United Nations African Union

DRAFT UN SYSTEM SUPPORT TO THE AFRICAN UNION COMMISSION CAPACITY BUILDING PROGRAMME

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Contents I. BACKGROUND II. INTRODUCTION III. METHODOLOGY IV. THE ORGANISATION: ITS VISION, MISSION AND STRUCTURE 4.1 The Commission 4.2 The Vision and Mission 4.3 The Pillars 4.4 The Commission's Strengths and Weaknesses 4.5 The Structure and Mandates V. CAPACITY CHALLENGES IDENTIFIED BY PROGRAMME MANAGERS AND OTHER SENIOR OFFICIALS

5.1 The Oversight, Support Services and Administrative Support Offices and Departments 5.1.1 Offices of the Chairperson and Deputy Chairperson 5.1.2 Directorate of Strategic Planning, Monitoring, Evaluation and Resource Mobilization 5.1.4 Office of the Secretary General of the Commission 5.1.5 Office of the Legal Counsel 5.1.6 Office of Internal Audit 5.1.7 The Women, Gender and Development Directorate 5.1.8 Information and Communications Directorate 5.1.9 Directorate of Conference Services and Publications Management 5.1.10 Department of Administration and Human Resource Development Human Resources Management Procurement Division of Building Management and Maintenance Management Information Systems Division 5.1.11 AU Medical Services Directorate 5.1.12 Directorate of Programming, Budget, Finance and Accounting

5.2 Capacity Challenges in the Technical Departments

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5.2.1 Political Affairs 5.2.2 Human Resources, Science and Technology 5.2.3 Economic Affairs 5.2.4 Social Affairs 5.2.5 Peace and Security 5.2.6 Agriculture, Rural Development, Environment and Natural Resources (DREA) 5.2.7 Infrastructure and Energy 5.2.8 Trade and Industry

VI. A SUMMARY OF IDENTIFIED CAPACITY GAPS 6.1 Administrative Processes and Procedures 6.2 Staff Resources 6.3 Financial Resources 6.4 Management 6.5 Partnerships 6.6 Outreach 6.7 Programmes 6.8 Working Tools and Equipment VII. PROPOSED AREAS FOR INTERVENTION IN CAPACITY BUILDING 7.1 General Administration 7.2 Human Resource Management and Development 7.3 Peacekeeping Operations 7.4 Conference Services 7.5 Training 7.6 Advisory Services 7.7 Technical Assistance 7.8 Financing Strategies and Mechanisms VIII. PROPOSED CLUSTER SYSTEM SUPPORT IN CAPACITY BUILDING 8.1 Infrastructure Development 8.2 Governance 8.3 Social and Human Development 8.4 Environment, Population and Urbanisation 8.5 Agriculture, Food Security and Rural Development 8.6 Science and Technology 8.7 Peace and Security

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8.8 Industry, Trade and Market Access IX. PROGRAMME OUTCOMES, CAPACITY GAPS AND CAPACITY BUILDING RESPONSES

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Acronyms 3ADI African Agribusiness and Agro-industries Development Initiative ACDEG African Charter on Democracy, Election and Governance ACST African Cluster of Technology AfDB African Development Bank AGI African Governance Institute AIDA Accelerated Industrial Development Plan of Africa AIDS Acquired Immune Deficiency Syndrome AMCOST African Ministerial Conference on Science and Technology AMISON African Union Mission in Somalia AMP African Mining Programme APRM African Peer Review Mechanism APSA African Peace and Security Architecture AS Advisory Services AUC African Union Commission AU African Union CAADP Comprehensive Africa Agriculture Development Programme CAMPS Conference of African Ministers of Public Service CARMMA Campaign on Accelerated Reduction of Maternal Mortality CDSF Capacity Development Strategic Framework CHGA Commission on HIV/AIDS and Governance in Africa COMEDAF Conference of Ministers of Education of the African Union COMMIT Campaign on Combating Human Trafficking COMY Conference of Ministers of Youth CPA Consolidated Plan of Action in Science EC European Commission ECA Economic Commission for Africa EU European Union DPA Department of Political Affairs DREA Department of Rural Economy and Agriculture GHG Greenhouse Gas GS General Service HIV Human Immunodeficiency Virus HRST Human Resources, Science and Technology HRM Human Resources Management IAMLADP International Annual Meeting on Language Arrangements Documentation and Publications IAPSC Inter-African Phytosanitary Council IBAR Inter-African Bureau for Animal Resources ICT Information and Communications Technology

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IDEA International Institute for Democracy and Electoral Assistance IDEP African Institute for Economic Development and Planning IDP Internally Displaced Persons IOC Intergovernmental Oceanographic Commission IOM International Organization for Migration IPSAS International Public Sector Accounting Standards IT Information Technology IXP Internet Exchange Points JIAMCATT Joint Inter-Agency Meeting on Computer-Assisted Translation and Terminology LAN Local Area Network MARPOL Marine Pollution M&E Monitoring and Evaluation MIS Management Information Systems MTEF Medium Term Expenditure Framework NEPAD New Partnership for Africa’s Development NPCA NEPAD Planning and Coordinating Agency OAU Organization of African Unity PACTED Pan African Conference on Teacher Education and

Development PAD Political Affairs Department PANVAC Pan-African Veterinary Vaccine Centre PATTEC Pan African Tsetse and Trypanosomiasis Eradication Campaign PAU Pan African University PIDA Programme for Infrastructure Development in Africa PPP Public Private Partnership PRC Permanent Representatives Committee PSD Peace and Security Department PSOD Peace and Security Operations Division PSSA Particularly Sensitive Sea Area RBM Results-Based Management RCM Regional Coordination Mechanisms RCM-Africa Regional Coordination Mechanisms for Africa RECs Regional Economic Communities SAFGRAD Semi-Arid Food Grains Research and Development SOP Standard Operational Procedure TA Technical Assistance TAH Trans-African Highway TB Tuberculosis TYCBP Ten Year Capacity Building Programme TYCBP-AU Ten Year Capacity Building Programme for the African Union

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UN United Nations UNDP United Nations Development Programme UNECA United Nations Economic Commission for Africa UNESCO United Nations Educational, Scientific and Cultural Organization UNICEF United Nations Children’s Fund UNLO United Nations Liaison Office UNOCHA United Nations Office for the Coordination of Humanitarian Affairs UNOAU United Nations Office to African Union UNOHCR United Nations Office of High Commissioner for Refugees VSAT A Very-Small-Aperture Terminal WFP World Food Programme

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I. BACKGROUND In November 2006, a Declaration entitled ``Enhancing UN-AU Cooperation: Framework for the Ten Year Capacity Building Programme for the African Union`` (TYCBP-AU), was signed by the then UN Secretary General, Mr. Kofi Annan and the then Chairperson of the AU Commission, Mr. Alpha Konare. Its main objective was to assist the Commission of the AU----the successor to the more politically–oriented OAU----to enhance its capacity to deliver on its objectives of peace and security, development and integration. The Declaration identified six areas which would be the target of these capacity building actions: institution building; human resources development and financial management; peace and security; human rights; political, legal and electoral matters; and social, economic, cultural and human development. The Declaration called for the Programme to be reviewed every three years. In 2010, a review was indeed undertaken and its findings, conclusions and recommendations were presented to the Regional Coordination Mechanism (RCM) at its 11th session in Addis Ababa, Ethiopia. In considering the report, the RCM directed that a well-defined comprehensive work programme be formulated to address the needs in capacity building of the AU Commission, NPCA and the RECs. Such a programme should be based on the plans, programmes and priorities of the respective institutions, and respond to the requirements of the framework of the TYCBP. For the needs of the TYCBP, the RCM defined “capacity building” as entailing “those actions that invest in an organization, the ability to formulate, plan, manage and implement policies and programmes towards the full attainment of that organization’s objectives and goals. This would require the creation within the organization, of a critical mass of skills, knowledge and expertise, and the availability of the requisite financial resources and organizational instruments, processes and mechanisms, all interacting in ways that conduce to effectiveness in the formulation and prosecution of policy, and success in the implementation of plans and programmes.”1 For its part, the Executive Council of the AU at its 19th Ordinary Session at Malabo, Equatorial Guinea in June 2011 adopted a Decision which took note of the submission for the first time, of a report submitted by the AU Commission on the TYCBP to the policy organs of the organization. Further, the Executive Council recognized the important contribution that the TYCBP could make to enhance the capacity of the Commission to effectively deliver on its mandate. It also welcomed the renewed efforts being made by the Commission, the ECA, the rest of the UN system and other members of the RCM aimed at enhancing the implementation of the TYCBP. It also called for the submission of regular reports on the programme, indicating concrete deliverables 1 UN/AU RCM 11, Outcome Document, Addis Ababa

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II. INTRODUCTION The process of conducting the exercise started with a retreat at Debrezeit, Ethiopia, whose objective was to bring together all the principal actors who will be engaged in, or benefit from the eventual implementation of the programme, to deliberate on issues pertaining to areas of focus, methodology, responsibilities and expected outcomes and results. The retreat provided an opportunity for all staff of the AU Commission to familiarize themselves with the TYCBP and its potrntial and afforded programme managers in the Commission the opportunity to share experiences on the capacity challenges facing their respective programmes and the Commission as a whole. The framework for the report as laid down by the Commission itself, was its own proposed “Institution and Capacity Building Programme”. Guidelines as to the way forward with the study were derived from the deliberations and were adhered to in the course of carrying out the assignment. A number of studies and reports had been undertaken since 2003 whose analyses, findings and conclusions did have important elements touching on the capacity building deficits and needs of the Commission. These were thoroughly reviewed and taken into account in discussions with stakeholders and in carrying out the study. An examination was also made of key texts such as the Constitutive Act, the Sirte Declaration, the various Rules of Procedure of the Union’s governing organs, the financial and staff rules and III. METHODOLOGY The process of conducting the exercise started with a retreat at Debrezeit, Ethiopia, whose objective was to bring together all the principal actors who will be engaged in, or benefit from the eventual implementation of the programme, to deliberate on issues pertaining to areas of focus, methodology, responsibilities and expected outcomes and results. The retreat also afforded programme managers in the Commission the opportunity to share experiences on the capacity challenges facing their respective programmes and the Commission as a whole. The framework for the study as laid down by the Commission itself, was its own proposed “Institution and Capacity Building Programme”. Guidelines as to the way forward with the study were derived from the deliberations and were adhered to in the course of carrying out the assignment. A number of studies and reports had been undertaken since 2003 whose analyses, findings and conclusions did have important elements touching on the capacity building deficits and needs of the Commission. These were thoroughly reviewed and taken into account in discussions with stakeholders and in carrying out the study. An examination was made of key texts such as the Constitutive Act, the Sirte Declaration, the financial and staff rules and regulations, the Strategic Plan 2009-2012, the Departmental Work Plans 2011, etc. Then extensive consultations were undertaken with Directors and other

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senior officials in the Offices of the Chairperson and the Deputy Chairperson, including the Offices of the Secretary General of the Commission, Internal Audit, and Legal Counsel; the Directorates of Strategic Planning, Monitoring, Evaluation and Resource Mobilization; Citizens and Diaspora; Women, Gender and Development; and Communication and Information. Discussions were held with the Departments of Administration and Human Resources Management; Conference Services; Economic Affairs; Social Affairs; Infrastructure and Energy; Peace and Security; Political Affairs; Agriculture, Rural Development, Environment and Natural Resources; Human Resources, Science and Technology; and Trade and Industry. Consultations were also held with the Directorate of Budgeting, Finance and Accounting; the AU Medical Service; Human Resource Management; Management Information Systems; and Building Management. A number of studies and reports had been undertaken since 2003 whose analyses, findings and conclusions did have important elements touching on the capacity building deficits and needs of the Commission. These were thoroughly reviewed and taken into account in discussions with stakeholders and in carrying out the study. An examination was also made of key texts such as the Constitutive Act, the Sirte Declaration, the various Rules of Procedure of the Union’s governing organs, the financial and staff rules and regulations, the Strategic Plan 2009-2012, the Departmental Work Plans 2011, etc. e Extensive consultations were then undertaken with Directors and other senior officials in the Offices of the Chairperson and the Deputy Chairperson, including the Offices of the Secretary General of the Commission, Internal Audit, and Legal Counsel; the Directorates of Strategic Planning, Monitoring, Evaluation and Resource Mobilization; Citizens and Diaspora, Women, Gender and Development; and Communication and Information .Further.discussions were held with the Departments of Administration and Human Resources Management and Conference Services .Consultations were also held with the Department of Budgeting ,Finance ,and Accounting and the AU Medical Centre. The following technical /substantive departments were also consulted:. Economic Affairs; Social Affairs; Infrastructure and Energy; Peace and Security; Political Affairs; Agriculture, Rural Development, Environment and Natural Resources; Human Resources, Science and Technology; and Trade and Industry. A number of studies and reports had been undertaken since 2003 whose analyses, findings and conclusions did have important elements touching on the capacity building deficits and needs of the Commission. These were thoroughly reviewed and taken into account in discussions with stakeholders and in carrying out the study. An examination was also made of key texts such as the Constitutive Act, the Sirte Declaration, the various Rules of Procedure of the Union’s governing organs, the financial and staff rules and regulations, the Strategic Plan 2009-2012, the Departmental Work Plans 2011, etc. e Extensive consultations were then undertaken with Directors and other senior officials in

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the Offices of the Chairperson and the Deputy Chairperson, including the Offices of the Secretary General of the Commission, Internal Audit, and Legal Counsel; the Directorates of Strategic Planning, Monitoring, Evaluation and Resource Mobilization; Citizens and Diaspora, Women, Gender and Development; and Communication and Information .Further. discussions were held with the Departments of Administration and Human Resources Management and Conference Services .Consultations were also held with the Department of Budgeting ,Finance ,and Accounting and the AU Medical Centre. The following technical /substantive departments were also consulted: Economic Affairs; Social Affairs; Infrastructure and Energy; Peace and Security; Political Affairs; Agriculture, Rural Development, Environment and Natural Resources; Human Resources, Science and Technology; and Trade and Industry. The team of consultants met with a large number of the programme managers and, virtually covered all the Departments/Directorates in the Commission. There were difficulties in securing appointments with a few such programme managers who were away on official assignments and with whom the team would have liked to consult on the capacity challenges of the Commission. Also, ideally, the capacity needs assessment should have been based on the Strategic Plan. This was rendered difficult on account of the fact that the present Plan comes to an end in a year’s time, and would thus not provide a long enough perspective for programming purposes, and because of the absence of time lines and outputs. The annual Departmental Work Plans, which derive from the Strategic Plan, were what were used instead as the basis for partly assessing the capacity needs. These, together with the consultations that were held and the desk studies undertaken, have allowed for the issues surrounding the capacity needs and opportunities of the Commission to be captured in a realistic way in the report that now follows. IV. THE ORGANISATION: ITS STRUCTURE, VISION AND MISSION

4.1 The Commission The Commission is the executive secretariat of the Union. It consists of 10 officials: the Chairperson, his deputy and eight Commissioners, each of the latter holding one of the following portfolios: Peace and Security; Political Affairs; Trade and Industry; Infrastructure and Energy; Social Affairs; Agriculture ,Rural Development ,Environment and .Natural Resources ;Human Resourses Science and Technology; and Economic Affairs..

