southern Africa through strengthened capacity for
     food policy research, analysis, dialogue and implementation

Imani Development International/Kadale Consultants, (2003), Maize Market Assessment and
      Baseline Study for Malawi, May 2003, Report prepared for: RATES Center, P.O. Box
      1325-00606, Nairobi, Kenya, rates@ratescenter.org

Jennings, J.M. and A. Peri (2002) Activities to Promote Mother and Child Well-Being in
      CARE’s PL480 Title II Integrated Programs: A Closer Look at the Honduras &
      Mozambique Programs. CARE.

Jones, S. (2002) Pre-concept note. Role of new market institutions in grain price stabilisation
      in Southern Africa.

Josserand, H. (2003) Food for all requires careful planning’, Mail & Guardian, 27 June-3
      July.

Kabeer, N. (2002) Safety nets and opportunity ladders: addressing vulnerability and
    enhancing productivity in South Asia. ODI Working Paper 159. London: Overseas
    Development Institute (ODI).

Kabeer, N. (2002) Safety nets and opportunity ladders: Addressing vulnerability and
     enhancing productivity in South Asia. Development Policy Review, Vol. 20, No. 5,
     pp.589-614.

Kalenga, P. and R. Kirk (2003) The management of technical regulations: Issues for SADC,
     Report for USAID, February 2003.

Kambewa, S. and LS. Chiwaula (2004) Malawi: An Assessment of Information System
    Activities Relevant to Vulnerability Analysis.

Katsura , H.M. and C.T. Romanik (2002) Ensuring Access to Essential Services: Demand-
     Side Housing Services. Social Protection Discussion Paper No. 0232. Washington, D.C:
     World Bank

Kelly, K., Parker, W. and S. Oyisi (2001) Pathways to Action: HIV/AIDS Prevention,
      Children and Young People in South Africa. A Literature Review. Prepared for Save
      the Children by CADRE.

Khandker, S.R. (2003) Micro-finance and Poverty: Evidence using Panel Data from
     Bangladesh. World Bank Policy Research Working Paper 2945. Washington, D.C:
     World Bank.

Koester, U. and T. Takavarasha (2004) Regional maize reserves proposal based on
     three SADC countries: Malawi, Tanzania and Zambia, Consultancy Report,
     prepared for the World Bank, April 2002.

Kydd, J., Dorward, A. and M. Vaughan (2002) The Humanitarian Crisis in Southern Africa:
     Malawi. Submission to the International Development Committee. Centre for
     Development and Poverty Reduction, Imperial College, London.

Letsoalo, A. and J. Kirsten (2003). Modelling the impacts of Macroeconomic and Trade
      Policies on the Southern African Agricultural Sector, A paper presented at the 41st
      AEASA Annual Conference, October 2003, Pretoria, South Africa.



                                                                                           125
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Levy, S. (2003) Starter Packs and hunger crises: a briefing for policy makers, Briefing paper,
      University of Reading, UK

Littlefield, E., Morduch, J. and S. Hashemi (2003) Is Microfinance an Effective Strategy to
       Reach the Millennium Development Goals? FocusNote No.24. Washington, D.C.:
       CGAP.

Madola M.V., Msiska, F. and R. Chiputula (2002) Trade Policies and Agricultural Trade in
    the SADC Region: Challenges and Implications, The Malawian Case Study.

Makoae, M.G. (2004) LVAC Stakeholders’ Consultation Workshop held on 31ST March 2004
    at National Convention Centre, Maseru.

Malawi Vulnerability Assessment Committee (MVAC) (2004) Food Security Monitoring
     Report: Malawi. May 2004.

Marcus, R. and J. Wilkinson (200?) Whose Poverty Matters? Vulnerability, Social Protection
     and PRSPs. CHIP Working Paper No.1. Childhood Poverty Research and Policy
     Centre, Save the Children UK.

Marsland, N. (2004) A Review of Food Security and Vulnerability Monitoring Systems in
     Southern Africa at Regional and National Level. Save the Children UK, March.

Mathys, E. (2003) Community-Managed Targeting and Distribution of Food Aid: A Review
     of Experience of Save the Children (UK) in Southern Africa.. Save the Children (UK),
     December.

Maxwell, S. and R. Slater (2003) Food Policy Old nad New, Development Policy Review,
    2003, 21 (5-9): 531-553.

Mbizule, C. (2004) Malawi Community and Household Surveillance System Food Security
     and Livelihood In-depth Trend Report: Round 1 (Oct 03) and Round 2 (March 04). C-
     SAFE and WFP. May 2004.

McEwan, M. (2003) Changing Landscapes and the Outliers: Macro and Micro Factors
    Influencing Livelihood Trends in Zambia Over the Last Thirty Years - Literature
    Review. CARE Southern and Western Africa Regional Management Unit (SWARMU),
    May 2003.

McEwan, M. (2003) Bibliogrpahy of Zambian Livelihoods Work. CARE Southern and
    Western Africa Regional Management Unit (SWARMU).

Morduch, J. and M. Sharma (2002) Strengthening Social Safety Nets from the Bottom Up.
    Social Protection Discussion Paper No. 0227. Washington, D.C: World Bank.

Morduch, J. and M. Sharma (2002) Strengthening Social Safety Nets from the Bottom Up.
    Development Policy Review, Vol. 20, No. 5, pp.569-598.

Moser, C. and O. Antezana (2002) Social Protection in Bolivia: An Assessment in Terms of
     the World Bank’s Social Protection and the PRSP. Development Policy Review, Vol.
     20, No. 5, pp.637-656.




                                                                                          126
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Mousseau, F. (2004) ‘Breaking the Mould?’ Rethinking our Approach to Livelihoods. Paper
    fro Oxfam GB, Southern Africa Regional Management Team Meeting, Pretoria, 25-27
    March 2004.

Mozambique: Draft Report of National Consultation on Vulnerability Analysis.

Mwiinga, B., J.J. Nijhoff, D. Tschirley, M.T. Weber, T.S. Jayne, P. Arlindo, G. Tembo and J.
     Shaffer (2004) Policies and Practices to Ensure Broad Availability of Low-Cost Food
     Staples. Food Security Research Projects of Zambia and Mozambique, Paper to the
     Regional Dialogue on Agricultural Recovery, Food Security and Trade Policies in
     Southern Africa, organized by FANRPAN, USAID/RCSA, CTA, March 26-27, 2003,
     Gaborone, Botswana

Nathan Associates (2003) RCSA Food Security Strategic Option: Synthesis and Analysis of
     Selected Readings. USAID/Regional Centre for Southern Africa. June 2003.

New Partnership for Africa’s Development (NEPAD) (2003) Comprehensive Africa
    Agriculture Development Programme. NEPAD.

