2Chapter

The Case Study

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2.1 Introduction

The relationships between growth in fooddemand, urban spatial expansion, urbanpoverty and FSDS efficiency and dynamismare analysed by means of a case study.

Aim

The case study intends to facilitate theformulation of technically sound food supplyand distribution (FSD) policies, strategies andprogrammes, at regional, metropolitan, urbanand local level (or at urban, periurban and rurallevel) with clear institutional responsibilitiesand in a spirit of partnership between theprivate and public sectors combined withcollaboration between central and localgovernment institutions. These include specificprivate-sector, low-cost FSD arrangements totarget the urban poor,

Objectives

The case study sets the following immediateobjectives:1. identify current and future constraints to

FSDS efficiency and dynamism in the cityconcerned;

2. define the remedial measures needed topromote the development and modernizationof food supply and distribution systems(FSDSs).

Basic assumptions

1. Present constraints affecting FSDSs areeither the cause of additional FSD costs ormissed opportunities for economies;

2. urban growth and the growth of urban foodneeds will lead to a further rise in FSDcosts;

3. direct or indirect measures on FSDSs areimplemented by public (e.g. central or localgovernment) or para-statal institutions withinsufficient knowledge of FSDSs, and withan inadequate policy and strategic approach.

The above assumptions may be accompaniedor replaced by others. For instance, a city’sgrowth may fall second to market control bythe traders, lack of infrastructure, barriers toentry, lack of private initiative, and legal aswell as regulatory restrictions to trade.

Table 2.1Who is Interested in

an FSDS Case Study?

• The mayors, city administrators, policy makers andplanners, who will use the study findings to support theirformulation of urban FSD policies, programmes andinvestment decisions;

• the central and sectoral institutions involved inimproving those aspects of FSDSs and food securitywhich do not fall within the local authorities’ mandate;

• national and international funding institutions whosedecisions regarding investment funding will be based ontechnically reliable information;

• the private institutions and governing bodies (e.g.Chambers of Commerce as well as consumers, traders,producers associations) likely to be involved inimplementing FSD development programmes;

• international cooperation institutions and NGOs whoserole is to provide technical assistance to raiseawareness and to channel resources;

• the urban families who will benefit from the measurestaken.

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Cha

pter

1T

he u

rban

, soc

ioec

onom

ican

d in

stitu

tiona

l con

text

Tab

le 2

.2S

tru

ctu

re o

f th

e C

ase

Stu

dy

The

urb

an c

onte

xt:

• sp

atia

l des

crip

tion;

• th

e ur

ban

popu

latio

n;•

the

grow

th o

f ot

her

urba

nar

eas.

The

soc

io-e

cono

mic

,in

stitu

tiona

l and

legi

slat

ive

cont

ext:

• ur

ban

popu

latio

ndi

stri

butio

n;•

urba

n po

vert

y;•

FSD

S-ge

nera

ted

empl

oym

ent:

• pu

blic

ser

vice

s;•

polit

ical

and

mac

ro-

econ

omic

con

text

s;•

inst

itutio

nal c

onte

xt;

• on

-goi

ng p

olic

ies

and

prog

ram

mes

;•

the

offi

cial

and

uno

ffic

ial

legi

slat

ive

and

regu

lato

ryco

ntex

t.

Urb

an f

ood

dem

and

and

food

inse

curi

ty:

• qu

antit

ies

of f

ood

cons

umed

in th

e ci

ty;

• ur

ban

cons

umer

s’fo

odha

bits

;•

urba

n co

nsum

ers’

purc

hasi

ng p

atte

rns;

• na

ture

and

ext

ent o

f ur

ban

hous

ehol

d fo

od in

secu

rity

and

its c

ause

s.

Food

sup

ply

sto

citie

ssu

bsys

tem

:•

food

pro

duct

ion

in r

ural

and

peri

urba

n ar

eas

upon

whi

ch th

e ci

ty d

epen

ds f

orits

foo

d su

pplie

s;•

food

pro

duct

ion

with

in th

eur

ban

area

s;•

food

impo

rt lo

gist

ics

and

proc

edur

es;

• fo

od a

ssem

bly,

han

dlin

g,pa

ckag

ing

and

tran

spor

t to

citie

s (i

nfra

stru

ctur

e,fa

cilit

ies

and

serv

ices

);

• fo

od p

roce

ssin

g fa

cilit

ies

and

slau

ghte

rhou

ses;

• le

gisl

atio

n an

d re

gula

tions

.