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4.2 The Vision and Mission of the Commission2 The stated vision of the Commission is, “To create an integrated, prosperous and peaceful Africa, driven by its own citizens and representing a dynamic force in global the arena”. Its mission is to become “An efficient and value-added institution driving the African integration and development process in close collaboration with African Union member states, the Regional Economic Communities and African citizens”. The objectives of the Union as stated in article 3 of the Constitutive Act, are inter alia to achieve greater unity and solidarity; defend the sovereignty, territorial integrity and independence of its member states; accelerate political and socio-economic integration; promote and defend African common positions; encourage international cooperation; promote peace, security and stability; promote and protect human and peoples’ rights; uphold democratic principles and institutions, popular participation and good governance; establish the enabling conditions for Africa to play a meaningful role in the global economy and in international negotiations; and promote sustainable development and the integration of African economies. 4.3 The Pillars Based on its mission, mandate and stakeholder expectations, as well as an analysis of continental and global trends and conditions, the Commission has formulated a four-year Strategic Plan 2009-2012, which stands on four pillars around which the core functions of the Commission are to be built: 1. Peace and Security; 2. Integration, Development and Cooperation 3. Shared Values 4. Institution and Capacity Building As mentioned above, the Strategic Plan is implemented through annual Work Plans and Budgets. Its objectives are to reduce conflicts and bolster continental peace and security; promote sustainable social, economic and human development; accelerate continental integration; promote good governance, democracy, human rights and gender equality as well as the protection of Africa’s cultural heritage; strengthen cooperation with member states, civil society organizations, the Organs of the AU and partners; and improve the capacity, operational efficiency and effectiveness of the Commission. 2 OAU, “Constitutive Act of the African Union,”, Lome, 200o

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The attainment of the strategic objectives of the Plan requires that the respective technical Departments formulate programmes and projects that would yield the desired results. On Pillar I, Peace and Security, the concerned Department – Peace and Security – would have to shoulder the bulk of the responsibility for delivering this programme, although some of the expected results should be produced through actions taken in other Departmental Work Plans, e.g. Social Affairs, Environment, Political Affairs. Pillar 2, Integration, Development and Cooperation is a shared responsibility among Economic Affairs; Social Affairs; Trade and Industry; Infrastructure and Energy; Human Resources, Science and Technology; and Agriculture, Rural Development, Environment and Natural Resources. Pillar III is largely the responsibility of the Department of Political Affairs. The Commission’s own proposed Institutional Capacity Building Programme, states that “Pillar IV on capacity building is key to the effectiveness of the other three pillars” and is thus a Commission-wide responsibility. The Commission should therefore make certain that the right policies and programmes are put in place to ensure that capacity is built, strengthened and retained. In so doing, it would enhance its internal efficiency and effectiveness in order to more assuredly deliver on its mandate and ensure the attainment of the Union’s vision. 4.4 The Commission’s Strengths and Weaknesses The Commission’s strengths lie in its power to convene continental governments; evolve common continental positions on matters of interest, be they continental, international or global; set common standards and norms through legal instruments; formulate and implement continental policies and programmes in strategic areas of common interest such as peace and security, infrastructure, energy, etc.; articulate and coordinate common positions on matters of global interest; mobilize resources in support of continental policies, programmes and plans; and speak for all the governments and peoples of Africa. The Commission acknowledges that it suffers from certain weaknesses which according to its Strategic Plan 2009-2012, can be summarized as manifesting themselves through its processes and systems, its inflexible structural arrangements, inadequate physical structure, unsupportive organizational culture and attitudes to work, lack of team work, administrative management and leadership challenges, a weak human resource base, poor image and branding, and serious financial resource inadequacies. 4.5 The Structure and Mandates of the Commission

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The structure and mandates of the Commission have endeavoured to reflect the vision and mission of the Union.3 The objectives of integration, cooperation and development are expected to be attained through the work of a number of programmes and Departments. The RECs are considered to be the Union’s “building blocks” for regional integration. Even so, the economic integration portfolio is under the Department of Economic Affairs, whose objectives include, to “coordinate, harmonise and facilitate all activities aimed at consolidating the process of integration at the regional and continental levels”. The Department’s programme thrust seeks, inter alia, to “promote information gathering and dissemination on the integration process”, while among its programme elements, is the need to “develop strategies for accelerating the integration process”. Important instruments of integration such as the establishment of the African Central Bank, the African Monetary Fund and the African Investment Fund feature prominently in its institution building priorities. Included in its functions, are actions “to develop policies and strategies for the acceleration of economic integration; to coordinate the activities that relate to the promotion and development of the process of regional economic integration; (and) to mobilize resources for economic development and integration projects”. The technical Departments such as Agriculture, Rural Development, Environment and Natural Resources; Human Resources, Science and Technology; Trade and Industry; Infrastructure and Energy; etc. also carry within their mandates, programmes that promote integration and development. Peace and security is a centre piece of the vision and mission of the organization. The mandate for achieving this vision and mission is vested in the Department of Peace and Security, and is to “address in an effective way, the prevention, management and resolution of conflicts on the continent and to ensure that Africa plays a central role in bringing about durable peace and collective security on the continent”.4 Part of this mandate also resides with the Department of Political Affairs. Its programmes in the promotion of human rights, good governance, popular participation, etc., would also contribute to the maintenance of peace and the avoidance of conflict. This vision and mission for the continent’s social and economic development is promoted through the work of five technical Departments of Infrastructure and Energy;

3 African Union, Report of the 3rd Ordinary Session of the Executive Council on the Proposed Structure, Human Resource Requirements and Conditions of Service of the Staff of the Commission of the African Union and their Financial Implications”, EX/CL/Dec.34 (III) Assembly/AU/Dec.22, Addis Ababa 4 Op. cit, p.69

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Social Affairs; Economic Affairs; Human Resources, Science and Technology; Trade and Industry; and Agriculture, Rural Development, Environment and Natural Resources. The work of these Departments is supported by important oversight Programmes in the Office of the Chairperson, such as the Directorate for Strategic Planning, Monitoring and Evaluation, International Cooperation and Resource Mobilization, whose mandate is inter alia, “to ensure inter-departmental coordination in strategic planning for continuous monitoring and evaluation of programme outputs against action plans, as well as to assess the efficiency and effectiveness of programmes in realizing organizational goals and objectives”. In 2009, the Commission formulated its second four-year Strategic Plan. The Strategic Plan, 2009-2012 has only one more year to go. Its strategies have been translated into plans and projects in the Commission’s annual Work Plans. Its goals and objectives are to be met through the implementation of programmes that stand on the four pillars of peace and security; integration, cooperation and development, shared values; and institutional capacity building.

V. CAPACITY CHALLENGES IDENTIFIED BY PROGRAMME MANAGERS AND OTHER SENIOR OFFICIALS

In the course of conducting the consultations for this report, it was necessary to engage with programme managers of the Commission, certain members of the PRC, and cluster representatives. The main focus of the consultations was engagement with the AU programme managers themselves, their experiences with the capacity challenges within the Commission, as well as those they face in the course of the day-to-day implementation of their respective programmes. The consultants thus gathered from them, what they consider to be the action measures that need to be undertaken to address these challenges. In the consultations with the departments of the Commission, general observations were made by the programme managers on the strengths and challenges that have an impact on the capacity of the Commission as a whole to deliver. It was noted for example, that there have been some significant improvements ,particularly in the areas of IT ,budgetting, and financial management, as well as results-based management. A new culture of programme planning had also taken root in the Commission. The introduction of SAP was a major development in the right direction and efforts should be made to operationlise it completely. Further, new staff rules and regulations had been elaborated and adopted and they were better suited to the AU than the old set of rules of the OAU which it had replaced.

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5.1 . System-wide capacity challenges A number of system-wide capacity building challenges were identified by the various programme managers. These included the inadequate number of staff. Indeed, there was widespread consensus on this. Mention was also made repeatedly of the high rate of attrition and the view was that policies to attract and retain a greater number of well qualified and dedicated staff should be introduced. There also appeared to be a consensus among the programme managers that recruitment takes too long. However with the recent introduction of e-recruitment, it is expected that this challenge will be substantially overcome..

There have been quite a number of studies that have touched on capacity issues afflicting the Commission. Almost all of them concentrate on administrative aspects and service delivery, and have not paid enough attention to the substantive work of the Technical Departments. Yet it is through the work of these Departments that the Union prosecutes its goals and objectives of peace and security, development and integration. Therefore, attaining the Union’s goals and objectives is predicated on the capacity of these technical Departments to deliver, although it is equally true that their delivery capacity would be significantly enhanced if the capacity of the service and administrative Departments is in turn also strengthened. It was argued that capacity would not necessarily be enhanced only through an increase in the number of staff. Simple adjustments, such as devolving certain responsibilities to the RECs, in accordance with the Commission’s principle of subsidiarity, or decentralizing certain services into the substantive Divisions, could make quite a difference.

These shortcomings aside, there have been some significant improvements particularly in the areas of IT, budget and financial management and results-based management. However, there is still need for a strong research and statistics Division/Department, which would develop and disseminate data and information on and for Africa. With the coming on stream of the new secretariat building and conference centre, work is in progress to put together a Facilities Management Team. It is expected that the number of staff that should make up such a team would be nothing less than 35. Anything less would curtail the capacity of the Commission to maintain and manage such expensive facilities.

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Attrition rates are too high and policies should be put in place to attract and retain a greater number of well qualified and dedicated staff. Recruitment takes a long time partly because there are too few people in HRM. Areas in which capacity building interventions are needed include:

• Results-based management for greater accountability and effectiveness; • Management training (policy formulation, coordination, supervision, team

work, etc.); • Monitoring and evaluation; • Management of information and communications systems; • Negotiation and reporting skills development • Programme management skills (log frame development, outcome and impact

analysis, etc.); • Knowledge management; • The development and strengthening of statistics and data systems; • Development of a policy think tank. • Programme Coordination • Staffing • Programme funding

5.2 Oversight and Support Offices and Departments 5.2.1 Directorate of Strategic Planning, Monitoring, Evaluation and Resource Mobilization The consultations with the Strategic Planning Department yielded the following results: The mandate of the Directorate is to strengthen the capacity of the Commission to formulate policies and set programme priorities for the attainment of its goals and objectives. Its specific responsibilities include inter-departmental coordination, continuous monitoring and evaluation of the outputs of programmes, and assessing programmes for their relevance to the goals and objectives of the Union. It also develops and maintains constructive and productive relations between the Commission and its external partners, and initiates strategies and actions for mobilizing extra budgetary resources to support the Commission’s programmes. The Directorate is responsible for knowledge management in the Commission, and for conducting strategic policy studies, research and analysis. It also initiates strategies for sustainable financing of the Commission’s activities.

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It was felt that the Strategic Planning directorate had too few staff. Consequently it was difficult to give to the functions of monitoring and evaluation and policy and programme coordination and implementation, as well as knowledge management and resource mobilization, the attention they deserved. Due to the shortage of staff, more of what is done on a day-to-day basis is concentrated on planning. The Directorate is responsible for defining the priorities of the Commission and developing and monitoring the implementation of its policies and programmes. It is responsible for coordinating the formulation of the Commission’s Strategic Plan. The current Plan is only the second since the inception of the Union. It has a number of shortcomings which experience in its implementation over the last three years, have exposed. This should inform and guide the preparation of the next Plan. What is certain is that a new culture of programme planning has set in within the Commission which, with further refinement, should serve the Commission well in the pursuit of its objectives. There is need for a thorough review of the current Strategic Plan to analyse its results and challenges in order to draw lessons that will inform the preparation of the new Plan. Intervention from the UN would be welcome. Serious attempts have been made to introduce a results-based management system, output and impact orientation in programme formulation and implementation, and an effective monitoring mechanism that tracks performance and provides the necessary feedback for action. Having them properly put into operation however, has proven to be a formidable challenge, on account of the limitations of time, resources and skills. Absorptive capacity may be depressed because of a possible problem of over budgeting due to deficiencies in budgeting skills. Therefore assistance is needed with budget preparation and programme budgeting. Reporting on partner funds could be improved to avoid delays in disbursement and lowered programme delivery. And the Commission has still not moved away from activity budgeting to programme budgeting. There is also need for capacity building in M&E based on results. The African Monitoring and Evaluation Tool does exist, but it is not being used because there is no framework for its application. There is a Policy Analysis and Research Division in the Directorate. It is supposed to undertake research on global and continental trends and developments to guide policy in the political, security, economic and social fields. It is also supposed to do projections and forecasts to assist in policy formulation. It has three staff member only and is faced with a host of structural constraints such that it is only starting to function now. The

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Directorate therefore needs advisory services, technical assistance and training to render it operational and properly staffed. Knowledge management is another area of need. The Commission’s archives and library need to be reorganised. Technical Assistance is needed to have them modernized and computerized.

5.1.3 Office of the Secretary General of the Commission

The Office of the Secretary General of the Commission coordinates relations between the Commission and the other Organs of the Union as well as the Permanent Representatives Committee, the Executive Council and the Assembly. It also prepares the agenda of the Assembly as well as coordinates the implementation of its decisions.

The Office is supposed to coordinate the work of the Departments, including convening the meeting of Directors and disseminating the reports of the Cabinet meetings and ensuring follow up on decisions. It lacks capacity to do all of this, because of lack of staff resources.

The Commission has to be more modest in the way it solicits mandates. Most new mandates derive from the reports it submits to the Assembly. Invariably, the mandates would be granted, without being funded, thus causing delivery problems for the Commission.

5.1.4 Office of the Legal Counsel

The Office provides legal advisory and representational services to the AU, its Commission, Organs and other entities and ensures that actions undertaken and decisions made are in conformity with the legal instruments of the Union. It is also responsible for drafting, vetting, interpreting and clearing treaties, protocols, contracts and agreements being drawn by or with the Union, as well as act as its depository. It ensures that legal interaction between the organs of the Union and member states, other Organisations, individuals and other legal entities are regulated in such a manner that the interests of the Union are safeguarded. It attends all AU meetings and conducts all Union elections. Its main programmes include the transformation of the AUC into the AU Authority; the implementation of the Decision on granting competence to the African Court of Justice and Human Rights to heal with international crimes, as well as the Decision on the abuse of the principle of Universal Justice;

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The Office’s staff capacity is seriously overstretched given its wide mandate and its numerous functions and responsibilities which also include assistance with disciplinary matters, interpretation of rules and regulations, membership on all Boards and Commissions, etc. It also handles depository functions for all original contracts and deeds. The Office needs training and expertise in new fields of law such as law of the sea, maritime law, space law, international trade law, terrorism, cyber crime, etc. It also needs skills upgrading in management, peace and security, intellectual property, legislative drafting, electronic data administration and management, international commercial arbitration ,negotiation and dispute resolution and report writing. It also needs assistance in records and data management. The UN Office of Legal Affairs could be of help. Through attachments and study visits in institutions such as the UNOLA, and the International Law Commission, it could enhance its skills and knowledge treaty making, the performance of depository functions, the legal aspects of peacekeeping, as well as the functioning of the International Law Commission. It would also require assistance to modernize its data management and storage system as well as its archives. There is always a problem with ratification of instruments adopted by the Assembly. Usually, it takes about five years between adoption and ratification. The UN should use its widespread presence in member states to help speed up the ratification of treaties, protocols, etc. signed by African governments. After all, many such instruments are of interest to the UN. The newly created Commission on International Law could also benefit from an association with the UN legal offices, and the Law Commission in Geneva in particular could assist in the identification of areas of international law that are of relevance to the needs and interests of Africa.

5.1.5 Office of Internal Audit The team was told that the Office of Internal Audit is responsible for auditing all Departments of the Commission, the Offices away from Addis Ababa, peacekeeping missions and all the Organs of the Union. Partners also are now demanding that their funds be audited. The Office has a robust training programme for its entire staff, which ensures that everyone in the Office receives some training and skill upgrading at least once a year.

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It stated that it would benefit from exchange programmes with the UN, and from assistance to upgrade software applications currently in use and technical assistance to install the new software and train staff on it. The Microsoft Visio software is ideal for audit work and would ease the workload were it made available. An improvement of the Commission’s video-conferencing facilities would greatly reduce the Office’s workload and significantly cut down on travel time. Also, assistance with the procurement of network scanners would help with the volume of paper work that it has to deal with. The availability of laptops for mission work would also be useful. 5.1.6 The Women, Gender and Development Directorate

The Directorate’s mandate is to promote the empowerment of women and gender equality within the continent. In so doing, it formulates, develops, coordinates and implements policies and programmes on the promotion of social, economic and political rights of women; develops programmes to enhance gender equality; and assists in building gender mainstreaming within the AU, its Commission, Organs and Member States. The Department is made up of two Divisions, namely, Coordination and Outreach, and Gender Analysis and Monitoring. A request for the creation of a third Division for Women’s Rights has not yet been approved. A training of trainers manual has been prepared and fifty people have been trained on it. An African Fund for Women has been created to which the Assembly has voted 1% of all assessed contributions. The Directorate now needs a Division to be created to manage that Fund. Already 91 projects have been received for funding. The staff of the entire Directorate that are supposed to manage all these requests in addition to the other duties that they perform consists of 5 regular and 5 partner-supported staff. Staff resources are therefore grossly overstretched. There is need for assistance with project staffing to operationalize the Women Resource Division, which will then be responsible for the management of the Fund. Another Division in the Department is the Women’s Rights Division. At present, it has no Head. The Directorate stated that technical assistance is required to have that position filled. The Department has a number of big programmes in other Departments which rely upon it for substantive support. For example, Peace and Security has a budget item on gender. In Social Affairs the theme for 2011 was HIV/AIDS and Women. Currently, it is running the Campaign on Accelerated Reduction of Maternal Mortality in Africa (CARMMA). There are 34 projects in support of this campaign. The Department’s inputs into these and other gender related activities being implemented in other Departments, is significant. Next year, the Assembly’s theme will be on Science and

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Technology. The Department will develop programmes on S&T and gender. These are all initiatives that require the support of the UN system through the work of the sub-cluster on gender.

5.1.7 Information and Communications Directorate

The Directorate’s mandate is to gather and disseminate information about the Union to all stakeholders and to the world at large, and to promote awareness about the Union’s objectives and programmes. It puts out press releases and other information materials and publications; develops advocacy and outreach programmes; and develops and maintains a website and other automated data bases. Its role therefore is strategic in the Union’s bid for image building and positive branding. It would be through the effectiveness of its programme delivery that the AU’s search for visibility, relevance and legitimacy would be assured. The Directorate also co-chairs the cluster on communications. The Directorate enumerated a number of capacity challenges. To begin with, as with most other programmes in the Commission, it suffers from serious staff shortages. The outreach needs of the Directorate require that it develops capacity to access and use social media. For this it needs assistance with the formulation of policy and guidelines as well as training. The AU’s branding strategies need to be greatly improved. A strategy for doing so is definitely a priority. Assistance in this is therefore required. The Directorate is responsible for the management of the AU web site, which needs much work to have it redesigned, improved and better managed. 5.1.8 Directorate of Conference Management and Publications

The Directorate’s mandate is to plan, provide and manage conference services for the Commission and the Organs of the Union. This entails the provision of interpretation and translation services as well as services for the proof-reading and editing of documents. The Directorate is also responsible for printing and publishing all conference documents. In 2010, it serviced 500 meetings and two Summit Conferences.

