STRATEGIC PLAN 2016 – 2020

“Advancing Transformative Leadership for Africafor effective implementation of Agenda 2063”

APRMA VISION AND PLAN FOR THE FUTURE

Strategic Plan 2016–2020

Preface It is with great pleasure that I present to you the APRM Strategic Plan 2016-2020.

This Plan is the first of its kind in APRM history. The decision to develop this Plan was taken as part of the revitalizationexercise that was launched by the Special Session of the Heads of State and Government of APRM-participating countriesin January 2016 who dedicated the entire session exclusively to the subject. It was at this session that I was officiallyassigned the honour to lead this unique but fledgling African initiative.

During the preparation of this Strategic Plan, we looked back to our short past; we looked into our current state; welooked toward our future; we asked difficult questions; we consulted widely with our stakeholders; we convened expertgroup meetings; we presented the draft at various stages to the continental and national APRM organs. The final productis a rich and detailed outline of our roadmap for the next five years.

Inside these pages, you will find our appraisal of the strengths, weaknesses, opportunities and threats of the APRM alongwith well-thought, concrete and practical steps that need to be taken in order to address the weaknesses, to avert thethreats, to seize the opportunities and to further build on the strengths.

The key priorities for the Strategic Plan period fall under eight broad categories: (i) Shared Values Advocacy andCommunication; (ii) Review and Implementation of the APRM Core Mandate; (iii) Resource Mobilisation and FinancialManagement; (iv) Human Resource Capacity Development; (v) Development of Monitoring & Evaluation Frameworks andSystems; (vi) Enhancement of Research & Development Capacity and Improvement of Operational Tools; (vii) Intra-APRMCoordination and Harmonisation; and (viii) APRM integration into the AU, Universal Accession, and enhanced support toAfrica’s regional integration agenda.

Each of these eight priority areas has been translated into detailed output targets, activities and indicators, with clearallocation of responsibilities, budgetary projections, and implementation modalities. Through the priority areas, we aimto harness the APRM and the AU shared values that underpin its operation to bring meaningful improvement to the lifeof the ordinary African citizen. By undertaking a review of the APRM core mandate, we intend to ensure that the APRMmoves with the changing realities on the ground. By developing the research and development dimension of the APRM,we aim to transform the Mechanism to the preeminent think tank and authoritative voice on African governance in theworld. Through our priority on enhanced harmonization and coordination, we commit ourselves to the creation of anAPRM that is one and many at the same time; a Mechanism whose continental and national structures are seamlesslyintegrated, working towards the same goal in a synchronized fashion.

Our integration into the AU structures and processes as a Specialised Organ will position us at the heart of our Pan-African mother institution while still guaranteeing the functional and financial autonomy a credible review body demandsand deserves. Cognizant of the ongoing transformation of the African regional integration agenda, including through theimminent establishment of the Continental Free Trade Area (CFTA), the Strategic Plan also aims to ensure the APRM playsits part for the realization of the united Africa that we all want.

I recognize that the success of this Strategic Plan, and of the APRM at large, should be measured by how close we havecome to the APRM vision of full actualisation of transformative leadership and practice for the Africa we all want asenvisaged in Agenda 2063. This requires active participation from all African citizens, technical competence, independenceand credibility from all APRM organs, processes and outputs, and unwavering commitment and support from our politicalleaders. I have learnt from my experience leading this institution over the past eight months that the revitalisation exerciseis still in the early stages; the real test comes from the implementation of this Strategic Plan more than from itsdevelopment. At the same time, I am also confident that the best days of the APRM lie in the future. Together, we willtake the APRM to new heights, and this Strategic Plan is one of the tools in our journey towards that goal.

The Strategic Plan is the product of a collaborative exercise between the APRM Secretariat as leader and all othercontinental and national APRM restructures. In developing this Plan, my team in Midrand was ably and generouslysupported by colleagues from the AU Commission and our Strategic Partners, particularly the UNECA and UNDP. Membersof the APR Panel of Eminent Persons and many in our Committee of Focal Points have spent their precious time reviewingthe draft Strategy Plan at different stages in its development and their inputs and guidance have enriched this documenttremendously. I take this opportunity to extend my sincere gratitude to all of them.

Finally, I would like to take this opportunity to express my sincere gratitude and appreciation to H.E. Uhuru Kenyatta,President of the Republic of Kenya and Chairperson of the APR Forum, for his exemplary leadership and for steering theAPRM out of the crisis it was in. Under his leadership, the APRM Strategic Plan 2016-2020 was formally approved by theAPR Forum at the Summit meeting it held in Nairobi, Kenya, on 26 August 2016.

Professor Eddy MalokaChief Executive Officer, APRM SecretariatMidrand, South Africa September 2016

ContentsExecutive Summary 3

Chapter I: Introduction 6

Chapter II: Background and Context to the Strategic Plan 9 2.1 Background and Context 9 2.2 APRM History and Structure 10 2.3 APRM Outputs, Achievements and Lessons Learned 12 2.4 The Strategic Plan Development Process and the Way Forward 15 3.1 Continental Assessment of Trends in Governance 16 3.2 Institutional Analysis 16 3.3 Stakeholder Analysis 18 3.4 The Necessity for Revitalisation 19 3.5 Conclusion 21

Chapter IV: Strategic Plan 2016–2020 23 4.1 Strategic Concerns and Priorities 23 4.2 The Foundations of the Strategic Plan 24 4.3 Overview of the Strategic Plan: key priorities, anticipated outcomes and related outputs 24 4.4 Strategies and Actions to pursue 27 4.5 Expected outputs, related actions, responsible actors, and indicators of success/failure 34

Chapter V: Implementation, Monitoring and Evaluation 44 5.1 Background 44 5.2 The APR Forum 44 5.3 The APRM Committee of Focal Points 44 5.4 The APR Panel 44 5.5 The APRM Continental Secretariat 45 5.6 The National Organs 47 5.7 Conclusion 47 5.8 Monitoring, Evaluation and Reporting on Implementation 47 5.9 Strategic Plan Implementation and Evaluation 49 5.10 The APRM communications strategy 49 5.11 Enabling Conditions 49

Chapter VI: Programme Budget & Financing 50 6.1 Programme Budget 50 6.2 Finance Arrangements 50

Chapter VII: Conclusions 52

1. The African Peer Review Mechanism (APRM) isAfrica’s most innovative and ambitious initiative ongovernance. It was launched in 2003 as a voluntarymechanism for self- and peer-assessment ofgovernance policies and practices by MemberStates of the African Union.

2. In the thirteen years since its formation, the APRMhas registered significant progress, with its memberstates increasing from six at the beginning to 35today. As of May 2016, twenty Member States havecompleted APRM Country Review Missions.However, the APRM has also faced a number ofchallenges in recent years, some of an institutionalnature. This has led to the launching of a three-pronged strategy of revitalisation aimed atrestoration, reinvigoration, and renewal of the APRM.

3. The revitalisation effort further aims to bring theAPRM in line with the evolving realities on theContinent and globally. The APRM was founded atthe time of transition from the Organisation ofAfrican Unity (OAU) to the African Union (AU) and atthe beginning of the implementation of theMillennium Development Goals (MDGs), which sincehave expired. The AU is now a mature institution,with most of its organs fully operational. TheSustainable Development Goals (SDGs) have sincereplaced the MDGs. In addition, the AU has nowdeveloped a 50-year plan for Africa's renaissance,known as Agenda 2063. Therefore, in itsrevitalisation, and in order to remain relevant, theAPRM has to keep abreast of these newdevelopments and provide leadership in its areas ofcompetence. This is the goal of the APRM’s five-yearStrategic Plan (2016–2020).

4. In pursuit of these aims, the APRM shall be guidedby the African Union Shared Values that wereendorsed by the 14th Session of the AU Assemblyin January 2011. The pursuit of these values isvested in the African Governance Architecture (AGA),where the African Peer Review Mechanism has beenidentified as one of the key Pan-African institutions.

5. Informed by these values, the APRM has, as its coremission, the deepening of democratic practicesthrough, inter alia, review of national policies andpractices against established standards of goodgovernance, identification of deficiencies as well asbest practices, and development of tools and

methods by which the deficiencies would berectified, and the best practices disseminated andreplicated across the continent. The ultimate aim ofthe APRM is to encourage and foster the building oftransformative leadership and continuingconstructive national dialogue through inclusive andparticipatory self- and peer-assessment processes.The work of the APRM can contribute to betterservice delivery by making public officialsaccountable to ordinary citizens, who are given aspecial avenue through the national review exerciseto express their views on the performance of theirgovernments in all four thematic areas.

6. In the first thirteen years of its operation, the APRMhas consistently pursued the cause of trans-formative governance in the continent. Thecontinental call for transformational change hasresulted in the adoption of the African Union Agenda2063, which is a combined Vision and Action Planfor the next 50 years that comprises sevenaspirational goals for the Continent. Several Agenda2063 goals are central to the mandate of the APRM,including aspirational goal three, which seeks “anAfrica of good governance, democracy, respect forhuman rights, justice and the rule of law”.

7. At the 23rd AU Assembly of Heads of State andGovernment held in Malabo, Equatorial Guinea, on24–26 June 2014, the Assembly adopted a Decisionto integrate the APRM as an autonomous entitywithin the AU System. This Decision will catalyse theability of the APRM to play a greater role within theAfrican Union System. The African Union hasobserved that participation and inclusion of allstakeholders in the implementation and monitoringand evaluation of Agenda 2063 is one of the buildingblocks for the success of the Agenda. The APRM isable to make an invaluable contribution to theimplementation of Agenda 2063 through its inclusiveprocesses and capability to mobilise its vast networkfor input from the public and private sectors, civilsociety and all levels of government.

Executive Summary

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The Strategic Plan Development Process8. The APRM is at a turning point in its history. On 29

January 2016, the Forum, under the leadership ofH.E. President Uhuru Kenyatta, held a specialsummit dedicated to the revitalisation of the APRM.The Forum appointed a fully-fledged CEO, the firstpermanent CEO in over seven years, and deliberatedon the challenges of revitalisation in six key priorityareas:

(i) Revisiting the philosophy of the APRM;

(ii) Revising the review methodology;

(iii) Ensuring compliance with APRM principles;

(iv) Resource Mobilisation;

(v) Integration of the APRM into the AU system; and

(vi) The role of the APRM in monitoring of AUagenda 2063 and the post-2015 sustainabledevelopment goals (SDGs).

9. The Strategic Plan 2016–2020, which is based ona three-pronged revitalisation programme forrestoration, reinvigoration and renewal of the APRM,is guided by the deliberations and instructions fromthe Special Summit and draws further inspirationfrom the original vision and mission, values andguiding principles of the APRM while taking intoaccount the new and emerging realities on theContinent, including the AU Shared Values andAgenda 2063, as well as the UN 2030 SDGs. TheStrategic Plan starts with a baseline survey of wherethe APRM is today, its strengths and weaknesses,and identifies operational priorities, methods andimplementation modalities for the next five years.

10. The development of this Strategic Plan has gonethrough a number of stages. First, internal workingdocuments were prepared and debated within theAPRM Secretariat. Second, those ideas werepresented at the expert meeting held in Addis Ababafrom 29–30 March 2016 which focused on theturnaround aspect of the strategy. Third, once adecision to develop a five-year strategic plan wastaken, a detailed and more comprehensive draftStrategic Plan was presented and further refined atan internal APRM staff retreat organised specificallyfor this purpose and with generous help fromexperts from the strategic planning department ofthe AU Commission. Fourth, the final draft StrategicPlan was presented to the Revitalisation Committeemeeting convened by Kenya from 9–10 May 2016.

The Committee considered the Strategic Plan indepth, provided detailed guidance for its furtherenhancement and endorsed it unanimously. Finally,a revised version of the Strategic Plan thatincorporated the feedback and guidance from thisCommittee was presented to the 77th meeting ofthe APRM Panel and the special meeting of thenational organs that was held in Johannesburg from20–23 May 2016. After it went through all theseprocesses, revisions and refinements the StrategicPlan was presented before the Committee of FocalPoints and the APRM Forum at their meetings inNairobi, Kenya, in August 2016.

The Necessity for Revitalisation11. As noted earlier, the Strategic Plan is based on the

three pillars of the turnaround strategy aschampioned by the APRM CEO. The three pillars areRestoration, Reinvigoration and Renewal. TheRestoration pillar focuses on addressing theimmediate challenges faced by the Mechanismincluding:

(i) Development and implementation of the 2016Work Plan;

(ii) Ensuring compliance with APRM principles;

(iii) Resource Mobilisation; and

(iv) Integration of the APRM into the AU system.

12. The Reinvigoration pillar consists of repositioning,re-energising and intensifying commitment toAPRM's mandate. The major focus will be onrepositioning the APRM, in collaboration with otherinstitutions, as one of the mechanisms formonitoring and supporting attainment of the AUAgenda 2063 and the global 2030 SustainableDevelopment Goals. In the First Ten-YearImplementation Plan of Agenda 2063, the APRM isexpected to contribute to the goals relating to theadoption of democratic values, practices, universalprinciples of human rights, justice and the rule oflaw, as well as the creation of capable institutionsand transformational leadership.

13. The Renewal pillar includes the review, refinementand further development of APRM tools andprocesses, including its research and informationgathering instruments for drafting the Country Self-Assessment Report. The Renewal phase will alsoinclude re-imagining the philosophy behind theAPRM so as to ensure the Mechanism stays relevantin a changing world.

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Key Priorities for the Strategic Plan 2016–202014. The APRM has identified eight priority areas for the

duration of the Strategic Plan period. These are:

(i) Shared Values Advocacy and Communication;

(ii) Review and Implementation of the APRM CoreMandate;

(iii) Resource Mobilisation and FinancialManagement;

(iv) Human Resource Capacity Development;

(v) Development of Monitoring & EvaluationFrameworks and Systems;

(vi) Enhancement of Research & DevelopmentCapacity and Improvement of Operational Tools;

(vii) Intra-APRM Coordination and Harmonisation;

(viii) APRM integration into the AU, UniversalAccession, and enhanced support to Africa’sregional integration agenda.

15. The Shared Values Advocacy and Communicationpriority area will help APRM achieve and sustain thedesired level of political will and support forcontinuing governance reform. This priority area alsoaims to ensure the APRM communication strategymeets the state-of-the-art standard in the field. Thiscan be achieved by ensuring that it evolves togetherwith emerging challenges and trends in a dynamicand flexible manner so as to enhance the APRMbrand and its international recognition.

16. Under the second priority area, to Review andImplement the APRM Core Mandate, the APRM willfocus on ensuring that it stays relevant to theevolving governance challenges of its MemberStates. In the Resource Mobilisation and FinancialManagement priority area, the APRM will focus itsefforts on building a robust machinery for broad-based and sustained resource mobilisationcampaign so as to improve APRM Secretariatfinances.

17. Under the Human Resource Capacity Developmentpriority area, the APRM will fully staff the APRMSecretariat in order to enhance the quality of APRMReviews. In the priority area Development ofMonitoring & Evaluation Frameworks and Systems,the APRM will improve its capacity to follow up andreport on the performance of countries after areview has been completed, and under the priorityarea Enhance Research & Development Capacityand Improve Operational Tools the Mechanism willimprove its work processes and tools, includingsimplification of the review exercise and, in somecases, aligning the scope of the reviews to keynational objectives.

18. In the Intra-APRM Coordination and Harmonisationarea, APRM will coordinate better the work ofnational and continental APRM bodies so as toimprove the quality of the review process and thestructural relationships. Finally, under the APRMintegration into the AU and Universal Accessionpriority area, the APRM aims to complete itsintegration into the AU family and launch a sustainedand coordinated campaign to persuade all AUMember States to join the Mechanism. This effortwill also involve the development of activitiesintended to enhance the APRM’s relevance toAfrica’s regional economic integration agenda.

19. Finally, the APRM also aims to launch FlagshipProjects to give visibility to its priority focus areasand to draw attention to shared challenges thatunderline the need for transformative leadership,inclusive growth, mobilisation of domesticresources, improving the performance of State-Owned Enterprises and universal accession to theMechanism.

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20. Since 1994 there has been a growingacknowledgement across Africa, and the globe atlarge, that governance matters – what happensinternally and how governments rule, regulate andrelate to their citizens is vital for peace,development, growth and prosperity.

21. With the turn of the new millennium, this led to thefounding of new institutions including the AfricanUnion (AU) and its organs such as the Pan-AfricanParliament (PAP), the African Court of Justice andthe Economic, Social and Cultural Council of theAfrican Union (ECOSOCC), and new initiatives suchas the New Partnership for Africa’s Development(NEPAD) and the African Peer Review Mechanism(APRM).

22. The APRM, the Continent’s home-grown governance,self-monitoring and peer learning mechanism, wasborn into the African political landscape thanks to thecreativity, commitment and vision of African leaderswho realised at the time that good governance is aprerequisite for the sustainable and inclusivedevelopment of the Continent.