Cos

ts, p

rofi

ts a

nd m

argi

ns.

Soci

al c

osts

and

neg

ativ

eex

tern

aliti

es.

Urb

an f

ood

dist

ribu

tion

subs

yste

m:

• w

hole

sale

mar

kets

;•

reta

il ou

tlets

: pla

nned

mar

kets

, foo

d sh

ops,

supe

rmar

kets

, str

eet

vend

ors;

•

spec

ific

low

-cos

t foo

ddi

stri

butio

n ar

rang

emen

ts;

• st

reet

foo

d an

d in

form

alac

tiviti

es;

• in

tra-

urba

n tr

ansp

ort;

• se

rvic

es to

urb

an m

arke

tus

ers;

•

mar

ket t

rade

r, sh

opke

eper

and

cons

umer

ass

ocia

tions

and

orga

niza

tions

; •

priv

ate

inve

stm

ent i

nur

ban

mar

kets

and

sho

ps;

• le

gisl

atio

n an

d re

gula

tions

.

Cos

ts, p

rofi

ts a

nd m

argi

ns.

Soci

al c

osts

and

neg

ativ

eex

tern

aliti

es.

Polic

ies,

pro

gram

mes

and

inst

itutio

ns:

• pu

blic

or

priv

ate

sect

orFS

Dde

velo

pmen

tpr

ogra

mm

es;

• in

stitu

tiona

l asp

ects

.

The

city

in te

n ye

ars

time.

The

“st

atus

quo

” sc

enar

io.

The

“de

sira

ble”

sce

nari

o.

Com

pari

son

of th

esc

enar

ios.

Cha

pter

4C

oncl

usio

ns a

nd r

ecom

men

datio

ns

Cha

pter

2Pr

esen

t-da

y ur

ban

food

de

man

d, f

ood

inse

curi

ty a

nd F

SDSs

Cha

pter

3T

he c

ity a

nd it

s FS

DS

in th

e fu

ture

Content of the chapters of the case study (see Table 2.2)

CHAPTER 1: THE URBAN, SOCIO-ECONOMIC

AND INSTITUTIONAL CONTEXT

Content: description of the urban, socio-economic, institutional and regulatory contextof the issues concerned.

CHAPTER 2: PRESENT-DAY URBAN FOOD DEMAND

AND FSDSS

Description of present-day urban food demand,types of FSDS structures and players (publicand private), their organization, operation,stability, fragility, performance and efficiencyin meeting urban consumers food requirements.

In principle, all the food groups are to be takeninto account: cereals, fruits and vegetables,roots and tubers, meat and dairy products, freshand dried fish, and products processed anddried by traditional methods. Groups ofproducts will be included in the analysis on thebasis of their importance in consumers’ dietsand the financial and human resourcesavailable for implementing the study.

CHAPTER 3: THE CITY AND ITS FSDS THE FUTURE

Projections of the city ten years into the futureand analyses of whether and how the FSDSswill be able to meet the urban consumers’ foodrequirements (in terms of volume, quality,stability, services and costs). It analyses thepossible implications of urban growth and thesocio-economic factors on FSDS structure,organization and performance.

The aims of this analysis are:1. determine whether there is a correlation

between urban growth and socio-economicfactors on the one hand, and FSDSefficiency and dynamism on the other;

2. identify the processes of change, adaptationand modernization (exogenous andendogenous, spontaneous and induced)which the FSDSs must adopt in the short,medium and long terms in order to meeturban food requirements adequately.

This analysis will be based on simpleassumptions which will help to define twoscenarios:1. a “status quo” scenario which projects

current trends concerning the city (urbanspace, poverty mapping, urban fooddemand) and FSDSs into the future (say tenyears) assuming no corrective interventions;

2. a “desirable” (but realistic) scenario whichsimulates the situation in an FSDS in tenyears. It outlines which structure, which typeof spatial and functional organization, whichsystem of operation (infrastructure, facilitiesand services) and which level ofperformance of FSDSs will best meet urbanfood demand at a given time and with agiven spatial urban development.