The team was told that it had its first Director in 2006. The Directorate was found to be in need of modernization, upgrading and restructuring. The staff required skills upgrading particularly in the use of modern interpretation and translation techniques. Work was undertaken manually, documents were produced and moved around in hard copy since the computer skill levels of virtually all the professional staff were generally quite low. Document registration was almost non-existent, rendering tracking difficult.

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The print shop had old equipment and machinery, and outmoded printing techniques. In short, the facilities available needed much improvement.

A vigorous staff training programme was embarked upon. This brought in a significant number of improvements, particularly in the translation and interpretation services. An internal web-based translation system was installed. And with the development of computer skills among language workers, language work has been rendered technically more efficient. New desk and lap tops were provided for all staff and an efficient system for electronically tracking documents was put in place. An IT technician was recruited to manage the system and provide training services for staff. Computer-assisted translation tools were also acquired, although they are not yet being used, because the staff has not yet been trained to use them. Documents management is done electronically through the Commission’s intranet service. This has significantly improved tracking and quality control. Overall, the improvements in the language service have been tremendous, thanks to the increased introduction of modern tools and equipment, a greater use of IT, and improved management practices. The same cannot yet be said of printing and documents reproduction service. And overall, though things have improved, more still needs to be done. For example, interpreters are currently required to have only two working languages. There is need for them to undergo training in order to acquire a third AU language. Attempts had been made by the UN to provide this training, but it was over a very short period, and did not really leave behind any noticeable new skills. Also, the skills of the printing and publication staff need significant improvement as do the working tools and equipment of that unit. And there is need for training in the collection, analysis and use of conference statistics for planning purposes.

There are still no written procedures and rules governing and directing conference management. There is need for guidelines to be provided and agreed upon by the Commission on issues such as the length of Conference documents, deadlines for submission of scripts for processing and dissemination, document format, etc.

In 2010, the Directorate serviced 500 meetings in addition to the two summits. The Directorate’s resources have been overstretched, with too many meetings, too few staff and not enough money. To compound the situation further, there are difficulties in filling the many vacant positions (50%) of the Directorate. Ways must be found to ease this problem which certainly affects the Directorate’s capacity to deliver and on time.

With regard to needs in working tools and equipment, the Directorate would require assistance with capacity to be able to post documentation and conference information on line. Currently, this cannot be done as completely and as effectively as required because the website is accessible only through the intranet which is very slow, suffer many

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interruptions and cannot be accessed externally. Also, the incoming bandwidth is too narrow to accommodate external users. The VSAT needs to be upgraded and improved.

At present, the Department conducts its language work in the absence of a manual on African Union Terminology. This affects standards and quality. Assistance is needed in the preparation of such a manual. Work output and quality varies from unit to unit and from one language area to the next, calling for training and skills upgrading interventions.

Documents are distributed using CD/DVD, but lacking the burning/reproducing capacity, the service is procured from outside. The directorate needs CD printers, scanners and printing machines. As the directorate moves to the new expanded conference facility, it would need additional personnel to cope with the increased demand for services as a result of a probable increase in AU and other meetings. At present there are only three conference assistants and it will be difficult to provide effective service when simultaneous meetings are underway. Shortage of in-house interpreters will also be an issue. The main capacity issues affecting the Directorate are those of management authority, supervision and control; quality of work; coordination and team work; inadequate staff; and insufficient working tools and equipment. 5.2 Capacity Challenges in the Administrative and Support Service Departments and Divisions The strength of the Departments and Divisions that provide support services and administrative backstopping to the technical Departments, is critical to the performance and delivery of the various substantive programmes of the Commission. It is therefore important for them to be endowed with capacity and capabilities for providing such support in an enabling manner. If capacity for doing so is weak, so will capacity be for effective programme delivery in the Commission. This section therefore examines the capacity challenges facing these support service and administrative Departments and Divisions. 5.2.1 Department of Administration and Human Resource Development

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The Department is responsible for overseeing the operations of the support services of the Commission. It consists of five Divisions for Human Resources Management; Management and Information Systems (MIS); Administrative Services; Security and Safety Services; and Procurement and Travel.

The Department stated that the Commission needs assistance with the improvement of the work environment. What really is needed now is an ICT-based work environment that ensures ease of communication within the house as well as with offices away from headquarters, and with the various partners and stakeholders. One immediate benefit would be a drastic reduction in travel.

There are over ten peace missions all over the continent. Mission management is undertaken from within structures created for the internal management of the Commission. These were not designed for field offices away from headquarters to provide HR, finance, procurement, audit, etc. services in far away, sometimes remote environments. The UN has extensive experience in such matters. It should assist the Commission develop capacity in this area.

In the past, there have been fruitful partnerships with UN agencies through staff exchange and on the job training. Such partnerships need to be expanded. The kind of staff exchange in the Second Decade of Education for Africa programme, where staff from UNESCO were seconded to the Commission, was very effective and impactful. Highly qualified experts in planning, policy analysis and policy development could help enhance capacity in all the technical departments, where their input would be more on the policy formulation skills. A two-way staff exchange where experts could be assigned to AUC and some of the AUC staff are attached to the UN agencies to get hands-on experience would be very useful.

There is need for management training especially to help hone the communication and other such skills of Directors.

5.2.2 Division of Human Resources Management

The Division told the team that a lot of training activity takes place, thanks to the availability of ample funds for training. The bulk of these funds come from donor sources, although a small amount is voted from the regular budget. A Training Advisory Committee, composed of Department Directors is the body that administers awards. All told, there appears to be much ongoing training activity, although more still needs to be done to allow this function to be carried out on a more systematic and planned basis. Assistance would be required to help strengthen training along these lines, including the

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formulation of a training plan for skills upgrading in management, administrative and technical areas. Through the application of SAP software, HR, finance and materials management/procurement work has now been computerized. When fully operational, it would increase work efficiency. Although the training needs analysis that was conducted some years ago had identified the areas of intervention to have the skills of the former OAU staff members aligned with the new skills needs of the Commission, not much has been done by way of implementation, largely because of financial constraints. A comprehensive skills audit of the Commission is therefore still urgently needed. Career development is a neglected area. There are hardly any provisions for career planning and progression. It is not uncommon for staff to remain in one grade for decades, even though their performance is deemed to be satisfactory. The only alternative for advancement for such staff, is to leave the Commission for greener pastures elsewhere. In the main, this is what accounts for the high rates of attrition of professional staff that afflicts the Commission. There is a performance management appraisal system which provides for joint bi-annual goal setting and appraisal of results achieved between supervisors and their staff. However, the indicators have not been found to be objective or useful leading management to have the process suspended, pending its review and improvement. The following specific areas of intervention were identified by the Division: • Policy development and refinement of processes - rules, regulations and manuals

need to be developed and made operational. • Training and skills development in various areas to help align skills with the

requirements of the job; • Realigning the present structure of the Commission with evolving mandates; • Advisory services and training to operationalize the staff rules and regulations as well

as on recruitment policy and processes; • Assistance to formulate staff development policy and implementation strategy.

5.2.3 Procurement According to the Procurement Unit, the Commission engages in the procurement of a substantial amount of goods and services every year. With the heavy funding support

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from partners, the Commission is now required to follow procurement procedures which meet donor requirements, and it has to ensure that its procurement activities are undertaken in a legitimate and transparent manner. It has now become important and urgent for it to adopt international procurement procedures and standards. However, because of staffing and financial resource inadequacies, it has still not been possible to effect the needed change. Yet given the Commission’s deep dependence on donor funding, and the high standards they expect in the use of their funds, if the Commission is to continue enjoying their support, the Unit would need to be strengthened in terms of skilled staff in appropriate numbers so as to enable it adopt and apply these standards and procedures. Staff training would be an obvious requirement. The Unit’s capacity building needs are for advisory services, technical assistance and training in assets management, contract management and risk management. The Commission does not as yet carry out any activity in the important area of risk management. 5.2.4 Division of Building Management and Maintenance

The Division is responsible for all physical properties belonging to the Union, whether they are in Addis Ababa or elsewhere. It is responsible for the management and maintenance of the properties of the Union as well as for the upkeep of grounds, including landscaping, cleansing, garbage collection and disposal, etc. These functions are required in the present buildings that house the offices of the Commission and in all the offices away from Addis Ababa and the residence of the Chairperson. In addition, by 2012, it would have added to these, the new Secretariat Building and Conference Centre and later, the new residences of the Commissioners, the Peace and Security Building and the African Village which will be a permanent cultural/trade fair with a stall for each African country. At present, staff are scattered in some 20 locations around Addis Ababa. Many of the buildings in which staff have to work are not of the type that should attract major investments in capital and technological development. This therefore limits the extent to which the Commission can go in its drive to modernize its operations and working methods. For example, it has not been possible to connect staff in these locations to the LAN system, thus shutting them off from the Commission’s central electronic communications system. This has had an impact not only on communications with these offices, but also on coordination, monitoring and sharing of information. Hopefully, this problem will soon be solved once the new Secretariat Building is inaugurated and the staff move in. The building has more that 700 offices, which should go a long way in easing the space shortage problem that currently afflicts the Commission’s operational effectiveness. The Peace and Security Council Building is expected to be ready in 2013

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and should also contribute to removing some more of the space bottlenecks facing the Commission. While the new buildings will provide a more commodious working environment for the staff, they would also create new demands for capacity to make them fully functional and ensure that the necessary maintenance services are provided. When the new office buildings are ready, most of the staff of the Commission will be housed there, but many will still remain in the old buildings which are really not conducive in terms of good working environments, and would therefore need significant renovation and upgrading. There is only one professional in the Division although consultant engineers and architects are brought in from time to time to supplement staff strength. Currently, there is 1 maintenance provider, 4 technicians, 1 transport provider, 18 drivers, 2 consultant architects and 2 engineers. Although certain of the services such as cleansing are outsourced, the Division is nonetheless required to monitor and manage these activities. Staff members are overstretched and need significant strengthening, especially with all the added facilities that are due to come on stream beginning 2012. The Division would require at least an electro-mechanical engineer, one building automation engineer, a building engineer and assistant engineers to be able to meet the need. The Division intends to install an automated building management system and requires assistance with its installation and maintenance as well as training in its operation, maintenance and repair. Training is also required in the management of engineering services, including building maintenance and management. In short, the Division will need enhanced capacity for the management of the new automated facilities; additional human resources to ensure the efficient operation of the new facilities; and experience gathering in the management of such facilities through study visits and attachments. 5.2.5 Management Information Systems Division

The services of the MIS Division are among the core prerequisites for the operational efficiency of the Commission. If the Commission should claim to be a modern 21st Century institution, it must have a modern, professionally-operated state-of-the-art ICT system. This would ease and speed up communications and the generation and sharing of knowledge and information, which are all critical to the efficiency of any modern organization. ICT should be used as a key enabler of the Commission’s core strategies so as to bring about changes that will strengthen its capacity to fully carry out its mission by empowering staff to use technology effectively; providing monitoring and evaluation processes and tools; improving communications and information sharing tools, including

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discussion forums; providing appropriate content management tools, guidelines and standards to decentralize and so further strengthen the management of websites.

Prior to 2008, IT facilities and capacity in the Commission were rudimentary at best. There has since been a systematic attempt to develop and upgrade the system. At present, the Commission can boast of a functioning satellite communication system connecting headquarters to all the regional offices and the RECs. It has a web site hosted by UNDP in the U.S.A. The Division has implemented IMS to manage finance, human resources and materials management. The site-to-site connection to the 25 sites provides internet, voice, data and email services. However the operation has proven very costly, requiring a monthly outlay of some US$100, 000, half of which comes from partner contributions. The slow development of IT facilities in Ethiopia is partly the reason why the Commission had to rely on outsourced VSAT arrangements. However, it is understood that Ethio-Telecom has initiated action to have the band width significantly broadened, which when completed, will boost efficiency of the system and significantly reduce costs. Meanwhile, because of these and other factors, the quality and standard of ICT use falls short of expectations. The system can at present not fully tap into existing technologies for knowledge delivery and the improvement of services. It does not have access to the use of social media such as facebook and other such networks. Its video conferencing capacity is weak and needs to be significantly strengthened. All told, the ICT system needs upgrading and modernizing if it is to serve as a means of enhancing the capacity, efficiency and effectiveness of the Commission. Apart from these technical constraints, there are others deriving from the Division’s human resource capacity. It does not have enough staff to fully discharge its responsibilities. At present it is allocated only 8 professional positions plus some technical and secretarial staff. It also suffers from the problem of high attrition. For example the Division has lost six well-trained staff members in the last four years. Most of the IT equipment in use in the Commission require upgrading. The last bulk purchase for staff was in 2007. The situation is more critical at the regional offices and it has rendered it difficult to integrate these Offices into the Headquarters network. There is need to procure new state-of-the art IT equipment and solutions so as to improve staff productivity, ease internal and external communications, improve management practices, etc. Assistance is needed for the provision of IT equipment: Computers (desktop, laptops and accessories), smart Printers (standalone, networked, standard and colors) and scanners. Also required, is a unified communications system, including roundtable cameras and teleconference facilities.

 The IT skills of the staff of the Commission need to be improved. At present, training is provided on an ad-hoc basis and has become very expensive. Group training would be

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more cost-effective. In the last two years, the Commission has introduced a number of useful information systems to improve staff efficiency. However, online training tools and programmes should also be brought on board. The need therefore, is for assistance to set up a training center which is well equipped especially for group training, as well as an e-leaning system where staff can upgrade their skills.

The ICT tools of the Commission need to be modernized. Internet access has become as enabler of staff development and many organizations are using it for that purpose. Within the Commission, some Departments have resorted to the use of the internet for management, communications, etc. However the applications in use are not standardized and are proving to be costly. At present, Departments procure any IT system or application that they deem appropriate for the delivery of their work, without involving the MIS Division in the choice of that system or application. This has resulted in a proliferation of different applications and systems and has raised many support issues at the Division. For example, Departments are creating departmental websites hosted anywhere in the world and many applications at AUC are on many different platforms. These have made maintenance and support of these systems very difficult. The MIS Division was of the view that the Commission needs opportunities to learn from the UN IT strategy in order to be able to formulate a common framework where all these initiatives will be driven through the same policy. The Commission requires assistance to build an off-data center out of Addis Ababa i.e. in one of AUC regional offices out of Africa (perhaps New York?). This data center will help AUC to centralize all applications requiring a lot of bandwidth. The same data center can help AUC to build a business continuity of all its information systems.

The proposal is to procure a digital media signage system to optimize information collection, collaboration and broadcasting. For example instead of all staff using internet radio, an AUC TV and Radio channel could be created, whereby the system could download once and broadcast. This kind of system will definitely improve collaboration, webcasting, information and video sharing that can even be used for training.

There is need to introduce social networking as a means of enhancing internal communications and coordination. The proposal is to implement a social network at AUC so as to create a community of shared expertise within the organization where experienced and new staff can interact and exchange knowledge. 5.2.6 AU Medical Services Directorate

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The Medical Centre which has the status of a Directorate, provides coverage for all staff members and their dependents as well as personnel of African missions in Addis Ababa. This coverage extends to AU Offices away from Addis Ababa, in terms of provision of medical clearance, maintenance of records, etc. The Clinic operates round the clock every day. In all, more than 6,000 local residents are eligible to use the services of the Centre. In addition, all AU conference participants are under coverage by the Centre. Added to its routine clinical services, is the requirement that it provides services to field and peace keeping missions. Ideally, each soldier bound for mission duties should be cleared by an AU doctor. But this is often not the case. Perhaps UN doctors in troop contributing countries could be requested to provide this service on the Commission’s behalf. Also, mission planning often leaves out the medical needs, including equipment and supplies, personnel, etc. Then there is the administrative side of the service. Injuries, deaths and other conditions require extensive paper work, which, under ideal conditions, should be carried out by a team of full time professional medical workers. In the case of the Commission, these duties are shared among the handful of doctors and allied health workers on board. The Directorate needs technical assistance to help with handling all aspects of mission management. It also needs advisory services on HIV/AIDS policy in the work place and in the field.

The new Conference Centre will increase the pressures on the staff of the Directorate, with a larger volume of Conference participants having need of its services. It would therefore need advisory services from any one of the large UN duty stations on the management of medical services for large conference. The Centre has six full time doctors, and an X-ray technician, a pharmacist, a lab technologist and seven nurses. There are also technicians, dispensers and medical attendants. The staff complement is inadequate. It would therefore need technical assistance for the provision of the services of a clinical physician, a public health expert and an ENT specialist.

5.2.7 Directorate of Programming, Budget, Finance and Accounting

According to the Directorate, it has the mandate of ensuring that the principles of transparency, probity and accountability are observed in the financial dealings of the Commission. It plans, develops and implements the Commission’s financial and budgetary policies and programmes, ensuring a strict adherence to the rules and regulations so as to minimize risks.

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It prepares the Commission’s programme budget and controls and monitors its implementation. It manages both the regular budget and the partner funds and prepares periodic financial reports and statements. Accountability and good governance are important to the mandate of the organization, and the process of ensuring that these are established on a firm footing is currently under way. When complete, financial management within the Commission would be significantly strengthened. From 2003 to now, the AU budget has increased threefold, but the staff complement of the Department has remained virtually the same. At present, there are only 21 staffing positions assigned to the Department on the regular budget. These are supposed to service the needs of the entire system. Then they have to contend with outdated accounting systems and practices. The Commission therefore needs advisory services and technical assistance in the use of modern financial management systems such as SAP, and the International Public Sector Accounting Standards.