23. This commitment to transform the Continentthrough sustainable and inclusive developmentcontributed to and culminated in the launching ofAgenda 2063 on the 50th anniversary of the foundingof the Organisation of African Unity (OAU)/AU in2013.

24. The APRM aims to play a central role in supporting,monitoring and reporting on the implementation ofthe commitments contained in Agenda 2063 and,potentially, in the Continental Free Trade AreaAgreement, presently under negotiation andscheduled for completion in 2017.

Resilience

25. Since its establishment, the APRM has achievedmuch success and contributed to resuscitating hopeamong African countries and citizens.

26. The APRM has also encountered its share ofchallenges, ranging from management deficienciesto waning political and financial support.

27. But, despite the challenges faced in securing andsustaining the confidence of leaders, citizens andfunders, and administrative difficulties, the APRMhas evolved into a key building block in the AfricanGovernance Architecture (AGA).

Bridging the Generation Gap

28. Tracing the history of the APRM is essential tounderstanding its current relationship with the AU.

29. The APRM is rooted in the October 2001 documentoutlining the New Partnership for Africa’sDevelopment (NEPAD), which recognised that“development is impossible in the absence of truedemocracy, respect for human rights, peace andgood governance” and committed Africa’s leadersto respect these African and global principles andstandards.

30. The NEPAD founding document further describedthe development of two interlinked “initiatives” on“democracy and political governance” and“economic and corporate governance”, whichrepresent several core elements of the APRM:voluntary accession, mutual support and targetedcapacity building, peer learning, shared values andstandards, commitment to fostering goodgovernance practices and democratic processes,and building institutions to realise thesecommitments, and to monitor and assess progress.

31. The APRM is unique among AU bodies andprogrammes in that accession is voluntary. Althoughnot all AU members have joined the APRM, thisStrategic Plan contains plans to continue the drivetowards universal membership.

Growing Recognition of the APRM

32. Despite the challenges mentioned earlier, the APRMhas continued to grow in acceptance andmembership. Successive Summits – from Abuja in2003, Algiers in 2007 and Sharm El-Sheikh in 2008to Malabo in 2014 – placed emphasis on the APRMas a voluntary, home-grown mechanism that wasdesigned to assist member states adopt progressiveapproaches to good political, economic andcorporate governance, democratisation and socialjustice, as well as to fight corruption.

33. At the more recent Special Summit of the Heads ofState and Government Participating in the AfricanPeer Review Mechanism (APR Forum) held on 29January 2016, H.E. Uhuru Kenyatta, President of theRepublic of Kenya and current Chairperson of theAPR Forum, called for “renewed commitment to theAPRM by the Member States to enable theMechanism to fulfil the mandate” and “commended

Chapter I: Introduction

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the repositioning of the APRM so that it plays acentral role in the implementation of Agenda 2063and the 2030 Sustainable Development Goals(SDGs)”.

34. The vote of confidence in the APRM from theSummit, and the appointment of a full-fledged ChiefExecutive Officer (after a seven-year hiatus), sent animportant signal of the APRM’s value to the AUsystem. These developments also reinvigorated theAPRM Secretariat as it embarked on fulfilling itsmandate and regaining the confidence ofstakeholders.

35. Since the Summit, and at the time of preparing thisStrategic Plan, APRM had completed CountryReview Missions (CRM) in Chad and Senegal, withother missions in the pipeline for Côte d’Ivoire,Sudan and Liberia. In addition, the first “second-generation” review is also under consideration forKenya.

Integration to the AU

36. The APRM’s integration into the AU structures as anautonomous entity with the status of a specialisedagency will further strengthen its role and impact,and contribute to the realisation of Agenda 2063. Asthe Special Summit noted, “democracy, goodgovernance and socio-economic transformationcannot be contracted to external parties”, and thisphilosophy remains at the core of the APRM.

37. APRM is not a panacea but it represents a greatstride in the right direction. However, to maintainfaith and interest in the APRM, it is imperative thatit is seen to be making a difference on the ground;assisting governments to advance beyond theircurrent state of practice, and significantly improvingthe status quo by strengthening transparency,accountability and public participation ingovernment. That is why the development of aStrategic Plan on how to achieve these goals hasbecome a priority for the APRM.

Highlights of the APRM Strategic Plan

38. The APRM Strategic Plan for 2016–2020 is theresult of broad consultations and introspection, andis founded on key strategies of revitalisation toachieve measurable results. Highlights of thestrategies, presented in more detail in thisdocument, include:

(i) Launching a broad-based and sustainedprogramme of awareness building andadvocacy to rally political support;

(ii) Initiating a broad-based and sustained resourcemobilisation campaign;

(iii) Building the human resource capacity of theSecretariat;

(iv) Working with the APRM Panel of EminentPersons, the APRM Committee of Focal Points,and the APRM Forum, to reinvigorate theinstitution and to improve relationshipsbetween the different APRM organs at nationaland continental levels;

(v) Working diligently to improve the coordinationbetween the continental Secretariat, thenational APRM structures and relevant AUinstitutions;

(vi) Embarking on a concerted effort to fullyintegrate the APRM into the AU structures andprocesses as envisaged in the Malabo SummitDecision 2014 and enhancing the relevance ofthe APRM to Africa’s regional economicintegration agenda;

(vii) Partnering in a coordinated campaign with allnational and continental APRM organs toaccelerate progress towards universalmembership of AU member states in the APRM;

(viii) Establishing follow-up, monitoring andevaluation capacity within the Secretariat;

(ix) Developing new tools and knowledge productsto enhance APRM’s standing as theauthoritative think tank on African governance;

(x) Undertaking research and consultations toenhance compliance with, and enforceability of,APRM recommendations;

(xi) Pursuing new approaches, tools andinstruments to assist in the monitoringevaluation work required in the context ofAgenda 2063 and SDG 16;

(xii) Systematising and institutionalising APRMengagement with civil society and research andacademic institutions so as to enhance APRMinfluence in setting the agenda of conversationon African governance; and

(xiii) Developing initiatives on the role of regional andinternational ratings agencies and the potentialrole of the APRM in this field.

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39. The APRM recognises that active partnerships with,and support from, participating States is critical tothe successful achievement of the Strategic Plan2016–2020. The APRM has come of age and is ontrack to turn the corner towards a productive andsuccessful future.

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2.1 Background and Context40. The African Peer Review Mechanism (APRM) is

Africa’s most innovative and ambitious initiative ongovernance, which was launched in 2003 as avoluntary mechanism for self- and peer-assessmentof governance policies and practices on theContinent.

41. In this context, peer review is described as “thesystematic examination and assessment of theperformance of a State by other States, with theultimate goal of helping the reviewed State improveits policy making, adopt best practices, and complywith established standards and principles”.

42. A proper understanding of the APRM requires a fullappreciation of the challenges of the time in whichit was born. At the turn of the millennium andformation of the African Union, the Continent facedan array of challenges, not least the eradication ofpoverty and the urgent need to foster socio-economic development. The adoption of theConstitutive Act of the African Union in 2000underlined the determination of African leaders toovercome these challenges and to position theircountries, both individually and collectively, on thepath of sustainable development.

43. Born in that historical context, the APRM sought topromote the values of transparency, accountabilityand public participation; with specific, time-boundand measureable commitments by member Statesacross the four thematic areas, namely Democracyand Political Governance, Economic Governance andManagement, Corporate Governance and Socio-economic Development. As such, APRMassessments and reviews examine such attributesof good governance as participatory democracy,constitutionalism and rule of law. The impact of theAPRM since inception has been far-reaching, as thefocus on good governance lays a foundation forsocio-economic development at all levels, fromgrassroots to the district and village levels all theway to national authorities, and encourages andempowers citizens to make critical and informeddecisions on a range of issues that affect their livesdirectly.

44. In this effort, the APRM is guided by the AUDeclaration on Shared Values that was passed inJanuary 2011 at the 14th Session of the Assembly.

The African Governance Architecture that hasemerged from this document includes the AfricanPeer Review Mechanism as well as an agreed setof shared values frameworks which encompassAPRM thematic areas, objectives and principlesincluding Good Governance, Democracy, Elections,Human Rights, Humanitarian Issues, Civil SocietyParticipation and Gender Equality.

45. The APRM has as its core mission the deepening ofdemocratic practices through, inter alia, review ofnational policies and practices against establishedstandards of good governance, identification ofdeficiencies as well as best practices, anddevelopment of tools and methods by which thedeficiencies would be rectified and the bestpractices disseminated and replicated across thecontinent. The ultimate aim is to encourage andfoster the building of transformative leadership andconstructive national dialogue through inclusive andparticipatory self- and peer-assessment processesbeyond the current state of practice, therebysignificantly strengthening transparency, account-ability and public participation in government.

46. The APRM Base Document outlines the principles ofthe APRM, which are to conduct review exercises inparticipating states in a manner that is technicallycompetent, credible and free of manipulation. Theprinciple of sharing knowledge on mutually agreedpolicies, standards and practices is also recognisedin the founding documents of the APRM, as are theprinciples of inclusion and participation of allmembers of society in the APRM process as part ofnational ownership.

47. In the first thirteen years of its operation, the APRMhas consistently highlighted the case fortransformative governance. That persistent call fortransformational change is embodied in the AfricanUnion Agenda 2063, which is a combined Vision andAction Plan for the next 50 years that comprisesseven aspirational goals for the Continent. SeveralAgenda 2063 goals are central to the mandate ofthe APRM, including aspirational goal three, whichseeks “an Africa of good governance, democracy,respect for human rights, justice and the rule oflaw”. Agenda 2063 is Africa`s principal developmentframework, incorporating the Common AfricanPosition (CAP) on the 2030 SDGs.

Chapter II: Background and Context to the Strategic Plan

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48. At the 23rd AU General Assembly held in Malabo,Equatorial Guinea, on 24–26 June 2014, theAssembly of the Africa Union adopted a Decision tointegrate the APRM as an autonomous entity withinthe AU System. This Decision will catalyse the abilityof the APRM to play a greater role within the AfricanUnion system. The African Union Commission hasobserved that participation and inclusion of allstakeholders in the implementation and monitoringand evaluation of Agenda 2063 is one of the buildingblocks of Agenda 2063 success. The APRM is ableto make an invaluable contribution to theimplementation of Agenda 2063 through its inclusiveprocesses and ability to solicit input from the publicand many levels of government.

2.2 APRM History and Structure49. In July 2002, the African Union Summit

supplemented the New Partnership for Africa’sDevelopment (NEPAD) with the Declaration onDemocracy, Political, Economic and CorporateGovernance.1 According to the Declaration, theStates participating in NEPAD “believe in just,honest, transparent, accountable and participatorygovernment and probity in public life”.2 TheDeclaration sets out an action plan with three mainsubstantive headings: democracy and good politicalgovernance; economic and corporate governance;and socio-economic development.

50. The Declaration also committed participating Statesto establishing an African peer review mechanismthat aimed “to promote adherence to and fulfilmentof the commitments contained” in the Declaration.3

The first document describing the APRM in somedetail, adopted at the same summit in July 2002,sets out its mandate as follows: “to ensure that thepolicies and practices of participating Statesconform to the agreed political, economic andcorporate governance values, codes and standardscontained in the Declaration on Democracy, Political,Economic and Corporate Governance”.4

51. On 9 March 2003, the NEPAD Heads of State andGovernment Implementation Committee (HSGIC)adopted the Memorandum of Understanding on theAfrican Peer Review Mechanism5 and six countriessigned it right away, bringing it into forceimmediately. Member States of the African Unionthat do not sign the Memorandum of Understandingare not subject to peer review: APRM is a voluntaryprocess. As of May 2016, 35 countries have signedthe Memorandum of Understanding, whichrepresents just over two-thirds of the 54 MemberStates of the African Union, and well over three-quarters of Africa’s population.6

52. At a meeting of July 2002, the HSGIC also agreed tothe establishment of a Secretariat for the APRM andthe appointment of a seven-person “panel ofeminent persons” to oversee the conduct of thecountry review process and ensure its integrity. InMay 2003, the HSGIC announced the first sevenmembers of the panel.7

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1 Document AHG/235 (XXXVIII), annex I2 Ibid. para. 83 Ibid. para. 284 Ibid. annex II, para. 1

5 Memorandum of Understanding on the African Peer ReviewMechanism, document NEPAD/HSGIC/03-2003/APRM/MOU (9March 2003)

6 The countries are, in order of signing: Algeria, Burkina Faso,Congo, Ethiopia, Ghana and Kenya (March 2003); Cameroon,Gabon and Mali (April and May 2003); Benin, Egypt, Mauritius,Mozambique, Nigeria, Rwanda, Senegal, South Africa and Uganda(March 2004); Angola, Lesotho, Malawi, Sierra Leone and theUnited Republic of Tanzania (July 2004); the Sudan and Zambia(January 2006); Sao Tome and Principe (January 2007); Djibouti(July 2007); Mauritania (January 2008); Togo (July 2008); andLiberia (January 2011). The communiqué of the Sixteenth Summitof the APR Forum reported that Cape Verde (which had promisedto sign in 2009 but did not complete the formalities at that time),Equatorial Guinea and Niger were expected to sign at that summit(January 2012). A map of participating and applicant States isavailable at aprm-au.org/aprm-map.

7 Communiqué issued at the end of the seventh Summit of HSGIC,28 May 2003. The first set of seven “eminent persons” wasAdebayo Adedeji (Nigeria), Bethuel Kiplagat (Kenya), Graça Machel(Mozambique), Mourad Medelci (Algeria, replaced byMohammed-Séghir Babès when Mr Medelci took a domesticgovernmental appointment), Dorothy Njeuma (Cameroon), Marie-Angélique Savané (Senegal) and Chris Stals (South Africa). MsSavané was the first Chair, succeeded by her deputy, AmbassadorKiplagat. Dr Njeuma was in turn Ambassador Kiplagat’s deputyand succeeded him as Chair. When Dr Njeuma became Chair,Professor Adedeji was elected her deputy, and in turn becameChair in July 2007.

53. A member of the panel is assigned to lead theprocess for each country reviewed, and in particularto head at least two missions to the country, the“country support mission” at the outset of theprocess and the “country review mission” when thefinal report is being prepared. Some members of thepanel stepped down during 2008 and 2009, leavingthe panel seriously incomplete until four newmembers were appointed in January 2010.8

Following further retirements, new panel memberswere appointed by the APR Forum at a meeting heldin January 2012, and at subsequent Summits on aregular basis, as mandated under the OperatingProcedures of the APRM as approved at the January2012 Summit.9 The APR Panel currently has eightmembers: Dr Mustapha Mekideche (PanelChairperson, Algeria); Prof. M.Y. Khayal (Deputy-chairperson, Chad), Amb. Ashraf Rashed (Egypt);Amb. Fatuma Ndangiza Nyirakobwa (Rwanda), Hon.Mr. J. Tsang Mang Kin (Mauritius), H. E. Mr EdemKodjo (Togo), Hon. Ms Brigitte Mabandla (SouthAfrica), and Prof. A. Abu-Manga (Sudan).

54. APRM founding documents provided for a robustreview process that would insist on remedialmeasures for identified governance issues. Stateswould undertake to submit to, and facilitate, periodicpeer reviews by a team directed and managed bythe eminent persons “to ascertain progress beingmade towards achieving mutually agreed goals”.The report of the team would be discussed with theGovernment concerned. This would includeestablishing whether there is “the will on the part of

the Government to take the necessary decisions andmeasures to put right what is identified to beamiss”. Then, “if the necessary political will is notforthcoming”, there are steps to engage in“constructive dialogue”. Ultimately, “[i]f dialogueproves unavailing, the participating Heads of Stateand Government may wish to put the Governmenton notice of their collective intention to proceed withappropriate measures by a given date”. Thesemeasures shall be undertaken as a “last resort”. Sixmonths after the report has been considered by theHeads of State and Government of the participatingmember countries, it should be formally and publiclytabled at various regional structures, including theAfrican Commission on Human and Peoples’ Rightsand the Pan-African Parliament.10

55. In practice, the tone of the meetings of the Forumof the African Peer Review Mechanism, made up ofthe Heads of State or Government of all Statesparticipating in APRM (a group separate from theNEPAD HSGIC), could be made more robust, whilereporting to other African Union institutions needs tobe strengthened. A desire to improve the functioningof the APRM led to the recognition by the Forum inJanuary 2012 of an additional governance structure,the APR Committee of Focal Points, made up of thepersonal representatives of the Heads of State andGovernment participating in APRM, to serve as anintermediary between the APR Forum and the APRMSecretariat responsible for oversight of administrationand finance.