CHAPTER 4: CONCLUSIONS AND

RECOMMENDATIONS

Clear, succinct and operational conclusions andrecommendations.

Steps in developing the case study

1. Define the organization of the present FSDSand the way it functions;

2. translate the perception of the variousproblems currently observed into a numberof specific questions about the city and itsFSDSs;

3. identify and prioritize the constraintsaffecting the FSDS;

4. collect, organize and analyse informationand data using an interdisciplinarymethodology;

5. identify, analyse, select and assign priority tothe possible solutions;

6. define the development objectives andstrategies;

7. recognize, choose and designate the requisiteaccompanying selected measures.

To undertake the above steps, it is necessary to:• prepare the terms of reference (TORs)

of the case study (see § 2.2);• develop a research strategy;• obtain the necessary resources (see § A3.1);• identify and select the required specialists

(see § A3.1.1);• prepare work programmes (see § A3.2.7).

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Interinstitutional cooperation

Improvement measures on the FSDSs willinterest urban, periurban and rural areas (orlocal, urban, metropolitan and regional levels)in which numerous institutions intervene (seeTable 2.3).

Effective interinstitutional cooperation isimperative if one is to:• identify the study’s objectives and prepare

appropriate TORs;• facilitate access to existing information and

data;• provide all the required human, financial and

logistical resources;• encourage the various social and economic

groups to participate in the achievement ofthe study and incorporate recommendationsinto their institutional programmes;

• facilitate the assignment of specificinstitutional responsibilities for theimplementation of specific elements of FSDdevelopment programmes.

Interinstitutional cooperation could be easedthrough the establishment of interinstitutionalstudy groups (ISG) (see § A3.2.5) to focus onspecific issues and an interinstitutional steeringcommittee (ISC) (see A5.2).

2.2 The terms of reference

The TORs contain all the information neededto implement the study (see Table 2.4). It ispossible to map out an efficient research pathsuited to the city and its FSDSs. This is adynamic process requiring continuous reviewof the TORs.

The general TORs in Annex 2 need to beadapted to local conditions by the bodyresponsible for the study and/or by the ISC andby the interdisciplinary team members.

Table 2.3Example of Institutional Responsibilities by Geographic Area

As responsibility for the development of each geographicarea is usually shared between different institutions (seefollowing), the preparation of geographic subprogrammesfacilitates the assignment of specific institutionalresponsibilities for the implementation of the developmentprogramme.

Urban areas• Urban food production: municipality, Ministry of Urban

Development, Ministry of Agriculture;• urban food marketing: municipality, Ministry of Urban

Planning, Ministry of Commerce, Ministry of Health,associations of market traders, transporters andconsumers; Standards organization;

• health and environment: municipality, Ministry of theEnvironment, Ministry of Health, Standards organization.

Periurban areas• Periurban food production: Ministry of Agriculture, Ministry

of Rural Development, periurban farmers associations;• food processing: Ministry of Agriculture, Ministry of Rural

Development, Ministry of Health; Standards organization;• periurban-urban linkages: municipalities in periurban

areas; Ministry of Agriculture, Ministry of RuralDevelopment, Ministry of Transport; Standardsorganization;

• health and environment: municipalities in periurban areas;Ministry of the Environment, Ministry of Health.

Rural areas• Rural food production: Ministry of Agriculture, Ministry of

Rural Development, rural farmers associations;• food processing: Ministry of Agriculture, Ministry of Rural

Development, Ministry of Health;• rural-urban linkages: municipalities in rural areas, Ministry

of Agriculture, Ministry of Transport;• health and environment: municipalities in rural areas,

Environmental Protection and Public Health Bodies.

Table 2.4Terms of Reference

The terms of reference must include:• the objective of the case study;• the main topics;• the issues to be developed within the context of the

topics;• the hypotheses to be tested;• the questions to be answered;• the information to be collected and analysed;• the method of work and the methodological

approaches;• the expected results;• the presentation of the results;• the organization of the study.