The Department stated that here is need to strengthen its Peace and Security Division in light of the ever increasing mandates in this area. The AMISON budget alone is over US$200 million. There are over 8 liaison offices in peace operations and some 15 offices scattered all over the world. There is need for capacity to match the ever expanding responsibilities in terms of quantity and quality. The Department suggested that since peace and security are areas in which the UN has much experience, it should assist the AU with its obligations in procurement, assets management, etc

Work is also needed on the financial rules and regulations to have them aligned with the new systems being proposed for use.

In 2009 the Directorate moved away from the outdated accounting application known as the Peachtree, to SAP. However, the installation of the new system requires capacity that the Commission lacks. Twelve staff members had to be sent for training to enable the system to be installed and operated both at headquarters and in the field. A third of those trained have already left the Commission for greener pastures. The Department recalled that tn years ago, the OAU budget was about US$40 million. By the time the AU came into existence, it had more than trebled to US$150 million. Today, it stands at some US$300 million. Peace operations and missions have an even bigger envelope which the Department has to manage. Yet the staff resources have remained largely unchanged. In addition to having to manage a much bigger budget, the Department is also to oversee the management of the budgets of all the Organs of the Union. Quality has therefore been adversely affected. And even time for staff training and development has been severely limited.

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5.3 Capacity Challenges in the Technical Departments It is largely through the work of the Technical Departments that the Union seeks to pursue its goals and objectives. The objectives and results envisaged in the Strategic Plan itself can only be achieved with the attainment of the objectives and goals of the Technical Departments: Political Affairs; Economic Affairs; Social Affairs; Peace and Security; Infrastructure and Energy; Trade and Industry; Agriculture, Rural Development, Environment and Natural Resources; and Human Resources, Science and Technology. Implementation of the Strategic Plan is through the implementation of the yearly Departmental Work Plans, as the Strategic Plan itself does not contain outputs and time lines. These feature in the annual Departmental Work Plans instead. A capacity building programme that is to be rooted in outputs and results would therefore have to be based, not so much on the Commission-wide Strategic Plan as on the annual Departmental Work Plans. The Work Plans for 2011 are coming to an end. Any future capacity building programme or plan can only assume that some of the activities in the current plans will roll over into future Work Plans. This is a plausible assumption, given the fact that Commission-wide, the programme implementation rate on the average, hovers around 60% annually. It must therefore be assumed that at least 40% of this year’s planned outputs will be carried over into the coming year and probably beyond. Since Work Plans are not formulated specifically on the basis of the Pillars of the Strategic Plan, but rather on Departmental priorities, this section of the report will examine the Commission’s requirements for attaining the objectives of the Pillars, Department by Department, rather than Pillar by Pillar. The composite, will give a more-than-fair idea of the capacity needs of the Commission in attaining the objectives of the Pillars. 5.3.1 The Department of Political Affairs

The mandate of the Department of Political Affairs is the promotion of democracy, good governance and human rights, as well as humanitarian assistance on the continent. The Department is also to promote Africa’s interest and image among international organizations, institutions and partners as well as with nations and peoples of African descent in other regions of the world. Its strategic objective as stated in the 2009-2012 Strategic Plan, is to strengthen continental integration and to promote good governance, democracy and human rights as well as to strengthen its capacity to respond to humanitarian situations. In so doing, it seeks to implement the Minimum Integration Programme and promote the free

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movement of people, capital, goods and services. It will also strengthen the architecture for the promotion of democracy and good governance, promote the observance and protection of human rights, develop and implement programmes aimed at strengthening African public services, fight corruption, and implement a continent-wide humanitarian policy. In pursuance of its mandate, its work programme in 2011 consisted of activities in the promotion of free movement of people; the formulation of human rights strategies; support to electoral institutions and processes; the design of an African governance architecture; implementation of a plan of action on refugees, returnees and displaced persons, including measures for the ratification of the convention on IDPs; monitoring of governance trends; harmonization of anti-corruption standards; formulation and implementation of an African human rights strategy; operationalisation of an African governance platform; and oversight and administrative backstopping of the work of AU offices in Cairo, Brussels, Geneva, New York and Washington. Funding of programmes is a great challenge. For example in 2011 the Department is supposed to monitor about 20 elections, some of them in difficult political and security environments. Yet no regular budget allocations have been made to facilitate the implementation of this part of their mandate. It is only thanks to the goodwill of partners that the Department has been able to deliver on this important mandate. Likewise, although the department has developed a governance architecture which provides for a platform of interaction with stakeholders, having it launched officially has encountered delays caused by resources problems. Governance is an important issue everywhere. The Department therefore suggested that the UN should assist in the dialogue by contributing to the platform and helping build capacity for it. Another area that has been affected is the all-important one of monitoring. The mandate of the Department requires that it has a window not only on happenings in member states, but also on occurrences and developments in other parts of the world. This ability to monitor regional and global events is severely circumscribed by its capacity limitations. For capacity to do so, creation of a functioning policy analysis Division might meet the need. Because it currently lacks capacity in this important area, it makes use of existing structures in the UN system for information that is relevant to its mandate. The Humanitarian Affairs, Refugees and Displaced Persons Division in the Political Affairs Division is responsible for instituting measures to respond to the many humanitarian emergencies arising on the continent. It is becoming increasingly necessary for it to mobilize funds to cope with crises and emergencies. Equally important is for it to have an effective early warning system in place. Though not involved directly in operations, the Commission is expected to be the first to call for humanitarian assistance when the need arises. To be able to cope with this responsibility, it should build capacity

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in the area of resource mobilization for disaster management; the development of a humanitarian assistance policy framework with resource mobilization, advocacy and communications components; and the development of an integrated early warning system.

All sub-cluster members contributed to the organization of the 2011 pledging conference, which was the Commission’s first attempt to undertake such as activity. Perhaps the UN should be called upon to do more in assisting with preparations for the holding of such activities in the future. The Division acknowledged that significant collaboration has been on-going with various

UN agencies in the areas of emergency response, early warning and disaster

preparedness. There is need to have this collaboration extended to enhancing capacity

for the protection of civilians in situations of conflict and natural disasters.

The Division is in the process of preparing an emergency relief framework with a large resource mobilization component and would require technical assistance and advisory services from the UN which has a lot of experience in this area. The AUC is not an operational organization. It therefore does not have any capacity for emergency logistics. It would have to rely on the UN’s logistics and networks. In the consultations with the Democracy and Elections Assistance Unit, which is also in the Political Department, the Unit stated that is under mandate to have an average of 18 elections observed annually. Logistical and financial constraints are such as to make it impossible for long term observation (the entire electoral process – registration, campaigning, polling, counting, announcement of results, etc.) to be conducted. In the circumstances, only short term (polling day only) observation is conducted. To supplement the information gathered from polling day observation, the AU usually goes for second hand information. All this affects the quality of the exercise as well as the credibility of the reports. UN observer missions could also help supplement the AU’s capacity for short term observation. There is an Elections Assistance Fund to which donors contribute monies. This Fund needs an expert to help with its management.

The Department needs technical assistance with election monitoring and policy research. Assistance with the implementation of the governance platform and with training on it, as well as with the formulation of the human rights strategy, is also needed. Access to the strong UN presence in member states to assist with monitoring, information gathering, etc. will also help greatly.

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5.3.2 Department of Human Resources, Science and Technology

The Department’s mandate is the promotion and coordination of human resources development and science and technology policies, including ICT on the continent. In so doing, it promotes research activities in science and technology as well as in ICT; strengthens cooperation among stakeholders in education and training; encourages a greater use of ICT, and of indigenous knowledge in science and technology; and promotes policies and programmes on youth empowerment and integration into the development process. The Department is made up of three Divisions: Science and Technology, Human Resources and Youth, and Education. Each of these Divisions has two officers, although Education and Science and Technology Divisions have been allotted two new positions in the January 2011 structure. And although new mandates in life and earth sciences and in biodiversity have been created, no new staff provisions have been made in the regular budget in response to this development. Technical assistance is needed to have the programmes in this area formulated, developed and implemented. In 2011, the Department’s work programme set itself out to implement a number of important activities. In the field of education and human resources development, it seeks to improve access and quality of education; establish a Youth Volunteer Corps and regional teacher training centres; put in place a framework for developing entrepreneurial, leadership and employable skills; see to the ratification of the African Youth Charter; and establish a Pan-African University. Under its Information Society Development in Africa programme, the Department seeks to enhance the use of ICT applications in Africa; provide connectivity to educational and research institutions; and establish internet exchange points in member states. Through its Science and Technology Division, a robust set of activities is planned for implementation to promote the use of science and technology for sustainable development in Africa; develop a framework for documenting and protecting traditional and indigenous knowledge systems; put in place bio-safety policy frameworks and develop regional guidelines on bio-safety; establish the Pan-African Intellectual Property Organisation; establish a framework and a policy on Science and Technology to monitor infectious diseases; establish an observatory on Science and Technology and the African Research Council; develop programmes for public awareness and participation in Science and Technology; and increase support for research through the African research grants/AU Research Mini Framework Programme.

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There are also big programmes that require assistance for their development and full implementation. One such programme is the Education Decade. Another is the Pan-African University. In ICT and Science and Technology also, there exist a number of initiatives that could do with the intervention of UN partners to facilitate their implementation. The most prominent of these is the African Science and Technology Consolidated Action Plan, which provides the framework for capacity building in the area of science and technology. Furthermore, since it is through these continentally-agreed programme priorities and strategies that the objectives of the Union are pursued, UN partners should align their own programme priorities and strategies with the AU’s. In this way, they will provide more meaningful support to the Commission and to member states in their efforts to attain their objectives. Policy may be developed at the level of the Commission, but its implementation takes place at the level of the member state. Capacity to follow up and monitor on policy implementation is weak and could do with much support from the UN. 5.3.3 Department of Economic Affairs The Department of Economic Affairs is mandated, among others, to initiate and promote policies and strategies aimed at strengthening the coordination of economic integration, harmonizing continental initiatives towards economic integration and developing regional cooperation. Further, the Department is responsible for the promotion of policies aimed at supporting investments and mobilizing resources for economic development. It comprises four (4) Divisions, namely Economic Integration and Regional Cooperation; Private Sector, Investment and Resource Mobilisation; Economic Policies and Research; and Statistics.

The Department is headed by the Commissioner for Economic Affairs, who provides the strategic direction and oversees the implementation of its mandate, functions and programmes. The day-to-day activities of the Department are carried out by the Director, who provides technical expertise toward the implementation of its mandate, functions and programmes and in so doing reports to the Commissioner for Economic Affairs.

The objectives of the Department are to coordinate, harmonize and facilitate all activities aimed at consolidating the integration process, at regional and continental levels; promote the effective establishment of appropriate links between regional Economic Communities (RECs); assist the establishment of African premier financial institutions, namekly, the African Monetary Fund (AMF), African Investment Bank (AIB) and African Central Bank (ACB), as provided for by the Constitutive Act of the African Union; facilitate the adoption of joint macroeconomic and sectoral policies adapted to the needs of the continent; promote international economic cooperation, particularly with economic groupings from other parts of the world; develop strategies aimed at resolving the debt crisis in Africa; assist Member States in initiating and formulating

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appropriate poverty-reduction policies; as well as mobilizize resources with a view to funding economic development programs and projects in Africa.

In pursuing its mandate the Department implements a number of priority programmes and activities which include:

• Facilitating the creation of African premier financial institutions

• Facilitating the creation of an African Stock Exchange

• Facilitating the creation of the Oil Fund, for oil importing countries

• Coordinating with the RECs and other stakeholders the implementation of the Treaty Establishing the African Economic Community

• Rationalization of RECs

• Coordination of AU-REC-ECA-AfDB Coordination meetings

• Implementation of the Minimum Integration Programme (MIP)

• Development of a continental-wide microfinance Action Plan and Policy

• Organization of Private Sector Forum, every year

• Facilitating the preparation of a Training Programme on Economic Integration in Africa

• Initiating and consolidate African Union partnerships with countries outside Africa and continents

• Developing policies to for the achievement of millennium Development Goals

• Organization of the annual statutory Conference of the Ministers in charge of Integration (COMAI)

• Organization of statutory meeting of Ministers of Finance and Economic Planning

• Preparating of Africa’s Integration Review publication

• Organization of the ‘ Fridays of the Commission’ open debates on contemporary economic issues facing the continent

In implementation its mandate, the Department had registered a number of achievements including the (i) elaboration of the Minimum Integration Programme (MIP) and associated Action Plan; (ii) integration of NEPAD into the AU structures and processes of the African Union (AU); (iii) on-going establishment of the three Pan-African financial institutions ; (ii); (iv) development and adoption of an African Charter on Statistics and African Strategy for Statistical Harmonization; and (v) progress in private sector activities, namely the adoption of the Mirco-finance Action Plan.

It works closely with UN agencies and programmes on integration, statistics, MDGs, economic and finance policies and in so doing also jointly publishes with those agencies

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publications, such as the Economic Report on Africa (ERA), Assessing Regional Integration in Africa (ARIA), MDG Progress Report, and the Statistical Yearbook. Other publications produced by the Department include the ‘African Integration Review’, the ‘Bulletin’; Statistics Yearbooks, and KeyStats on Economic Integration.

In terms of training the Department also worked closely with United Nations IDEP jointly organizing a training programme on integration for staff of the Commission, its Organs, RECs, Members States and other relevant stakeholders. Its additional training needs are in macro-economic analysis; econometrics and modeling approaches; statistical techniques and modern computing packages; policy development; development planning and developmental regionalism; budget management and control; comparative regional integration (governance, legal frameworks, monetary and fiscal policy etc, which could also include visit to other regional bodies ASEAN, MERCOSUR, CARICOM etc)

5.3.4 Department of Social Affairs In its consultations with the Department of Social Affairs the team was told that the latter has as its mandate, the promotion of a holisyic and human-centred approach to socio-economic development, as well as intra- and inter-sectoral coordination of the social sector with a view to alleviating poverty and improving the quality of life of the African people, in particular the most vulnerable and marginalized. In this, it addresses issues of health, nutrition, human settlements, water and sanitation, drugs, culture, sports and youth affairs. The Directorate has five Divisions, for Health, Nutrition and Population; HIV/AIDS, TB and Malaria; Culture and Sports; Labour, Employment and Migration; Social Welfare, Vulnerable Groups and Drug Control. It also houses the Secretariat of the African Committee on the Rights of the Child; the Centre for Oral Tradition (CELTHO) in Niamey, Niger; and the Academy of African languages (ACALAN) in Bamako, Mali. The Department aspires to play a leadership role in ensuring the overall coherence of social development programmes in promoting, monitoring and evaluating associated policies and strategies. Thus, during the remaining of the Strategic Plan, (2009-2012), the Department has identified three broad outcomes:

• Social policy coherence and social protection for all African peoples , in particular vulnerable groups is advanced

• Human capital developed • Social integration and African renaissance promoted through culture and sports.

The outputs listed below are the guiding principles that aim to realize the first outcome on social policy coherence and protection.

• The rights and welfare of the African child promoted

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• The AU Plan of Action on Drug Control and Crime Prevention (2007-@012) implemented

• Social protection for migrant workers and vulnerable groups promoted in Africa • The African Remittances established • Policies and programmes on social development styrengthened and implemented.

The second outcome for the Department will be to ensure productivity potential of Africans increased by encouraging investments in human capital through proper and relevant interventions with the following outputs:

• Access to health facilities facilitated • Mechanisms for implementation of programmes on informal economy instituted • Implementation of the Ouagadougou Declaration and Plan of Action on

Employment Promotion and Poverty Alleviation promoted • Productivity agenda for Africa promoted

The third and final outcome aims to promote social integration and African renaissance through various cultural and sporting activities with the following specific outputs:

• Policy framework for the sustainable development of sports in Africa developed • African cultural policies harmonized and renaissance campaign promoted • Capacity to enhance cultural policies and programmes enhanced • Implementation of the new architecture for sports development in Africa

facilitated • Strategic partnership in sport for development in Africa promoted.

Through the cluster system the Department has been enjoying tremendous support from the UN system particularly ILO, IOM, UNDP and UNICEF. They provided invaluable support, including in the preparation of the policy papers on Youth and on Maternal Health that went to the Summit in 2009 and 2010. The Department needs technical assistance to strengthen its capacity for advocacy, to formulate programmes on issues of migration and development; and in information and data collection and management, especially in important fields such as health, employment, nutrition, CARMMA, Pharmaceutical Manufacturing Plan of Action (PMPA), social protection, youth employment, labour market information, human trafficking, drug trafficking and abuse, etc.