56. The APRM Secretariat, which has been functioningsince late 2003 from its base in South Africa,provides “secretarial, technical, coordinating andadministrative support services for the APRM”. Inthat capacity one of the earliest tasks of the APRMSecretariat was to develop a questionnaire11 toguide the assessment of participating States’compliance with the principles contained in theDeclaration on Democracy, Political, Economic andCorporate Governance. The questionnaire wasformally adopted in February 2004, in Kigali, at thefirst meeting of the APR Forum. Recognising that theoriginal documents were inadequate in themselvesfor this task, the APRM Secretariat drew on a widerange of African and international human rightstreaties and standards, including all the African

8 The new panel consisted of Adebayo Adedeji (Nigeria, Chair since2007), Mohamed-Séghir Babès (Algeria) and DomitiliaMukantangazwa (Rwanda) (appointed in 2009), Akere TabangMuna (Cameroon), Siteke Mwale (Zambia), Julienne Ondziel-Gnelenga (Congo) and Amos Sawyer (Liberia). Professor Adedejistepped down as Chair and as a member of the panel at the nextmeeting of APRF in July 2010. However, his deputy, GraçaMachel, who would normally have replaced him, was(controversially) not reappointed as a member of the panel inJanuary 2010 although she had been due to lead a second reviewof Kenya. Professor Adedeji was instead replaced as Chair by thenext most senior member, Professor Babès. Professor Mwale wasalready ill when appointed to the panel in January 2010 andunfortunately died later that year. The two empty places on thepanel were not filled at the 2011 APRF meeting.

9 The full panel after the January 2012 Summit consisted of:Professor Amos Sawyer (Liberia), replacing Mohamed-SéghirBabès as Chair; Barrister Julienne Ondziel Gnelenga (Congo);Barrister Akere Tabeng Muna (Cameroon); Ambassador ProfessorOkon Edet Uya (Nigeria); Ms Baleka Mbete (South Africa);Ambassador Ashraf Gamal (Egypt); Dr Mekideche Mustapha(Algeria); and Ambassador Fatuma Ndangiza Nyirakobwa(Rwanda).

10 See document AHG/235 (XXXVIII), annex II.11 Available from www.afrimap.org, in the African Standards section

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human rights treaties, as well as non-bindingdocuments such as the Grand Bay (Mauritius)Declaration and Plan of Action for the Promotion andProtection of Human Rights (1999) and bestpractices and codes adopted by the World Bank andthe International Monetary Fund (IMF). The questionsare grouped under four broad thematic headings(based on but expanded from the initial three in the2002 Declaration): democracy and good politicalgovernance; economic governance andmanagement; corporate governance; and socio-economic development.

57. The questionnaire has been the subject of a fairamount of criticism, e.g. that it covers too manyissues, has a confusing structure, its questions oftenoverlap, and is unmanageable both for governmentsand for civil society organisations seeking torespond to it. However, on closer scrutiny, it is muchmore conceptually rigorous and comprehensive inits lines of inquiry around governance than theoriginal documents.

58. In order to operationalise the APRM, severalinstitutions have been established at country levelin accordance with APRM “country guidelines”.Although these have varied somewhat in form, theyinclude: (a) a national APRM focal point, ideally atministerial level or in the office of the presidency andreporting directly to the Head of State; (b) a nationalcommission or national governing council,responsible for overseeing the national process andsigning off of the documents produced, whichshould be diverse and representative of a widerange of interest groups and should be autonomousfrom Government (though not all countries have fullyrespected this rule); (c) a national APRM secretariatto provide administrative and technical support tothe national commission or governing council,ideally established outside of Government and withan independent budget; and (d) technical researchinstitutions with the responsibility to administer theAPRM questionnaire and carry out backgroundresearch.12

2.3 APRM Outputs, Achievements andLessons Learned

59. The work of the national and continental APRMinstitutions results in three important documents.

(a) The first is a country self-assessment report bythe country concerned using the APRMquestionnaire. The process of developing theself-assessment report is required to be a highlyparticipatory “national dialogue” about thechallenges the country faces, managed by thenational governing council rather than controlledby the Government. In practice, the record inrelation to participation has been mixed, butpositive overall.13 The Panel Member assignedto the country and representatives of the APRSecretariat visit early during the preparation ofthe self-assessment to oversee the process andassist in its implementation (the “countrysupport mission”). Once the draft report iscompleted, it is “validated” at a series ofmeetings with different stakeholder groups,where presentations are made about thefindings and recommendations and commentsare solicited.

(b) Based on the self-assessment report, eachcountry prepares a draft National Programme ofAction (NPoA) to address the problemsidentified; this is the second and equallyimportant document at national level. Bothdocuments are then submitted to the continentalAPRM Secretariat.

(c) On the basis of this documentation and separateexpert inputs, including issues papers as well asinformation collected during a “country reviewmission”, the continental APRM Secretariatcoordinates the drafting of a separate “countryreview report” – the third and equally importantdocument – and comments on the NPoA. TheAPRM Secretariat is assisted in this work bytechnical partners, including the AfricanDevelopment Bank, the United NationsEconomic Commission for Africa (UNECA) andthe United Nations Development Programme(UNDP), which supply information and alsoparticipate in the country review missions.

12 See African Peer Review Mechanism: Annual Report 2006 (APRMSecretariat, 2007).

13 See the guidelines for civil society and national focal pointsavailable on the website of the South African Institute ofInternational Affairs (www.saiia.org.za) and the evaluations of theAPRM processes available on the AfriMAP website(www.afrimap.org).

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60. Once completed, the draft country review report issubmitted to the Government concerned for itscomments. The report, with the Governmentcommentary annexed, and the final NPoA areultimately presented and approved by the APRForum. Six months after this meeting, they are madepublic. The national programme of action, in practicemostly prepared by the Government, includes adetailed logical framework (log-frame) presentationof costed activities and targets to achieve. The APRMSecretariat tries to ensure that this is not just a“wish list” but a serious attempt to cost andprioritise national objectives. The self-assessmentreport is only made public after the completion ofthe entire process and at the discretion of thecountry concerned, and only a few of those reportsare publicly available today.

61. As of May 2016, the country review reports andNPoAs of 17 countries have been published: Ghana(January 2006); Kenya and Rwanda (July 2006);Algeria, Benin and South Africa (January 2008);Uganda (June 2008); Burkina Faso and Nigeria(October 2008); Lesotho, Mali and Mozambique(June 2009); Mauritius (July 2010), Ethiopia(January 2011), Sierra Leone (January 2012), andTanzania and Zambia (January 2013).14 Moreover,while Djibouti’s review is in the final stages, countryreview processes are currently well underway inChad and Senegal.

62. The time taken to complete all these steps hasvaried greatly. To cite just a few examples, for SouthAfrica eight months elapsed between the countrysupport mission and the country review mission; forGhana and Rwanda the period was 10 months andfor Kenya 14 months; Mauritius was among the firstfour countries to start the APRM process in 2004 butonly completed its review in mid-2010.

63. The APRM national reviews are normally funded bythe Governments concerned, with assistance froma trust fund managed by UNDP to which bilateraland other donors can make voluntary contributions.The costs of implementation have varied: the

Government of Kenya, for example, indicated thatthe total cost of the self-assessment was about USD1 million. An important review of the APRM processat the sixth Africa Governance Forum (AGF-VI) heldin 2006 noted that “the highly consultative natureof the APRM process has been quite expensive forthe relatively weaker economies”.15 To that mustbe added the costs of the APRM Secretariat and oftechnical partners to prepare the country reviewreports, initially estimated at USD 15 million for thefirst three years. Countries that have signed up forreview are required to contribute a minimum of USD100,000; some have contributed more, while manyothers are in default.

64. The implementation of the programmes of actionresulting from the APRM reviews was not addressedin detail in the APRM founding documents. Oneresult is that the relationship of NPoAs to othernational development plans is not clear; nor is theextent to which NPoAs actually require new moneyor consist essentially of plans that are already underway. Calls for the APRM plans to be coordinated withother strategies have resulted in initiatives such asa meeting organised in March 2007 by UNDP, theAfrican Development Bank and ECA to discusssupport for the implementation of the plans of actionof Ghana, Kenya and Rwanda.16

65. Countries that have completed the process arerequired to prepare progress reports on theimplementation of their NPoAs for the APR Forummeetings, and Algeria, Burkina Faso, Ghana, Kenya,Lesotho, Mali, Nigeria, South Africa, Uganda andothers have done so. However, these reports are forthe most part prepared by the Governmentsconcerned, without civil society participationprominent earlier in the process, and have oftenbeen submitted late. There is currently no realcapacity in the APRM Secretariat for independentmonitoring of their content.

14 AfriMAP has published critical reviews of the APRM process inAlgeria, Benin, Burkina Faso, Ghana, Kenya, Mauritius, Nigeria,Rwanda and South Africa, compiled in a 2010 report of the OpenSociety Institute for Southern Africa, The African Peer ReviewMechanism: A Compilation of Studies of the Process in NineAfrican Countries; additional reports on Ethiopia, Mali,Mozambique and Uganda were published in 2011(www.afrimap.org/ReportTheme/APRM).

15 Implementing the African Peer Review Mechanism: Challengesand Opportunities, Report of the Sixth Africa Governance Forum(AGF-VI), Kigali, 9-11 May 2006, p. 37

16 See the report of the Secretary-General on United Nations systemsupport for the New Partnership for Africa’s Development(E/AC.51/2007/4); see also Implementing the African Peer ReviewMechanism: Challenges and Opportunities, p. 38.

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66. Since its inception, the APRM has made significantprogress in terms of the number of countries thathave acceded to the Mechanism, the rolling-out ofthe review exercise, the refining of the reviewprocess, as well as the level of participation andengagement of stakeholders. Seventeen of the 35participating countries have completed theirreviews, while three Member States are due for peerreview at the August 2016 Summit to be held inNairobi, Kenya, and the January 2017 meeting inAddis Ababa, Ethiopia. Most of the reviewedcountries have taken actions on the basis ofrecommendations and their respective nationalprogrammes of action, while a few from this groupare already preparing for their second reviews.

67. The benefits derived from the APRM cannot be over-emphasised. In some countries, its findings havehighlighted good practices that are worthy ofbroader dissemination across the continent, drawnattention to impending crises that need immediatepreventive action, and analysed virtually all issuesof governance that fall somewhere in between. Inthe unfortunate situation where crises alreadyanticipated by APRM reviews were left unaddressedand eventually materialised, APRM recommen-dations have provided a useful framework forimmediate resolution and long-term reform.

68. At the same time, although the APRM has achievedmuch since its inception, it has also encountered anumber of challenges. To start with, the APRM hasnever adopted clear strategic plans for itsoperations; indeed, the present document will be thefirst one of its kind to guide APRM operations.

69. Furthermore, despite significant progress, the APRMremains largely unknown to the majority of thepeople of Africa and the rest of the world. For somecritics, the APRM has not yielded the much-neededchange in governance and improved service deliveryto Africa’s citizens. In terms of country participation,too, while the APRM’s “universal” membershipambitions still remain distant, a significant numberof participating countries have yet to undergo theinitial base review. Likewise, even among the 17countries that have undergone the full review, thelevel of compliance with recommendationscontained in the National Programmes of Action(NPoAs) leaves a lot to be desired. Finally, there isalso need to enhance popular participation andownership in APRM reviews; the role of APRMnational structures needs to be clarified;

implementation monitoring and follow-upmechanisms need to be enhanced; and the capacityof the continental APRM Secretariat needs to bestrengthened.

2.4 The Strategic Plan Development Processand the Way Forward

70. Guided by the six-point revitalisation agenda fromthe Special Summit, and under the leadership of itsnewly-appointed CEO, the APRM Secretariatdeveloped the Strategic Plan to guide its activitiesover the next five years. The document also buildson the three-pronged turnaround programme forrestoration, reinvigoration and renewal of the APRMoutlined by the new CEO. The Strategic Plan alsodraws its inspiration from the original vision andmission, values and guiding principles of the APRM,while taking into account the new and emergingrealities on the Continent including the AU SharedValues, Agenda 2063 and the 2030 SDGs. TheStrategic Plan starts with a baseline survey of wherethe APRM is today, its strengths and weaknesses,and identifies the operational priorities, relatedoutputs and activities, and indicators of success forthe next five years (2016–2020).

71. The appointment of a new CEO of the APRMSecretariat in January 2016 signalled a significantturning point in terms of the political commitmentof the participating states to the Mechanism and theorientation of its principal organs. The CEOcommenced his duties with a series ofengagements with APRM stakeholders, including anExpert Group Meeting on Revitalisation of the AfricanPeer Review Mechanism (APRM) under the theme:“Strategising, Planning, and Developing ImprovedReview Methodologies”, hosted in Addis Ababa,Ethiopia, from 29–30 March 2016. This wasfollowed by an APRM staff retreat from 29 April to 1May where the Secretariat, supported by staff fromthe AU Commission, deliberated on the APRM Visionas well as main elements of the Draft Strategic Planfor 2016–2020, a draft statute for APRM integrationinto the African Union, and draft terms ofengagement for the APRM Panel of EminentPersons.

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72. Finally, these draft documents were submitted to theAPRM Revitalisation Committee meeting held on 9–10 May 2016 in Nairobi, the meeting of the APRMPanel of Eminent Persons held in Johannesburgfrom 20–21 May 2016, and to the meeting of theFocal Points and members of national secretariatsand NGCs held in Johannesburg from 21–23 May2016. The final versions of these documentsincorporating all comments and feedback from allthese bodies will be submitted to the Committee ofFocal Points and subsequently to the APRM Forummeetings scheduled for August 2016 in Nairobi,Kenya.

73. It is notable that while the APRM Strategic Plan2016–2020 starts from the six-point strategicpriorities of the Special Summit and the three-pronged turnaround strategy, its ambitions gobeyond revitalisation. By the end of the strategicplan period APRM aims to ensure that it stands on asolid political, financial and knowledge foundation,ready to become the authoritative source ofreference on governance in Africa.

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3.1 Continental Assessment of Trends inGovernance

74. Since APRM’s inception in March 2003, theMember States have been assessed on four mainthematic areas, namely Democracy and PoliticalGovernance, Economic Governance andManagement, Corporate Governance, and Socio-economic Development. The 17 reviewscompleted in its first 13 years have identified anumber of best practices but also commonchallenges. The latter in particular includeelectoral disputes that sometimes degenerate intoviolent conflicts, youth unemployment, persistentgender inequality, and inadequate structuraltransformation. Other challenges that requireincreased attention from the APRM processinclude such security challenges that result fromradicalisation and extremism. Moreover, thegovernance and regional integration priorities onthe Continent had been revised in the years sincethe creation of APRM in 2003, with new prioritiesepitomised by AU Agenda 2063 as agreed on in2013–2014, and the African common position onthe 2030 SDGs as finalised in 2015.

75. Agenda 2063 comprises seven aspirationsnamely:

(i) a prosperous Africa based on inclusive growthand sustainable development;

(ii) an integrated continent, politically united, basedon the ideals of Pan-Africanism and the visionof Africa’s Renaissance;

(iii) an Africa of good governance, respect forhuman rights, justice and the rule of law;

(iv) a peaceful and secure Africa;

(v) an Africa with a strong cultural identity,common heritage, values and ethics;

(vi) an Africa whose development is people-driven,relying on the potential of African people,especially its women and youth, and caring forchildren; and

(vii) Africa as a strong, united, resilient andinfluential global player and partner. Theseventeen SDGs for 2030 are aimed atachieving improvements in poverty reduction,food security, health, education, genderequality, access to water and energy, economictransformation, infrastructure development,reduction of inequality, improved habitation andconsumption, resilience to climate change,protection of marine and other ecosystems, thebuilding of peace institutions and overallsustainability.

76. Both the AU Agenda 2063 and the 2030 SDGs havea bearing on APRM’s work, and the APRM StrategicPlan should allow AU member states to adopt andadapt a common tracking framework based onAPRM tools for progress monitoring in respect ofnational programmes of action. This will alsocomplement the roles of other African Unionstructures, organs and Regional EconomicCommunities tasked with implementing Agenda2063 and the 2030 SDGs. This may call for anetwork of APRM stakeholders to examine theresponse to Africa’s governance and reportingchallenges. It will also be important to bring onboard other potential strategic partners such as theAfrican Capacity Building Foundation and the MoIbrahim Foundation due to the roles they play inAfrican Governance.

3.2 Institutional Analysis77. In this section we subject the APRM to a SWOT

analysis so as to recognise institutional strengths,appreciate the risks, grasp and build on theopportunities, and anticipate and take steps toprevent threats from materialising or at leastmitigate their consequences. Table 3.1 presents theinstitutional analysis.