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2.3 The phases of the case study

The case study is carried out in two phases: the“pre-case study” (phase 1) with an overall viewof the issues, and a more in-depth analysiscalled: “the case study proper” (phase 2) (seeFigure 2.1).

2.3.1 Phase 1: the pre-case study

Objectives

The objectives of the pre-case study are:1. to understand the overall structure and

operation of the FSDS to the city and assessits overall efficiency and dynamism;

2. to identify the major issues, constraints andpossible solutions at urban, periurban andrural level, bearing in mind the city’santicipated growth;

3. to identify those aspects requiring a moredetailed examination during phase 2;

4. encourage interinstitutional participation inphase 2.

Expected outputs

Phase 1 should produce:

1. general assessment of FSDS structure,performance, constraints, their causes andpossible solutions

The results should be:• logically arranged in parts and sections;• concise (strictly necessary details shall go in

the annexes);• specific and pertinent1;• clear: the language must be simple (avoid

highly technical vocabulary);• graphically supported (i.e. drawings, maps

and photographs).

2. issues for further investigation

A list will be compiled of the problems, criticalpoints and constraints surrounding FSDSsabout which information is lacking, and the adhoc studies required to be undertaken in phase2. It will therefore be necessary to pinpointsuch issues:

• at functional level, specifying whichfunctions are concerned and theirinterrelationships;

• at geographical level, specifying where theproblem occurs;

• at commercial level, specifying the playersand food products involved.

Proposals will contain:• the justification;• the objectives;• the expected results;• the preliminary TORs, work programme and

an estimate of the resources for each requiredad hoc study.

Stages

The pre-case study may commence bycategorizing past and expected urban physicalexpansion, poverty distribution, urban foodneeds, extent of urban household foodinsecurity; location, using maps, of mainsupply areas, food transport axes and urbanmarkets. The process gradually expands tocover institutional responsibilities as well aspast, present and planned interventions.Although it may not be possible to cover allthe items included in the general TORs, thedescription and analysis should suffice to showthe complexity and interrelationships betweenthe various FSDS elements. Major constraintsare identified as well as problems requiringimmediate solution. Problems and constraintsshould not simply be listed but presented assets interconnected at critical points. Key areasfor further investigation should also beidentified.

Phase 1 comprises five main stages:1. collection of information and data

(see § 2.4.1);2. analysis of information and data

(see § 2.4.2);3. analysis of FSDSs, identification of

constraints, critical points and solutions(see § 2.4.3);

4. identification of specific issues for furtherinvestigation (see § 2.4.2);

5. external review (see § 2.5).

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Specificissues for

in-depthanalysis

Phase 1:

The Pre-Case Study

Phase 2:

The Case Study Proper

Consolidated case study

General assessment ofFSDS structure, perfor-mance, constraints and

causes

Figure 2.1How the Phases of the Case Study are Linked

Analysis of urbanization, urban poverty, foodhabits, food insecurity and FSDS

Specific low-costFSD arrangementsto target the urban

poor

Expansion ofthe generalanalysis of

FSDSs

Ad hocstudies on

specifictopics

Pre-feasibility ofproposed

investments

Remedial measures

Proposals for FSDpolicy, strategies and development programmes

Duration

Phase 1 should not exceed twelve weeks/man.

2.3.2 Phase 2: the case study proper

During phase 2, there will be:1. an expansion of the general assessment of

FSDSs undertaken during the pre-case study;2. studies of specific topics, the need for which

was identified during the pre-case study;3. pre-feasibility assessments of proposed

major infrastructure investments.

Objectives

The aims of the case study proper are to:1. facilitate consensus by all concerned

institutions on proposed interventions;2. facilitate the formulation of urban FSD

policies, strategies and developmentprogrammes, at regional, metropolitan,urban and local level (or at urban, periurbanand rural level) based on a technically soundanalytical framework.

Expected outputs

Phase 2 should produce:1. technically sound and sustainable remedial

measures to address the constraints affectingFSDSs and support their development tomeet growing urban food needs;

2. a document consolidating the FSDSconstraint analysis and selected remedialmeasures;

3. proposals for specific low-cost FSDarrangements to target the urban poor.

