The APRM As A Governance Improvement Mechanism

The APRM As A Governance Improvement Mechanism
Paper Presented During Workshop on “Harmonizing the Tanzanian APRM National Plan of Action (NPoA) with the existing development strategies and Medium Term Expenditure Framework (MTEF)” from 25-26 September 2012 Dar es Salaam, Tanzania Venue: DICC, Dar es Salaam by Dr. Adotey Bing-Pappoe

The Governance Landscape
The Structure of Governance Improvement Mechanisms The APRM as Governance Improvement Mechanism APRM Achievements and Challenges

definitions “The traditions and institutions by which authority in a country is exercised” (Daniel Kaufmann -The Worldwide Governance Indicators) “The exercise of political authority and the use of institutional resources to manage society's problems and affairs.” (The World Bank) “Decisions that define expectations, grant power, or verify performance” (Wikipedia) The established structures and processes for allocating, delegating, and using authority or power in social contexts. (working definition)

Overview Leadership structures and processes Decision making structures and processes The character of decisions Institutional capacity Implementation and monitoring Evaluation and learning Corrective action

The LeadershipFramework Eligibility (ethnicity, religion, gender, property,other) Selection process (birthright, selection, election) Powers (absolute, shared, ‘constitutional’)

Decision making processes OECD Guidelines: decision making processes Vision and mission driven Lawful Transparent Participatory Consensual

Decisions OECD Guidelines: character of decisions Lawful Accountable Inclusive (diversity) Responsive (to what?) Equitable and equal (horizontal, vertical)

Organisational Capacity Conditions for effective and efficient organisations: Clear Mission and Objectives Adequate human resources (personnel) Relevant human capital (knowledge) Adequate financial resources Operative systems and procedures Sufficient time

Implementation and monitoring Implementation Programme and project inputs Monitoring Method Frequency Inputs Outputs

Evaluation and Learning Evaluation Issues Internal or external Objectives Questions Timing Methods structured interviews observations focus groups workshops Learning issues Conclusions rigorously based on evaluation findings

Learning -3 Learning Objectives: Improved governance performance Leadership systems Decision making processes Character of decisions Capacity Implementation and monitoring Evaluation and learning Corrective action

Learning -4 Learning Objectives: Improved governance framework Institutions Objectives Strategies Indicators Targets

Corrective Action Issues: Timely Evidence based Appropriate Proportionate

The Structure of Governance Improvement Mechanisms

Overview Sources and causes of governance improvement initiatives Objectives Focus Assessment and Benchmarking Improvement Plan Implementation and monitoring Evaluation and learning Corrective action

Causes Causes and sources of governance improvement Internally driven Public opinion Election results (positive and negative) Media investigations State driven public inquiries Civil society led public policy research findings Sectarian conflict Demonstrations, Riots, and Revolutions Externally driven External image International agreements and treaties (bilateral, regional global) ‘Donor’ pressure External sanctions and threats

Objectives Objectives Social Economic Military Political Cosmetic (Public relations)

Focus Societal focus (kinds of institutions included) Government Business Civil society Governance focus (governance areas) Leadership Decision making processes Decisions Capacity Implementation and monitoring Evaluation and learning Corrective action

Assessment and Benchmarking Assessment methods Subjective data Popular surveys Expert opinion surveys Objective data Official data collection Civil society Choice of indicators Benchmarking Quantification of indicators Compilation and publication of results

Improvement plan Focus Social institutions Governance landscape Objectives Assessment driven Problems to be addressed Based on targeted improvements to benchmarked indicators Strategies, policies, and programmes Indicators of success Milestones markers Targets

Implementation and Monitoring Implementation Mobilisation of planned inputs Application of planned inputs

Implementation and Monitoring Monitoring Completed outputs Intended quality Estimated time Estimated cost

Evaluation and learning Relevance of objectives, strategies, policies and indicators for targeted problems Efficiency Input /output ratios Cost Ratios Effectiveness Achievements of outcomes Sustainability Utility

Corrective action Proximate objectives of corrective action Improved efficiency Improved effectiveness Strategic objectives of corrective action New or higher governance targets New or amended governance indicators New or amended governance policies, strategies, or objectives New institutions New missions

The APRM as Governance Improvement Mechanism

Causes Internal Election results (positive and negative) Sectarian conflicts Demonstrations, Riots, and Revolutions External Improve external image (attract FDI, ODA) International agreements and treaties (bilateral, regional global)