Chapter III: Situational Analysis

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Table 3.1: Institutional Analysis

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Strengths

n Renewed determination of the leadership all the way from the APRM Forum downn Clarity and precision of mandaten Strong record of success, especially in the early days, to build onn Positive reception of its work among African citizens, civil society and opinion makers

around the world

Weaknesses

n Uncertain or variable levels of political supportn Poor state of finances and unpredictability of APRM contributionsn Limited staff capacity and adverse impact of financial uncertainty to attract and retain

high calibre expertsn Irregular attendance of meetings by some Focal Pointsn Poor coordination with relevant AU institutionsn Inadequate follow-up, monitoring and evaluation mechanismn High cost of country reviewsn Cumbersome country self-assessment questionnairen Poorly designed NPoAs that make implementation difficult

Opportunities

n A sense of renewed political commitment from the APR Forum downn Appointment of new and fully-fledged CEOn Decision for APRM integration into the AU structures and processesn Ever-growing emphasis, within Africa and globally, on the essential role of good

governance for sustainable developmentn A sense of good will and intuitive appeal for the APRM mission and the resulting

legitimacy and reputational dividend for its workn Increasing interest in APRM playing a role as a monitoring mechanism for Agenda 2063

and SDGsn Development of new tools and knowledge products to enhance APRM’s standing as the

authoritative think tank on African governancen Universal membership aspirationsn Availability of a pool of relevant expertise in the continent that can be deployed at

relatively short notice

Threats

n Lack of sustainable financingn Potential erosion of autonomy and independence after integrationn Potentially growing gap between expectations and actual impact of APRM review reports

and recommendations on the groundn Non-participation of existing members in the review process and potential withdrawal of

others

3.3 Stakeholder Analysis78. The APRM has several layers of institutional

stakeholders, including the individual MemberStates as represented by the Heads of State andGovernment participating in the APR Forum, theCommittee of Focal Points, the Panel of EminentPersons, the APR Strategic Partners, and theSecretariat.

79. The Guidelines for Countries to prepare for and toparticipate in the African Peer Review Mechanismmake Member Countries responsible to:

(i) Ensure an inclusive and participatory nationalreview process;

(ii) Ensure that recommendations arising from thereview process are implemented;

(iii) Develop a realistic National Programme ofAction that builds on national consensus; and

(iv) Report on progress in the implementation of theNPoA on an annual basis.

80. Ultimate responsibility for oversight of the APRMorganisation and processes rests with the APRForum. The APR Forum is tasked with exercisingconstructive peer dialogue and persuasion to effectchanges in Member State governance policies andpractices as recommended by the review reports. Akey challenge for the APR Forum is decreasedinterest in the APRM as manifested by reducedattendance by the Heads of State and Governmentof the member countries during the bi-annualsummits as well as inadequate commitmenttowards financial obligations at country level.

81. The APR Committee of Focal Points (CFP) hasresponsibility for oversight of the APR Secretariat’sbudgetary process and resource mobilisationthrough member states, partners and donors. FocalPoints are normally at the level of Ministers, and dueto busy schedules FPs often delegate attendance tojunior officials, which inevitably affects the exerciseof its oversight responsibilities.

82. In terms of the APRM Panel, the 2012 OperatingProcedures, in line with the provisions of the APRMBase Document, stipulate that “the Eminent Personsmust be Africans selected from APRM memberStates who have distinguished themselves incareers according to the following criteria:

(i) Professional competence i.e. intellectualcapacity to lead the country review processes

and monitor the effective implementation of theNational Programme of Action (NPOA);

(ii) Integrity, objectivity, impartiality andindependence;

(iii) Persons of high moral stature anddemonstrated commitment to the ideals of Pan-Africanism; and

(iv) Capacity to engage high level stakeholdersincluding individual Heads of State andGovernment, the APR Forum as a collective andkey state actors such as Parliament, Executive,Judiciary and non-state actors such as thePrivate Sector and Civil Society”.

83. Among other things, the Panel is mandated tooversee the Country Review Process, makerecommendations to the APR Forum on theimplementation of the Country Review Process andprovide oversight of reporting to the APR Forum onthe direction, governance and performance of theCountry Review Process as well as other processesthat need partnerships and to safeguard Africanownership of the Country Review Process.

84. The APRM Base Document and OperatingProcedures stipulate that “the APRM Secretariat willprovide the secretarial, technical, coordinating andadministrative support services for the APRM”. Inaddition, it is noted that “the APR Secretariat musthave both the technical and administrative capacityto undertake and manage the analytical work thatunderpins the peer review process and alsoconforms to the principles of the APRM”. TheSecretariat is headed by a CEO who is appointed bythe Heads of State. The CEO is the legalrepresentative as well as the accounting officer forthe APRM. The functions of the APR Secretariatinclude facilitating technical assistance toparticipating countries as well as proposingperformance indicators and tracking theperformance of each participating country.

85. During the first APR Forum, the Heads of State andGovernment mandated the APR Panel to work outmodalities for establishing relations with institutionsthat may be able to assist and facilitate its work. Oneof these modalities related to the elaboration of aMemorandum of Understanding (MOU) between theAPRM and Partner Institutions, with details of 11areas of possible collaboration with StrategicPartners. These include: (i) providing relevant adviceto the APR Secretariat; (ii) providing access to data

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sources and sharing of information and experiencesincluding through electronic or internet hyperlinks;(iii) assisting countries to undertake their nationalself-assessment and to prepare their NPoAs; (iv)undertaking technical assessments; (v) assistingcountries to prepare for the Country Review Visit;and (vi) building capacity and assisting countries toimplement the NPoAs and the recommendations ofthe country review reports.

86. The Strategic Partner Institutions that were identifiedat the inception of the APRM are the United NationsDevelopment Programme (UNDP), the UnitedNations Economic Commission for Africa (UNECA)and the African Development Bank (AfDB). Duringthe Strategic Plan period the APRM aims to add tothe list of strategic partners the African CapacityBuilding Foundation (ACBF) and the Mo IbrahimFoundation.

3.4 The Necessity for Revitalisation87. A close examination of the state the APRM finds

itself in today reveals a number of challenges thathave been encountered over the past few years inparticular. The challenges are many and varied. Theyinclude waning political support for the Mechanism,lengthy review processes and excessively longreview reports, a cumbersome questionnaire,widespread non-compliance on the part of manymembers with their financial obligations, internalmanagement failures, poor coordination amongdifferent APRM organs, absence for nearly eightyears of a chief executive officer for the Secretariatwith full mandate to run the institution, and the onsetof a sense of loss of direction for some time.

88. As indicated earlier, some of these issues have beenaddressed already, the appointment of a fully-fledged CEO being a case in point. However, manyof them still remain, becoming the key priorities ofthe short-term revitalisation effort and corecomponents of the longer-term work plan envisagedin this Strategic Plan.

89. Attempts to address many of these deficiencieshave been made since the early days of the APRM.Three prominent examples would be:

(i) The effort to review the questionnaire and otherdocuments that was launched in 2007;

(ii) The extraordinary summit of 2008 that wasconvened to examine the experience of

countries that had been reviewed at the time;and

(iii) The Special Summit convened in January 2016to address the broader challenges of the APRMand chart a path towards its revitalisation.

90. In November 2007, the APRM Secretariat hosted aworkshop in Algiers at which it was announced thatthe APRM questionnaire and other documents wouldbe reviewed by the Secretariat and otherstakeholders.17 Under the Project for Streamliningand Fast Tracking the Implementation of the AfricanPeer Review Mechanism,18 which commenced in2009/10, the APRM revised the self-assessmentquestionnaire and developed a monitoring andevaluation framework, which were adopted by theAPR Forum in 2012 and 2015, respectively. Theextraordinary summit of the APR Forum that wasconvened in Benin in October 2008 also discusseda number of cross-cutting issues emerging from thefirst APRM country review reports, includingmanaging diversity and xenophobia, elections,resource control and management, land policy, andcorruption.19

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17 The workshop brought together those involved in APRMassessments at the national level, the members of the EminentPerson’s Panel, representatives of the APRM Secretariat andtechnical partners. The aim of the meeting was to carry forwardthe recommendations of AGF-VI held in Kigali in May 2006, witha view to presenting revisions to the questionnaire and otherdocuments for adoption by the APR Forum at the African UnionSummit in January 2008. See “APRM Secretariat gears up formajor implementation workshop in Algiers”, NEPAD Dialogue (19October 2007).

18 The call for papers requested inputs on seven interrelatedcomponents: revision of the APRM methodology and processes(assignment A); revision of the APRM assessment questionnaire(democracy and political governance) (assignment B1); revisionof the APRM assessment questionnaire (economic governanceand management) (assignment B2); revision of the APRMassessment questionnaire (corporate governance) (assignmentB3); revision of the APRM questionnaire (socioeconomicdevelopment) (assignment B4); development of an NPoAmonitoring and evaluation framework (assignment C); andelaboration of modalities for enhancing the participation of civilsociety in the African Peer Review Mechanism (assignment D).

19 The final communiqué of the Extraordinary Summit of the APRForum held in Cotonou on 25-26 October 2008 and other reportsof the meeting are available on the AfriMAP website(www.afrimap.org/newsarchive.php). Other cross-cutting issueshave also been identified, including poverty and inequality,violence against women and gender inequality, violence againstchildren, external dependency, crime and xenophobia,transformative leadership, constitutionalism, chieftaincy, politicalpluralism and competition for ideas, reform and modernisation ofGovernment, spatial inequality and environmental degradation,unemployment, capacity constraints, and poor service delivery.The original APRM questionnaire also identified cross-cutting

91. Finally, at the special summit on revitalisation of theAPRM on 29 January 2016, several Heads of Stateand Government of participating States made highlyinsightful and welcome contributions by identifyingthe real challenges, presenting options on how toovercome them, revitalise the APRM and improve itspractical relevance and impact. Among the ideasshared at the Summit to guide the APRM are:

(i) The ever-increasing relevance of goodgovernance in Africa and globally;

(ii) The impact of APRM’s dwindling financialcapacity in potentially compromising Africa’sownership of the Mechanism;

(iii) The waning enthusiasm and commitment ofparticipating states towards the APRM and theconcomitant slowdown in the review process;

(iv) The need for renewed commitment to theAPRM by the Member States to enable theMechanism to fulfil the mandate conferred onit by the founding fathers;

(v) The need to reposition the APRM so that it playsa central role in the implementation of Agenda2063 and the 2030 Sustainable DevelopmentGoals (SDGs);

(vi) The need for expeditious integration of theAPRM into the AU structures and processes ina manner that does not compromise theautonomy and integrity of the Mechanism;

(vii) The need for the APRM to foster dynamicpractices aimed at improving governance, whilecorrecting shortcomings in the conduct of thereviews;

(viii) The need to overcome the tendency to limitgovernance reviews to a narrow definition ofwhat constitutes a democratic process, and tounderrate the potential for local solutions intaking as a normative view that governancesolutions for Africans must necessarily comefrom elsewhere;

(ix) The need for reappraisal of the ideals andvalues of the APRM;

(x) The need for all AU countries to join the APRMand contribute to the achievement of the socio-economic objectives of Agenda 2063 and theSDGs;

(xi) The need to translate political will into concretefinancial contributions to sustain theContinental Mechanism; and

(xii) The need to establish a firm timeframe forpayment of Member States’ arrears.

92. The Special Summit of the APR Forum concludedwith the decision to appoint Professor EdwardMaloka as the CEO of the APRM Secretariat. TheForum also directed that the Chairperson of theCommittee of Focal Points and the Focal Point forKenya, Honourable Mwangi Kiunjuri, convene asmall team consisting of the APR Secretariat, FocalPoints, the African Union Commission and StrategicPartners to make recommendations on revitalisationof the APRM for consideration by the Forum at thenext Summit due to take place in Kenya in August2016.

93. Ahead of the Committee meeting scheduled for 9–10 May 2016 in Nairobi, the CEO convened anExpert Group Meeting to provide a platform todiscuss and deliberate on elements of the short-term Turnaround Strategy as well as this StrategicPlan for APRM from an experts’ point of view. TheEGM deliberated on three identified pillars of theturnaround strategy – restoration, reinvigoration andrenewal – and included discussion on importantdevelopments on the Continent including AU Agenda2063 and the SDGs, with a view to outlining keystrategic priorities on the way forward.

94. The Restoration pillar focuses on addressing theimmediate challenges faced by the APRM including:

(i) Development and implementation of the 2016Work Plan;

(ii) Strengthening compliance with APRMprinciples;

(iii) Resource Mobilisation;

(iv) The integration of the APRM into the AUsystems and processes, and

(v) Implementing the APRM Work Plan.

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issues which, however, are slightly different: poverty eradication,gender balance, decentralisation, country capacities to participatein APRM, access to and dissemination of information, corruption,broad-based participation, and sustainability in financial, socialand environmental issues.

95. The strategic objectives for 2016 are underpinnedby an optimally capacitated Secretariat which willlead efforts to increase the number of countryreviews and more effective implementation ofNPoAs as well as have the ability to conduct multiplereviews concurrently while generating valuableinstitutional knowledge from its work in monitoringand engagement on national governance practices.

96. The Reinvigoration pillar consists of repositioning,re-energising and intensifying commitment toAPRM's mandate. The major focus will be inrepositioning the APRM, in collaboration with otherinstitutions, as one of the mechanisms formonitoring and supporting attainment of the AUAgenda 2063 and the global 2030 SustainableDevelopment Goals. In the First Ten-YearImplementation Plan of Agenda 2063, the APRM isexpected to contribute to the goals relating to theadoption of democratic values, practices, universalprinciples of human rights, justice and the rule oflaw as well as the creation of capable institutionsand transformational leadership.

97. The Renewal pillar includes the review, refinementand further development of APRM tools andprocesses including its research and informationgathering instruments for drafting the Country Self-Assessment Report. The renewal phase will alsoinclude reimagining the philosophy behind theAPRM, to make the Mechanism more relevant in achanging world.

98. The Strategic Plan took the ideas presented at theexpert meeting to a higher level. The draft StrategicPlan was presented and further refined at an APRMstaff retreat organised specifically for the purposeand with generous help from experts from thestrategic planning department of the AUCommission. The final draft was then presented tothe Revitalisation Committee meeting convened byKenya from 9–10 May 2016. The Committeeconsidered the Strategic Plan in depth, provideddetailed guidance for its further enhancement andendorsed it unanimously. A revised version of theStrategic Plan that incorporated the feedback andguidance from this Committee was presented to the77th meeting of the APRM Panel and the specialmeeting of the national organs that was held inJohannesburg from 20–23 May 2016.

3.5 Conclusion99. The APRM was born into the African political

landscape because of the creativity, commitmentand farsighted vision of African leaders who realisedthat good governance is a prerequisite to thesustainable and inclusive development of thecontinent. Since its establishment, the APRM hasregistered a number of achievements and rekindledthe hope of Africans that the vice ofmaladministration that has afflicted the continent forso long and perpetuated their misery can indeed beaddressed through self- and peer-review andconsultative, cooperative and constructive mutualengagement, by Africans and for Africans. That hopeand promise was translated into concrete resultsespecially in the first years of its existence. However,the APRM has also encountered its share ofchallenges, ranging from management deficiencies,to waning political support, all the way to near-financial bankruptcy.

100.Today the APRM is turning a corner; the politicaldirection has changed; a new and fully-fledged CEOhas been appointed; financial pledges have comeforward; a sense of purpose and energy hasreturned. Indeed, the AUC Strategic Plan 2014–2017identifies as one of its opportunities “goodgovernance through the APRM”. Considering thatnot all members of the AU are participating in theAPRM, this is a notable vote of confidence in theMechanism, but also a direct challenge for theinstitution to live up to its promises. It is against thisbackdrop that we write this Strategic Plan for thenext five years.

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4.1 Strategic Concerns and Priorities101. The situational analysis presented in Chapter III

shows that although the APRM was launched withgreat ambitions and enthusiasm, and recordedgreat achievements during much of its first decadeof existence, it lost its direction over the past fewyears in particular. The factors responsible for thecrises are many and varied. Addressing the rootcauses of the crises is the starting point of thisStrategic Plan, but it goes further and aims to takethe APRM to new heights, prepare it to tackle thenew challenges and responsibilities, including themonitoring and follow-up work in the context ofAgenda 2063 and the SDGs.