5.3.5 Peace and Security Department The team met staff of the Department working in the Peace and Security Council Secretariat, the Panel of the Wise, the Defence and Security Department and the Post

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Conflict Reconstruction Unit. It was unable to secure appointments with the Peace Support Division and the Early Warning System because of the unavailability of the staff in question who were away on official assignments. The Department’s mandate is to promote peace, security and stability on the African continent through conflict prevention, management and resolution initiatives. Its main function is to build a peace and security architecture. In so doing, it seeks to achieve the following: development of a common defense and security policy; establishment of an African Standby Force; creation of an effective early warning system; and the promotion of measures that support political actions in the pursuit of peace, security and stability. In its 2011 work programme the Department is to manage and implement post-conflict reconstruction programmes; support cooperation in the delineation and demarcation of borders; see to the adoption of anti-terrorist laws and the ratification of the Chemical Weapons Convention; operationalize the African Centre for the Study and Research on Terrorism, and the African Commission on Nuclear Energy; promote policies on small arms and light weapons as well as on security sector reform. It is also to develop a plan of action on anti-personnel landmines. The Secretariat of the Panel of the Wise explained that that body is a conflict prevention mechanism consisting of eminent Africans who intervene to prevent or stop conflict on the continent. It is part of the Peace and Security Architecture of the AU. (Other members of the PSA are Early Warning, Stand-by Force and the Peace and Security Council). Its mandate is to undertake mediation and conflict resolution including good offices, dialogue, etc. It receives reports from all the other members of the Architecture. It is supposed to monitor developments throughout the continent and be able to anticipate problems before they flare up. Included in its mandate, is the conduct of research and policy analysis, but its administrative responsibilities and heavy work load added to the paucity of staff, do not allow it to devote much time to these important functions. There is also need in capacity for analysis and reporting. The Panel must have strong capacity for policy work and analysis, for anticipating impending crisis situations and prescribing corrective measures. It therefore requires that a permanent think tank be created. The UN could assist in the establishment of such a think tank. There are Panels of the Wise in all the RECs. There is need for their respective activities to be monitored and coordinated by the AUC’s, as well as for the results of their work to be channeled upwards to the Commission. It was suggested that the DPA and DPKO could assist in meeting the need for monitoring regional and global trends, for early warning signs of conflict, etc.

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The Secretariat of the Peace and Security Council would benefit from some staff additions. At least two more staff members, one francophone and the other lusophone would help greatly. The Secretariat of the Council also needs help with capacity for early warning as well as orientation and training on the enforcement of sanctions. This could take the form of advisory services or attachments at the Sanctions Unit of the UN in New York. Through its Defence and Security Division, the Department has ventured into new areas of importance to the continent: disarmament; small arms and light weapons; chemical, biological and nuclear weapons; maritime security; terrorism; DDR; security sector reform; etc. It is also establishing the African Commission on Nuclear Energy. The Commission does not have much technical or logistical capacity to develop and implement programmes in most of these areas, it therefore works closely with partners in the UN family particularly UNOAU as well as civil society organisations in programme development and implementation. The Division has only one regular staff member and four others on short term basis. These are supplemented from time to time with consultancy services. It needs advisory services and technical assistance in policy development and implementation. An urgent requirement is for a counter terrorism expert with legal expertise. The Department’s programme in post conflict reconstruction and development requires technical assistance to have a new crisis management structure set up, activated and managed. An African Solidarity Initiative has recently been embarked upon, which is meant to mobilize indigenous human, material and financial resources for rebuilding activities in post-conflict countries. It needs assistance to popularize the Initiative and staff support to activate the Secretariat. The Unit noted that in the area of peace building, the UN has a presence in the same countries as the UN Peace Building Programme. Accordingly, there needs to be developed direct lines of cooperation between the two in the implementation of each other’s peace support activities. 5.3.6 Department of Agriculture, Rural Development, Environment and Natural Resources (DREA) The mandate of the Department is to promote the continent’s agricultural, environmental and natural resource agendas at the country, sub-regional and regional levels. The Department promotes the pursuit of policies that support the development of

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the rural economy through increased production and productivity and in environmentally sustainable ways. Its core functions include the formulation of strategies for food security; the promotion of technologies that enhance agricultural productivity and rural development; combating drought and desertification; encouraging research and policy development in areas critical to Africa’s agricultural and rural development such as productivity issues, climate change, drought and desertification, trans-border water management, land policy etc. The Department’s portfolio is wide, covering nine broad areas: agriculture, livestock, fisheries, land, water, environment, climate change, and disaster risk management. In addition it oversees the activities of six technical institutions: Inter-African Bureau for Animal Resources, (IBAR), Inter-African Phytosanitary Council (IAPSC), Pan-African Tsetse and Trypansomiasis Eradication Campaign (PATTEC), Pan-African Veterinary Vaccine Centre (PANVAC), Semi-Arid Food Grains Research and Development (SAFGRAD), and Fouta Djallon Highlands Integrated Regional Programme Coordination Office. It has one Directorate with three Divisions under it: Water, Natural Resources and Environment; Agriculture and Food Security; and Rural Economy. It implements a major programme in a number of African countries: the Comprehensive African Agricultural Development Programme (CAADP). Under this Programme, the Department, working with partners, notably the NEPAD Planning and Coordinating Agency, is drawing up a policy framework for rural infrastructural development; getting regional agricultural inter-technical institutions, such as SAFGRAD, IAPSC, etc., align their programmes with the needs of CAADP; developing commodity value chains; developing country capacity for implementation of the Land Policy Initiative. It has 24 outputs planned for 2011, all of which are partner funded. 29 African countries have already bought into CAADP by developing their respective Compacts. Under its Environment and Natural Resource Management programme, it seeks to harmonize and coordinate environmental policies; develop integrated frameworks for water and natural resource management; improve metereological data and information systems; see to the implementation of the Regional Strategy on Disaster Risk Reduction; and the development of the climate change adaptation and mitigation strategies. The programme on Animal Resources Initiative has 30 partner supported outputs involving the collection of data and information on animal resources in Africa; policy analysis; the conduct of campaigns to eradicate the tsetse fly and tripansomiasis; provision of support for the establishment of the monoclonal antibody production technology in PANVAC (the Pan African Vaccine Centre); and programmes and coordination mechanisms for the control of transboundary animal diseases.

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According to the Medium Term Comprehensive Capacity Building Programme drawn up by DREA and NEPAD primarily for the implementation of the CAADP, capacity challenges were posed by the constantly expanding mandates being assigned to DREA, without a corresponding expansion of the resource base allocated to it. Also, problems of coordination and coherence with contiguous programmes within the Commission have contributed to reducing its delivery capacity. The Department’s programmes, once adopted by member states are then to be implemented by them. Its role thereafter is to report on rates of implementation. This requires monitoring and information gathering for which it lacks capacity. The Department suggested, therefore, that partner agencies of the UN with a presence in African countries could make these programmes their own and assist countries in their implementation, monitoring progress in this regard and sending periodic reports to the Department. The Department needs assistance to have the indicators of implementation in a field as wide as agriculture, agreed upon by member states and properly standardized. At present, when a country claims that it had spent a certain percentage of its budget on agriculture, it is not clear whether the expenditures claimed also cover investments in rural infrastructure or health, etc., or whether it is in agriculture in its narrowest sense – crop production, animal husbandry, etc. It is important for all stakeholders to agree on a precise definition of “agriculture” to help refine and standardize indicators used to measure its performance in African countries. Assistance is needed in this area. Also, it needs assistance to strengthen its capacity to coordinate and harmonize actions of member states around issues of common concern. At present, mechanisms for doing so are weak. Capacity building is also needed in negotiations, advocacy and lobbying, staff strengthening and skills upgrading in areas such as disaster risk management, vulnerability assessment, programme design and management, and report writing. 5.3.7 Department of Infrastructure and Energy At its meeting with the team, this Department stressed that it is one of the major drivers of the integration agenda. Its mandate is to accelerate the development of the transport, communications and tourism infrastructure, improve efficiency of services, and promote the sustainable exploitation of energy. Its core functions call for it to coordinate and harmonize policies and regulatory frameworks for all transport and communications modes; promote policies that enhance the development of tourism on the continent; and coordinate and harmonize policies for the sustainable development of energy. In so doing, it conducts studies and research as

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well as workshops and seminars, formulates and implements projects and supports the work of its technical networks and committees. In transport and tourism, it is developing a number of transport corridors in Africa. It harmonises tourism policies; assists with the formulation of strategies for the Africa Bridge Project and the improvement of road maintenance. It has activities also for the strengthening of railways and maritime and inland water transport systems as well as for the adoption of common air transport policies. In the field of energy, it intends to create an African Petroleum Fund; undertake a study on solar energy for electricity generation; develop a strategy for the implementation of the Inga Power project; develop the continent’s geo-thermal energy, hydro power and bio fuels potentials. It also plans to develop African refineries and a data base and data bank for information on energy issues. The Department sets itself out to establish an African Space Agency; conduct a study on a Postal Masterplan for Africa; develop communications and ICT infrastructure as well as a continental e-application infrastructure. It also seeks to establish a Pan-African e-Network for tele-education and tele-medicine. In addition to all of the foregoing, it is implementing a Programme for Infrastructure Development in Africa (PIDA), along with important partners and stakeholders such as NPCA, EU and the UN. PIDA is the strategy and framework for infrastructure and energy development from now to the year 2040. In addition to its 20 large projects, it has at least 20 other outputs in its 2011 Work Plan all to be implemented by a staff of 15 Professionals. The Department has two Divisions: Transport and Tourism, and Information Society. Divisions and units contain no more than one or two professionals each. Important programmes such as maritime, roads, hydro-electrical and geo-termal energy, have no regular staff. Air transport has only one official with no legal background, which is where the need is greatest. The Department deals with many technical infrastructural projects, but has no in-house capacity for their administration. It therefore needs a projects administrator as well as a specialist planner for its infrastructural projects. The staff on board may be technically qualified in their respective fields of engineering, science, etc. but are somewhat deficient in certain specific areas of management in which they require expertise to be able to carry out their duties effectively. Assistance is

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therefore needed in project preparation, planning, management, monitoring and evaluation. The Department has great difficulty with the generation and application of information and data on matters of infrastructural development in Africa, for project formulation and planning purposes. It therefore requires assistance to strengthen its capacity to meet its information and data needs. Modeling capacity has been weak because there does not as yet exist an African framework within which models can be built. All the models currently in use are from other parts of the world, where conditions are vastly different from what obtains in Africa. The Department would wish to collaborate with the UN in creating a framework for building realistic models for decision-making and planning of infrastructural and energy projects. One area of great difficulty is the capacity to implement decisions. In the field of energy and infrastructure, many decisions have been taken, but few have been implemented. This is partly due to inadequate capacity to follow up and monitor events at the country level. The UN with its extensive presence in African countries, could cooperate with the Commission to have this problem addressed.

5.3.8 Department of Trade and Industry

 This  Department contains within its mandate, one of the important drivers of the integration process. In developing appropriate policies, programmes and strategies in trade and customs matters, it could transform the African continent into a formidable trading bloc and improve intra-continental and external trade. Its programmes in industrial development could help lead to the socio-economic transformation of the continent. The Department has programmes for increasing Africa’s participation in and benefits from carbon trading initiatives; strengthening its regional and multilateral trade negotiation capacities; harmonizing continental trade and customs laws and procedures; and supporting the implementation of the Accelerated Industrial Development for Africa Plan of Action as well as the Africa Mining Vision.

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Its capacity building requirements are for training in trade and industrial policy analysis and development, international trade negotiations, and trade facilitation measures. It also requires assistance in building capacity in research and in the development of trade statistics. It suffers from some skills gaps, e.g. expertise in carbon trading, and would need technical assistance to fill these gaps. It would also require help with a roster of experts in various fields of trade, customs and industry, which it could use to identify good candidates for short term consultancy work. Implementing its mandate calls for monitoring developments in African countries. Its capacity for doing so needs to be strengthened and it would therefore wish to have the UN presence in member states brought in to help with country reports as and when needed. It also needs to enhance its capacity to more effectively undertake multilateral trade negotiations and ratify and domesticate international trade rules and agreements. It needs to be enabled to assist member states in their efforts at automation of trade procedures (e.g. customs clearance procedures) and in the implementation of continental flagship industrial development programmes such as Accelerated Industrial Development Plan of Action (AIDA), the 3ADI, and the AMP. It expects that through the Cluster on Infrastructure, it will enjoy the support of the UN family in the organization of workshops, seminars, conferences etc. on trade, customs and industrial development issues.

The Citizens and Diaspora Directorate

The Citizens and Diaspora Directorate is responsible for mainstreaming non-state actors, namely NGOs, trade unions, faith-based organizations etc, into the work of the Union. It ensures that they participate fully in all sessions of the Assembly and that they are part of the ECOSCOC structure. In addition, the trade unions have their separate forum as do the faith-based organizations. The Directorate is also responsible for developing the Commission`s engagement with the Diaspora in Europe, the Americas ,and the Caribbean It is currently engaged in building structures ,engaging them in the activities of the Union, and exploring ways of harnessing the tremendous resources at their disposal towards Africa`s development needs. Its main functions , therefore, have to do with advocacy and outreach. These are affected by capacity inadequacies brought about by communications limitations within

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the Commission. It, therefore, requires assistance with the development of a robust communications and advocacy strategy, using modern ICT tools and applications. It also needs technical assistance to help with the implementation of its activities .In this ,the priority need is for a high level consultant to assist in engaging corporations, religious groups, foundations, funds ,and personalities in the diaspora in the continent`s development endeavours. The Directorate needs technical assistance to organize ECOSOCC into clusters and to develop a structural data base.

5.3.9 Observations Made by a Special Session of the Commission

Subsequent to the elaboration of the initial draft of this report, based on the collation of information which resulted from the engagement with the individual departments of the AUC , it was submitted to a special session of the Commission ,attended by the Deputy Chairperson and Commissioners. A number of observations were made, including one to the effect that there was need to acknowledge that since the inception of the AUC, some progress had been made in both the service and technical areas of the Commission, due to the efforts of the AUC itself .Consequently any proposed programme such as the one that the team of consultants had worked on in the context of the TYCBP, should endeavour to build on those gains and fill any gaps that might still exist.. Stress was also laid on the need to acknowledge the ownership of the process by the AU Commission itself and based on its own understanding and unique experience of its needs. There was in fact, the need to nurture an organisiational culture more suited to the AU`S mandate as an integrationist organization, rather than a mere international bureaucracy.

VI. SUMMARY OF IDENTIFIED CAPACITY GAPS It can thus be seen that there are serious capacity gaps in every one of the Departments and Programmes of the Commission. While some are peculiar to certain programmes only, most are common to, or affect all of them. Issues of structure, management, staffing, finance, working tools and equipment, etc., all contain deficiencies which affect the capacity of the Commission generally, to deliver. These are summarized below. 6.1 Administrative Processes and Procedures and Practices Some of the administrative processes, procedures and practices currently in operation in the Commission need to be streamlined, simplified and made to operate more efficiently. The services of a team of advisers are needed to help the Commission achieve this without compromising administrative and financial efficiency and accountability.

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6.2 Staff Resources There is also a certain amount of skills deficit. Opportunities for skills upgrading and self development are limited and knowledge management is still work in progress. In addition, the Commission has taken on new mandates without having on board the expertise to have them executed, thus further widening its capacity gaps. Staff rules and regulations appropriate for the new mandate of the commission were lacking until very recently, when they were introduced in 2010. But because of financial problems, they are being implemented selectively. It must be said that they do contain many provisions that make for a more effective management of the staff of the organisation, even though they would need to be revised from time to time to reflect new developments.

6.3 Financial Resources At present, member states contribute no more than 7% to 8% of the programme budget. The Commission looking into the possibility of tapping into alternative sources of funding to supplement member states’ contribution and so lessen the dependence on partners. 6.4 Management Programme coordination and communication within and between Departments needs much improvement. Management seminars, workshops, etc. would go a long way in addressing some of these challenges. A results-based approach to programming has been formally adopted in the Commission, putting it into practice is still very much work in progress. Also, although there were encouraging initiatives aimed at upgrading and modernizing the financial management system by introducing modern management tools such as MIS and SAP, the application of these tools to day-to-day operations is still incomplete on account of the lack of capacity to do so. The same is true of the attempt to adopt the use of the International Accounting Standards (IPSAS) throughout the system. 6.5 Outreach Part of the Commission’s mission is to reach out not only to Governments, but also to civil society, the diaspora and the ordinary man and woman in the streets of Africa. Connecting with all these stakeholders has been proving rather challenging. Information about its activities and achievements is not disseminated widely enough, its programme on the African diaspora is still in the process of being developed, as is its

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communications strategy. As a result, the Union is not as well known as it should be in member states and among stakeholders. There are problems with tracking and monitoring the implementation of decisions at the country level. There are also difficulties with enforcement of protocols, treaties and conventions agreed upon by member states because the ratification process takes too long – an average of five years. Communication is key to addressing outreach and image issues. The use of modern communications tools – social media, web sites, radio, etc. - would be instrumental in improving the Commission’s capacity in these areas. They could be used very effectively to better brand the Commission and connect it more strongly with all its stakeholders. Strategies for achieving this have to be formulated. Unfortunately, these tools and strategies still have to be sufficiently developed within the Commission.

6.6 Programmes Programmes suffer from inadequate financial support. In some Departments it is the shortage or absence of applications, tools and equipment that constitutes the main depressant of work quality and effectiveness. In others it is management shortcomings. Knowledge management is also another factor as is the insufficient opportunities for training, skills development and self development. Monitoring of programme implementation in member states is a challenge for all Departments.

6.7 Working Tools and Equipment The Commission needs to have its ICT and MIS capacities modernized and upgraded. This is important for enhancing efficiency and effectiveness in the administration and management of the institution, in its ability to communicate with all stakeholders and partners was well as among its various Departments and Offices, and in its bid to achieve greater cost-effectiveness in the implementation of programmes. It should avail itself of modern IT equipment such as desk tops and lap tops, printers and scanners, roundtable cameras, teleconference and automated facilities management equipment, etc. Its web site design and management also needs significant improvement.