New Partnership for Africa’s Development (NEPAD) (2004) NEPAD study to explore further
     options for food-security reserve systems in Africa, NEPAD Report, June 2004.

Ngqangweni, S., T. Kandiero, Y. Gebrehiwet and J. Kirsten (2003) The SADC Countries and
     the Uruguay Round agreement on Agriculture: A review of progress and challenges, A
     paper presented at the Biennial Conference of the Economic Society of South Africa,
     September 2003.

Nijhoff, J.J., G. Tembo, J.D. Shaffer, T.S. Jayne and J. Shawa (2003) How will the proposed
      Crop Marketing Authority affect food market performance in Zambia? An ex-ante
      assessment to inform government deliberation, FSRP Working Paper No. 7, June 2003.

Norton, A., Conway, T. and M. Foster (2002) Social Protection: Defining the Field of Action
     and Policy. Development Policy Review, Vol. 20, No. 5, pp.541-567.

Office of Food for Peace (FFP) Bureau for Democracy, Conflict and Humanitarian Assistance
      (DCHA) (2003) Concept Paper for its Strategic Plan for 2004-2008, Final Draft.
      Washington, D.C.: USAID, September.

Olivier, M.P and L.G. Mpedi, (2003) Extending social protection to families in the African
      context: the complementary role of formal and informal social security. International
      Social Security Association (ISSA). 4th International Research Conference on Social
      Security Antwerp, 5-7 May 2003.

Pearson, M. (2004) Capacity Building – Regional Trade Policy and Trade Facilitation:
      Experiences of COMESA, March 2004, Paris, France.

Peberdy, S. (2002) ‘Hurdles to trade? South Africa’s immigration policy and informal sector
     cross-border traders in the SADC’, Paper to SARPN Workshop on Regional
     Integration, Migration & Poverty, 25 April 2002

Petty, C., Selvester, K., Seaman, J. and J. Acidri (2004) Mozambique Assessment: The
      Impact of HIV/AIDS on Household Economy. Food Security and Livelihoods Unit,
      Save the Children UK, March 2004.




                                                                                         127
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Pinder, Caroline (2003) Economic pathways for Malawi’s Rural Households. Report on
      preliminary research conducted in Malawi in Oct 2003. CARE Malawi.

Pitt, M.M., Khandker, S.R. and J. Cartwright (2003) Does Micro-Credit Empower Women:
       Evidence from Bangladesh. World Bank Policy Research Working Paper 2998.
       Washington, D.C.: World Bank.

Prowse, M. (2003) Towards a clearer understanding of ‘vulnerability’ in relation to chronic
     poverty. CPRC Working Paper No. 24. Chronic Poverty Research Centre, University of
     Manchester.

Raisin, J. (2003) Development with the Poor: The Transitional Asset Protection System
      (TAPS) - A Middle Road to Social Protection. Discussion Paper. Addis Ababa:
      Ministry of Rural Development.

RATES (2003) Regional Maize Trade Policy Paper, Maize Trade Regional Policy Issue
    Paper, Centre for Regional Agricultural Trade Expansion Support, September 2003,
    Nairobi, Kenya.

Ravallion, M. (2002) Targeted Transfers in Poor Countries: Revisiting the Trade-offs and
     Policy Options. Washington, D.C.: World Bank.

Rawlings, R.B. and G.M. Rubio (2003) Evaluating the Impact of Conditional Cash Transfer
     Programs: Lessons from Latin America. Washington, D.C.: World Bank.

Rogers, B.L. (2001) Food Safety Net Programs and Related Nutrition Intervention: Draft
     Annotated Bibliography.

Rogers, B.L. and J.C. Coates (2002) Food-Based Safety Nets and Related Programs. Social
     Protection Discussion Paper Series No.0225. Washington, D.C: World Bank.

Sanderson, D. (2000) Cities, disasters and livelihoods. Environment and Disaster
     Urbanisation, Vol.12, No.2, pp.93-102.

Save the Children UK (2004?) Proposal and Terms of Reference for A Technical
     Advisor/Livelihoods Specialist to Support the Regional and national vulnerability
     assessment committees (RVAC and NVACs). Save the Children UK

Seaman, J., Petty, C. and H. Narangui (2004) HIV/AIDS and household economy in a
    Highveld Swaziland community. Save the Children UK and Save the Children
    Swaziland. March 2004.

Sefton, T. (2004) A Fair Share of Welfare: Public Spending on Children in England. CASE
      Report No.25. Centre for the Analysis of Social Exclusion, London School of
      Economics.

SETSAN (2004) InfoFlash: Information and Commentary about Food Security and Nutrition
    in Mozambique. No.3, June 2004.

Shah, M.K., Osborne, N., Mbilizi, T. and G. Vilili (2002) Impact of HIV/AIDS on
     Agricultural Productivity and Rural Livelihoods in the Central Region of Malawi.
     CARE International, Malawi, January.




                                                                                         128
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Sibo Development Consultants (2004) The national vulnerabity assessment committee (vac)
     consultation process: final draft report. Prepared for the Zambian NVAC. Office of the
     Vice President, Government of the Republic of Zambia.

Simms, C., Rowson, M. and S. Peattie (200?) The Bitterest Pill of All: The collapse of
    Africa’s health systems. Save the Children (UK).

Strode, A. and K. Barrett Grant (2001) The role of stigma and discrimination in increasing the
      vulnerability of children and youth infected with and affected by HIV/AIDS - Research
      report. Save the Children (UK).

Subbarao, K. (2003) Systemic Shocks and Social Protection: The Role and Effectiveness of
     Public Works Programs. Social Protection Discussion Paper Series No.0302.
     Washington, D.C.: World Bank.

Subbarao, K., Bonnerjee, A., Braithwaite, J., Carvalho, S., Ezemenari, K., Graham, C. and A.
     Thompson (1997) Safety Net Programs and Poverty Reduction: Lessons from Cross-
     Country Experience. Washington, D.C.: World Bank.

Subbarao, K., Mattimore, A. and K. Plangemann (2001) Social Protection of Africa’s
     Orphans and Other Vulnerable Children. Africa Human Development Working Paper,
     Washington, D.C.: World Bank.

Sukume, C., E. Makudze, R. Mabeza-Chimedza and N. Zitsanza (2000) ‘Comparative
     Economic Advantage of Crop Production in Zimbabwe’, Technical Paper No. 99,
     November 2000, SD Publication Series, Office of Sustainable Development, Bureau for
     Africa, USAID

Swaminathan, S.A. (1998) Lessons in Designing Safety Nets. PREM Notes No.2,
    Washington, D.C.: World Bank, April.

Swaziland: Draft Report for the Assessment of Information System Activities Relevant to
     Vulnerability Analysis.