102. From the situational analysis in Chapter III, thedirections we received from the presentationsmade by African leaders at the Special Summit ofJanuary 2016, the expert group meeting that washeld in March 2016, the revitalisation committeemeeting (Nairobi May 2016), and the meetings ofthe APR Panel and the national APRM organs(Johannesburg May 2016), and detailed technicalanalyses, we have drawn 16 issue areas, latercategorised as one of eight key priorities, for theAPRM to focus on during the strategy period. Theseare:

(i) Launch a broad-based and sustainedprogramme of advocacy to bring back thepolitical support for the APRM as well asenhance its brand recognition throughout thecontinent and beyond;

(ii) Launch a broad-based and sustained resourcemobilisation campaign;

(iii) Build the human resource capacity of the APRMSecretariat so as to enable it to run more thanone country reviews at the same time; recruitthe high-calibre staff APRM work demands andinstitutionalise state-of-the-art humanresources strategy for recruitment andretention of high level talent;

(iv) Working with the APRM Panel of EminentPersons, the APRM Committee of Focal Points,and the APRM Forum, bring back a panelselection process that is entirely merit-basedand not driven by political considerations alone;

(v) Work diligently to improve the relationshipbetween the different continental APRM organs,including through the introduction of clearerand more precise terms of engagement formembers of the APR Panel;

(vi) Work diligently to harmonise and strengthencoordination between the continental APRMStructures on the one hand and national APRMorgans on the other;

(vii) Launch a concerted effort to fully integrate theAPRM into the AU structures and processes asenvisaged in the Malabo Summit Decision 2014while retaining a degree of independence andoperational autonomy to ensure the APRMdelivers on its mandate without unduebureaucratic or political interference;

(viii) Launch a coordinated campaign with allnational and continental APRM organs toaccelerate progress towards universalmembership of AU member states in the APRM;

(ix) Establish follow-up, monitoring and evaluationcapacity within the APRM Secretariat;

(x) Develop new tools and knowledge products toenhance APRM’s standing as the authoritativethink tank on African governance;

(xi) Undertake research and consultations with aview to devise ways and means of enhancingcompliance with, and enforceability of, APRMrecommendations at national level and submitrecommendations to the APRM Committee ofFocal Points and the APR Forum;

(xii) Undertake research and consultations on howbest to reduce the cost of country reviews,including through the use of modern IT facilities,without compromising on the quality of theprocess and the outcome;

(xiii) Develop new approaches, tools andinstruments with which to assist in themonitoring evaluation work required in thecontext of Agenda 2063 and SDG 16 goals ofbuilding capable, inclusive and responsivegovernance institutions, and fostertransformative leadership in Africa;

(xiv) Systematise and institutionalise APRMengagement with civil society and research and

Chapter IV: Strategic Plan 2016–2020

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academic institutions so as to enhance APRMinfluence in setting the agenda of conversationon African governance;

(xv) Develop initiatives on the role of regional andinternational ratings agencies and the potentialrole of the APRM in this field; and

(xvi) Champion Flagship Projects in order to drawattention to shared challenges that underlinethe need for transformative leadership,inclusive growth, mobilisation of domesticresources, improving the performance of state-owned enterprises, and universal accession tothe APRM.

4.2 The Foundations of the Strategic Plan103. This Strategic Plan is founded on the vision, mission

and mandate articulated hereunder.

Vision

104. The vision of the APRM is the full actualisation oftransformative leadership and practice for the Africawe all want.

Mission

105. The mission of the APRM is to promote the AfricanUnion’s ideals and shared values of democraticgovernance and inclusive development byencouraging all Member States of the Union tocollaborate and voluntarily participate in the home-grown, credible, rigorous, independent and self-driven peer review process and the implementationof its recommendations.

Mandate

106. The mandate of the APRM is to ensure that policiesand practices of participating Member Statesconform to the agreed political, economic andcorporate governance values, codes and standardscontained in the African Union Declaration onDemocracy, Political, Economic and CorporateGovernance. As a voluntary self-monitoringinstrument, APRM fosters the adoption of policies,standards and practices that lead to politicalstability, high economic growth, sustainabledevelopment and accelerated regional andcontinental economic integration through sharingof experiences and best practices, includingidentifying deficiencies and assessing the needs forcapacity building.

107. According to the Declaration, the APRM “seeks topromote adherence to and fulfilment of thecommitments contained in this Declaration”(paragraph 28). It is thus clear that the overall goalof the APRM initiative is to promote, on the part ofparticipating states, adherence to and fulfilment ofstandards of good political, economic and corporategovernance agreed by those states in differentforums, be they regional, continental or global.

108. This Strategic Plan aims to deliver on its mandateand pursue its mission by deploying all its energyand resources in the 16 issue areas identifiedabove as categorised within the eight key priorities.

4.3 Overview of the Strategic Plan: keypriorities, anticipated outcomes andrelated outputs

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KEY PRIORITIES OUTCOMES OUTPUTS

1. Shared ValuesAdvocacy andCommunication

1.1. Shared Valuesarticulated in AUAssemblyDeclaration of31 January 2011integrated into APRMsystems, processes,and activitiessystematicallycommunicated andimplemented1.1.Shared

1.1.1. AU shared values systematically integrated into theentire value chain of APRM activities1.1.1. AU

1.1.2. APRM systematically integrated into the AGAframework as a major player or component

1.1.3. APRM engagement with civil society and research andacademic institutions institutionalised

1.1.4. A communication and advocacy plan developed andimplemented

1.1.5. Media outreach/campaigns to market APRM’sinitiatives extensively conducted

1.1.6. APRM annual reports regularly published

2. Review andImplement theAPRM Core Mandate

2.1. APRM Mandatereviewed, updatedand implemented toreflect evolvingdevelopments

2.1.1. The current APRM mandate is implemented in full, onthe basis of a three-year calendar of missions agreedand approved in advance

2.1.2. A revised APRM mandate reflecting today’sgovernance challenges and proposing policy optionson the way forward is developed and submitted todecision makers for adoption

2.1.3. In the immediate short term, a Draft Declaration issubmitted to the August 2016 APR Forum Meetingthrough which participating countries can renew theircommitment to the vision, mission and operationalobjectives of the APRM

2.1.4. APRM officially recognised as one of monitoring andaccountability mechanisms for Agenda 2063 andSDGs and special initiatives in the form of flagshipprojects launched

2.1.5. The role of regional and international rating agenciesclearly identified, and a set of clear policy options andstrategies on what the APRM’s role as a rating agencyis developed and submitted to decision makers

2.1.6. Impact assessment studies on the work of the APRMand its relevance for the day-to-day challenges of theordinary African citizen completed

3. ResourceMobilisation andFinancialManagement

3.1. A financiallysustainable andcredible Secretariat

3.1.1. A resource mobilisation strategy developed andimplemented

3.1.2. Member States’ contributions paid timeously

3.1.3. AU financial rules and regulations, adopted andadapted

3.1.4. Financial management and internal audit functionsstrengthened

3.1.5. APRM annual audited reports published on the website

3.1.6. Regular quarterly meetings of Focal PointsSubcommittee on Finance and Administration held

Table 3.1: Institutional Analysis

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KEY PRIORITIES OUTCOMES OUTPUTS

4. Human ResourceCapacityDevelopment

4.1. A fully capacitatedSecretariat capableof effectively andefficientlyimplementing thebroad mandate ofthe APRM put inplace

4.1.1. APRM organisational structure revised and aligned toAU positions grading and salary scales

4.1.2. APRM adopts and adapts AU Staff Rules andRegulations4.1.3. APRM Human Resource Management Strategy

developed and implemented4.1.4. High calibre APRM Staff recruited and appointed

4.1.5. APRM Staff retention strategy developed andimplemented

4.1.6. Performance Management is institutionalised in APRMprocesses and practices

5. Development ofMonitoring andEvaluationFrameworks andSystems

5.1. Enhanced efficiencyand effectiveness ofpeer reviewprocesses

5.1.1. Monitoring and Evaluation frameworks for improvedquality of internal and country review processesdeveloped and operationalised

6. Enhancement ofResearch &DevelopmentCapacity andImprovement ofOperational Tools

6.1. Evidence-basednational compliancewith APRM reviewrecommendationsand NationalProgrammes ofAction (NPOAs)

6.1.1. Networks and structures are established with relevantresearch and advocacy institutions for increasedresearch collaboration and enhanced participation ofcivil society in peer review processes

6.1.2. Compliance with APRM recommendations and NPOAsat national level enforced

6.1.3. An APRM Knowledge Hub and Resource Centreestablished

6.1.4. The quality of APRM Reviews noticeably enhancedthrough better tools, processes and streamlinedquestionnaire, leading to shorter timeframes andreduced cost of country reviews

7. Intra-APRMCoordination andHarmonisation:

Improve coordination andharmonisation between the APRMContinental and national andregional structures, as well as withrelevant AU organs, in the exerciseof the APRM mandate andprogrammes

7.1. Improvedeffectiveness andimpact of APRMprogrammes

7.1.1. Strengthened linkages and coordination between theAPRM Secretariat, the APR Panel, and national andregional structures, and with relevant AU organs, inthe exercise of APRM's mandate and programmes

8. APRM integrationinto the AU,Universal Accessionand enhancedAPRM relevance toAfrica’s regionalintegration agenda:

Integrate the APRM into the AUstructures and processes asenvisaged in the Malabo SummitDecision 2014; launch thecampaign for accelerated universalaccession and enhanced APRMrelevance to relevance to Africa’sregional integration agenda

8.1. APRM fullyintegrated into AUstructures and itsrelevance to Africa’sregional integrationagenda enhanced

8.1.1. The Statute on integration drafted, finalised andsubmitted to relevant APRM and AU structures forconsideration and adoption, and strategies to enhanceAPRM’s relevance to Africa’s regional integrationagenda developed and implemented

8.1.2. APRM Secretariat management and governancesystems aligned with relevant AU rules and regulations

8.1.3. APRM Secretariat legal status with the hostgovernment of the Republic of South Africa formalised

8.2. Membership andparticipation inAPRM initiativesincreased

8.2.1. Universal accession to APRM by AU member statesachieved

4.4 Strategies and Actions to pursue109. In line with Table 4.1, this section summarises the

conditions that must exist, and the list of actionsthat need to be taken, in the pursuit of the keyoutcomes and the lead actors in the process.

Outcome 1: Shared Values Advocacy &Communication

110. The APRM is an African intergovernmental initiative.As such it was born out of the political will,commitment and determination of the generationof political leaders who appreciated the essentialrole of good governance in Africa’s efforts toextricate itself from the perils of poverty, disease,civil and cross-border conflict, exploitation, andgeneral state of under development. If that politicalwill, born of necessity, was there at the origin of theAPRM as an initiative, it must continue to exist forthe APRM to deliver on its hallowed mandate tofoster the adoption of policies and practices thatconform to the standards of shared values includinggood governance, democracy, competitiveelections, human rights, humanitarian issues, civilsociety participation and gender equality.

111. Essential as it is, sustaining political will andpolitical support requires constant effort from APRMstakeholders. Whatever we do to revitalise theAPRM, therefore, we must start from the foundation– the political will and continued support of itsmember states.

112. Unlike many of our priorities, the issue of politicalsupport is not something that can be achieved onceand left there; it needs to be reflected in everythingwe do on a daily basis.

113. Also, no campaign or strategy is a substitute forhigh quality work and effective communication ofthe product with our constituency. APRM cannotachieve its objectives without a communicationstrategy that is state-of-the-art, dynamic, andflexible. The Communication Strategy must buildand enhance the APRM brand, and lead to broadinternational recognition for the APRM and itsactivities.

114. In order to communicate about APRM and itsactivities effectively while at the same timesustaining political backing for the work of theAPRM, we shall pursue the following action plan:

(i) Develop and submit a Draft Declaration to theAugust 2016 APR Forum Meeting throughwhich participating countries can renew theircommitment to the vision, mission andoperational objectives of the APRM;

(ii) Develop and submit for approval a well-thoughtcommunication policy and implement thesame;

(iii) Ensure such a policy addresses ways andmeans of enhanced and sustained engagementwith relevant stakeholders;

(iv) Identify key players in the field and determineappropriate methods of engagement;

(v) Conclude memoranda of understanding orother, less formal, methods of engagement asappropriate with stakeholders;

(vi) Ensure APRM influence in setting the agenda ofthe good governance discourse in Africa ismeasurably improved;

(vii) Renewed commitment on the part of the APRMSecretariat for transparent, accountable andhighly professional management of APRMresources;

(viii) Renewed dedication for high quality ofengagement in the conduct of our primaryresponsibility, i.e. review of national policies andpractices in the four thematic areas accordingto the agreed standards;

(ix) Improved and highly professionalcommunication of our work with memberstates, national APRM bodies, civil society andother stakeholders;

(x) A commitment to establish and run anorganisation that embodies the very principlesof good governance we are there to foster atthe continental level and serve as a model thatleads by the force of its own example;

(xi) Ways of engaging national parliamentariansidentified and pursued; and

(xii) Working relations with the Pan-AfricanParliament strengthened.

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Outcome 2: Review and Implement the APRM CoreMandate

115. The primary consideration here is the need toensure the APRM mandate and priorities areadapted to the changing governance realities on thecontinent over time. In this context, while the APRMhas been undergoing a difficult period, it isreassuring to see that our member states and otherpartners are counting on the APRM to provide itsservices in the pursuit of the new generation ofglobal and continental goals spanning decades intothe future. This might be a challenge for theinstitution today but it is also an opportunity theAPRM must grasp. This strategic plan is writtenwith that very objective in mind.

116. Another area that is increasingly becomingimportant is the influence of international ratingagencies on the ability of African countries to attractforeign investment, and particularly to raise capitalon international financial markets. Based generallyin Europe or North America, these agencies assessevery country on the basis of metrics and indicatorsthey develop independently of the countries beingassessed and rated, and typically on the basis ofcriteria that have particular relevance in theeconomics and culture of the Western World. Theeffect very often is the assignment of numbers tocountries whose cultures, traditions and economicstructures they hardly understand. It is thus notsurprising that the African countries theycondemned as near failed states often recover fromtheir predicament within much shorter timeframesthan they imagined or expected. However, andregardless of such resilience, a country socondemned by the rating agencies will have nooption but to continue paying interest rates severaltimes higher than what would be available to asimilarly-situated country but for the gradeawarded to it by rating agencies. The resultingoutflow of foreign currency, not to mention thepiling-up of unserviceable debts on the shouldersof our countries, has persuaded many of ourleaders to look to the APRM as a possiblecountervailing force in this field. The confidence ourmember states are putting on the APRM is highlygratifying, but the responsibility is also enormous.In appreciation of this situation, we aim to launch aseries of initiatives and projects in this area.

117. Related to the review and implementation of ourcore mandate we believe the introduction ofFlagship Projects can play a critical role. TheFlagship Projects will be catalysts to enhance andfast-track the realisation of APRM goals. FiveFlagship Projects have been identified in the firstinstance:

(i) Transformative Leadership (within theDemocracy and Political Governance thematicarea);

(ii) Inclusive Growth (within the Socio-EconomicDevelopment thematic area);

(iii) Mobilising Domestic Resources for nationaldevelopment (within the Economic Governance& Management thematic area);

(iv) Improved Governance of State OwnedEnterprises (within the Corporate Governancethematic area); and

(v) Universal Accession to the APRM by all AUMember States (which applies at the institutionlevel as a whole).

118. The Flagship Projects are high impact initiatives forpromoting the APRM’s mission. Under the umbrellaof each Flagship Project, champions and panellistswill be identified to engage in advocacy work,create or host good practice networks of memberstates, convene high-level events, reach out tostakeholders and partners, etc.

119. The action points that need to be taken in order tomeet existing and new mandate-related challengesinclude:

(i) Ensure APRM is officially recognised as one ofthe mechanisms, in collaboration with otherinstitutions, for Agenda 2063 and the SDGs,prepare detailed methods and processes formonitoring and submit for official adoption, andpublish first monitoring and evaluation reports;

(ii) Establish and/or strengthen working relationswith relevant continental and global bodies;

(iii) Carry out an exploratory and scoping study tobetter understand the gravity of the issuesinvolved in the field of country ratings, theplayers on the ground, and determine thepotential role of the APRM in the field;

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(iv) Identify Africa-based rating agencies, developa set of clear policy options and strategies ofengagement with these agencies and submitsame for approval;

(v) Develop benchmarking exercise between APRMmetrics and indicators and those used by ratingagencies;

(vi) Develop methods by which to evaluate andreport on the work of rating agencies vis-à-visAfrican countries;

(vii) Identify Member State Champions for eachFlagship Project (one per region) to coordinatethe theme with a Member of the Panel.

Outcome 3: Resource Mobilisation and FinancialManagement

120. The issue of political will and commitmentaddressed in Outcome 2 above will manifest itselfin the willingness of member states to finance theMechanism on a sustainable basis. As a home-grown, unique and globally leading initiative, theAPRM is one of the most iconic inventions of ourcontinental organisation. Its founding fathers knewthat in order for this unique initiative to serveAfrican interests, and African interests alone, all itscosts must be covered from African sources. Thismight, and indeed often does, pose seriouschallenges in the short term but this is an aspirationthe APRM must remain loyal to, cherish and pursuein every way possible.

121. Assuming all members pay their dues, MemberState contributions would cover only about 50percent of the APRM budget. The approved APRMbudget for 2016, for example, is USD 7,056,251.00.On the other hand, if each of the 35 countries paysthe USD 100,000.00 they are obliged to payannually, that would leave in excess of USD 3.5million to be covered from other sources. What isworse, far too many countries have been in arrears,in some cases for several years. Today, memberstates owe the APRM well over USD 12 million.

122. Financial and technical support from strategicpartners has been instrumental in filling the fundinggap, but even this source has almost dried up oflate. The APRM Trust Fund, managed by UNDP,commenced with 10 contributors includingdevelopment partners and member States, buttoday it appears there is none.

123. This indicates that, if the APRM is going to achieveits aspiration of becoming fully reliant on Africanfunding, first, all countries that are in arrears needto clear their debts within a reasonable period; andsecond, the level of annual contributions needs tobe increased to at least USD 200,000.00 permember state. In appreciation of this challenge, theRevitalisation Committee has endorsed a proposalfrom its members to raise the level of MemberStates’ annual regular contributions from thecurrent USD 100,000.00 to USD 300,000.00.

