The APRM As A Governance Improvement Mechanism Paper Presented During Workshop on “Harmonizing the...

The APRM As A The APRM As A Governance Governance

Improvement Improvement Mechanism 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)”

25-26 September 2012Dar es Salaam, Tanzania

Venue: DICC, Dar es Salaam

Dr. Adotey Bing-Pappoe

The Governance Landscape

The Structure of Governance Improvement Mechanisms

The APRM as Governance Improvement Mechanism

APRM Achievements and Challenges

•The Governance Landscape

The Governance LandscapeThe Governance Landscape

“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)

definitionsdefinitions

Leadership structures and processes

Decision making structures and processes

The character of decisions

Institutional capacity

Implementation and monitoring

Evaluation and learning

Corrective action

Overview

The Governance The Governance LandscapeLandscape

Eligibility (ethnicity, religion, gender, property,other)

Selection process (birthright, selection, election)

Powers (absolute, shared, ‘constitutional’)

The LeadershipFramework

• OECD Guidelines: decision making processes

Vision and mission driven

Lawful

Transparent

Participatory

Consensual

Decision making processes

• OECD Guidelines: character of decisionsLawful

Accountable

Inclusive (diversity)

Responsive (to what?)

Equitable and equal (horizontal, vertical)

Decisions

• 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

Organisational Capacity

• Implementation

Programme and project inputs

• Monitoring

Method

Frequency

Inputs

Outputs

•Evaluation Issues

Internal or external

Objectives

Questions

Timing

Methods

structured interviews

observations

focus groups

workshops

Learning issues

Conclusions rigorously based on evaluation findings

Evaluation and Learning

• Learning Objectives:Improved governance performance

• Leadership systems

• Decision making processes

• Character of decisions

• Capacity

• Implementation and monitoring

• Evaluation and learning

• Corrective action

Learning -3

• Learning Objectives: Improved governance framework

Institutions

Objectives

Strategies

Indicators

Targets

Learning -4

• Issues:

Timely

Evidence based

Appropriate

Proportionate

Corrective Action

•The Structure of Governance Improvement Mechanisms

The Structure of Governance The Structure of Governance Improvement MechanismsImprovement Mechanisms

Sources and causes of governance improvement initiatives

Objectives

Assessment and Benchmarking

Improvement Plan

Corrective action

Overview

The Structure of The Structure of Governance Improvement Governance Improvement

MechanismsMechanismsCauses 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

Causes

Objectives

Social

Economic

Military

Political

Cosmetic (Public relations)

Objectives

MechanismsMechanismsSocietal focus (kinds of institutions included)

Government

Business

Civil society

Governance focus (governance areas)

Leadership

Decision making processes

Decisions

Capacity

Corrective action

The Structure of The Structure of Governance Governance

Improvement Improvement MechanismsMechanisms

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

Assessment and Benchmarking

MechanismsMechanismsFocus

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

Improvement plan

• Implementation

Mobilisation of planned inputs

Application of planned inputs

Implementation and Monitoring

• Monitoring

Completed outputs

Intended quality

Estimated time

Estimated cost

Implementation and Monitoring

MechanismsMechanisms

Relevance of objectives, strategies, policies and indicators for targeted problems

Efficiency

Input /output ratios

Cost Ratios

Effectiveness

Achievements of outcomes

Sustainability

Utility

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

Corrective action

•The APRM as Governance Improvement Mechanism

The APRM as Governance The APRM as Governance Improvement MechanismImprovement Mechanism

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)

Causes

Objectives

Thematic areas Number of Objectives

Democracy and political governance 9

Economic Governance and Management 5

Corporate governance 5

Socio-economic development 6

Total 25

• Governance focus of questionnaire

Decision making and decisions

Institutional mission

Leadership

Governance Focus

Democracy and Political Governance

Economic Management

and Governance

Corporate Governance

Socio-Economic

DevelopmentTotal

Institutional Mission 11 0 7 3 21

Leadership 1 0 1 0 2

Decisions 13 16 7 3 39

Capacity 3 0 0 1 4

Implementation and learning 0 0 0 0 0

Total 28 16 15 7 66

Questionnaire focus

• Social domains included in APRM focus

Government

Executive

Judiciary

Legislature

Business

Societal focus

Periodic Formal Self-Assessments

expert opinion

stakeholders

public opinion

Reports - Annual

Assessment method

The APRM as a The APRM as a Governance Improvement Governance Improvement

MechanismMechanism

The APRM guidelines does not make formal benchmarking mandatory

Benchmarking

NPoA structure

Objectives

Required action

Monitorable indicator

Means of verification

Improvement Plan

The APRM as The APRM as Governance Governance

Improvement Improvement MechanismMechanism

Monitoring

The systems for monitoring of the NPoA were developed by national governing councils post NPoA

Data from state bureaucracy (MDAs)

Participatory evaluation

The APRM as The APRM as Governance Governance

Improvement Improvement MechanismMechanism

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

Learning and corrective action

•APRM Achievements and Challenges

APRM Achievements and APRM Achievements and ChallengesChallenges

• Characteristics of African countries*

Average country population - 16 mn

Per Capita GDP - Africa -US$ 1,009

• * 2010

• IBRD data

Membership-1

• 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

Membership-2

• Achievements

Countries Peer Reviewed to date: 18

As % of those acceded: 58%

As % of all Africa 33%

• 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-4

• 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

Membership-5

APRM Achievements APRM Achievements and Challengesand Challenges

• Achievements

Increased focus on internal sources and drivers of governance improvement

Public opinion

Civil society

Parliament

State commissions

• Challenges

• To maintain and increase the importance of internal sources of governance improvement

Sources of governance improvement initiatives

• 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-1

• 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-2

• 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-3

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

Objectives-4

• 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

Societal 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:

Leadership

Decisions

Capacity

Implementation

Learning

Corrective Action

Governance Focus

• 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-1

• Challenges

Continued successful interventions require:

Regional institutions with strong levers e.g.

diplomatic

financial

geo-political

military

Infringements from relatively vulnerable countries

Leadership-2

• Achievements

APRM credited improvements to national governance making for better decisions e.g.

Ghana - Whistle Blower Act - 2006

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

• 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.

NPoA appear to require significant additions to GDP:

From a high of 21% in Burkina Faso to 0.2% in South Africa

Capacity-1

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-3

• 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-4

• 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

Capacity-5

• 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

• 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

5 12 41

Socio-economic development

6 9 30

Total 25 58 83

• 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

Improvement plan

• 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

• 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 The APRM as a Governance Governance

Improvement MechanismImprovement Mechanism

• 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

Corrective action

• 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

Summary of challenges

• Thank you

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