Transcript 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
• The Governance Landscape
The Governance Landscape
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)
The Governance Landscape
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 Landscape
The LeadershipFramework
Eligibility (ethnicity, religion, gender,
property,other)
Selection process (birthright, selection, election)
Powers (absolute, shared, ‘constitutional’)
The Governance Landscape
Decision making processes
• OECD Guidelines: decision making processes
Vision and mission driven
Lawful
Transparent
Participatory
Consensual
The Governance Landscape
• OECD Guidelines: character of
decisions
Lawful
Accountable
Inclusive (diversity)
Responsive (to what?)
Equitable and equal (horizontal, vertical)
Decisions
The Governance Landscape
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
The Governance
Landscape
• Implementation
Programme and project inputs
• Monitoring
Method
Frequency
Inputs
Outputs
Implementation and monitoring
•The
Evaluation
Issues
Governance
Landscape
Internal or external
Objectives
Questions
Timing
Methods
structured interviews
observations
focus groups
workshops
Evaluation and
Learning
The Governance
Landscape
• Learning Objectives:
Improved governance performance
Leadership systems
Decision making processes
Character of decisions
Capacity
Implementation and monitoring
Evaluation and learning
Corrective action
Learning -3
The Governance Landscape
• Learning Objectives:
Improved governance framework
Institutions
Objectives
Strategies
Indicators
Targets
Learning -4
The Governance Landscape
• Issues:
Timely
Evidence based
Appropriate
Proportionate
Corrective Action
• The Structure of Governance
Improvement Mechanisms
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 and sources of governance improvement
The Internally
Structure
of Governance
driven
Improvement
Mechanisms
Public opinion
Causes
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
The Structure of Governance
Improvement Mechanisms
Objectives
Social
Economic
Military
Political
Cosmetic (Public relations)
Objectives
The Structure of Governance
Societal focus (kinds of institutions included)
Improvement Mechanisms
Government
Business
Civil society
Governance focus (governance areas)
Leadership
Decision making processes
Decisions
Capacity
Implementation and monitoring
Focus
The Structure of Governance Assessment and
Improvement
Assessment methods Mechanisms Benchmarking
Subjective data
Popular surveys
Expert opinion surveys
Objective data
Official data collection
Civil society
Choice of indicators
Benchmarking
Quantification of indicators
The Structure of Governance
Focus
Improvement Mechanisms
Improvement plan
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
The Structure of
Governance Improvement
Mechanisms
• Implementation
Mobilisation of planned inputs
Application of planned inputs
Implementation and Monitoring
The Structure of
Governance Improvement
Mechanisms
• Monitoring
Completed outputs
Intended quality
Estimated time
Estimated cost
Implementation and Monitoring
The Structure of Governance
Improvement Mechanisms
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
The Structure of Governance
Improvement Mechanisms
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
• The APRM as Governance
Improvement Mechanism
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)
The APRM as Governance
Improvement Mechanism
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
The APRM as Governance
Improvement Mechanism
• Governance focus of questionnaire
Decision making and decisions
Institutional mission
Leadership
Governance Focus
The APRM as Governance
Improvement Mechanism
Questionnaire focus
Democracy
and Political
Governance
Economic
Management
and
Governance
Corporate
Governance
SocioEconomic
Development
Total
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
The APRM as Governance
Improvement Mechanism
• Social domains included in APRM focus
Government
Executive
MDAs
Judiciary
Legislature
Business
Societal focus
The APRM as Governance
Improvement Mechanism
Periodic Formal Self-Assessments
expert opinion
stakeholders
public opinion
Reports - Annual
Assessment method
The APRM as a Governance
Improvement Mechanism
Benchmarking
The APRM guidelines does not make formal
benchmarking mandatory
The APRM as Governance
Improvement Mechanism
NPoA structure
Issue
Objectives
Required action
Monitorable indicator
Means of verification
Improvement Plan
The APRM as Governance
Improvement Mechanism
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
The APRM as Governance
Improvement Mechanism
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
APRM Achievements and
Challenges
• Characteristics of African countries*
Average country population - 16 mn
Per Capita GDP - Africa -US$ 1,009
•
* 2010
•
IBRD data
Membership-1
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
• Achievements
Countries Peer Reviewed to date: 18
As % of those acceded: 58%
As % of all Africa 33%
•
APRM Achievements and
Challenges
Challenges
Membership-4
• 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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
Objectives-4
“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
Country
•
APRM Achievements and
Achievements
Challenges
Societal Focus
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
•
Achievements
APRM Achievements and
Leadership
Challenges
APRM raised awareness of importance of some dimensions of governance:
Decision making process
lawful
accountable
transparent
Character of decisions
inclusive
responsive
equitable
•
Challenges
To extend and deepen focus on:
Leadership
Decisions
Governance Focus
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
Leadership-2
• Challenges
Continued successful interventions require:
Regional institutions with strong levers e.g.
diplomatic
financial
geo-political
military
Infringements from relatively vulnerable countries
APRM Achievements and
Challenges
•
Decision making and decisions
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
APRM Achievements and
Challenges
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.
APRM Achievements and
Challenges
Capacity-1
NPoA appear to require significant additions to
GDP:
From a high of 21% in Burkina Faso to 0.2% in
South Africa
APRM Achievements and
Challenges
Capacity-3
However not all NPoA projects came out of the selfassessment, many were pre-existing programmes:
therefore unlikely to be governance programmes
therefore the total cost of NPoA did not all
represent additional spending
APRM Achievements and
Challenges
•
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)
APRM Achievements and
Challenges
•
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
Assessment and
benchmarking
• Challenges: to develop benchmarks as per questionnaire
Objectives
Questions
Indicators Targets
Democracy and 9
Political
Governance
21
67
Economic
5
governance and
management
16
47
Corporate
governance
12
41
Socio-economic 6
development
9
30
Total
58
83
5
25
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
•
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
APRM Achievements and
Challenges
•
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
APRM Achievements and
Challenges
•
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
APRM Achievements and
Challenges
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
APRM Achievements and
Challenges
• Thank you