124. Even then, we need to be realistic in ourexpectations. Excessive and unsustainable relianceon external sources of funding is a challenge facedeven by the AU Commission, which gets 96 per centof its programme budget from external partners (AUStrategic Plan 2014–2017, p. 93). This experienceshould teach us that raising the level of annualmembership contributions is not going to be apanacea for our funding challenges. Accordingly,our resource mobilisation strategy will need to bemulti-pronged, innovative and integrated into ourday-to-day activities.

125. With this broad objective in mind, we undertake topursue the following series of steps during theperiod of the strategic plan:

(i) In order to have a clear break with the legacyof doubts and uncertainties about the financialmanagement of the APRM Secretariat, theAPRM Secretariat will recruit a reputable firmof auditors to carry out a comprehensive auditof APRM accounts as well as the now defunctAPRM trust fund accounts and publish thesame on our website;

(ii) Undertake an inventory of the state of nationalcontributions by member states, identify thosein arrears and, under the guidance e of theCommittee of Focal Points, approach thecountries in arrears to clear their debts withina set timeframe;

(iii) Develop and submit for approval by theCommittee of Focal Points, and later by theAPRM Forum, options for revised membershipannual contributions;

(iv) Develop and submit for approval by theCommittee of Focal Points, and later by theAPRM Forum, a detailed strategy on how toresuscitate and recapitalise the trust fund as amatter of urgency;

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(v) Develop detailed strategies and action plans onhow to engage African companies, foundationsand citizens with the capacity and will to makea contribution and implement the same;

(vi) Develop detailed strategies and action plans onhow to reengage our strategic partners andimplement the same; and

(vii) Explore alternative sources of funding, includingthrough sale of knowledge products that will bedeveloped as part of our knowledgemanagement and communication strategy.

Outcome 4: Human Resource Capacity Development:APRM Secretariat staffed to full capacityand the quality of APRM Reviewsnoticeably enhanced

126. Under the organisation structure approved by theCommittee of Focal Points in 2012, the APRMSecretariat is supposed to have 45 full-time staff.And this is for the traditional work of the APRMbefore the introduction of Agenda 2063 and theSDGs, which the APRM has been specificallyinstructed to work on. Today, the Secretariat hasbarely 20, most of them on short-term contractsthat are running out shortly.

127. The capacity constraints of the APRM Secretariatinevitably affect the quality, efficiency, and overallintegrity of country review processes and outcomes.

For example, different types of reviews areenvisaged in the APRM founding documents, suchas crisis-triggered reviews and reviews at thespecial request of a participating state, and indeedthe reviews are supposed to take place at regularand pre-defined intervals. The lack of political willprovides a major part of the explanation for thecomplete absence of the special or regular reviews,but the institutional capacity of APRM Secretariatwould also have made it nearly impossible to actotherwise.

128. Against this background, during the strategic planperiod, we aim to:

(i) Give, with immediate effect, relevant currentstaff one-year contracts in order to stabilise thework environment;

(ii) Standardise staff contracts during the early partof the Strategic Plan period according to AUrules and regulations, which require that allpositions are properly advertised and a

transparent and competitive recruitmentprocess adopted;

(iii) Develop, taking into account the increasedresponsibilities from Agenda 2063 and SDGs aswell as the ambitions contained in thisdocument, a detailed human resources strategyand implement the same;

(iv) On the basis of the above, prepare a revisedorganisational structure and staffingrequirements, submit for approval to theCommittee of Focal Points and implementsame; and

(v) Recruit qualified experts to fill all existingvacancies as a matter of urgency.

Outcome 5: Development of Monitoring & EvaluationFrameworks and Systems

129. An issue that has constantly come up in the shorthistory of the APRM is what value it in fact adds,what it can show on the ground, and indeed whatit can do if countries do not have the political willto implement the recommendations. This is achallenge that needs to be addressed; otherwise, itcan put the very credibility of the APRM intoquestion.

130. In practice the problem has two dimensions: theenforceability of APRM recommendations, on theone hand, and the monitoring, reporting and follow-up capacity of the APRM Secretariat on the other. Ifthe APRM Secretariat is unable to follow up andreport on the performance of countries after areview has been completed, we would not have anycredible way of telling whether countries in factcomply with the recommendations. That in turnmakes the question of enforceability a largelyacademic question. That is why these two issuesneed to be addressed in tandem.

131. Furthermore, for an international organisation suchas the APRM whose primary task is the review ofnational policies and practices, the development ofstate-of-the-art monitoring and evaluation capacityis fundamental. Neither the standards againstwhich countries are reviewed, nor the evidence ofcompliance or otherwise at national level, come ineasily quantifiable or determinate terms. They areoften subjective and context dependent. As such asophisticated methodology of measurement andevaluation is critical. This capacity is currently non-existent and has to be created from scratch.

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132. To address these concerns, we aim to do thefollowing during the strategy period:

(i) Prepare and submit for approval to the APRMCommittee of Focal Points detailed terms ofreference, along with human resource andbudgetary requirements, for such unit to beestablished within the APRM Secretariat;

(ii) Recruit appropriate experts and launch the unit;

(iii) Develop new tools and approaches for follow-up, monitoring and evaluation, submit forapproval and implement once approved;

(iv) Publish the first M&E reports;

(v) As indicated elsewhere, develop in-housecapacity to monitor and report on the actionstaken by reviewed countries in respect ofspecific recommendations;

(vi) Launch research and analytical work, whichmay be done in house or through qualifiedexternal consultants;

(vii) Present analytical reports and theirrecommendations for consultations beforerelevant APRM organs, including the APRMCommittee of Focal Points and the APRM Panel;and

(viii) Submit consensus proposals that emerge fromthese consultative exercises, if any, to theappropriate decision making body should suchbecome necessary.

Outcome 6: Enhancement of Research &Development Capacity andImprovement of Operational Tools

133. The experience with the 17 completed countryreview processes and published reports shows theenormity and complexity of the APRM reviewexercise. It is highly resource intensive,exceptionally detailed and comprehensive, andsome of the requirements are difficult to implement.This has led to calls for simplification of the reviewexercise, including revision and simplification of theself-assessment questionnaire, and in some caseseven limiting the scope of the reviews to some, andnot all, of the four thematic areas. The call isunderstandable, but the context needs to beappreciated properly. The experience so far islimited to what is often called the base review – i.e.the very first review of countries that have joined

the APRM. No country has undergone the follow-onreview that is supposed to take place two yearsafter the base review. It is almost natural that eventhe type of data will be different between the basereview and any subsequent reviews; the latter willbe simpler and easier to administer. So this issueneeds to be approached with care. Having said thatthe need to simplify and further rationalise the self-assessment questionnaire is particularly a real andpressing one. As such a revision of this otherwisevital document needs to be one of the priority tasksfor us to take on.

134. One thing the APRM has that others do not iscomprehensive and up-to-date information andanalysis about national policies and practices ofgovernance in all four thematic areas. Properlyutilised, the potential opportunities that emanatefrom this APRM niche are highly significant. Aproper utilisation of this resource needs to beguided by a well-thought strategy.

135. We are in the fortunate position that we have a draftknowledge management strategy in place (fromNovember 2015) and a knowledge managementdivision has already been established. Much of thissection draws on the key recommendations of theknowledge management strategy.

136. With the above thoughts in mind, the action pointsto achieve the desired outcomes include:

(i) Revise and/or update, as necessary, andimplement the Knowledge Management andCommunications (KM&C) Strategy (NB:implementation of KM&C strategy wouldeffectively mean implementation of most of theaction points outlined below);

(ii) Undertake a comprehensive review of all thedocuments, including the country self-assessment questionnaire, and accompanyingprocesses with a view to simplifying the reviewexercise and injecting a degree of efficiencywithout compromising the quantity and qualityof necessary data and analysis needed in orderfor the APRM to achieve its objectives;

(iii) Progressively increase the amount of review-related work, including the preparation of issuepapers in different thematic areas, conductedby APRM Secretariat staff and proportionatelydecrease the amount carried out by externalconsultants;

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(iv) Submit proposal to progressively transition frompaper-based reviews to computer-basedreviews and implement same in countrieswhere the national IT infrastructure permits;

(v) Develop and submit for approval an APRM ITPolicy and implement same;

(vi) Design, build and launch new, more accessibleand functional web site;

(vii) Organise and publish all public APRMdocuments on website;

(viii) Launch new ways of engagement withstakeholders, which may include practitionerand/or academic workshops and symposia,internship opportunities for selected Africangraduate students, special agreements withselected African academic institutions, etc.;

(ix) Publish new knowledge products, such aspolicy briefs, independent analyses, workshopproceedings, peer-reviewed publications, etc.;and

(x) Establish and launch an African governancerepository.

Outcome 7: Intra-APRM Coordination andHarmonisation

137. The APRM initiative is, of course, about review andevaluation of policies and practices in memberstates against defined and agreed standards. But,it is also much more than that. It is also aboutestablishing and institutionalising the culture andpractice of open and transparent governance at alllevels, the exchange of experiences, and mutuallearning. The quality of the learning that can begained, and indeed the quality of the review processand outcome itself, is a function of the quality of therelationships between (a) the continental APRMstructures including the APR Forum, the Committeeof Focal Points, the APR Panel of Eminent Personsand the APRM Secretariat, on the one hand, and (b)the national APRM bodies on the other.

138. The quality of working relationship between theAPRM continental structures is particularly critical,and needs to be based on a clear division of tasksand lines of accountability.

139. In order to address all these concerns and setrelationships on clear foundations, APRM shall:

(i) Develop and submit for approval detailed termsof engagement for the APRM Panel andimplement the same;

(ii) Ensure that, unless a contrary decision is takenby the APRM Forum, all terms of engagementdeveloped for the Panel are crafted andimplemented in a manner that meets therelevant AU rules and regulations;

(iii) Work with absolute dedication to ensure thatthe APRM Panel carries out its importantresponsibilities with all necessary support fromthe APRM Secretariat;

(iv) Develop and submit for approval by theCommittee of Focal Points a detailed strategyfor improved engagement (a) between thecontinental APRM bodies, and (b) between thecontinental and national APRM organs;

(v) Create new opportunities for exchange oflessons and experiences among differentnational APRM organs, including through theorganisation of workshops, seminars andconferences involving national officials whetherat continental level or regionally; and

(vi) Establish and institutionalise opportunities forsecondments and other forms of intensiveexperience sharing opportunities so thatnational officials can gain experience byworking from within the APRM Secretariat inMidrand; etc.

Outcome 8: APRM integration into the AU, UniversalAccession, and enhanced APRMrelevance to Africa’s regionalintegration agenda

140. The APRM, although a voluntary initiative adheredto by just 35 of the 54 AU members, was thecreation of the continental body. In that spirit, the2014 AU summit decision in Malabo to bring theAPRM into the AU structures and processes bringsmuch needed clarity to this vital relationship. Theprocess of integration has started but is yet to becompleted, which we aim to achieve in the firstphase of the Strategic Plan period. The relevanceof the APRM to Africa’s regional integration agendawill also be measurably enhanced during thisperiod.

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141. Universal membership is, and must remain, theaspiration of the APRM. To that end, during thisStrategic Plan period, we aim to launch acoordinated campaign to persuade countries to join.To these ends, we aim to:

(i) Draft and submit for approval by a statute forAPRM integration into the AU processes and structuresand implement the same;

(ii) Take all necessary steps to ensure that APRMSecretariat’s human resources, procurement, financial,accounting, auditing and other processes are fully alignedwith relevant AU rules and regulations;

(iii) Organise training programmes for relevant staffto ensure APRM processes that will be alreadyaligned are also internalised in the day-to-dayoperation of the institution;

(iv) Ensure that, in the process of integration, thelegal status of the APRM Secretariat office andofficers in the Republic of South Africa areaddressed once and for all through anappropriate host country agreement signedbetween the AU and the Republic;

(v) Strive, in the process of integration, to ensurethe APRM retains a modicum of independenceand operational autonomy to adequatelydischarge its responsibilities;

(vi) Develop and adopt a detailed APRM MoUratification campaign strategy and take it toeach AU member state that is not within theAPRM today;

(vii) Identify and make use of all available forums toengage senior policymakers from thesecountries, including through the organisation ofa series of APRM accession workshops forthese countries; and

(viii) Devise strategies to enhance APRM relevancefor Africa’s regional economic integrationagenda.

4.5 Expected outputs, related actions,responsible actors, and indicators ofsuccess/failure

142. This section revisits the key priorities and expectedoutcomes and matches them up with the body thatis responsible for follow-up and implementation,and the measurements and indicators of successand failure.

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

1. ADVOCACY AND COMMUNICATION1.1. AU Shared Values

systematically integratedinto the entire valuechain of APRM activities

1. Adopt and adapt AU Shared Valuesinto APRM programmes

2. Ensure that AU Shared Values arereflected in entire value chain ofAPRM activities

APRM Secretariat(coordinated byOffice of the CEO)

AU Shared values fully integratedinto APRM programmes

1.2. APRM systematicallyintegrated into theAfrican GovernanceArchitecture (AGA)framework as a majorplayer or component

1. Initiate policy dialogues on linkagesbetween APRM reviews and AGA

2. Work closely with the AU PoliticalAffairs Department to integrateAPRM into the AGA framework

APRM Secretariat(coordinated byOffice of the CEO)

APRM integrated into the AGAframework

1.3. APRM engagement withcivil society and researchand academic institutionsinstitutionalised

1. Identify civil society and researchand academic institutions forengagement

2. Develop a detailed strategy onengagement with civil society andresearch and academic institutions

3. Draw up and implement detailedengagement plans and schedules

4. Work closely with identified civilsociety and research and academicinstitutions to build resources forthe APRM Knowledge Hub

APR Panel and APRMSecretariat(coordinated byOffice of the CEOwith activeinvolvement from theDivision ofKnowledgeManagement andCommunication)

Number of civil society andresearch and academicinstitutions identified andengaged

Number of research papersproduced

1.4. A communicationstrategy developed andimplemented

1. Develop a detailed awarenessbuilding, advocacy andcommunication strategy

2. Draw and implement detailedawareness building, advocacy andcommunication plans andschedules

APR Panel and APRMSecretariat(coordinated byOffice of the CEOwith activeinvolvement from theDivision ofKnowledgeManagement andCommunication)

Number of communicationchannels identified and used

Number of institutions/personsreached by each identifiedchannel of communication

Number of MoUs or otheragreements signed with keyplayers in the field

Extent to which APRM influencein setting the agenda of the goodgovernance discourse in Africahas improved (measured bycitations, etc.)

1.5. Mediaoutreach/campaigns tomarket APRM’s initiativesextensively conducted

1. Develop a media campaign strategy 2. Plan and conduct media campaigns

to popularise APRM programmes3. Launch an aggressive media

campaign4. Design and launch a new, more

accessible and functional web siteand available campaign leaflets onwebsite

5. Distribute campaign materials inconferences, workshops, etc.

APRM Secretariat(coordinated byOffice of the CEOwith activeinvolvement from theDivision ofKnowledgeManagement andCommunication)

Number of media coverage oncampaigns conducted

A new and more accessible andfunctional website accessed

Quality and accessibility ofwebsite as envisaged bystakeholder feedback

Number of hits to downloadcampaign leaflets from the APRMwebsite

Number of campaign leafletsdesigned, printed, distributed, etc.