Stages

Phase 2 comprises seven stages:1. collection of information and data (see §

2.4.1);2. analysis of scenarios (see § 2.2.2);3. in-depth analysis of specific FSD issues (see

§ 2.4.2) including present and future FSDspecific issues and constraints and theircauses (see § 2.5.3);

4. identification and pre-feasibility of publicand private infrastructure investment needsand opportunities (see A5.3, 5.7 and 5.8 andTracey-White, 1999);

5. external review (see § 2.6).

Duration

The duration of phase 2 depends on the workto be done, the size of the city, the complexityof its FSDS, the amount and quality of the datarequired, the surveys to be completed, thefunds available and the available technical andfinancial resources.

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Non motorized transport helps keep food prices low,provides employment for young and poor people

and does not pollute but contributes to trafficcongestion in and around markets.

The lack of adequate food containers can encumber thedevelopment of micro and small food processingenterprises in hygienic conditions.

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2.4 Stages of the case study

2.4.1 Collection of information and data

Required information can be collected by:• bibliographical research2 (see A5.4.1);• interviews (see A5.4.2);• direct observation (see A5.4.3);• mini-surveys3 (see A5.4.4).

2.4.2 Analysis of information and data

This guide does not review the several methodsof analysis. An interdisciplinarymethodological approach is introduced inAnnex 1. Those responsible for carrying outthe study will develop individual and groupmethodologies.

If the problems are identified without assessingtheir relative importance or urgency, solutionsput forward without assessing feasibility orsustainability in time, remedial measuresproposed without adequate knowledge of theirefficiency, impact and realism, the team’sefforts will be rendered null. The proposals forFSDS policies, strategies and programmes willbe left on the shelf. The validity, acceptance,implementation and impact of the proposals onfood security depend on this process. It isimperative to adopt appropriate, selectivecriteria.

Information is handled as follows:• the problems, critical points and constraints

affecting FSDSs, plus their immediate andfuture causes and consequences, are analysedto identify the factors restricting thedevelopment of FSDSs, likewise the internaland external factors as well as the conditionsrequired to bring about change;

• the problems, constraints and critical pointsare listed in order of priority (see A5.5.1);

• general strategies for the long, medium andshort term development of FSDSs are definedwith the intent to gradually achieve thedesired FSDSs;

• necessary remedial measures (see A5.5.2 andA5.5.3, Table 2.5 and 2.6), expected results(see A.4.5.4) and support measures areidentified, described, selected and listed inorder of priority.

2.4.3 Analysis of problems, constraints,critical points and remedial measures

The analysis of the problems, constraints andcritical points follows the relationship:

PROBLEM -> CAUSES -> CONSEQUENCES -> REMEDIAL MEASURES

The criteria to be adopted for problem analysis,selecting and prioritizing remedial measuresare relative and not absolute. A5.6.1 and A5.6.2suggest a pragmatic approach to problemidentification and how to grade the problemsby priority.

There are a number of criteria for selectingremedial measures, investment projects andsupport measures. These shall depend on thecomplexity of any given remedial measure.Some general criteria are suggested in A5.5.3See A.4.7 and A5.8 and Tracey-White (2000)for criteria relating to decisions in marketinfrastructure investment.

Table 2.5Time Required to Implement

Remedial Measures

In order to judge the time needed for each group ofremedial measures, or each individual measure, thefollowing elements must be borne in mind:• the operational capacity of the persons and

institutions involved in the implementation of themeasures;

• the country’s level of economic development;• political and institutional constraints;• implementation costs and actual funding opportuni-

ties.

Source: Seck et al., 1997b.

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2.5 External review

There will be external reviews so the team cansubmit its analysis as well as preliminary andfinal proposals. External reviews are anopportunity to obtain the opinions of theconcerned social groups, the eventual “official”approval by the interested institutions and pavethe way for beneficiaries and institutions toparticipate in the implementation of theproposed programmes.

For details about: • organizing external reviews, see A5.9;• workshop participants, see A5.9.3;• managing workshop discussions, see A5.9.4;• resources, facilities, equipment and material

required during workshops, see A5.9.5;• workshop agendas, see A5.10.1 and A5.10.2;• workshop reports, see A5.10.3 and A5.10.4.