Tabor, S.R. (2002) Assisting the Poor with Cash: Design and Implementation of Social
     Transfer Programs. Social Protection Discussion Paper Series No.0223. Washington,
     D.C.: World Bank.

Tango International (2003) Underlying Causes of Livelihood Insecurity among the Poor in
     Malawi: The Testing of Five Potential Hypotheses . CARE Southern and Western
     Africa Regional Management Unit (SWARMU), November 2003.

Teklu, T. (1995) Employment Programs for Food Security in Sub-Saharan Africa. 2020
     Vision Brief 28, Washington, D.C.: IFPRI.

Traub, L.N. and T.S. Jayne (2004) The effects of market reform on maize marketing margins
     in South Africa, MSU International Development Working Paper, Michigan State
     University, East Lansing, Michigan, USA.

Turner, S.D. (2003) The Southern African Food Crisis: Lesotho Literature Review. CARE
     Southern and Western Africa Regional Management Unit (SWARMU), April 2003.




                                                                                          129
Scoping Study: DFID Regional Hunger and Vulnerability Programme

Verduijn, R. (2004) Soliciting Views about Current and Future Vulnerability Analysis in the
     Region, as input for 7-8 June RVAC Retreat. Summary responses of regional
     stakeholders to questionnaire.

Verduijn, R. (2004) Draft Summary Proceedings: SADC FANR Regional Vulnerability
     Assessment Committee Retreat, Whispering Pines, Magaliesberg, 7-8 June 2004.

Verduijn, R. (2004) Session 1: Summary National Consultations – review of VA Information
     Inventories and Assessments.

Verduijn, R. (2004) Draft mission statement and terms of reference of the RVAC.

Verduijn, R. (2004) Summary Lesotho RVAC Retreat.

Verduijn, R. (2004) Review Malawi - Main Report.

Verduijn, R. (2004) Summary Mozambique RVAC Retreat.

Verduijn, R. (2004) Comments to Swaziland VAC Main Report.

Verduijn, R. (2004) Summary Swaziland RVAC Retreat.

Verduijn, R. (2004) Summary Zambia RVAC Retreat.

Verduijn, R. (2004) Proceedings of the SADC FANR National and Regional Vulnerability
     Assessment Committee Retreat, Heia Safari Ranch, Honeydew, South Africa, 1-2 July
     2004.

Vink, N. and N. Tregurtha (2003) Domestic Agricultural Support in SADC: The impact on
      regional trade and the consequences for development, A report to SADC, University of
      Stellenbosch, Cape Town, South Africa.

Vodopedic, M. (2004) Comparing Unemployment Insurance and Unemployment Assistance.
    World Bank Employment Policy Primer No.3, Washington, D.C.: World Bank,
    February.

Whiteside, M. (2003) Enhancing the role of informal imports in Malawi food security,
     Consultacy Report to DFID, November 2003.

Wiggins, S. (2003) Regional Issues in Food Security in Southern Africa: FIRST DRAFT.
     Forum for Food Security in Southern Africa, London: ODI, June.

Witter, S., Calder, G. and T. Ahimbisibwe (2004) Taking better care? Review of a decade of
      work with orphans and vulnerable children in Rakai, Uganda. Save the Children (UK).

World Bank (2001) Dynamic Risk Management and the Poor: Developing a Social Protection
     Strategy for Africa. Washington, D.C: The World Bank, Africa Region Human
     Development Department.

World Bank (2001) Social Protection. PRSP Sourcebook Chapter 17. Washington, D.C.:
     World Bank.

World Bank (2000?) Social Protection Sector Strategy: From Safety Net to Springboard.
     Washington, D.C: The World Bank.



                                                                                       130
Scoping Study: DFID Regional Hunger and Vulnerability Programme

World Bank (200?) The Contribution of Social Protection to the Millennium Development
     Goals. Washington, D.C.: World Bank.

World Bank (2003) Systemic Shocks and Social Protection: The Role and Effectiveness of
     Public Works Programs. Social Safety Nets Primer Notes No.1. Washington, D.C:
     World Bank.

World Bank (2003) Demand-Side Subsidies for Housing. Social Safety Nets Primer Notes
     No.3. Washington, D.C: World Bank.

World Bank (2003) Assisting the Poor with Cash: Design and Implementation of Social
     Transfer Programs. Social Safety Nets Primer Notes No.5. Washington, D.C: World
     Bank.

World Bank (2003) Food-Based Safety Nets and Related Programs. Social Safety Nets Primer
     Notes No.6. Washington, D.C: World Bank.

World Bank (2003) Strengthening Social Safety Nets from the Bottom Up. Social Safety Nets
     Primer Notes No.8. Washington, D.C: World Bank.

World Bank (2003) Food Waivers and Exemptions for Health Services in Developing
     Countries. Social Safety Nets Primer Notes No.9. Washington, D.C: World Bank.

World Bank (2004) Malawi and Zambia: Using Social Funds to Expand infrastructure.
     Shanghai Poverty Conference Case Study Summary. Washington, D.C: World Bank.

WFP Malawi (2004) Malawi Community and Household Surveillance (CHS) First Round
    October-November 2003. Final Report, March 2004.

Zunckel, H.E. (2002) Rules of Origin and Agriculture: Some observations, TRALAC,
     November 2002.




                                                                                     131
Scoping Study: DFID Regional Hunger and Vulnerability Programme



ANNEX 10:TORS FOR SCOPING STUDIES – OVERALL, &

TEAMS 1 & 2

                             DESIGN PROCESS
               TERMS OF REFERENCE FOR THE SCOPING STUDIES

Background
1.      The Department for International Development (DFID) has been providing support to
help meet the needs of the recent humanitarian crisis in the Southern African region43. Since
2001, the Department has provided humanitarian assistance totalling over £135 million for the
worst affected countries. Analyses of the causes of the recent humanitarian crises in the
region confirmed that, while drought triggered the process, it was caused by a complex mix of
contributory factors. The crises highlighted the need for greater commitment to improve long-
term food security and reduce people’s vulnerability, and to tackle these issues in ways that
address the underlying causes.

2.      As part of DFID’s response to these issues DFIDSA (Department for International
Development in Southern Africa) has produced a Regional Strategy Paper on Hunger and
Vulnerability in Southern Africa. It provides an analysis of the factors driving vulnerability
and food security in the region and sets out DFID’s position on food security in Southern
Africa.

3.       The Strategy Paper identifies four priority areas: strengthening vulnerability
monitoring and assessment systems; more effective safety nets; promoting the role of the
private sector and enhancing regional trade, and strengthening regional policy discussions.