VII. PROPOSED AREAS FOR INTERVENTION IN CAPACITY BUILDING

In what follows, a summary is provided of the interventions required to have the identified gaps filled and the challenges addressed. These are the Commission-wide

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requirements as well as in some administrative and support areas. The specific requirements of the technical Departments are also dealt with.

7.1 General Administration

Assistance is needed with advisory services in HR, especially in recruitment, staff appraisal and performance evaluation and the development of a career policy and plans, as well as to draw up a proper skills profile and a comprehensive post classification exercise for the Commission.

Procurement: Training for staff of Procurement Division; building capacity in

procurement for peace keeping operations; support in providing necessary staffing levels for effectiveness especially with improving turn around time on delivery.

Assets Management: Improving the inventory management system; inventory management software and training; assets management for peace keeping operations.

Buildings and Facilities Management: Assessing capacity needs for the effective and sustainable management of the new office facility in terms of: estates, gardening and landscaping, maintenance of electro-mechanical facilities and related services.

7.1.1 Human Resource Management and Development:

Building capacity in recruitment to reduce and maintain current high vacancy

rate on regular positions to a set (lower) target, say under 10%; reduce turn-around time in recruitment to a set target; cater to the staffing needs in peace keeping and peace operations more effectively; develop strategies to establish credible rosters especially for positions in peace keeping.

Establish and/or strengthen Unit in HR exclusively on the needs and activities of the Directorate of Peace and Security.

Strengthen the function on compliance (Internal Audit reports and related

issues) to follow up on the implementation, monitoring and evaluation of matters of internal controls related to HR, enforce discipline and by so doing, increase partner confidence in the organisation’s structures and systems.

HR Policy Development and support: Provide support in the form of

experienced consultant/consultancy services to advise on and help develop operational policy guidelines (manuals and administrative guidelines) on the implementation of the new staff rules and regulations.

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Undertake a comprehensive staff audit and position classification exercise.

7.1.2 General Administration and HR in Peace Keeping Operations

Provide capacity in the form of experienced consultants to help develop

operational guidelines in peace keeping with specific focus on procurement and assets management; human resources with particular focus on entitlements and welfare including issues of insurance and medical matters; and financial management.

Structured training and orientation programmes for staff of the Departments of Administration and Human Resource Development and Finance on the nature, programmes, activities and general operations of peace keeping missions. The medium-to-long term objective here is to build capacity in and prepare these two critical service Departments to appropriately react to and provide for the rapid response demands entailed in setting up and operationalising peace keeping missions.

7.1.3 Conference service management:

Support with consultancy services on efficient freelance and short term staff management methods for language staff (issues on: rostering and rotation of language staff; cost control and maximization; maintaining geographical balance in hiring; and day to day management of language staff).

The introduction of When Actually Employed (WAE) contracts for freelance.

Consultancy and Advisory services on the re-employment of retirees as freelance.

7.1.4 Support to the organization’s annual training budget for general institutional development and capacity building.

8.1.4.1 System Wide Management Training Needs

Management supervision and leadership skills (policy formulation,

coordination, team work, mentoring, etc.) Monitoring and evaluation Management of information and communications systems Knowledge management Assets, contract and risk management Negotiation and reporting skills

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Programme management skills (log frame development, outcome and impact analysis, etc.)

Computer assisted translation Collection, analysis and use of conference statistics Web site management Translation skills upgrading Third language training for interpreters

7.1.4.2 Advisory Services

Preparation of manuals Conference management (planning, documentation management,

etc.)

HR management (recruitment regulations and procedures, career planning and staff development, vacancy management, staff appraisal and periodic evaluation, etc)

Professionalization of the Commission Development and strengthening of statistics and data systems Restructuring of the partnership funds Development of a policy think tank Organisational re-engineering including position classification,

aligning the structure of the Commission with evolving mandates, etc.

On-line distribution of conference and other documentation Alternative methods of consultation with distant partners and

stakeholders to reduce travel.

7.1.4.3 Technical Assistance

Conference services management Institutional strengthening A comprehensive skills audit Preparation of the 2013-2016 Strategic Plan

7.1.4.4 Assistance in the Development of Financing Strategies and Mechanisms

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• Assist the Panel of Eminent Persons working on financing of the Commission, using the vast experience and expertise of Funds and Agencies and Programmes such as UNDP, UNICEF, WFP, etc. to provide advisory services on funding strategies and mechanisms.

7.1.5 The Oversight Offices and Technical Departments The following interventions are required to address the identified capacity gaps in the oversight Offices and Technical Departments: 7.1.5.1 Strategic Planning Advisory services and technical assistance are required to develop a framework for the application of the African Monitoring and Evaluation Tool; to activate and make operational, the Policy Analysis and Research Division; to investigate the feasibility of developing a policy think tank; and for a review of the implementation of the 2009-2012 Strategic Plan and for the preparation of the 2013-1016 Plan. These services are needed also for the design and installation of an RBM/PMS programme, including hotline support, indicators data base, etc. Training of trainers is needed to upgrade skills in results based management, programme planning, budget preparation and monitoring and evaluation using the African Monitoring and Evaluation Tool. Technical assistance is required to set up a statistics and data management system as well as for the modernization and automation of the library and archives. 7.1.5.2 The Office of Legal Counsel Training through formal courses and attachments required in law of the sea, space law, international trade law, maritime law, cyber crime, terrorism, etc. It also needs attachments and study visits in UNOLA and the International Law Commission to improve its skills in treaty making, the performance of depository functions, etc. Training is also required in legislative drafting, international commercial arbitration, negotiation and dispute resolution, and report writing. Assistance is needed to upgrade its data management and storage systems as well as its archive. It needs the cooperation of UN offices in member states to help with speeding up the processes of ratification of agreements, treaties, etc.

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It also needs technical assistance to supplement the Office’s staff strength. 7.1.5.3 Political Affairs The Department requires technical assistance for the take off and operationalization of the African Governance Architecture and Framework; for resource mobilization for disaster response and follow up, monitoring and information gathering on programme implementation; for early warning and monitoring of regional and global trends; for the management of the Elections Assistance Fund; and for the formulation of a human rights strategy. It also needs assistance for the implementation of the Shared Values Work Plan and for the preparation of a roster of experts for the APRM. Assistance is needed for the development of a humanitarian response policy framework with resource mobilization, advocacy and communications components; and the development of an integrated early warning system. The Department expects much advice and assistance with the organization of future pledging conferences. 7.1.5.4 Human Resources, Science and Technology The Department needs technical assistance to formulate, develop and implement its new programme on earth and life sciences, and on climate change. It also needs to have strengthened, the engagement with the various UN bodies in the implementation of large continental programmes such as the Second Education Decade, the Pan-African University and the African Science and Technology Action Plan, by aligning their respective programmes in these areas, with those of the Union. It also needs assistance with monitoring of implementation of policies and programmes at the national level. 7.1.5.5 Women, Gender and Development The Directorate needs technical assistance to activate and manage the Fund for Women, and for assistance with project staffing to operationalize the Women Resource and the Women’ Rights Divisions. 7.1.5.6 Peace and Security

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The Department needs technical assistance to activate and develop its policy research, analysis and reporting functions, and to set up a think tank; to supplement its capacity for monitoring global and regional trends for strategic response preparedness; and staff (one francophone and one lusophone) for the Secretariat of the Peace and Security Council as well as staff to activate programmes in the new areas of interest to the Commission such as disarmament, small arms and light weapons, chemical, biological and nuclear weapons, maritime security, terrorism, etc. It also needs a counter terrorism expert with legal expertise as well as an expert to help operationalize the Chemical Weapons Convention. Training through attachments and study visits are required to strengthen capacity for sanctions monitoring and enforcement; for drafting of technical documents. It requires continued UN support for the full establishment of the African Nuclear Energy Centre 7.1.5.7 Department of Rural Economy and Agriculture (DREA) DREA needs assistance to strengthen its capacity to coordinate and harmonize actions of member states around agreed issues of common concern in the nine fields that comprise its portfolio. It also needs training in important areas uh as negotiations, advocacy and lobbying, as well as in risk management, vulnerability assessment, programme design and management and report writing. It needs technical assistance for the development of key indicators for planning, monitoring and evaluation 7.1.5.8 Infrastructure and Energy The Department needs technical assistance for the administration of its infrastructure projects and to develop customized information and data base for planning projects. It also needs a specialist planner for its infrastructure projects. It needs advisory services and technical assistance in developing appropriate models for energy and infrastructure projects, and on ways of tapping into the UN’s country networks for information gathering and monitoring of implementation. It needs training in project preparation, planning, management, monitoring and evaluation. 7.1.5.9 Trade and Industry

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The Department needs advisory services and technical assistance for the development of policies, programmes and strategies in trade and customs matters; for strengthening its multilateral trade negotiation capacities; for harmonizing continental trade and customs laws and procedures; and for the implementation of the Accelerated Industrial Development for Africa Plan of Action and the African Mining Vision. It needs training in trade and industrial policy analysis and development; international trade negotiations; and trade facilitation measures. It also needs technical assistance in the development of trade statistics and in research, and for the preparation of a roster of experts in various fields of trade, customs and industrial development. It needs assistance to supplement it staff strength particularly in areas such as carbon trading. It also needs to be enabled to assist member states in the automation of trade procedures and in the implementation of programmes such as IDAPA, the AMV and the 3ADI. 7.1.5.10 Social Affairs The Department needs assistance to strengthen its capacity for advocacy, to formulate programmes on issues of migration and development, nutrition, ACARMMA, PMPA, social protection, youth employment, labour market information, human trafficking, drug trafficking and abuse; and in information and data collection and management, especially in important fields such as health, employment, nutrition, youth employment, etc. 7.1.5.11 Economic Affairs The Department is collaborating with IDEP in the provision of training on important areas of relevance to its mandate such as economic integration. It needs additional assistance in training in macro-economic analysis; econometrics and modeling approaches; statistical techniques and modern computing packages; policy development; development planning and developmental regionalism; budget management and control; comparative regional integration (governance, legal frameworks, monetary and fiscal policy etc, which could also include study visits to other regional bodies ASEAN, MERCOSUR, CARICOM etc)

VIII. SUMMARY OF CAPACITY DEVELOPMENT CHALLENGES, GAPS AND INTERVENTIONS

Programme/Department/

Division

Highlights of capacity challenges

Specific Capacity Gaps Proposed capacity Development Intervention

System Wide An efficient M&E system for intra-departmental and system-wide monitoring and

Need for enhanced skills in M&E

AS/Training to assist with the development of ME framework and train staff

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evaluation lacking. Need for the formulation of HR policies, systems and mechanisms for attracting, developing and retaining good quality staff and promoting good management, leadership and supervisory practices in the Commission. Upgrading of departmental registries and archives for Improved policy formulation, programme development and management decision-making and for providing up-to-date information on and for Africa, and for re-branding the African Union Commission in the context of its institutional transformation. Need to strengthen management of change Need to Strengthen RBM through across the board training of staff Need to improve negotiation skills Reporting skills need to be upgraded Programme managers and their senior staff would benefit from enhanced programme management skills Statistics programmes need improving Strategic studies are not undertaken

Urgent improvement in human resources management Modernize archives and registries and establish good knowledge management system Management in need of re-orientation towards change RBM skills to be substantially improved Strengthening and enhancing negotiation skills Reporting skills need improvement programme Managers skills to be improved Strengthen the statistical system Capacity to undertake strategic studies need to be built

AS/TA in HR management AS/TA on establishment of knowledge management system and training to potential users

Training in change management , communication and other general management areas to directors and division heads Training: AUC wide training in RBM and Program Cycle Management, team skills, MS collaboration Training in negotiation skills

   

Training in reporting skills     

Training in log frame development, outcome and impact analysis, indicators base, etc. TA assistance in the development and strengthening of statistics and data systems TA to create research capacity

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Need for review/ redesign the commission’s structure.

Organizational structure to be properly aligned to mandates

     

AS on the reengineering of the Current structure

Strategic Planning:

Need support in preparing 2013-2016 Strategic plan as well as create in-house capacity in the process.    

M&E based on results needs to be introduced. The African Monitoring and Evaluation tool exists, but unused for lack of a framework for its application.     

Strengthen staff capacity to undertake research on global and continental trends to guide policy in the political, economic, social and security fields and to do projections and forecasts as input for policy formulation. Knowledge system in need of strengthening             

System wide difficulty in monitoring implementation

Inadequate # staff. Turnover in Planners; recruit #; train # Need for improved in- house RBM training capability Need to enhance internal capacity to guide next Strategic Planning process. DCP office does not have own organizational development management team and plan. Improve policy formulation, analysis and research capacity.  

Record keeping, archiving system needs improvement . Strengthened Knowledge Management system and equip it with the necessary facilities Improve statistics and data management system. Although identified as system-wide problem, the strategic plan department should lead the process of modernization as it falls under its mandate. Need for strengthening experience with cross-sectoral planning, implementation or monitoring. All program Departments require

Staffing: Strategic Planning Directorate strengthened with #staff 

AS and Facilitation services for next Strategic Plan. 

Training: TOT for Planning team and planners in each Department in RBM strategic planning, program planning and budget, M&E/R, Knowledge Mgt.  

AS:  RBM/PMS specialists lead design and installation program: hotline support, indicators database, standard materials and policies.  

TA in RBM systems automation; in data and statistics management. 

  AS: on building policy analysis and Research capacity. 

TA: modernization and automation of archives and library.

TA: cross‐departmental generic mechanism for MS implementation support, MS Implementation monitoring. 

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in MS MS outreach/ implementation. Capacity, and capacity for MS monitoring.

CIDO Improved strategy for effective communication in its outreach programme for building an effective social constituency in support of AU programmes. CSOs need to understand the policy processes of the AU to be able to influence policy.. CSOs need to be organized around clusters to develop positions on issues to be discussed at AU meetings. Need sponsors for interactive constructive dialogue. Need for civil society fund that CSOs can access. Problems regarding information of CSOs and the Diaspora

Inadequate communication  capacity for effective outreach  CSOs need capacity enhancement to play an effective role in influencing policy 

Inadequate  information on CSOs and the Diaspora 

TA: to improve its communication strategy with its social constituency 

TA and training in organizing CSOs into clusters and training them on how to develop policies around their clusters. 

  TA: to develop a comprehensive data base on CSOs and the Diaspora 

Funding for constructive dialogues and civil society funding.  

Office of Legal Counsel

Inadequate staff to cope with wide mandate; Need expertise in emerging specialized areas such as law of the sea, space law, terrorism, cyber crime, etc; records and data management need modernizing.; Slow ratification of treaties by member states because of lack of presence at MS level

Staff overstretched  Inadequate capacity for managing depository function. Document& data management weaknesses. Lack an automated archival system.   Need new expertise in new mandates: cyber‐crime, Law of the Sea, Space Law, others 

TA: to shore up  available staff  Training: in new areas of law resulting from additional mandates and related areas. These include: maritime security, intellectual property, legislative drafting, data administration and electronic management, International commercial arbitration, negotiation and dispute resolution skills, report writing and presentations skills, management courses including interpersonal skills and communication, peace and security an international trade law. 

Training through  secondment  or short attachment  of OLC staff to the UN’s Office  of Legal affairs, the department  of peace keeping operations, to the secretariat  of international law commission 

AS: on  legal aspects  pertaining  to the implementation  of the AEC  treaty and on the establishment of such bodies 

AS: on coordination and preparation of  draft treaties and conventions, cooperation   

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agreements; harmonization a and coordination of legal strategies and policies  of MSs within the framework of the Union; pupation of invitatory reports. 

TA: in the  development and stocking of the library; upgrading ITC to allow for a stand alone server and possibly assistance  to install a micro‐link as opposed to a dial up system. 

AS: in records and data  base management  

AS: on accelerating the ratification  process 

Budget, Finance and Accounting

Budget Justification needs to be much stronger and clarity of explanations by departments needs improving. More work required to sharpen the focus of the Strategic Plan. Cumbersome budgetary process; need to shift to programme budgeting Modern financial management such as SAP and IPSAS to be made fully operational; and financial management of peace keeping operations to be improved.

Staff needs in house training capacity in each of the subject matter areas.  Budget justification still lacks coherence and results orientation.  Need top improve SAP capacity in general and capacity to train staff in use of SAP.   Need capacity for integrated results tracking module of SAP.AMIS and install it to all. Currently installed only in P&S..  Need enhanced capacity to  implement international accounting standards.  Need   capacity to review standards and identify appropriate ones.      

AS: to work with PRC and Strategic Planning to strengthen results orientation of budget justification. 

AS: FM and Peace Keeping missions; FM standards and identify of relevant standards 

Training:  training in the standards, use of the standards and how to install them. 

TA: SAP Results Tracking module  Training: training FM team in SAP and training of SAP; FM training provided to unit staff;  

AS: to help install IPSAS   Training  in IPSAS           

Procurement Procurement system needs to be upgraded to meet international standards. Current system needs improvement in asset, contract and risk management.

Limited experience with high performance procurement systems meeting international standards.  Need more exposure to  asset management for P&S 

Training: Procurement for peacekeeping operations; how to improve turnaround time in field. 

Training: Asset management for peacekeeping operations.  