Number of new Member Statesjoining APRM

Table 4.2: Expected outputs, related actions, responsible actors, and indicators of success/failure

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

1.6. APRM annual reportsregularly published

Regularly prepare and publish APRMannual reports

APRM Secretariat(coordinated byOffice of the CEOwith input fromfinance section andactive involvementfrom the Division ofKnowledgeManagement andCommunication)

Number of annual reportspublished

2. REVIEW AND IMPLEMENT THE APRM CORE MANDATE2.1. The current APRM

mandate is implementedin full, on the basis of athree-year calendar ofmissions agreed andapproved in advance

Implement the current approvedmandate of missions

APRM Secretariat(led by Office of theCEO)

Number of review missionsundertaken

Number of reports reviewed

2.2. A revised APRM mandatereflecting today’sgovernance challengesand proposing policyoptions on the wayforward is developed andsubmitted to decisionmakers for adoption

1. Commission a study on the currentgovernance issues on the Continent

2. Review the APRM mandate toreflect today’s governance issuesand challenges

3. Present a proposed revisedmandate to decision makers forconsideration and adoption

4. Implement the revised mandate

APR Panel and APRMSecretariat (led byOffice of the CEO)

Number of questionnairesrevised to reflect APRM’s revisedmandate

Quality of reviewrecommendations made

2.3. In the immediate shortterm, a Draft Declarationis submitted to theAugust 2016 APR ForumMeeting through whichparticipating countriescan renew theircommitment to thevision, mission andoperational objectives ofthe APRM

Prepare and submit a Draft Declarationto the August 2016 APR Forum Meetingthrough which participating countriescan renew their commitment to thevision, mission and operationalobjectives the APRM

APR Panel and APRMSecretariat (led byOffice of the CEO)

Quality of declaration submittedto the APRM Forum meeting inAugust 2016

2.4. APRM officiallyrecognised as one of themechanisms, incollaboration with otherinstitutions, formonitoring Agenda 2063and SDGs

1. Initiate policy dialogues on linkagesbetween APRM reviews, AGA,Agenda 2063 and 2030 SDGs

2. Work closely with AU Organs andUN agencies to position APRM asone of the mechanisms, incollaboration with other institutions,for monitoring Agenda 2063 andthe SDGs (Agenda 2030)

APRM Secretariat(led by Office of theCEO with activeinvolvement from theThematic Researchand KnowledgeManagement andCommunicationDivisions)

Number of detailed methods andprocesses agreed and officiallyadopted

APRM officially recognised asone of the mechanisms, incollaboration with otherinstitutions, for Agenda 2063 andthe SDGs

First monitoring and evaluationreports published

Quality of monitoring andevaluation reports published

Quality of working relations withrelevant continental and globalbodies established andstrengthened

Amount of extra resourcesmobilised to support work in thisnew area

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

2.5. The role of regional andinternational ratingagencies clearlyidentified, and a set ofclear policy options andstrategies on what theAPRM can do in this areadeveloped and submittedto decision-makers

1. Conduct a scoping study to Identifyregional and international ratingagencies working in the area

2. Conduct a detailed study onregional and international ratingagencies’ role and what linkagesand collaborations can beestablished with APRM

3. Validate study findings and makerecommendations to policy organs

4. Implement approvedrecommendations

APRM Secretariat(led by Office of theCEO with activeinvolvement from theThematic Researchand KnowledgeManagement andCommunicationDivisions)

A database of regional andinternational rating agenciesestablished

Number of roles, linkages andcollaborations establishedbetween regional andinternational rating agencies andAPRM

Number of approvedrecommendations implemented

2.6. Impact assessmentstudies on the work ofthe APRM and itsrelevance for the day-to-day challenges of theordinary African citizencompleted

1. Commission an impact assessmentstudy on the work of APRM and itsrelevance to the challenges of theordinary African citizen

2. Validate study findings and makerecommendations to policy organs

3. Implement approvedrecommendations

APRM Secretariat(led by Office of theCEO with activeinvolvement from theThematic Researchand KnowledgeManagement andCommunicationDivisions)

A set of study findings on theimpacts of the work of APRM

Number of approvedrecommendations implemented

3. FINANCIAL MANAGEMENT AND RESOURCE MOBILISATION3.1. Resource mobilisation

strategy developed andimplemented

1. Develop a detailed resourcemobilisation strategy and launch acampaign

2. Undertake follow up resourcemobilisation missions to potentialpartners and Member States inarrears

3. Implement, evaluate and submitquarterly progress reports onimplementation of the resourcemobilisation strategy

4. Identify and approach potentialpartners/contributors from Africancompanies, foundations and privateindividuals

5. Approach and engage internationalpartners and publicly acknowledgetheir contributions (unless theyprefer otherwise)

6. Working with strategic partners,recapitalise the APRM Trust Fund

7. Establish fund-raising partnershipplatforms and forums

8. Strengthen cooperation withexisting Strategic PartnerInstitutions (UNDP, UNECA, AfDB)and formalise with two newpartners (the African CapacityBuilding Foundation (ACBF) and theMo Ibrahim Foundation)

APRM Focal PointsCommittee and theSecretariat

Increase in amount of financialresources mobilised

Number of MoUs concluded withAfrican Partner foundations andamount of money raised fromsame

Number of MoUs concluded withinternational partners andamount of money raised fromsame

Number of Fund-raisingpartnership platforms andforums established

Trust fund resuscitated andrecapitalised to the tune ofUSD 3.5 million

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

3.2. Member States’contributions paidtimeously

1. Engage Member States to reviewannual membership contributions,agree on renewed commitmentsand enforcement

2. Approach Member States in arrearsin several forums, including at thelevel of the APRM Forum

3. Member States capable and willingto make special contributionsapproached, and when they makesuch contributions their generositypublicly acknowledged (unless theyprefer otherwise)

APRM Focal PointsCommittee andAPRM Secretariat

Number of Member States inarrears reduced by 50%

Increase in annual membershipcontributions by 70%

3.3. AU Financial rules andregulations, adopted andadapted

Budgeting, procurement, financialaccounting and other administrativepolicies aligned to AU rules andregulations in place

APRM Secretariatassisted by theFinance Unit

Accessible and real-timefinancial reports available

Reduction in number of financialmanagement queries

3.4. Financial Managementand Internal auditfunctions strengthened

1. Put in place IT-based financialcontrols system

2. Establish Internal Audit unit

APRM Secretariat,AUC Internal audit,AUC ProgrammeBudget and FinancialAccounting

Number of unqualified auditreports

Percentage reduction ofineligible expenditures

3.5. Regular quarterlymeetings of Focal PointsSubcommittee onFinance andAdministration held

1. Conduct regular, quarterly internalaudit functions

2. Establish Focal Point Sub-Committee on Admin and Finance

3. Conduct quarterly meetings ofSubcommittee

APRM Focal PointsCommittee andAPRM Secretariat

Number of decisions andrecommendations made by FocalPoint Sub-Committee

3.6. APRM annual auditedreports published on thewebsite

1. Implement planned annual auditschedule

2. Publish results after approval byFocal Point Committee

APRM Focal PointsCommittee andAPRM Secretariat(including KMdivision)

APRM annual audit reportsavailable on-line

Increase in APRM Annualcontributions

Reduced number of MemberStates in arrears

Increase in number of MemberStates making specialcontributions

4. HUMAN RESOURCE CAPACITY DEVELOPMENT4.1 APRM organisational

structure revised andaligned to AU positionsgrading and salary scales

Revise the APRM organisation structureand align it to AU positions grading andsalary scales

APRM Focal PointsCommittee andAPRM Secretariat

Revised and alignedorganisational structure

4.2 APRM adopts and adaptsAU Staff Rules andRegulations

Adopt and adapt AU Staff Rules andRegulations

APRM Focal PointsCommittee andAPRM Secretariat

AU-aligned Staff Rules andRegulations in place

Clear operating proceduresestablished as evidenced bynumber of staff who are fullyaware of the staff rules andregulations

Staff contracts standardisedaccording to AU rules andregulations and a sense ofstability introduced

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

4.3 APRM Human ResourceManagement Strategydeveloped andimplemented

1. Develop and align HRM strategywith relevant AU rules andregulations

2. Implement HRM Strategy

APRM Focal PointsCommittee andAPRM Secretariat

AU-aligned HRM Strategy inplace

Number of AU-aligned HRMsystems and processes

4.4 High calibre APRM Staffrecruited and appointed

1. Develop a recruitment strategy andalign it with relevant AU rules andregulations

2. Identify priority positions, developjob descriptions and personspecifications and disseminatewidely

3. Recruit and appoint high calibreAPRM Staff

APRM Focal PointsCommittee andAPRM Secretariat

Number of vacancies filled withinset periods of time

4.5 APRM Staff retentionstrategy developed andimplemented

Develop and implement APRM StaffRetention Strategy

APRM Focal PointsCommittee andAPRM Secretariat

Staff Retention Strategy in place

Reduced staff turnover rate

4.6 PerformanceManagementinstitutionalised in APRMprocesses and practices

1. Conduct staff trainings andexperience-sharing sessions onPerformance Management

2. Develop and implement results-based work plans

3. Regularly conduct semi-annual andannual performance-based staffappraisals

APRM Focal PointsCommittee andAPRM Secretariat

Percentage increase in staffperformance

Extent to which the use ofexternal consultants andtemporary staff for countryreview missions reduced andthat work being carried out byfull-time staff increased

5. DEVELOPMENT OF MONITORING & EVALUATION FRAMEWORKS AND SYSTEMS 5.1. A monitoring and

evaluation framework forimproved quality ofinternal and countryreview processesdeveloped andoperationalised

1. Draft and submit for approval byAPRM Committee of Focal Pointsdetailed terms of reference forestablishing a M&E unit

2. Establish a M&E unit3. Recruit the appropriate experts to

staff it4. Draft, adopt and launch new tools

and approaches for follow-up,monitoring and evaluation

5. Publish the first generation of M&Ereports

6. Launch and conclude a formalreview of all APRM documents,especially the self-assessmentquestionnaire

7. Submit revised draft documents tothe APRM Committee of FocalPoints and subsequently to theAPRM Forum for approval

8. Commence the process ofmigration from paper-based tocomputer-based data collection andanalysis processes in countryreviews

APR Panel and APRMSecretariat (led byOffice of the CEO andwith the KnowledgeManagement andCommunicationDivision providingnecessary technicalinput)

M&E unit established

Quality and timeliness of newtools prepared, approved andlaunched

Number of high calibreprofessional staff recruited

Number of quality M&E reportspublished during the strategicplan period

Number of APRM documentsreviewed, submitted andapproved

Extent to which paper-basedreviews are phased out andcomputer-based reviews arephased in (by country)

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

6. ENHANCEMENT OF RESEARCH AND DEVELOPMENT CAPACITY AND IMPROVEMENT OF TOOLS6.1 Networks and structures

are established withrelevant research andadvocacy institutions aswell as consultants forincreased researchcollaboration andenhanced participation ofcivil society in peerreview processes

1. Identify civil society and researchorganisations working in the area ofgovernance

2. Develop and implemented adetailed strategy for engagementwith research and advocacyinstitutions as well as consultants

3. Establish an APRM ResearchConsortium, comprising Africanthink tanks and researchorganisations

4. Undertake research and analyticalwork on African and internationalratings agencies and presentoutcomes with recommendedpolicy options; convene a meetingwith Africa-based rating agencies

5. Submit adopted policyrecommendations for approval bythe APRM Committee of FocalPoints and later the APRM Forum

6. Work with civil society to implementapproved proposals

7. Through the M&E unit, institute asystem of progress monitoring andreporting on a regular basis

APR Panel and APRMSecretariat (led bythe KnowledgeManagement andCommunicationDivision with activeinvolvement of theDivisions of CountryReview, andThematic Researchand Coordination)

Number of qualified agencies,consultants and civil societyorganisations identified

An APRM Research Consortiumestablished

Number of progress reportspublished

Quality of progress reportspublished

Number of agreements, in theform of MoUs or other, concludedwith African academic, researchand other institutions

6.2 Compliance with APRMrecommendations andNational Programmes ofAction (NPOAs) atnational level increased

Develop and implement a strategy toenhance compliance with APRMrecommendations and NPOAs atnational level

APR Panel and APRMSecretariat (led bythe KnowledgeManagement andCommunicationDivision with activeinvolvement of theDivisions of CountryReview, andThematic Researchand Coordination)

Steps taken by the APRMdecision making organs with aview to improving the degree ofcompliance withrecommendations

Number of NPOAs incorporatedinto national development plansand implemented withappropriate budget lines

6.3 An APRM Knowledge Huband Resource Centreestablished

Establish an APRM Knowledge Hub andResource Centre

APR Panel and APRMSecretariat (led bythe KnowledgeManagement andCommunicationDivision with activeinvolvement of theDivisions of CountryReview, andThematic Researchand Coordination)

Steps taken by the APRMdecision making organs with aview to improving the degree ofcompliance withrecommendations

Number of NPOAs incorporatedinto national development plansand implemented withappropriate budget lines

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

6.4 The quality of APRMReviews noticeablyenhanced through bettertools, processes andstreamlinedquestionnaire, leading toshorter timeframes andreduced cost of countryreviews

1. Publish all public APRM documentsin a logically structured mannerthat meets the state-of-the-art inthe field

2. Develop and launch new ways ofengagement with stakeholders,including practitioner and/oracademic workshops andsymposia, internship opportunitiesfor selected African graduatestudents, special agreements withselected African academicinstitutions, etc.

3. Develop and launch newknowledge products, such as policybriefs, independent analyses,conference proceedings, peer-reviewed publications, etc.

APRM Secretariat(led by theKnowledgeManagement andCommunicationDivision with activeinvolvement of theDivisions of CountryReview, andThematic Researchand Coordination)

Number of APRM documentspublished on the website

Number of APRM internshipalumni by the end of thestrategic plan period

Number of web-basedpublications

Number of times the web-basedpublications have been accessedand their geographic spread

Quality of web-basedpublications

Ease of making qualitativejudgment on any noticeablechanges in the extent ofcompliance of reviewedcountries with APRMrecommendations

7. INTRA-APRM COORDINATION AND HARMONISATION7.1 Strengthened linkages

and coordinationbetween the APRMSecretariat and APRPanel and the nationaland regional structures,and with relevant AUorgans, in the exercise ofAPRM mandate andprogrammes

1. Commission a study on linkagesand coordination needs betweenthe continental APRM Secretariat,its national and continentalstructures, and with relevant AUorgans, in the exercise of APRM'smandate and programmes

2. Validate study findings andrecommendations and submit themto policy organs for review andapproval

3. Implement approvedrecommendations

4. Consult relevant stakeholders anddesign a more appropriate model ofengagement and collaborationbetween the continental APRMSecretariat and the national APRMorgans

5. Implement approved model ofengagement

APRM Secretariat(Office of the CEO) incollaboration withAPR Panel and theAPRM Committee ofFocal Points

Number and quality ofrecommendations on how tostrengthen linkages andcoordination between thecontinental APRM Secretariat,APR Panel the national andcontinental structures, and withrelevant AU organs, in theexercise of APRM's mandate andprogrammes

Increase in number and qualityof interactions and collaborationsbetween the APRM Secretariat,its national and continentalstructures, and with relevant AUorgans, in the exercise of APRMmandate and programmes

Number and quality of newexperiences shared and lessonslearnt among the various APRMorgans

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

8. INTEGRATION OF APRM INTO AU STRUCTURES, UNIVERSAL ACCESSION, AND ENHANCED APRM RELEVANCE TOAFRICAN REGIONAL INTEGRATION

8.1 The Statute onintegration submitted torelevant APRM and AUstructures forconsideration andadoption, and strategiesto enhance APRMrelevance for Africa’sregional integrationagenda

1. Initiate consultations on how bestto integrate the APRM into the AUstructures and processes and howto make APRM more relevant toAfrica’s regional integration agenda

2. Draft the statute of integration asagreed during consultation processand submit to APRM and AUdecision making organs forapproval

3. Implement integration decision byinternalising the relevant rules andprocesses into the APRM dailyoperational processes

4. Train appropriate staff to ensureinternalisation happens smoothlyand APRM can pass all subsequentauditing and accountabilitymeasures

5. Establish closer working relationswith relevant AU Organs,institutions and departments

APRM Focal PointsCommittee, APRPanel and APRMSecretariat

Statue on integration approvedby APRM and AU decisionmaking organs

Enhanced level of engagementwith regional integrationinitiatives

Number of APRM internalprocesses, such as humanresources, procurement,financial, accounting, auditingand such, that are fully alignedwith relevant AU rules,regulations and processes

Number of APRM Secretariatstaff trained to internalise newrules, regulations and processesin the day-to-day practices of theAPRM Secretariat

Quality of working relationshipswith relevant AU Organs,institutions and departments

8.2 APRM Secretariatmanagement andgovernance systemsaligned with relevant AUrules and regulations

1. On the basis of APRM foundationaldocuments, prepare detailed AUaligned criteria and guidelines onpanel qualifications and selectionprocesses and submit to APRMForum for approval

2. Operationalise approved guidelinesby closely involving APRMCommittee of Focal Points

3. Draft clearer, more precise, andmore detailed terms of engagementand submit them to the APRM Panelfor its consideration and approval

4. Submit agreed terms ofengagement to APRM Forum forapproval

5. Implement approved terms ofengagement strictly andprofessionally in the day-to-dayoperation of APRM activities

6. In consultation with the chairpersonof the APRM Panel, organiseinduction programmes for newlyappointed panel members

APRM Focal PointsCommittee andAPRM Secretariat

Quality of guidelines produced onpanel qualifications

Speed within which guidelinesare submitted to the relevantAPRM decision making bodies

Entry into force of guidelineswithin the strategy plan period

Number of new panel membersappointed on the basis of newrules and guidelines

Quality of terms of engagementproduced

Timeliness of terms ofengagement produced

Length of time it takes to getthem agreed to by the APRMPanel and endorsed by the APRMCommittee of Focal Points andthe APRM Forum

Extent to which administrative orbenefits-related issues on theagenda of APRM Panel meetingsare reduced

Number of new panel membersthat received induction

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EXPECTED OUTPUTS RELATED ACTIONS RESPONSIBLEACTORS INDICATORS OF SUCCESS

8.3 APRM Secretariat legalstatus with the hostgovernment of theRepublic of South Africaformalised

1. Liaise with the Office of the AUCLegal Counsel to draft and preparefor signature a host agreement onthe legal status of the APRMSecretariat with the Republic ofSouth Africa

2. Work closely with the Republic ofSouth Africa to implement theprovisions of the host agreement

APRM Focal PointsCommittee andAPRM Secretariat

Speed at which the legal statusof the APRM Secretariat officeand officers are clarified andstreamlined through the signingof an appropriate host countryagreement between the AU andthe Republic of South Africa

8.4 Near-universalmembership by AUMember States achieved

1. Draft a strategy for universalaccession campaign and submit itto decision makers for approval

2. Undertake a campaign to engagewith relevant stakeholders andaccelerate progress towarduniversal accession to APRM by AUmember states

APRM Focal PointsCommittee andAPRM Secretariat

Number of AU Member Statesacceding to APRM

5.1 Background143. As reiterated, the APRM Strategic Plan 2016–2020

is the product of high level guidance from theSpecial Summit of the APR Forum, wideconsultations among all its continental and nationalstructures and expert input, including from the AUCommission department of strategic planning. Justas the development of the Strategic Plan requiredthe active and constructive engagement of allstakeholders, so will its implementation over thenext five years. That is why we stress that followup and implementation of the Strategic Plan restson our governance structure, the NationalMechanisms, and our communication strategy.