4.       These issues are best (or uniquely) addressed through regional (as
opposed to country-specific) activities and are likely to be channelled through a DFID-funded
regional hunger and vulnerability programme (RHVP44). The programme will be based on the
premise that there are a number of policy and institutional limitations across the region that, if
satisfactorily addressed, will enhance poor people’s access to food and thereby meet a key
objective of the DFID Strategy.

Purpose
5.      DFIDSA now wishes to take forward its plans for the RHVP, in the context of the
Regional Strategy, through a design process that explores the four priority “pillars” in the
Strategy Paper and develops a programme memorandum. A draft LogFrame for the
Programme is attached at Annex 4 and the Regional Strategy at Annex 5.

6.       A regional co-ordinating institution45, working closely with two teams of policy and
technical consultants, will be contracted to develop options for the DFIDSA RHVP. The
design process will explore opportunities to support national and particularly regional
initiatives that will enhance food security in Southern Africa.




43
   Covering Lesotho, Swaziland, Zimbabwe, Malawi, Mozambique and Zambia.
44
   It is anticipated that the RHVP will cover a greater number of SADC countries than those affected by the
humanitarian crisis. In particular it will include the involvement of South Africa due to its impact and influence in
the region, increasing vulnerability within South Africa, and its ability to assist its neighbors.
45
   It is anticipated that the regional institution may be SARPN, but collaborating closely with the Overseas
Development Institute (UK).


                                                                                                                 132
Scoping Study: DFID Regional Hunger and Vulnerability Programme

7.      This ToR refers to the overall process for the scoping studies, outlining generic issues
to be considered, the approach and timeframe, and the specific roles and responsibilities of the
regional co-ordinating institution.

8.      Separate ToRs have been developed for the two teams of consultants. These are
attached at Annex 1 and 2. Team 1 will cover vulnerability assessment systems and safety
nets. Team 2 will examine how DFID can best support trade initiatives that will enhance
access to food in the region, and how regional policy networks working on food security in
the region can be supported and sustained. Given the importance of strengthening links
between vulnerability, safety nets and the role of the private sector and regional trade in
enhancing access to food (as set out in the regional strategy paper), it is very important that
the work of the two teams is carefully co-ordinated and linkages between them explored
during the design phase.

9.      The scoping studies, and the products from them, will feed into the drafting of a
framework Programme Memorandum for the RHVP. The success of the design process will
depend crucially on the scoping studies produced: the process itself and high quality scoping
studies will greatly facilitate the task of producing a Programme Memorandum and strengthen
our understanding of how and where DFID might best contribute.

Approach
Building on existing work
10.      Many of the SADC countries have, or are developing, programmes which focus on
hunger and vulnerability issues at a country level, and a number of the DFID country offices
in the SADC region are providing strategic support to these. In addition, a Forum on Food
Security46 is being undertaken in SADC, led by the UK-based Overseas Development
Institute. The Forum is providing a platform for discussing medium to long-term causes of the
apparent increased vulnerability to food insecurity in Southern Africa, and to generate policy
options for addressing this. The Forum is due to hold a number of national consultations in
the region to discuss the national level policy options emerging from the findings of the
Forum.

11.     DFIDSA is currently providing support for Technical Assistance to the Regional
Vulnerability Assessment Committee (RVAC) and the National VACs (NVACs) in Lesotho
and Swaziland. In addition DFIDSA has fast-tracked a 3-stage consultation process of the
VACs. The purpose of this consultation is to strengthen institutional relationships; improve
co-ordination between the RVAC/VACs and integration with government systems; and
strengthen harmonisation of vulnerability assessment and monitoring activities in the region.
The outcome of these consultations should feed into the design of the RHVP and the scoping
study consultants (Team 1) should be proactive in ensuring this.

12.     It will be essential to ensure that the RHVP does not duplicate these efforts. The
scoping studies are required to link in with these processes, and be deliberate in the design of
the RHVP in making sure that the programme builds on the progress made by, and the
findings of, them.

Positioning of the Programme
13.     The RHVP is intended to be a regional programme. By this, it is expected that the
RHVP will not undertake country level interventions – this is the domain of DFID country
programmes. The design of the RHVP must reflect the priorities of the Regional Food
Security Strategy and provide an added value to the country level programmes. It will seek to
strengthen the linkages between, and share lessons from, the country programmes; strengthen

46
 Forum for Food Security in Southern Africa covers the region as a whole and five specific countries: Lesotho,
Malawi, Mozambique, Zambia and Zimbabwe. www.odi.or.uk/food-security-forum


                                                                                                            133
Scoping Study: DFID Regional Hunger and Vulnerability Programme

regional policy processes; promote regional dialogue and understanding, particularly around
the shared and common issues and policy decisions perhaps made by one country, which
affect others in the region; and support regional institutions and mechanisms in support of
country level efforts. The Scoping Studies need to capture the opportunity for synergy
between the country level programmes and a regional programme and exercise care when
considering the relationship between them.

Geographical coverage of the programme
14.      While the RHVP is intended to be a SADC-wide programme, it should be recognised
that the related work to date and the Regional Hunger and Vulnerability Strategy is focussed
on those countries most affected by the recent humanitarian crises. However the nature of the
programme, and its intended focus, makes it likely that the programme will be relevant, and
of benefit, to a greater number of the Member States. Existing vulnerability in particular
countries not currently covered by the DFID support to humanitarian crises in the region (e.g.
Angola), and the influence and impact of others (e.g. South Africa) in the region highlights
the need for the programme to consider a wider inclusion. The Scoping Studies will need to
explore the opportunities and options for doing this.

Financial Framework
15.     In the context of the above, and within the four priority areas outlined in the Regional
Strategy, the scoping studies will be required to identify what needs to be done, and what is
best done, at a regional level, and where DFID can best contribute. This clearly needs to take
into account what governments and other donors are doing, and the resource envelope of the
RHVP. The consultants should explore the scope for closer collaboration and integration with
other donors.

16.     The allocated DFID funding is over 3 years. No allocation between the four priority
areas has been made.

Role and Responsibilities of Regional Institution
17.      The regional institution will have overall responsibility for the management, co-
ordination and quality of the outcome of the scoping studies and adherence to the timetable.
The regional institution will identify a process co-ordinator and a process administrator to
facilitate and manage the process but it will not require their full-time involvement. The
process will draw on regional expertise, using international expertise where appropriate and
where such does not exist or where wider international experience would be of value to the
process. The regional institution will provide support to the two teams of consultants who will
undertake the regional scoping studies.

18.     The regional institution will be requested to seek opportunities for collaborating with
the Overseas Development Institute (who are managing the Forum for Food Security)
particularly with regard to the provision, and sub-contracting, of any international expertise;
ensuring a linkage with the outcomes of the Forum for Food Security; and possible
participation in their national consultations due to be held in a number of countries in
southern Africa by ODI during the first half of 2004 over the next few months.