Workshops should last no more than one day.Workshop reports should be widely distributedamong all concerned institutions, organizationsand associations.

2.5.1 Phase 1: submission of results

At the end of phase 1, a short issues paper willbe prepared summarizing and outlining thecontent of all the documents prepared. Thispaper should be distributed to the participants afew days before each workshop.

Participants will:• learn about the problems affecting FSDSs.

This will give them an objective view of whatis wrong with the FSDSs to their city;

• express their own perception of the problemsand their willingness to take an active part inresolving them;

• define each social group’s contribution to theimplementation of phase 2 and the frameworkfor institutional cooperation.

Table 2.7Layout of the Final Version

of the Case Study

• Abstract of the study (250 words maximum);• presentation of the authors (maximum 100 words per

author);• table of contents;• list of acronyms of institutions and abbreviations used;• list of tables, boxes, figures (maps, diagrams, graphs

and drawings) and pictures;• analytical summary (1500 words maximum);• introduction;• chapter 1: the urban, socio-economic and institutional

context;• chapter 2: present-day urban food demand and

FSDSs;• chapter 3: the city and FSDSs in the future;• chapter 4: conclusions and recommendations;• annexes;• bibliography;• list of persons met.

Table 2.6Direct and Indirect Beneficiaries of Remedial Measures

The «direct beneficiaries» of an intervention could be thestaff of the public and private institutions directly involvedin the programme.

The «indirect beneficiaries» are the groups of peoplewhose situation it is hoped to improve, e.g. the mostdeprived urban consumers, food traders and transporters.

It is important to identify the target groups and describetheir main characteristics (socio-economic, demographicand occupational) and most urgent needs, and show howbeneficiaries will effectively reap the benefits.

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2.5.2 Phase 1 and 2: discussion of specifictopics

During both phases, there should be technicaldiscussions on specific topics (e.g.: SMEdevelopment; FSD legislation and regulations;wholesale market development, retail outletsdevelopment, urban and periurban foodproduction). The aim of each workshop is toshow the progress made, submit the interimresults of the team’s work and present themeasures proposed in relation to a specifictopic. Direct and indirect beneficiaries will beinvited to attend, particularly policy makersand senior planners and representatives ofconcerned private sector organizations.

Maximum time will have to be devoted toobtaining the views of different interest groups.

2.5.3 Phase 2: submission of results

The final version of the case study could bestructured as suggested in Table 2.7.

A final workshop should review the diagnosisand the FSD policy, strategy and developmentprogramme proposals. The aim is to:• raise awareness of national institutions of the

need to support FSDS development;• pave the way for the effective and sustainable

remedial measures by submitting a carefullyreasoned framework to encourage concrete,effective, interinstitutional actions.

Recommendations

• The TORs must be sufficiently detailed so as to provide guidance for the study team on specific

points of interest, at the same time leaving them free to look at other points and use other

approaches;

• the tasks must be feasible and realistic in relation to the resources (human, logistical and financial)

and the time available. The delimiting criteria governing the study subjects must be clearly defined;

• particular attention shall be paid to political considerations (e.g. choice of beneficiaries, criteria on

which scenarios are to be based and choice of sites) which may emerge during the study’s

implementation phase. These aspects must be discussed and clarified with the ISC;

• those responsible for the study must provide an effective way of communicating with the ISC.

Meetings must be properly organized and minutes regularly distributed in order to avoid

subsequent misunderstandings;

• the TOR subject matter must follow a logical and progressive order (e.g. past situation, present

situation and future analysis of current trends). This will allow scenarios, based on specific

timeframes and assumptions, to be prepared.

• precede every external review by an internal review in order to test the content and improve on

the presentation of the information and on arrangements for the external discussions.

Endnotes

1. A general, standard formulation of the type: “Therelevant authorities are urged to take all necessaryaction in order to...” must be avoided. It says nothing.

2. For an annotated bibliography on FSDSs, seeAragrande and Farolfi, 1997 and Aragrande, 1997.

3. Should more detailed surveys be necessary, they shouldbe proposed as an aspect for further analysis to beundertaken during phase 2, or as an activity in the FSDdevelopment programme.