Objectives Thematic areas Number of Objectives Democracy and political governance 9 Economic Governance and Management 5 Corporate governance Socio-economic development 6 Total 25

Governance Focus Governance focus of questionnaire Decision making and decisions Institutional mission Leadership

Questionnaire focus Democracy and Political Governance Economic Management and Governance Corporate Governance Socio-Economic Development Total Institutional Mission 11 7 3 21 Leadership 1 2 Decisions 13 16 39 Capacity 4 Implementation and learning 28 15 66

Societal focus Social domains included in APRM focus Government Executive MDAs Judiciary Legislature Business

Assessment method Periodic Formal Self-Assessments expert opinion stakeholders public opinion Reports - Annual

The APRM as a Governance Improvement Mechanism
Benchmarking The APRM guidelines does not make formal benchmarking mandatory

Improvement Plan NPoA structure Issue Objectives Required action Monitorable indicator Means of verification

Implementation and monitoring Monitoring The systems for monitoring of the NPoA were developed by national governing councils post NPoA Data from state bureaucracy (MDAs) Participatory evaluation

Learning and corrective action Evaluation, learning, and corrective action Weak evidence of APRM evaluation and learning in annual reports Weak evidence of corrective actions based on annual reports and global evaluation exercises

APRM Achievements and Challenges

Membership-1 Characteristics of African countries* Average country population - 16 mn Per Capita GDP - Africa -US$ 1,009 * 2010 IBRD data

Membership-2 Achievement APRM accession (2012) 31 countries or 56% of African countries Approximately 80% of African population living in APRM member county Approximately 90% of African GDP produced in an APRM member country

Countries Peer Reviewed to date: 18 As % of those acceded: 58% As % of all Africa 33%

Membership-4 Challenges To increase number of new accessions Countries yet to accede: 24 45% of African countries 11% of continental GDP To increase the rate of self-assessments Countries that have acceded but yet to conduct self assessment:13 As % of those that have acceded: 42% To speed up rate of second assessment Number of second self-assessments:1 Number awaiting second self-assessment 6, with 7 in the pipeline.

Membership-5 Challenges Ensure that APRM is flexible enough to accommodate diverse development strategies by: providing a framework of objectives and questions (strategies) that can cater for the possibility of different approaches to achieve the achievement of common objectives

Sources of governance improvement initiatives Achievements Increased focus on internal sources and drivers of governance improvement Public opinion Civil society Media Parliament State commissions Challenges To maintain and increase the importance of internal sources of governance improvement

Objectives-1 Achievements 25 objectives highlighted within the four thematic areas Challenges To make sure through revaluations that these are the most relevant objectives To make sure the relative wighting given to the objectives is appropriate For example Greater importance given to regional integration objectives Regional programmes and projects to be peer reviewed at regional level

Objectives-2 Achievements Space for civil society input into governance process greatly enhanced APRM combined governance assessment with socio-economic development assessment Challenges Clarify further the distinction development is about outputs of goods and services governance is about established processes

Objectives-3 Achievements The NPoA focus could be said to be on “governance through development” Some “governance” projects are development projects that are necessary to improve governance e.g: computerisation of court records to speed up trial times etc Challenges To raise the profile of improved governance through improved systems and organisation

Objectives-4 Country “Governance” % Socio-economic Development Ghana 96.1 3.9 Kenya 92.8 7.2 Benin 66.9 31.7 Nigeria 60.0 40.0 Burkina Faso 44.0 56.0 Mauritius 32.0 68.0 South Africa 18.3 80.3

Societal Focus Achievements Focus on government and state Institutions Executive and MDAs Judiciary Parliament Focus on Corporate governance Challenges To improve and refine focus on government and state institutions Often capacity is one of the common weaknesses To improve and refine focus on corporate governance To extend focus to civil society, major civil society organisations to be included in assessment

Governance Focus Achievements APRM raised awareness of importance of some dimensions of governance: Leadership Decision making process lawful accountable transparent Character of decisions inclusive responsive equitable Challenges To extend and deepen focus on: Decisions Capacity Implementation Learning Corrective Action

Leadership-1 Achievements Instances of constitutional leadership in Africa on the rise Quality of constitutional leadership in Africa improving Threats to un-constitutional leadership mediated or challenged