19.      The process co-ordinator from the regional institution, supported by the two team
leaders, will report to a Steering Committee47 that will meet every two weeks during the
duration of the scoping studies, where they will present and discuss progress of the scoping
studies.


47
  The Steering Committee will be responsible for giving guidance to, and ensuring the focussed direction of, the
scoping studies. The Steering Committee will include a small team with representatives from DFIDSA and CSAD
country offices and the Programme Design Consultant.


                                                                                                            134
Scoping Study: DFID Regional Hunger and Vulnerability Programme

20.     The Regional Institution (and in particular the process co-ordinator and process
administrator) will ultimately be responsible to DFIDSA’s Regional Food Security Adviser.
The responsibilities of the regional institution will include, but not be limited to:

•   Being familiar with recent learning and information on regional hunger and vulnerability
    issues, including the Forum for Food Security in Southern Africa and DFIDSA’s
    Regional Strategy on Hunger and Vulnerability in Southern Africa;
•   Identification and sub-contracting of regional consultants for the two teams (as detailed in
    Annex 1 & 2);
•   Assisting in the identification of complementary international expertise, as appropriate,
    and maintaining close liaison with ODI and the Programme Design Co-ordinator;
•   Agreeing with the consultants, and submitting to the Steering Committee, a detailed and
    directive time-bound work programme for the scoping studies, and ensuring compliance
    with this, in line with the overall timeline for the design process (Annex 3);
•   Present and discuss progress with the scoping studies to the Steering Committee;
•   Ensuring the linkages between the issues being addressed by the two teams are explored,
    that there is read-across, and that this is constantly maintained;
•   Alert the Steering Committee to issues of content or process that may need to be given
    urgent consideration, including the possible commissioning of any additional work;
•   Providing support to the two teams of consultants to assist them in undertaking the
    scoping studies, particularly in assisting in identifying key stakeholders and setting up and
    co-ordinating consultations with them;
•   Assisting the consultants in identifying existing and planned support from other donors;
•   Trying to ensure that members of the regional teams participate in (at least?) one of the
    national forums being held by ODI in the region, if the two timetables coincide;
•   Assist the two teams in collating any secondary data/information necessary for the work
    of the scoping studies, including the lessons learnt from existing or tried approaches,
    particularly any regional-wide experiences;
•   Flight and other travel arrangements, hotel bookings, meeting and workshop
    arrangements;
•   Organise, manage and participate in a regional workshop to be held towards the end of
    the scoping studies; This will include agreeing with the Steering Committee the structure
    and content for the workshop; and the identification and role of facilitators as necessary;
    the production of a brief workshop report.
•   Financial management of the funds available for the scoping studies and providing brief
    statements of actual and anticipated expenditure to the Steering Committee.

21.     Through being involved in the design of the programme, the regional institution and
the consultants would not be eligible to participate in the tender process for implementation.

Competencies and Expertise
22.      The regional institution is required to provide an experienced co-ordinator/facilitator
able to manage and co-ordinate this process. The person will need to be supported by a
programme administrator. Both will require strong inter-personal, management and co-
ordination skills; be highly organised; and good networkers. It is desirable that the process co-
ordinator have some knowledge of food security issues in Southern Africa and the regional
institutions active in this field.

23.    ToRs and the expertise required for the two teams of consultants are detailed in
Annex 1 and 2.

24.     The process co-ordinator for the scoping studies will need to maintain close liaison
with the Programme Design Consultant with respect to the need to ensure that the process and



                                                                                             135
Scoping Study: DFID Regional Hunger and Vulnerability Programme

the expertise provides the information necessary, and in a suitable format, for the various
annexes required for the Programme memorandum.


Product
25.     The purpose of the scoping studies is to provide the information required for the
drafting of a Programme Memorandum. The ToRs for the two teams specify the outputs
required from each team.

26.      The Steering Committee will expect to receive a consolidated report from each of the
teams outlining the issues and where DFID can best contribute; plus a report that specifically
outlines the inter-linkages between the scoping studies and what is required to address these
inter-linkages during implementation of the programme.

27.     The regional institution and consultancy teams will be expected to suggest to
DFIDSA options for the most appropriate and workable ‘institutional home‘ for the location
and management of the RHVP, considering the institutional issues that arise during the
scoping studies.




3.4     Duration
28.     The design phase will take place from Mid-April but must be complete by early June.
A six-week period is envisaged for the design process itself. Extensive regional travel will be
involved. It is envisaged that the Project Memorandum will be completed by mid-July.

Attached annexes:
Annex 1: ToRs Team 1
Annex 2: ToRs Team 2
Annex 3: Timeline for Design Process
Annex 4: Draft RHVP Logframe
Annex 5: Regional Hunger and Vulnerability Strategy




DFIDSA
March 2004




                                                                                              136
Scoping Study: DFID Regional Hunger and Vulnerability Programme

                                         TERMS OF REFERENCE

            DFID REGIONAL HUNGER AND VULNERABILITY PROGRAMME

     TEAM 1: VULNERABILITY ASSESSMENT SYSTEMS AND SAFETY NETS

1.      Background
1.      The Department for International Development (DFID) has been providing support to
help meet the needs of the recent humanitarian crisis in the Southern African region48. Since
2001, the Department has provided humanitarian assistance totalling over £135 million for the
worst affected countries. Analyses of the causes of the recent humanitarian crises in the
region confirmed that, while drought triggered the process, it was caused by a complex mix of
contributory factors. The crises highlighted the need for greater commitment to improve long-
term food security and reduce people’s vulnerability, and to tackle these issues in ways which
address the underlying causes.

2.       As part of DFID’s response to these issues DFIDSA (Department for International
Development in Southern Africa) has produced a Regional Strategy Paper on Hunger and
Vulnerability in Southern Africa. It provides an analysis of the factors driving vulnerability
and food security in the region and sets out DFID’s position on food security in Southern
Africa. It identifies four issues that are best (or uniquely) addressed through regional (as
opposed to county-specific) activities and are likely to be channelled through a DFID-funded
regional hunger and vulnerability programme (RHVP49).

3.       The four priority areas outlined in the Strategy Paper are strengthening vulnerability
monitoring and assessment systems; more effective safety nets; promoting the role of the
private sector and enhancing regional trade, and strengthening regional policy discussions.
The programme is based on the premise that there are a number of policy and institutional
limitations across the region that, if satisfactorily addressed, will enhance poor people’s
access to food and thereby meet a key objective of DFID strategy.

2.      Purpose
4.      DFIDSA now wishes to take forward its plans for the RHVP, in the context of the
Regional Strategy, through a design process that explores the four priority “pillars” in the
Strategy Paper and develops a programme memorandum.