AS: asset management; inventory management system 

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operations  Training: in risk management   TA & training: procurement.  TA in software installation 

Building and Facilities Management

With move to the new building need to enhance its capacity for the management of the new automated facilities; needs additional human resources to ensure the efficient operation of the new facilities; and experience sharing needed in the management of such facilities.

Needs adequate capacity to handle   buildings & facilities management of the new facilities and in the renovation of old buildings.  

AS:  buildings management: Estates, gardens, plant 

TA: to assist with automation of facilities 

Training  in facility management 

MIS Need state-of-the art IT equipment and solutions to improve staff productivity to ease internal and external communications and improve management practices.

Online training tools and programmes do not exist to reach out to a large number of staff who need to be trained.  

Need state‐of‐art IT equipment and solutions to improve staff productivity.  Need  online training tools and programs such as e‐learning system.  Need Data Center off site to achieve bandwidth needed for business systems.  Lack of social networking capabilities. 

Funding: IT equipment (computers, smart printers, scanners, etc.) 

Funding communications equipment: roundtable VTC 

AS: contractor for IT and Communications design  

TA: on  installing  IT system.  TA: on setting up site data center. 

AS:   Training Center and e‐training program development and maintenance. 

AS: social networking specialists provided. 

Medical Administrative capacity for  medical services  in peace keeping  operations needs strengthening. 

Commission does not have work place HIV/AIDS policy. 

With the opening of the new conference facilities, it is expected that large conferences will take place. Commission needs to acquire experience   to manage medical services for large conferences. 

In sufficient administrative capacity for medical operations in peace keeping operations: injuries, deaths, other   HIV/ AIDS policy in the work place and in the field lacking.  Need   expertise in managing medical services for large conferences.   

Training: setting up medical services in peace operations; in medical clearance of soldiers  

TA: medical administration  for peace & security operations from troops on active duty 

AS: to develop work  place HIV/AIDS policy 

Training: on HIV/AIDS in the work Place 

Training: Work Place policy; in “Medical Officer in charge” in peace keeping area. 

TA: medical services management for large conferences  

Conference Services

Inadequately staffed to handle responsibilities. Tools and equipment need to be upgraded to enable it do its job efficiently. Staff knowledge of interpretation and translations needs to be enhanced. It has yet to 

Inadequate # staff  Need improved tools and equipment  Needs to develop standard AUC Terminology Manual  

AS: conference services management: planning, documentation, etc. 

TA: conference services management; procedures manual; rostering/rotation of translators; When Actually Used (WAE) contracts for freelance; web‐server installation. 

Training: translation techniques 

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develop standard AUC  terminology manual. Document registration/ tracking system  needs to be improved. Facilities of the printing and publishing unit need to be substantially improved. It needs a website that can serve its needs better. 

Staff lacks skills in modern interpretation and translation techniques  Staff lacks computer skills.  Need for improved document registration/tracking  Printing  facilities need to be modernized.   

and software; collection /analysis of conference statistics for net; e‐MEETS and other software; work flow systems, tools 

AS: Develop African Union terminology 

TA: Conference Services Manager to run day‐to‐day affairs.  

Funding for printing and publications facilities 

Peace and Security

Capacity in research, analysis and reporting needs to be enhanced Panel of the wise in preventing conflict needs to develop research capacity to facilitate its work improved. Some form of think tank could help. Panels of the Wise in all the RECs need to be monitored and coordinated by the AUC, as well as their results channeled upwards to the Commission. The Secretariat of the Peace and Security Council would benefit from some staff additions. At least two more staff members, one francophone and the other lusophone would help greatly. Capacity for early warning as well as orientation and training on the enforcement of sanctions is also needed Defense and security needs knowledge of its staff enhanced in their respective areas and support in terms of research in the technical areas falling under its mandate

Need enhanced technical capacity in conflict anticipation and prevention  Need to enhance capacity in policy research and reporting to assist  panel of Wise   Inadequate  capacity to monitor regional and global trends  for early warning signs of conflict   Need capacity for enforcing  sanctions    Need financial capacity and knowhow to launch research center   Need to enhance   capacity to develop strategy       Need to build capacity  to develop anti‐terrorism law   Need to build capacity  to operationalize Chemical weapons  convention across continent. Need capacity in disarmament and proliferation, chemical weapons.  Inadequate  capacity on Small 

TA in  conflict anticipation and prevention 

AS to develop and opertionalize APSA 

TA on monitoring regional and global trends as a basis  for early warning  

  Training on drafting technical documents 

AS and Training for planning , launching  and management of peace support services  

Training  on ratification methods  Training on research and reporting  

AS  & Funding  to develop project idea  for a research center  

AS  & Training on sanction enforcement 

TA to develop draft model law on anti‐terrorism  

  TA: to assist  in  opertionalization of chemical weapons convention 

Training and TA on disarmament proliferation  and chemical weapons  

TA  in small arms and light weapons 

TA on  landmines 

Training on drafting technical documents’

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Experience sharing and collaboration with UNDP on crisis management and post conflict reconstruction Needs support in promoting on African solidarity initiative

arms and light weapons  Inadequate capacity on landmines.  Need to improve  capacity to draft technical documents      Enhanced effective  outreach programme for effective communication with its social constituency  Need to build capacity      in    crisis management and conflict reconstruction.       Enhance capacity to develop strategy for promoting African solidarity initiative      

     

TA and experience sharing to assist capacity development in crisis management and post conflict reconstruction  

                   

TA; on strategy to promote African solidarity initiative.  

Political Affairs

African Political architecture (APS) needs to be strengthened problem The humanitarian affairs challenges are enormous in the continent. Though not involved in operations AU expected to be the first to call for humanitarian affairs. Lacks capacity to effectively discharge its responsibilities. AU election monitoring not effectively carried out due to staff shortage. Need s capacity to manage the Election assistance fund

APS Needs to strengthened  and funded to  ensure its implementation.   Needs to enhance its capacity to formulate human rights strategy and enhance  capacity to develop shared values instruments    Need to improve staff capacity to monitor 18 elections with long or short observations. (2 staff) Need logistic capacity to do serious election observations. Need to upgrade capacity to manage the electoral fund. 

TA & Funding to strengthen AGA  TA: for human rights strategy  formulation 

TA: in implementing the Shared Values Work plan developed Nazareth 8/11 

AS: strengthen Advisory Board; strengthening Electoral Architecture, developing roster of Observers.  

TA: Outsourcing # elections to experienced external observers. 

Training: staff development in key areas: RB planning and coordination skills, M&E, team skills, research, policy design, advocacy, KM 

TA to enhance capacity fro managing election fund  

TA in election data base management  

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Humanitarian division working on a framework for emergency relief with large resource component Early warning trends not properly monitored Need ability to develop policy for emergency relief, resource mobilization and an early warning system

      Need capacity to develop data base APRM lacks roster of experts     Needs adequate  capacity to facilitate MS compliance with international governance and human rights instruments     Needs to strengthen capacity for promoting participatory methodology in implementing programmes and needs support in organizing workshops, consultations etc. 

Capacity to formulate policy on emergency relief needs to be built Build   capacity in resource mobilization Enhance skills for  integrated early warning system 

 

TA: to develop roster of experts for APRM  

TA: in facilitating Ms compliance with international governance  an human rights instruments  

Training: Inter‐departmental, cross sectoral Collaboration 

Training and TA: to develop participatory  approach  methodology and organize workshops  

 

TA to develop humanitarian assistance policy framework 

Training in resource mobilization for emergency responses 

Training in integrated  early warning system 

 

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Trade &Industry

Staff not well versed in trade negotiation and facilitation. Staff also lack  skills in research design  for comprehensive trade and industrial policy development and harmonization. Have difficulties  monitoring  implementation at RECs and MS. New areas such as carbon trading emerging  for  which they  are not adequately prepared.  Staff need  capacity to implement continental flagships industrial  development programmes. . 

Build  capacity  for  policy formulation and analysis  Build and  Enhance  expertise in trade negotiations and facilitation  Strength   program design and implementation management  Enhance   research capacity for  comprehensive trade and industrial policy analysis, development and harmonization.  Strengthen  implementation  and monitoring capacity in the MS and with RECs.  Enhanced expertise in newly emerging areas such as 

Training: Trade and industrial policy development and  analysis  

Training: International Trade Negotiations; Trade Facilitation   

Training: Change Management, program implementation  

AS: Building research capacity and trade statistics depth in T&I     

TA: to support MS in negotiation, ratification etc.     

TA in carbon trading   

Training in  carbon trading  

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carbon trading      Inadequate capacity  to help Member states in negotiations, ratification and domestication of international trade  rules and agreements; automation of trade procedures;  Need capacity to implement continental flagship industrial development  programmes such as AIDA, 3ADI and AMP.  Lack  resources and expertise to organize workshops, forums  and meetings in policy coordination and trade facilitation 

TA to MS in negotiations, ratification and domestication of international trade rules etc. 

TA in implementation of continental flagship industrial development programmes  

AS and funding to organize workshops, forums in policy coordination trade facilitation 

Rural Economy and Agriculture

Staffing and training needed in new areas The Department’s programmes, once adopted by member states are to be implemented by them. The department’s role then becomes to report on rates of implementation. This requires monitoring and information gathering for which it lacks capacity All stakeholders to agree on a precise definition of “agriculture” to help refine and standardize indicators used to measure its performance in African countries Weak capacity to coordinate and harmonize actions of member states around issues of common concern. Weak Capacity in negotiations, advocacy and lobbying. Staff strengthening and skills upgrading in areas such as disaster risk management, vulnerability assessment, programme design and

Additional staff and skill mix   Insufficient  capacity for implementing and enforcing  MARPOL  Staff   policy‐making capacity needs to be enhanced.   Inadequate facilitation skills to lead/manage the stakeholder Task Force process  Insufficient depth of technical expertise for each Output area.  Lack a mechanism for supporting MS implementation of policies, frameworks, and compacts, et al.  Lack a mechanism for monitoring MS implementation: need for M&E system that allows collective responsibility. 

Training and TA:  in mitigation and climate change  for reducing GHG from international shipping 

Training on energy efficiency and control of GHG from international shipping and for enforcement of future control regime  

Training: to enhance implementation and enforcement  capacity of Marine pollution (MARPOL) 

AS: needs assessment on Particularly  Sensitive Sea  Areas (PSSAs) 

Training : on PSSAs  Training: Natural Resource Management  

Training: Policy development and analysis 

Training: EIS techniques, GIS  TA: Disaster Response program development; development contextualized risk indicators 

TA:  Provide TA in developing an improved MS implementation support approach. 

TA:  Develop an Implementation Monitoring  (and reporting) Mechanism using UN agencies on the ground to monitor the core indicators of the Implementation Mechanism. 

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management, and report writing.  

 Staff needs strengthened management skills: team skills, supervision skills, skills in managing external consultants.  Lack the clear statement of what MS implementation would look like; set of core indicators of Outcome  Inadequate results based program design skills and tools. Insufficient  ability to do program needs assessment systematically  Ability to coordinate a multi‐sector strategy for agriculture needs to be enhanced.  Inadequate  experience in working with specialized  agencies 

Training: provide technical area training in key specializations. 

Training: provide management and facilitation skills training for coordinating Tasks Forces, for coordinating implementation support, for coordinating consultants. 

TA: provide consulting support for an integrated multi‐sector Nutrition and Food Security Strategy as anexample of how this might work. 

Training: in Specific courses/topics: Negotiations & Problem solving; Leadership, team skills, coordination; Cross cultural skills development; Promoting Change; changing minds; Program design, development, implementation; Policy analysis, policy brief preparation; Technical Information and political messages; IT, computer skills enhancement 

AS: experience in working with multiple agencies

Human Resources , Science and Technology

New mandate for life and earth sciences requires staff New mandate for climate change requires staff Capacity needs to be strengthened to follow up and monitor policy implementation

Staff  required  for new mandates, in some cases.   Insufficient  strength in RBM and strategic thinking.     Need  building and enhancing  capacity in policy development and analysis.  Insufficient  experience in resource mobilization  Needs  capacity on follow up and monitor  policy implementation      Inadequate  expertise to develop IT platforms and KM systems      

TA : in new mandate areas. Education Decade, Pan‐African University, Climate Change specialists to be contracted for implementation support 

Training: RBM, Strategic Thinking conducted  for all staff 

Training: in policy development, implementation & monitoring 

TA: in resource mobilization strategies 

TA: ongoing UN field support in monitoring implementation of policies, frameworks, and charters. 

TA: MS level implementation support and monitoring for Inter Exchange  Points and connectivity program.     

TA: data base development  TA: portal/roster of experts best practices knowledge repository 

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 Expertise in setting up database needed.    

Study tour: science, education, and youth programs. 

TA: Guest lecturer series for HRST staff  

TA: HRST website improvement, e‐government system. Knowledge Management system 

TA: to formulate  and implement programme in climate change   

 Economic Affairs

Inadequately staffed. Weak capacity to follow up and monitor policy implementation (System wide problem)

Inadequate staff and quality mix compared to the large  number Outputs  Needs improved  coordination skills for implementation of  integrated approaches              Inadequate capacity  for generation, adoption, validation, and ratification.  Needs strengthened mechanism for supporting implementation of ratified instruments. 

Training: In Macro‐economic analysis, econometrics and modeling approaches, Statistical techniques and modern computing packages, policy development,  developmental planning and  developmental regionalism, budget  management   and control, comparative and  regional integration  

Training: study visits to ASEAN, MERCOSUR, CARICOM etc.        

TA: in approaches for assuring ratification as an Output. 

  

TA: in development of a mechanism for enhancing and supporting MS implementation of ratified instruments.

Infrastructure and Energy

Infrastructural projects need administrative and planning capacity Technical staff need improved Project management skills

Inadequate staff   Need  modeling capabilities for  realistic  models for planning infrastructure and energy projects  and the framework for building models. Lack information systems    Need to strengthen  administrative and planning 

TA: to bolster staff inadequacies in  selected areas 

AS: modeling of infrastructure for decision making and planning. 

  

TA: to boost project management and planning capacity  

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Capacity in generation and application of information and data on infrastructural development necessary for project formulation needs to be substantially enhanced A framework for building realistic models of decision making and planning of infrastructure and energy projects relevant for Africa to be put in place. Inadequate capacity to follow up and monitor implementation of decisions in the sector made by the Assembly and agreed to by member states

capacity  Need to build and /or enhance project management  skills     Need to develop  capacity to collect geospatial data, develop data base and maps Lack expertise in design of licensing regimes.  Need  depth on GSM Roaming  Need customized data on infrastructural development  Inadequate RBM planning, implementing, M&E capacity.     Need presence and expertise to monitor policies at MS level  Need  outreach implementation support capacity; MS presence  Need ability to facilitate telecom conference that produces commitments. 

Inadequate capacity for interventions in the development of gender‐sensitive  bio‐energy framework  Inadequate  capacity to review PPP policies, strategies, regulations, establishing PPPs 

Insufficient capacity to advocate for increased investments in water and sanitation  Lack capacity to implement 

Training : in project management 

  Training: Policy drafting and report writing training for 4 staff  

AS and TA: to develop customized information and data base for infrastructure planning 

Training in geospatial data base development and geospatial mapping 

Training in ITU program on licensing regime and ITC frameworks provided for 4 staff  

AS: UN MS field presence for implementation monitoring. 

TA: to help with monitoring policies at MS level 

Training on conference management; facilitation  

TA: to develop gender‐sensitive bio‐energy framework 

TA: to develop public‐private partnership for  rural energy infrastructure funding 

TA: to assess bio‐energy potential , tools  for identification of pilot projects and support by RECS. 

Training: in reviewing PPP polices , strategies, regulations etc.

Training : in advocacy  for increased investments in water and sanitation 

TA: on implementation convention on the control and management of ships’ ballast water sediments  

Training: in  control and management  of Ships’ befouling for minimizing invasive a aquatic species 

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convention on the control and management of ships’ ballast water sediments   Lack awareness and capacity in implementation guidelines in the control and management  of Ships’ befouling for minimizing invasive a aquatic species 

Social Affairs Access to heath needs to be facilitated .

Nutrition strategy needs to be popularized to create sufficient awareness of the CARMMA programme.

Awareness of human trafficking challenges in the continent and how to arrest its development is inadequate. Challenges of youth employment to be assessed and appropriate strategy developed. Mechanism for implementation of programmes on informal economy has to be instituted. Implemented of the Ouagadougou declaration and plan of action on employment promotions and poverty alleviation facilitated. Productivity Agenda for Africa has to be promoted. Need to extend social protection to rural and informal groups but knowhow and other resources lacking. Need to implement a policy framework for the sustainable development of Sport in Africa. The new architecture for sports

Inadequate staff and  quality mix    Insufficient capacity to develop nutrition strategy. And build advocacy capacity for CARMMA   Need resources to create awareness of human trafficking challenges and appropriate responses     Capacity to develop a comprehensive Africa wide youth employment  programmes strengthened     Needs capacity enhancement  in the implementation of the Ouagadougou  declaration on employment promotion and poverty alleviation    Solicit support in the promotion of the productivity agenda.    Capacity to develop policy framework for social protection of rural and informal  sector strengthened   

TA:  to enhance staff  strength  Training in  facilitation on access to health . 