Leadership-2 Challenges Continued successful interventions require: Regional institutions with strong levers e.g. diplomatic financial geo-political military Infringements from relatively vulnerable countries

Decision making and decisions Achievements APRM credited improvements to national governance making for better decisions e.g. Ghana - Whistle Blower Act Kenya - new constitution (2010) less powerful president more powerful prime minister devolved power to regions judicial services commission Uganda - strengthening parliamentary oversight capacity Nigeria - Freedom of Information Act - 28th May 2011

Decision making and decisions Challenges Improved governance should lead to improved economic performance Governance assessment and improvement initiatives should fully embrace all three domains of society: political, business, and civil Governance focus concerns to include capacity, monitoring, evaluation, and corrective action, as well as leadership and decisions.

Capacity-1 NPoA appear to require significant additions to GDP: From a high of 21% in Burkina Faso to 0.2% in South Africa

Capacity-3 However not all NPoA projects came out of the self- assessment, many were pre-existing programmes: therefore unlikely to be governance programmes therefore the total cost of NPoA did not all represent additional spending

Capacity-4 Achievements Low ODA dependence of NPoA South Africa (0%) Nigeria (0%) Challenges To achieve implementation and maintain sovereignty in the face of high ODA dependency of NPoAs e.g. Benin (90%) Burkina Faso (unspecified but high)

Capacity-5 Challenges Develop strategies to address high levels of NPoA dependence on ODA. Possibilities might include: APRM development bonds financed by African Diaspora APRM development bonds financed by African counties with growing and significant sovereign funds e.g. Angola Botswana Equatorial Guinea Algeria

Assessment and benchmarking Achievements NPOAs demonstrated that governance performance could be assessed quantitatively Leadership Decision making Decisions Capacity Implementation and monitoring Evaluation and learning Corrective action

Assessment and benchmarking Challenges To institutionalise benchmarking by: For each APRM thematic area and objective, to develop relevant quantifiable or categorisable indicators to be used in the self-assessment. for each APRM objective develop quantifiable or categorisable indicators to be used in the self-assessment. e.g: Benchmarking used as basis of NPoA design

Assessment and benchmarking Challenges: to develop benchmarks as per questionnaire Objectives Questions Indicators Targets Democracy and Political Governance 9 21 67 Economic governance and management 5 16 47 Corporate governance 12 41 Socio-economic development 6 30 Total 25 58 83

Improvement plan Achievements NPoA - the first steps in institutionalising improvements in governance performance and socio-economic development Challenges To institutionalise governance improvement plans linked to benchmarking, through: choice of objectives choice of indicators choice of targets

Implementation and monitoring Achievements requirement for countries to report bi-annually and later annually broadly complied with requirement for countries to report using agreed matrix, less well adhered to Challenges To ensure that APRM monitoring of implementation is effective and efficient countries to report according to agreed matrix countries to report using the same indicators as used in NPoA Periodic (annual, biennial) compilation and publication of APRM governance improvement indicators

Evaluation and learning Achievements NPoA raised profile of monitoring, a prerequisite to evaluation and learning Challenges to strengthen evaluation processes To strengthen and institutionalise learning: regular evaluation of relevance, effectiveness, and efficiency Parliamentary oversight capacity strengthened to necessary levels National Audit Institution capacity raised to appropriate levels National regulatory or oversight bodies, for corporates and civil society, given appropriate powers and resources

The APRM as a Governance Improvement Mechanism
Corrective action Challenges Recommendations for corrective action from evaluations are made public To disseminate more widely best practices from CRRs Adoption/emulation of best practices between APRM member countries

Summary of challenges Summary of main challenges To establish the headline elements of an APRM governance framework including: Inclusion of all governance aspects For each aspect of governance, formulation of related governance objectives Inclusion of all domain of society: political, business, civil in self-assessment Benchmarking to be given higher profile in APRM self-assessment process Publication of benchmarking results of self-assessment Quantification of selected governance indicators into targets in NPoAs

Summary of challenges Strengthen dissemination of best practices within APRM family Strengthening monitoring, evaluation, learning and corrective action procedures of national APRM Strengthening monitoring evaluation, learning and corrective action procedures of APRM continental Annual or biennial compilation and publication of APRM Governance Indicators Successful implementation of NPoA to be seen as highlight of APRM process

Thank you

The APRM As A Governance Improvement Mechanism

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