5.       Two teams of consultants, working closely with the regional co-ordinating
institution50, will be contracted to develop options for the DFIDSA RHVP. Both teams will
explore opportunities to support national and particularly regional initiatives that will enhance
food security in Southern Africa.

6.       This ToR refers to tasks expected of Team 1, who will cover vulnerability assessment
systems and safety nets. A second team of consultants will examine how DFID can best
support trade initiatives that will enhance access to food in the region, and how regional
policy networks working on food security in the region can be supported and sustained (Team
2). Given the importance of strengthening links between vulnerability, safety nets and the
role of the private sector and regional trade in enhancing access to food (as set out in the
regional strategy paper), it is very important that the work of the two teams is carefully co-
ordinated during the design phase and that the inter-linkages between the issues being
explored by the two teams are drawn out.
48
   Covering Lesotho, Swaziland, Zimbabwe, Malawi, Mozambique and Zambia.
49
   It is anticipated that the RHVP will cover a greater number of SADC countries than those affected by the
humanitarian crisis. In particular it will include the involvement of South Africa due to its impact and influence in
the region, increasing vulnerability within South Africa, and its ability to assist its neighbours.
50
   It is anticipated that this function will be conducted by SARPN.


                                                                                                                 137
Scoping Study: DFID Regional Hunger and Vulnerability Programme



Team 1: Vulnerability Assessment Systems and Lesson Learning Around Safety Nets

7.      DFID has been supporting vulnerability assessment committees (VAC) in Lesotho,
Malawi, Mozambique, Swaziland, Zambia and Zimbabwe since 2002. The VAC system
comprises national VACs (NVAC) and a regional VAC (RVAC), based in SADC HQ in
Gabarone. The system has been evolving since the RVAC was established as a SADC Food
Agriculture and Natural Resources Committee in 1999 to provide leadership on national and
regional vulnerability assessment activities. Some NVACs predate the 2001 food crisis - the
VAC in Mozambique was established in 1998, for example – while others were created in
response to the food crisis which became evident in 2001.

8.       To date, three assessment rounds have been completed. The first two, conducted in
August and December 2002, focused on emergency food needs. The third round, undertaken
in April and May 2003, broadened the scope of the assessment to include an increased
emphasis on livelihoods-based vulnerability assessments (LBVA). These later assessments
attempted to examine linkages between food security and HIV/AIDS, indicators of health,
nutrition, education, protection, water and sanitation access, and so on. In all VAC
assessments, understanding the constraints to food access is key.

9.       DFID is currently providing majority funding for a three-stage VAC consultation
process in the region. This will start in March and is due to be completed in May. The
purpose is to provide a stock-take on where the VAC process has reached, how the NVAC
and RVAC relationship can be strengthened, and to encourage wider donor support for future
activities. This process is described in more detail at Annex 1.

10.     Several DFID offices in the region, particularly DFID Zambia and DFID Malawi, are
developing country strategies incorporating social protection and safety nets programmes.
Improved and strengthened vulnerability assessment systems must have the ability to identify
the most appropriate types of safety nets, as well as monitoring their impacts.

11.     It will be important that recommendations on strengthening early warning and
vulnerability assessment systems link into the design of improved safety nets in order to learn
lessons on how vulnerability systems can support and inform safety net design throughout the
region. It is envisaged that this programme will establish a network where the knowledge
base on safety nets can be extended, thereby increasing the likelihood of their uptake in a
wider regional context.

3.       Objective of the Consultancy
12.      As set out in the RHVP, and building on progress to date in NVAC and RVAC
activities, DFID is interested in strengthening vulnerability assessment systems at national
and regional levels in the Southern Africa region and in establishing lesson-learning networks
around safety nets. The objectives of the consultants in Team 1 covering this work are:

    i)   To use the regional hunger and vulnerability strategy paper as the basis for the
         programme to be designed;
    ii) To ensure that the design of the programme maximises the probability of achieving
         the relevant purposes as set out in the logframe (Annex 2) in the most cost effective
         way given the resources available;
    iii) To ensure that DFID maximises the “value added” it can provide to existing regional
         early warning and vulnerability assessment systems and safety nets approaches,
         especially with regard to existing donor and Government commitments to these
         systems;
    iv) To concentrate on regional entry points that will strengthen and support country-
         based initiatives in the areas of early warning systems and vulnerability assessment.


                                                                                           138
Scoping Study: DFID Regional Hunger and Vulnerability Programme



4.         Approach
13.        The consultants undertaking this task will need to:
      i) Work effectively with the consultants engaged on trade and policy support proposals
           (Team 2); the DFID project steering committee; and the Process Design Consultant in
           ensuing good co-ordination during the design phase and building strong links from
           the outset among the project’s components;
      ii) Ensure that consultation with key regional stakeholders has been undertaken during
           programme design;
      iii) Ensure that the Process Design Consultant is provided with necessary information on
           areas covered by the consultants in Team 1 that will allow a timely project
           memorandum to be written for submission to DFID.
      iv) For each intervention, the team should outline financial and technical needs, bearing
           in mind existing or intended support from other donors; the broad economic impact;
           examine the related social (especially poverty-related) and environmental issues; the
           institutional capacity of partner institutions to engage with DFID support; and expand
           the Logframe with appropriate OVIs and MoVs related to proposed interventions.

5.       Scope of Work and Key Deliverables
14.      Building on the outcomes of the three stage VAC consultation process and the
existing experience of developing safety nets in the region, the consultants working in Team 1
will be expected to:

i)   Undertake a literature review of work on vulnerability assessment and monitoring
     systems and safety nets in the region to date, and to produce a summary of findings to
     DFID;
ii) Map out existing vulnerability monitoring systems at country and regional level,
     including but not limited to examining NVAC and RVAC structures, providing
     information on methodology employed, institutional placement within Government
     structures; and current levels and the timeframe of resources allocated to vulnerability
     monitoring and early warning systems in the region;
iii) Assess how vulnerability monitoring and early warning information is currently used,
     including how key vulnerability recommendations emanating from previous assessments
     have been used, especially with respect to longer term planning processes around
     vulnerability, including but not limited to PRSPs, and
iv) Highlight key areas where improvements are needed in areas covered above and in other
     relevant respects. These may include, but should not be limited to:
     • An assessment of where the NVACs fit into wider vulnerability monitoring systems
         in place at the country and regional level, providing recommendations on how these
         systems should be strengthened and how further support for the VAC process should
         be targeted within this wider context;
     • The adequacy of vulnerability information currently produced, including VAC
         methodology, and how this should be strengthened and harmonised across the region
         for improved cross-country comparison, response, and contingency planning, for
         example in better capturing LBVA variables impacting on the quality of vulnerability
         assessments produced, e.g. nutrition; HIV/AIDS, etc.
     • An assessment of technical capacity constraints and institutional weaknesses in
         existing vulnerability assessment and monitoring structures, including but not limited
         to NVAC and RVAC processes;
     • The ability of VACs to process and analyse information and produce useful policy
         inputs to wider planning processes and proposals for strengthening this;
         • An examination of key resource limitations and other constraints to better
              integration and uptake of vulnerability assessment outputs, including those of the
              NVAC and RVAC;