TA; to develop nutrition strategy   Training on advocacy 

AS: On strategies for raising awareness on human trafficking TA: to develop an Africa‐wide youth employment programme

TA: to support instituting of implementation mechanism, for the informal sector

TA: to bolster capacity for implementing the Ouagadougou declaration on employment promotion and poverty alleviation

TA: to assist with promotion of the Africa productivity agenda

Training and TA: to strengthen social protection schemes and develop a continental campaign strategy for social protection for rural and informal workers. 

TA: For implementation of policy framework for sustainable

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development has to be facilitated. Moreover, strategic partnership on sport development has to be forged. African Cultural policies need to be harmonized and renaissance campaign promoted.. Capacity for cultural polices and programmes harmonization has to be sufficiently enhanced.

     Capacity for implementation of policy framework for sustainable  development of sport,  facilitate implementation of the new architecture for sport and forging partnership for sport development has to be strengthened.     Need assistance  to harmonize cultural policies     

development of sport TA: to harmonize African culture policies and implementation of renaissance campaign 

IX. PROPOSED RCM CLUSTER SYSTEM SUPPORT IN CAPACITY BUILDING TO THE AFRICAN UNION COMMISSION The RCM support to the AU, including the TYCB is delivered through the work of its Clusters and Sub-clusters. These Clusters are formed around themes, not around AUC Departments, making their various programmes of intervention cross-Departmental in addressing particular areas of need that are of priority to the Commission. In the process, they may bypass important areas that are of critical importance to the overall capacity of the Commission. This has been the case with the support services of the Commission, whose capacity needs are great, and require significant strengthening, if they are to be effective in their support of the substantive, technical Departments. The previous sections have taken account of this need by covering all the Departments of the Commission, including the support services. This section of the report should be seen as complementary to the preceding ones. It presents what the clusters have identified as their own areas capacity support but in providing support they are encouraged to draw

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substantially form the findings of the and recommendations of the other sections of the report , especially those dealing with the Pillar Departments. During the retreat held at Debre Zeit, those Departments of the AU Commission which were represented for the first time in a forum convened to discuss the TYCBP, called for the creation of a “grouping” to address their own capacity building needs which are currently not being catered for in the cluster system. One of the recommendations of the Kuruftu, Debrezeit, Retreat, was that each cluster should come up with a comprehensive work programme for 2012 and if need be, beyond. A template was designed and finalized at the retreat, and was later populated by each cluster. It addressed the various components of capacity building as defined by the RCM for the purpose of the TYCBP: critical mass of skills, knowledge and expertise; organizational instruments, processes and mechanisms; financial and material resources, etc. It also ensures that the interventions envisaged respond to the priorities and objectives of the AUC’s Institutional Capacity Building Programme as well as its Strategic Plan. It is envisaged that this Work Programme will be developed in phases – the first phase being in 2012, and the next phase to commence thereafter. In essence, it could be viewed as a rolling programme, where the initial phase would be updated to accommodate emerging capacity building challenges, especially after the new AUC strategic plan is elaborated - given that the current strategic plan of the Commission (2009-2012) is coming to an end. This approach could be applied to all AU organs, NPCA and RECs. 9.1 Infrastructure Development A major focus area of the Infrastructure Development Cluster is to strengthen AU capacity to support implementation of the Programme for Infrastructure Development in Africa (PIDA). Accordingly, the cluster will undertake activities to build AU capacity to align and harmonize existing infrastructure programmes on the continent with PIDA; as well as to develop institutional structures for managing regional projects, and integrating such projects in national plans. The cluster will also support AU in building its capacity to collect and analyse data, create geospatial databases and prepare geo-spatial maps. The ICT sub-cluster will continue to support capacity building of AU in developing and implementing policies to improve connectivity in Africa with the view to enhancing regional cooperation and integration. In this regard, the cluster will assist in building the capacity of RECs to develop harmonized frameworks for facilitating cross-border interconnectivity and licensing regimes, including the establishment of national and regional Internet Exchange Points (IXP). The sub-cluster will also focus on building

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capacity on issues related to internet governance, management of critical internet resources, and developing universal service strategies to promote community access to ICTs. Furthermore, the sub-cluster will strive to build the capacity of AU in developing laws and regulations in e-commerce – including e-transactions and cyber-security. Capacity building in these areas is expected to lead to harmonized legal and regulatory frameworks, reduced cost of interconnectivity as well as cost of doing business. The transport sub-cluster will focus on the development of the trans-African Highway (TAH), trade and transport facilitation, and e-commerce. In this regard, the sub-cluster will assist in building the capacity of AU in developing a policy framework for TAH including institutionalizing related inter-governmental agreements. In general, the sub-cluster will assist in building AU capacity to lead the management of transport corridors in Africa, harmonization of transport facilitation measures, and to promote and oversee improvement in implementation of trade and transport protocols, as well as security of all modes of transport. The Energy sub-cluster will focus its capacity building interventions on the development of a gender-sensitive bio-energy framework for Africa, and on developing public-private partnerships to finance rural energy infrastructure development. To this end, the sub-cluster will support capacity building of AU to enable it to effectively assess Africa’s bio-energy potential, develop tools and measures for identification of pilot projects, and to support the institutionalization of frameworks by RECs. The sub-cluster will also support AU capacity building in relation to reviewing PPP policies and strategies, harmonizing regulations and policies, and strengthening/establishing PPP units. Assisting in building the capacity of AU to implement its African Water Vision 2050 will be the main intervention area of the Water sub-cluster. In this regard, efforts will be made to create a larger pool of skills, knowledge and expertise readily available to AU for implementation of the Africa Water Vision 2025 and related initiatives. Efforts will also be made to support the strengthening of AU’s capacity to advocate among governments and partners for increase investments in water and sanitation. The Water sub-cluster will also focus its capacity building interventions on strengthening national and regional capacity for an effective implementation of the Convention on the Control and Management of Ships’ Ballast Water and Sediments. To this end, the sub-cluster will support the organization of regional and national training courses, workshops and seminars. Furthermore, the sub-cluster will assist in building the capacity of AU to raise awareness and support implementation of guidelines for the control and management of ships’ biofueling. 9.2 Governance

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A major focus of the capacity building activities of the Governance cluster is to support AU in delivering its programme. In this regard, the cluster will provide funding for long-term staff positions, and for short-term staff needs in the form of consultants. The cluster will also provide technical support to AUC Department of Political Affairs (DPA), including in the areas of coordination, research, advocacy, monitoring and evaluation, and knowledge management. Responsibility for undertaking these tasks will be shared between AUC, IDEP, IDEA, UNDP, UNECA, UNOHCR, UNOAU and AGI. The Governance cluster will also focus its efforts on increasing AU ability to manage change. In this respect, the cluster will provide support in the development of human resources strategy, implementation of the AU Electoral Architecture and development of a database for election observers and experts, as well as organization of CAMPS and high level policy dialogues. It will also provide technical support to APRM, including in development the APRM database of experts. Another major focus of the cluster is to support greater compliance to international governance and human rights instruments, including AU shared values instruments. Accordingly, the cluster will support AUC/DPA in its efforts to facilitate AU member States compliance with international governance and human rights instruments, as well as compliance with AU shared values. The Governance cluster will further support AUC/DPA in enhancing its capacity to use participatory methodology/processes in implementing its programmes. To this end, the cluster will support AUC/DPA in organizing consultations, workshops, forums, and meetings on developing synergies between the African Governance Architecture (AGA) and the African Peace and Security Architecture (APSA). Organisations responsible for implementing these activities include AUC, IDEP, IDEA, UNDP, UNECA, UNOHCR, UNOAU and AGI. The Governance cluster also seeks to ensure that human resources planning and development in civilian aspects of peace keeping are coordinated and unified, as well as to establish annual joint training plans for RECs and AU. The latter will be achieved through technical advice and support to develop guidelines, and consultative meetings. 9.3 Social and Human Development The Health, HIV/AIDS, TB, Malaria and other infectious diseases sub-cluster will support capacity building of AU in three priority areas namely: facilitating acceleration towards universal access (prevention, treatment and care) for HIV/AIDS, TB and Malaria; monitoring, evaluating and building human resources capacity of RECs; and supporting implementation of the African Regional Nutritional Strategy. Under the first

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priority area, capacity building support to AU will include joint preparation and facilitation of training for Trade Union federations to empower them to facilitate the acceleration of universal access to prevention, treatment and care in the work place and reduction in occupational exposure to HIV/AIDS and tuberculosis. Activities will also target capacity building of selected African Universities in view of the critical shortage of health care personnel in Africa. Training workshops on HIV/AIDs accountability indices for policy makers will also be jointly prepared thereby building the capacity of AU to undertake such training by itself. Attention will also be given to building the capacity of AU to support implementation of the recommendations of the Commission on HIV/AIDS and Governance (CHGA) report, and in developing African common positions in general. In relation to monitoring and evaluation, interventions will aim at enhancing the capacity of AU in data usage and management. This will be done through the organization of training for AU staff. Needs assessments will also be undertaken with a view to identifying and implementing appropriate measures to enhance the capacity of RECs to implement their health initiatives and policies. Concerning the African Nutrition Strategy, capacity building support to AU will aim at enabling the Commission to increase awareness on the nature, magnitude, and implications of nutrition problems in Africa and raising more resources to address the problem. The Gender and Development sub-cluster will focus its capacity building interventions on 5 priority areas, namely: mainstreaming gender in AU Summit and Pre-Summit activities; gender mainstreaming in the implementation of the African Charter on Democracy, Election and Governance (ACDEG); mainstreaming of gender in RCM-Africa Secretariat and the Peace and Security Cluster; initiating and implementing activities on maternal health in AU member states; and supporting the Africa UNITE campaign to end violence against women and girls. Several activities will be undertaken in these priority areas, including: providing technical assistance in mainstreaming gender empowerment, notably in relation to youth and sustainable development, organizing a Retreat to train RCM-Africa staff as well as members of the Peace and Security cluster; providing technical assistance to develop and disseminate a monitoring and evaluation framework for the Decade on Maternal and Child Health, and providing financial assistance to support AU in convening a briefing meeting on the Decade. Support will also be provided in convening meetings of the Regional Steering Committee of the Africa UNITE Campaign, and in strengthening the Secretariat of the Campaign. In social development, capacity building activities will focus on the following priority areas: operationalizing the AU.COMMIT Campaign on Combating Human Trafficking; promoting strategies for employment creation and enhancing sustainable livelihoods; and strengthening existing social protection schemes. Activities to be implemented include

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support in organizing a conference on Social Protection, and developing a continental campaign strategy on social protection for informal economy and rural workers. Capacity building support to AU in the areas of Education and Human Resources will be in the following priority areas: implementation of the AU Youth Volunteer Corps Programme; implementation, monitoring and reporting on the AU Decade of Youth – accelerating youth empowerment and sustainable development; creation of the pan African University (PAU); and improving education quality in Africa. Activities will include developing a profile and database of youth organisations and networks in Africa; joint resource mobilization for implementing the African Youth Decade; advocacy and fund raising for PAU; and strengthening the Steering and Planning Committee of the Pan-African Conference on Teacher Education and Development (PACTED). Regarding Sports and Culture, priority areas for supporting capacity building of AU include: harmonization of African culture policies and implementation of the renaissance campaign; as well as harmonization and popularization of the framework for Sustainable Development of Sport. Activities will include joint design and implementation of workshops and joint mobilization of funds. 9.4 Environment, Population and Urbanization Supporting capacity building of AU to promote sustainable natural resources development and management is one of the objectives of the Environment, Population and Urbanization Cluster. In this respect, the UN will support AU in developing training materials and tools based on existing programmes, and assist in organizing training workshops for AUC and RECs staff. The cluster will also provide support to AU in building human and institutional capacity for uniform and effective compliance with Maritime regulatory framework with the view to enhancing marine environment protection. Capacity building activities of the cluster are expected to result in ratification of international treaties, implementation of national legislation, development of programmes for marine environment protection by trained experts, as well as increased number of trained seafarers and shore-based personnel. The Environment, Population and Urbanization cluster will further support the development of capacities for MARPOL implementation and enforcement, and the identification and establishment of PSSAs and Special Areas under MARPOL. In this regard, the activities will include a regional workshop on MARPOL, needs assessment, and national and regional workshop on PSSAs (in IOC countries). In addition, the cluster will focus on developing capacities (mitigation & climatic change) for reducing greenhouse gas (GHG) emissions from international shipping. To this end, the cluster

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will assist in planning and organising a regional workshop to raise awareness on energy efficiency and control of GHG emissions from ships and to develop capacities for the implementation and enforcement of a future control regime. In general, the cluster will support capacity building of AUC that will enable it to provide strong leadership and guidance in Africa’s transition to Low Carbon and Resource efficient development. In this respect, the AUC and UN system will jointly organize regional and sub-regional training forums and promote public awareness; facilitate advisory support services to AUC member states; identify best practices on policy and strategy development for wider replication; and organize investment and technology transfer forums. 9.5 Agriculture, Food Security and Rural Development The major focus for the Agriculture, Food Security and Rural Development cluster is to enhance capacity in management skills of the Department of Rural Economy and Agriculture (DREA) and the NEPAD Planning and Coordinating Agency (NPCA). In this regard, the cluster will build capacity for lobbying and advocacy, as well as mobilization and management of technical assistance, and partnership engagements. The cluster will also direct support towards communication and relationship management in the context of support staff, including facilitation and coordination of expert pools and knowledge hubs. The progress in this particular expected accomplishment will be measured in terms of the number of vacant positions filled. Another intervention in support of AU capacity building will be in preparing a concept paper for the development of a training plan with detailed schedule of activities and training modes. The cluster will also develop a staff placement plan based on the staffing needs identified and outlining positions for secondment and internship. Critical expected accomplishments for DREA will include upgrading specialist expertise in policy formulation and analysis and cross-cutting issues, as well as repackaging advocacy and lobbying materials into informational documents. Furthermore, the cluster will seek to strengthen NPCA capacity in strategic planning and programme management. Specific support will be provided in the areas of programme design, investment planning and project preparation. The cluster will establish a specialized unit focusing on analytical work, in particular, modeling, vulnerability assessment and remote sensing. 9.6 Science & Technology A major focus of the Science and Technology cluster is human capital development. Accordingly, the cluster’s interventions will include organizing Results-Based Management (RBM) training for professionals and management personnel; developing

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and implementing resource mobilization strategies; and establishing a roster of African experts available to provide systemic technical assistance, among other things. The Science and Technology cluster will also direct its support towards organizational strengthening. In this regard, it will assist to improve the HRST website towards a resourceful, updated and user-friendly web-portal. In addition, it will develop and implement a functional and secure intra and extra-net, as well as a functional knowledge management system. In general, the cluster will work to strengthen the AUC, promoting synergies and enhancing work relations with member states and RECs. Specifically, the cluster will assist to commission and conduct performance assessment of various inter-governmental mechanisms in science, education and youth, such as the African Cluster of Technology (ACST), African Ministerial Conference on Science and Technology (AMCOST), COMEDAF, and COMY. It will also organize training and brainstorming workshops and meetings in support of continental programmes and action plans, such as the Consolidated Plan of Action in Science (CPA), and the African Ministerial Conference on Science and Technology (AMCOST). 9.7 Peace and Security The cluster will support the Commission’s Peace and Security Department (PSD) and Political Affairs Department (PAD) by providing daily technical advice to develop and operationalize APSA; participating in the drafting and review of AU policy documents and guidelines; and participating in workshops, seminars, forums and meetings to formulate, develop and review policies. Technical support to the AU will be provided by UNOAU, OCHCR, IOM, UNHCR and UNOCHA, among others. The Peace and Security cluster will also focus on supporting AUC efforts to increase technical skills and experts knowledge of PAD and PSD to ensure a more effective and timely delivery of work programmes. In this regard, the cluster will provide daily technical advice and mentoring for the planning, mounting, and management of peace support operations and other aspects of peace and security. Furthermore, the cluster will support AUC in conducting training needs assessments, developing training policies and implementing related training activities. In providing support to Commission, the cluster will focus on the review of PSOD structures and development of standard operational procedures (SOPs) for Peacekeeping operations. To this end, the cluster will assist in organising consultative meetings, providing technical advice on developing guidelines, undertaking consultations and providing training on effective use of databases. Furthermore, the cluster will promote

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strong synergies between AU organs, and support efforts to ensure coherence and complementarity of AU programmes. In general, the Peace and Security cluster will establish greater coordination and exchange of ideas between the UN Security Council and AU Peace and Security Council; and greater visibility for African positions on international affairs. 9.8 Industry, Trade and Market Access The planned interventions of the Industry, Trade and Market Access cluster are intended to result in increased technical skills of AUC staff dealing with trade and industry issues - leading to timely delivery of programmed activities. In addition, the interventions are expected to build the capacity of AU to ensure greater compliance of its member States and RECs to international agreements, leverage institutional partnerships to attract greater support, and build a functional platform for dialogue and effective communication. In this regard, the cluster will organize training for AUC Trade and Industry staff in trade policy development, analysis and harmonization; trade negotiations; and trade facilitation. The cluster will also make international trade statistics available to AUC Department of Trade and Industry. In addition, UN network of national offices will be used in assisting AUC to support member states in negotiations, ratification and domestication of international trade agreements; automation of trade procedures; and implementation of continental flagship industrial development programmes. Capacity building activities will also be in the form of supporting AUC Trade and Industry Department in organizing workshops, forums, and meetings on trade policy coordination and trade facilitation.

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