144. The successful implementation of the StrategicPlan is dependent on the full and effectivedeployment of all APRM structures, starting fromthe APR Forum, the Committee of Focal Points, theAPR Panel, and the APRM Secretariat at thecontinental level all the way to the Focal Points,National Governing Councils/Commissions, and theAPRM secretariats at the national level. In order forthe APRM project to succeed each of these nationaland continental organs will need to operate in asynchronised fashion and to succeed individually.Indeed, the APRM as a whole is as strong as itsweakest parts. That is why the implementation planfor the APRM Strategic Plan 2016–2020 starts froma recapitulation of the tasks assigned to each of theAPRM organs by our constitutive documents.

5.2 The APR Forum145. The APR Forum, composed of the Heads of State

and Government of all APRM-participatingcountries, is the highest decision-making organ ofthe APRM.

146. As stipulated in the 2012 APRM OperatingProcedures (paragraphs 6–10), the APR Forum isheaded by a Chairperson elected from among theparticipating Heads of State and Government,whose term of office shall not exceed 2 years.

147. In exercising its functions, the Forum is mandatedto meet at least twice a year to consider reviewreports, undertake peer reviews and make otherdecisions relating to the management andimplementation of the APRM.

5.3 The APRM Committee of Focal Points148. Established by the 2012 APRM Operating

Procedures, the APR Committee of Focal Pointsserves as an intermediary body between the APRForum and the APR Secretariat. The Committee iscomposed of the Focal Points of ParticipatingCountries of the APRM, with responsibility for,among others, budgetary processes and resourcemobilisation.

149. The Committee exercises oversight over the APRSecretariat so as to ensure the highest possiblelevel of professionalism, transparency, efficiencyand accountability of all its activities. (seeparagraphs 11–12 of the Operating Procedures).Accordingly, the Committee of Focal Points has thefollowing responsibilities to discharge: “i. Proposingand recommending to the APR Forum the structureand staffing requirements of the APR Secretariat; ii.Recommending to the APR Forum the appointmentof the Chief Executive Officer and other seniorofficials of the Secretariat; iii. Assess[ing]succession planning for the APR Secretariat's keymanagement issues and organisational changes;[and] iv. Assess[ing] and recommending to the APRForum the work programme and the annual budgetof the APR Secretariat” (paragraph 12).

5.4 The APR Panel150. As articulated in its various decisions and

resolutions, the APR Forum has bestowedenormous responsibilities on the Panel of EminentPersons for the realisation of the governance visionembodied in the APRM initiative.

151. The APRM Base Document (paragraphs 6–12)confers extensive powers on the Panel with primaryresponsibility to “ensure the integrity of the [review]process”. (paragraph 10) The same paragraph alsoenvisaged a Charter to be drawn up, which wouldoutline the Panel’s “mission and duties”, “reportingarrangements” and secure its “independence,objectivity and integrity”. Likewise, the APRMOrganisation and Processes document from 2003also outlines the roles and responsibilities of thePanel in almost equally general terms as the BaseDocument and also refers to the anticipated Charter(see paragraphs 3.1–3.8), but the Charter nevercame into existence. The gap that resulted from this

Chapter V: Implementation, Monitoring and Evaluation

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Drop in organogram here

5.6 The National Organs156. The APRM Country Guidelines encourage

participating countries to put in place the followingstructures to facilitate the effective implementationof the APRM:

(i) National APRM Focal Point, who should be aminister or senior official with direct access tothe Head of State/Government in the country;

(ii) National Governing Council/Commission that isautonomous from the government,representative of all segments of society,responsible to provide strategic policy directionon the implementation of the APRM;

(iii) APRM Secretariat that is independent ofgovernment and provides technical andadministrative support to the NGC and alsoserves as the bridge between national andcontinental APRM structures; and

(iv) Technical Research Institutions that provideindependent and scientific input in thepreparation of the country self-assessmentreports.

157. While this is the recommended structure under theGuidelines, the practice across member states isfar from uniform. The national Focal Points andSecretariats in different countries are located indifferent ministries or departments; themembership of the NGCs differ across countries;etc.

158. This lack of uniformity is, in itself, not necessarily ashortcoming. However, in order for the APRMStrategic Plan to be implemented effectively,member states will need to establish the necessarynational structures in as close a form asrecommended in our constituent documents, andwith the necessary budgetary autonomy anddiversity of membership that would enable theseinstitutions to adequately discharge their vitalresponsibilities and thereby further enhance thelegitimacy, ownership and impact of the APRM.

5.7 Conclusion159. The APRM national and continental structures will

need to be dynamic and resilient enough to remainrelevant as standards and expectations on theAPRM evolve. To mention a current example, at itsSpecial Summit in January 2016, the APR Forum

identified the “role of the APRM in monitoring of theAU agenda 2063 and the post-2015 sustainabledevelopment goals (SDGs)” as one of six areas ofstrategic priority. The Special Summit particularlyemphasised the risk of potential pressure comingfrom “the UN and other development partners forAfrica to adopt and use other monitoring tools thatwould then run parallel to the APRM”, which theleaders wanted to avoid by pushing for thewidespread use of the APRM as a unifiedmonitoring tool for all commitments undertaken byparticipating states. If this effort succeeds, APRMnational and continental organs will need to updatetheir tools and models of operation to ensure theyare able to discharge these new responsibilities.That is why the APRM Strategic Plan needs to be adynamic blueprint for action that alsoaccommodates the ever-changing demands placedon the Mechanism over time. APRM national andcontinental organs carry the ultimate responsibilityto ensure the APRM Strategic Plan is implementedin this fashion.

160. The rest of this Chapter presents theimplementation framework for the APRM StrategicPlan 2016–2020, including the Monitoring,Evaluation and Reporting framework, thecommunications plan and the enabling conditionsnecessary for the Strategic Plan to be a success.

5.8 Monitoring, Evaluation and Reporting onImplementation20

161. The M&E Framework for the Strategic Plan servesfour main goals:

(i) To inform the APRM and its stakeholders on aregular basis on progress in attaining theStrategic Plan outcomes and outputs;

(ii) To allow APRM and its stakeholders to evaluateprogress and assess the need to revise outputs,targets and indicators as needed;

(iii) To allow for evidence-based decision making;and

(iv) To evaluate the efficiency of implementation bylinking outcomes, outputs and activities toresources used.

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20 To ensure uniformity with AU practices, this section uses the M&Esection of the AUC Strategic Plan for 2014–2017 as a templatefor Monitoring and Evaluation of the APRM Strategic Plan.

162. The M&E Framework is informed by the fourprinciples of participation, transparency,accountability and providing SMART indicators(simple, measurable, achievable, reliable andtimely).

What is to be Monitored and Evaluated?

163. Within the context of the Strategic Planimplementation the following will be monitored:

(i) The level of achievement of the targets setagainst the indicators in the macro matrix onan annual basis;

(ii) The level of achievement of the targets setagainst the indicators in the micro matrix on aquarterly/annual basis.

164. Within the context of implementation, the followingwill be evaluated among others:

(i) Relevance: the continuing relevance of the plangoal and outcomes, the assumptions includingthe risks etc. during and after completion ofplan implementation;

(ii) Effectiveness: the extent to which the StrategicPlan goals, outcomes and outputs have beenattained within the various timelines set in themacro and micro matrices;

(iii) Efficiency: the extent to which the managementof the Strategic Plan implementation includingthe design of the Plan at inception was correctbased on hindsight; and whether expendituresincurred were within budget etc.

Monitoring Indicators through Targets

165. Indicators have been developed for each output inTable 4.2 and, for each indicator, the APRM willdevelop a corresponding target to be attained ineach of the five years of the Strategic Plan period.A simple variance analysis – the target versus theactual for the year – forms the basis of assessingthe progress towards the attainment of output andoutcomes.

The Monitoring Cycle

166. The APRM structures that have a role to play inMonitoring & Evaluation are listed in Table 5.1,which also presents the hierarchy, the deliverablesand their due dates as part of the proposal formonitoring the implementation of the StrategicPlan. In addition to this, there should also be aprovision for regular internal and external audits ofthe Plan.

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Table 5.1: Monitoring Cycle

LEVEL DELIVERABLE DUE

Committee of FocalPoints & CEO of theAPR Secretariat

Approval of Work Plan and Budget for currentyear+1

April of preceding year

Approval of Indicators and Target for currentyear+1

April of preceding year

APR Secretariatdivisions

Quarterly/annual work plan and budget March/June/September/December

Quarterly/annual monitoring report March/June/September/December

5.9 Strategic Plan Implementation andEvaluation

167. The keys for implementation of the Strategic Planare the Annual APRM Work Plan and budget, whichwill report on progress in attaining outcomes andthe forthcoming yearly targets. To ensure that theoutcomes/outputs of the plan are relevant at leastduring the implementation period and theimplementation is managed efficiently andeffectively, two evaluations will be conducted.

(i) A mid-term evaluation will be conducted duringthe second quarter of the third year of planimplementation (Q2, 2018). Insights from theevaluation will be used to rationalise the planoutcomes/outputs; the smartness of theindicators and their associated targets; thegovernance framework, the monitoringframework and the capacities of themanagers/staff involved in the plan execution,monitoring and evaluation.

(ii) The second evaluation will take place duringthe third quarter of 2020, the fifth year of theplan. The timing of the evaluation is relevant –it will provide insights for the development ofthe second APRM strategic plan that would betaking place at that time. The focus of theevaluation, because of its proximity to plancompletion, will be more on the achievementlevel of the outcomes/outputs, the continuedrelevance of the outcomes/outputs, effectivenessand efficiency of the management of theimplementation.

5.10 The APRM communications strategy168. The communication strategy is a crucial component

of the overall APRM Strategic Plan 2016–2020. Itdefines and articulates our multifaceted methodsof engagement with our diverse stakeholders in ourefforts to effectively implement the APRM StrategicPlan over the next five years. As such, while thecommunications strategy remains central to theentire APRM Strategic Plan, two of the eight priorityareas identified in the Plan are particularly pertinentto the communications agenda: Priority 1 on SharedValues Advocacy and Communication, and Priority7 on Intra-APRM Coordination and Harmonisation.

169. A key commitment in the pursuit of the first Priorityis to “develop and submit for approval a well-thought communication policy and [to] implement

the same”. The core purpose of Priority 7 is toensure that APRM systems and processes atcontinental and national levels are coordinated andharmonised. Needless to say, a critical and cross-cutting element of those systems and processesrelates to communication. The APRM communicationsstrategy thus aims to harmonise thecommunication methods and processes in all APRMorgans so as to help build the APRM profile, brandand visibility and enhance its ability to makemeaningful improvements to the daily lives ofordinary African citizens. This harmonised andintegrated Communication Strategy has beendesigned, and will be implemented, in such a wayas to ensure the APRM Key Strategic Priorities ascontained in the Strategic Plan are communicatedsystematically, persistently, innovatively andeffectively.

170. The APRM long-term communications strategy isthus underpinned by seven main pillars that areinterdependent and mutually reinforcing:

(i) Shared Values Advocacy and Outreach;

(ii) Branding;

(iii) Publications;

(iv) Social Media;

(v) Events;

(vi) Campaigns; and

(vii) Civil Society Organisations Outreach.

5.11 Enabling Conditions171. The following enabling conditions will ensure

effective implementation of the Strategic Plan:

(i) Member States need to ensure adequatefunding of the Mechanism;

(ii) A culture of collaboration should be nurturedand strengthened, with the goal of prioritisingthe outcomes in the Strategic Plan;

(iii) Design and implementation of SMART targetswithin a robust Monitoring and Evaluationframework;

(iv) The Mechanism must acquire critical capacitiesand competencies required to advance itsmission and vision; and

(v) The level of cooperation with Strategic PartnerInstitutions needs to be strengthened.

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6.1 Programme Budget172. The total budget for the 2016–2020 Strategic Plan

is USD $50,072,890.00. Table 6.1 presents thebudgetary allocations for each of the eight priorityareas of the Strategic Plan.

6.2 Finance Arrangements173. The options for financing the APRM Strategic Plan

include:

(I) Increased annual Member State contributionsfrom the current USD 100,000 to USD 300,000together with special contributions from someMember States;

(ii) APRM/UNDP Trust Fund, which will need to bereplenished, as part of ongoing efforts with theUNDP Regional Bureau for Africa;

(iii) Strategic Partner contributions (UNDP, UNECA,AfDB, ACBF, and Mo Ibrahim Foundation); and

(iv) Non-traditional donors, including the Africanprivate sector and the African diaspora.

174. Implementation of the APRM Strategic Plan willrequire sustainable and predictable sources offinance.

Chapter VI: Programme Budget & Financing

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PRIORITIES OUTCOMES TOTAL BUDGET

2016 2017 2018 2019 2020

1. Shared Values Advocacyand Communication:Shared Values articulated inAU Assembly Declaration of31 January 2011 integratedinto APRM systems,processes, and activitiessystematicallycommunicated andimplemented

1.1 Shared Values articulatedin AU Assembly Declarationof 31 January 2011integrated into APRMsystems, processes, andactivities systematicallycommunicated andimplemented

$1,386,000 $1,626,000 $1,006,000 $656,000 $606,000

2. Review and Implementthe APRM Core Mandate

2.1 APRM Mandate reviewed,updated and implementedto reflect evolvingdevelopments; and

2.2 Draft declaration forcountries to renew theircommitments to the APRMprepared and submitted tothe APRM Forum meetingin August 2016

$3.5 million(equivalent toapprovedbudget for2016)

$4 million $4 million $4 million $4 million

3. Resource Mobilisation andFinancial Management

3.1 A financially sustainableand credible Secretariat

$330,000 $180,000 $180,000 $180,000 $180,000

4. Human Resource CapacityDevelopment

4.1 A fully capacitatedSecretariat capable ofeffectively and efficientlyimplementing the broadmandate of the APRM putin place

$2,085,392 $3,924,424 $4,690,042 $5,585,659 $6,257,373

5. Development ofMonitoring and Evaluationframework and systems

5.1 Enhanced efficiency andeffectiveness of peerreview processes

$70,000 $260,000 $50,000 $50,0000 $50,0000

6. Enhance Research andDevelopment capacity andimprove operational tools

6.1 Evidence-based nationalcompliance with APRMreview recommendationsand National Programmesof Action (NPOAs)

$100,000 $100,0000 $100,000 $100,000 $100,000

Table 6.1: Strategic Plan 2016–2020 Budget by Outcome

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PRIORITIES OUTCOMES TOTAL BUDGET

2016 2017 2018 2019 2020

7. Improve coordination andharmonisation betweenthe APRM Secretariat andits national and regionalstructures, as well as withrelevant AU organs, in theexercise of its mandateand programmes

7.1 Improved effectivenessand impact of APRM’sprogrammes

$50,0000 $50,0000 $50,0000 $50,0000 $50,0000

8. Integrate the APRM intothe AU structures andprocesses as envisaged inthe Malabo SummitDecision 2014, and launchthe campaign foraccelerated universalaccession

8.1 APRM fully integrated intoAU structures

8.2 Membership andparticipation in APRMinitiatives increased

$20,0000 $150,0000 $100,0000 $100,0000 $100,0000

Annual Total: $7,541,392 $10,290,424 $10,176,042 $10,721,659 $11,343,373

Overall Total: $50,072,890

175. The APRM Strategic Plan clearly articulates thelinkages between African governance anddevelopment priorities. It is the harmoniousinterface and relations between all the componentsof the APRM system (institutions, strategy andprocesses) that will produce powerful and mutuallyreinforcing results to improve governance on ourContinent.

176. For effective delivery and impact of the APRM, thepriorities and outcomes that are listed in theStrategic Plan must be effected as described in thepreceding sections. If implemented, the APRM willachieve its vision of actualising transformativeleadership and practice in the Africa we all want.

Chapter VII: Conclusions

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