                                                                                             139
Scoping Study: DFID Regional Hunger and Vulnerability Programme

          •    An analysis of relationships between the RVAC and NVAC; of current support
               for the RVAC; and how further support could synergise NVAC outputs.
      i) Map out existing safety net work in the region, considering constraints faced in
           designing and developing such systems at both the national and regional level;
      ii) Explore areas where links between such work and vulnerability assessments and other
           early warning systems could be developed and strengthened;
      iii) Assess the extent of current regional lesson learning in vulnerability assessment
           systems and safety net approaches in the Southern African region;
      iv) Based on wide stakeholder consultation, propose a programme of DFID support
           covering the period 2004-2007 for strengthening early warning systems and
           vulnerability monitoring and assessment work in Southern Africa (including but not
           necessarily restricted to the VAC system); and support for a lesson-learning network
           on safety nets covering the region.

15.      Proposals should take account of existing arrangements and experience of
NVAC/RVAC activity, and a full analysis of current safety net design and operation in the
region. Recommendations should be based on careful consideration of where DFID resources
can best be targeted in relation to other donor or Government funding of such activities in
order to leverage region-wide improvements in these areas.

6.      Product
16.     The Steering Committee will expect to receive a consolidated report from the team
outlining the issues and where DFID can best contribute. The team will also be expected to
contribute to a report that specifically outlines the inter-linkages between the scoping studies
and what is required to address these inter-linkages during implementation of the programme.
The two Team Leaders will collaborate and take the lead in producing this report on inter-
linkages.

17.     The regional institution and consultancy teams will be expected to suggest to
DFIDSA options for the most appropriate and workable ‘institutional home‘ for the location
and management of the RHVP, considering the institutional issues that arise during the
scoping studies.

7.        Competencies
18.       The consultants contracted to do this work must have the following:

•     Good knowledge and experience of vulnerability assessment and monitoring systems,
      their methodologies and their links to wider poverty planning processes;
•     Good knowledge of the Southern African region, especially the six countries which are
      the focus of the RHVP;
•     A familiarity with social safety nets and social protection approaches employed in the
      region;
•     Good networking and communication skills and the ability to work with a wide range of
      stakeholders in linking key priority areas and translating these into policy actions;
•     Project design experience, preferably in the areas highlighted above.

8.       Reporting
19.      A small team of 2/3 consultants is envisaged for this work supported, if necessary, by
shorter inputs from additional expertise. A Team Leader should be identified. The consultants
will work closely with the Process Co-ordinator (based in the regional institution) and will be
responsible to the regional institution for the quality of the scoping studies, their output and
adherence to the timetable.




                                                                                            140
Scoping Study: DFID Regional Hunger and Vulnerability Programme

20.   The Process Co-ordinator, supported by the Team Leaders, will report to the Steering
Committee.

9.      Duration
21.     The design phase will take place from Mid-April but must be complete by early June.
A six-week period is envisaged for the design process itself. Extensive regional travel will be
involved. It is envisaged that the Project Memorandum will be completed by mid-July.




DFIDSA
March 2004




Annexure 1:          Three-Stage Consultation Process on VAC Activity in Southern Africa51


       Step 1
       National stakeholders' consultations will take place in each country under the leadership
       of the NVACs to discuss terms of reference for the NVAC and relationships with the
       RVAC and other institutions at the national level. These consultations will also focus on
       reviewing existing vulnerability assessment and monitoring activities in the country and
       discussing how any such activities can be harmonised with the vulnerability assessments
       coordinated by the VAC. In the countries where NVACs have undertaken discussions to
       discuss institutional arrangements and long-term goals, these national stakeholders’
       consultations are meant to help the NVACS conclude this processes.

       Step 2
       An RVAC Retreat will take place following the national consultations to determine the
       terms of reference for the RVAC and its relationships with the NVACs, and discuss future
       proposals for VAC activities. This retreat will also focus on discussing the relationships
       of the RVAC with regional stakeholders using the information generated by the VAC
       assessments.

       Step 3
       A regional consultation on vulnerability assessment and monitoring activities, including
       relevant stakeholders will take place at the end of the process to discuss harmonisation of
       vulnerability assessment and monitoring activities in the region. Based on the outcomes
       of the national consultations and the RVAC retreat, the consultation will look more
       specifically at how the RVAC can provide guidance to ensure that assessment and
       monitoring activities produce credible results that are comparable within the region.




51
     The six countries covered by the RHVP.


                                                                                               141
Scoping Study: DFID Regional Hunger and Vulnerability Programme

                                         TERMS OF REFERENCE

            DFID REGIONAL HUNGER AND VULNERABILITY PROGRAMME

         TEAM 2: REGIONAL FOOD TRADE AND FOOD SECURITY POLICY

1.      Background
1.      The Department for International Development (DFID) has been providing support to
help meet the needs of the recent humanitarian crisis in the Southern African region52. Since
2001, the Department has provided humanitarian assistance totalling over £135 million for the
worst affected countries. Analyses of the causes of the recent humanitarian crises in the
region confirmed that, while drought triggered the process, it was caused by a complex mix of
contributory factors. The crises highlighted the need for greater commitment to improve long-
term food security and reduce people’s vulnerability, and to tackle these issues in ways which
address the underlying causes.

2.       As part of DFID’s response to these issues DFIDSA (Department for International
Development in Southern Africa) has produced a Regional Strategy Paper on Hunger and
Vulnerability in Southern Africa. It provides an analysis of the factors driving vulnerability
and food security in the region and sets out DFID’s position on food security in Southern
Africa. It identifies four issues that are best (or uniquely) addressed through regional (as
opposed to county-specific) activities and are likely to be channelled through a DFID-funded
regional hunger and vulnerability programme (RHVP53).

3.       The four priority areas outlined in the Strategy Paper are strengthening vulnerability
monitoring and assessment systems; more effective safety nets; promoting the role of the
private sector and enhancing regional trade, and strengthening regional policy discussions.
The programme is based on the premise that there are a number of policy and institutional
limitations across the region that, if satisfactorily addressed, will enhance poor people’s
access to food and thereby meet a key objective of DFID strategy.

2.      Purpose and Summary Outputs
4.      DFIDSA now wishes to take forward its plans for the RHVP, in the context of the
Regional Strategy, through a design process that explores the four priority “pillars” in the
Strategy Paper and develops a programme memorandum.

5.       Two teams of consultants, working closely with the regional co-ordinating
institution54, will be contracted to develop options for the DFIDSA RHVP. Both teams will
explore opportunities to support national and particularly regional initiatives that will enhance
food security in Southern Africa.

6.       This ToR refers to tasks expected of Team 2. DFID wishes to engage a team of three
people to provide an analysis of the needs and opportunities for external assistance to a)
improving regional market information systems in ways that will impact on the aggregate
availability and affordability of food across the region, especially in poorer areas, and provide
income opportunities for small-scale food producers and traders; b) enhance the effectiveness
and policy impact of research-based food policy institutions and networks in their
contributions to better co-ordination of regional policies with respect to food production,
distribution and intra-regional trade.


52
   Covering Lesotho, Swaziland, Zimbabwe, Malawi, Mozambique and Zambia.
53
   It is anticipated that the RHVP will cover a greater number of SADC countries than those affected by the
humanitarian crisis. In particular it will include the involvement of South Africa due to its impact and influence in
the region, increasing vulnerability within South Africa, and its ability to assist its neighbours.
54
   It is anticipated that this function will be conducted by SARPN.


                                                                                                                 142
Scoping Study: DFID Regional Hunger and Vulnerability Programme

7.       A second team of consultants (Team 1) will examine how DFID can best support
regional vulnerability assessment and monitoring systems that can feed into and inform the
design of safety nets in the region. Establishing a network around lesson learning in safety
nets is an important component of that task. Given the importance of strengthening links
between vulnerability, safety nets and the role of the private sector and regional trade in
enhancing access to food (as set out in the regional strategy paper), it is very important that
the work of the two teams is carefully co-ordinated during the design phase and that the inter-
linkages between the issues being explored by the two teams are drawn out.

3.      Objectives and Scope of the Consultancy
8.      The scoping work consists of two levels of activity. At the broader level, the work
involves an assessment of the principal policy assumptions behind these proposed outputs.
These include the assumptions that there are significant barrier to increased access to food
(production, trade and distribution) that can be attributed to deficiencies in market
information and market operations and to trade and regulatory policies which inhibit market
growth in food products and production requirements. They also include the assumptions that
inadequate policies are contributing to regional food security and, importantly, that wider
availability of authoritative and well-targeted information and research will have a significant
impact on policy formulation.

9.      The team is also required to assess the broad economic impact of the limitations
outlined above and indicate the possible benefits of addressing these limitations. The team
should also examine any important social (especially poverty-related) and environmental
aspects of current market and food policy regimes in southern Africa, and assess any
consequences of changes to these regimes.

10.     At the narrower level, the team is required to investigate and assess specific
assistance interventions that should be considered in the Programme Memorandum which will
be prepared subsequent to the completion of the scoping studies. For each intervention under
consideration, the team should describe:

  i)        The financial and technical assistance requirements (especially in the context of
            existing financial and TA support from other sources);
 ii)        The nature of partnership arrangements being proposed, including the institutional
            capacity of the partners involved;
 iii)       The performance criteria appropriate to the proposed intervention;
 iv)        The possible risks to satisfactory performance and any special considerations in
            relation to gender and HIV/AIDS. In addition, for activities which are being
            recommended to DFID for support, an indication of appropriate OVIs and MoV is
            required.

4.          Key Deliverables
11.         In addition to these general objectives, the team will be required to:

        •   Provide an overview of the regional cereals trade and, on the basis of consultations
            with major agents, traders, processors and distributors as well as officials responsible
            for procurement, assess the impact of revealed deficiencies upon the development of
            the regional cereals market.
        •   In this context, examine the scope for support to initiatives on, for example, a
            regional trade and market information network focussed on food staples, promoting
            the wider use of futures trading mechanisms, and other measures designed to enhance
            price stability.
        •   Provide an overview of domestic support mechanisms with respect to food production
            and, on the basis of interviews with officials at SADC and individual country level,



                                                                                                 143
Scoping Study: DFID Regional Hunger and Vulnerability Programme

          assess the impact of such support in limiting production potential by distorting intra-
          regional trade.
      •   In this context, examine the scope for support to policy research initiatives on, for
          example, facilitation of cross-border trade, removal of non-tariff barriers to trade in
          foodstuffs and agricultural inputs, and improved policy co-ordination on (for
          example) lowering transport costs or advance information on national intervention
          measures likely to impact on food availability and affordability in neighbouring
          countries.
      •   Provide an overview of current regional drought-related risk management proposals,
          including the feasibility of area-based weather insurance with public financial
          support,
      •   Provide an assessment of current efforts to promote more informed decision-making
          on food security policies across the region and examine the scope for supplementing
          these efforts.

5.       Product
12.      These specific investigations, together with the work described in the previous section
(Approach), should be consolidated into a single report with proposed activities under each
output clearly demarcated and, in each case, an indication provided of the most appropriate
institutional mechanism for implementing the activity proposed.

13.      The team will also be expected to contribute to a report that specifically outlines the
inter-linkages between the scoping studies and what is required to address these inter-linkages
during implementation of the programme. The two Team Leaders will collaborate and take
the lead in producing this report on inter-linkages.

14.     The regional institution and consultancy teams will be expected to suggest to
DFIDSA options for the most appropriate and workable ‘institutional home‘ for the location
and management of the RHVP, considering the institutional issues that arise during the
scoping studies.

6.        Competencies and Expertise
15.       The consultants contracted to do this work must have the following:

      •   Good knowledge of food security issues in Southern Africa, especially
          complementary areas including regional trade and agricultural development;
      •   Experience of M&E and lesson learning
      •   Knowledge and experience of policy processes, institutional issues and the political
          context of Southern Africa.
      •   Knowledge of regional institutions and expertise in the fields outlined above
      •   Strong management and networking skills
      •   Understanding of DFID systems and processes and requirements for Programme
          Cycle Management

7.       Reporting
16.      A small team of 2/3 consultants is envisaged for this work supported, if necessary, by
shorter inputs from additional expertise. A Team Leader should be identified. The consultants
will work closely with the Process Co-ordinator (based in the regional institution) and will be
responsible to the regional institution for the quality of the scoping studies, their output and
adherence to the timetable.

17.   The Process Co-ordinator, supported by the Team Leaders, will report to the Steering
Committee.




                                                                                              144
Scoping Study: DFID Regional Hunger and Vulnerability Programme

8.      Duration
18.     The design phase will take place from Mid-April but must be complete by early June.
A six-week period is envisaged for the design process itself. Extensive regional travel will be
involved. It is envisaged that the Project Memorandum will be completed by mid-July.



DFIDSA
March 2004




                                                                                           145

								
To top