DRAFT AFREPREN STRATEGIC PLAN AND GUIDELINES

(2003 – 2015)

by

Dr. E. Marandu, University of Botswana (Strategic Taskforce Member)

Mrs D. Kayo, Zimbabwe Electricity Supply Authority

(Strategic Taskforce Member)

Mr. S. Karekezi, AFREPREN/FWD (Strategic Taskforce Member)

Mr. L. Majoro, AFREPREN/FWD

(Observer)

Mr. J. Muthui, AFREPREN/FWD (Observer)

November, 2003

CONTENTS LIST OF TABLES .................................................................................................................. ii LIST OF FIGURES ................................................................................................................ ii EXECUTIVE SUMMARY ................................................................................................... iii 1.0 INTRODUCTION AND BACKGROUND ...................................................................1

1.1 Background on AFREPREN...................................................................................................1 1.2 Genesis of Strategic Taskforce................................................................................................4

2.0 STRATEGY FORMULATION .....................................................................................6

2.1 Importance of the Strategic Planning Approach .....................................................................6 2.2 Strategy Formulation Process..................................................................................................6 2.3 AFREPREN Vision and Mission ............................................................................................7 2.4 AFREPREN SWOT Analysis .................................................................................................8 2.5 AFREPREN’s Objectives .......................................................................................................9 2.6 Indicators, Strategies and Action Programs for the Objectives.............................................10 2.7 Products / Outputs .................................................................................................................14

3.0 GOVERNANCE AND STRUCTURE.........................................................................16

3.1 Defining AFREPREN Membership and Roles of Various Bodies .......................................16 3.2 AFREPREN Membership categories ....................................................................................16 3.3 Governance Structure of AFREPREN ..................................................................................17

4.0 FINANCING..................................................................................................................22

4.1 Network Level Fund Raising – Donor Missions...................................................................22 4.2 Organ Level Fund Raising ....................................................................................................22 4.3 Principles Guiding Expenditure Patterns ..............................................................................22

5.0 MONITORING AND EVALUATION........................................................................24 6.0 NEXT STEPS - Setting the stage for the 18-Month Preparatory Period and Long

Term plan .......................................................................................................................25 7.0 BIBLIOGRAPHY..........................................................................................................26

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LLIISSTT OOFF TTAABBLLEESS Table 1.1: Commercial energy consumption per capita in kilogrammes of oil equivalent

(kgoe) for selected world regions (1980-2000) ......................................................1 Table 1.2: Poverty in selected African countries. ....................................................................1 Table 1.3: Poverty in selected African countries. ....................................................................2 Table 2.1: Outputs / Delivery Channels.................................................................................15 Table 3.1: Benefits and responsibilities of various categories of memberships ....................16 LLIISSTT OOFF FFIIGGUURREESS Figure 1.1: AFREPREN Coverage............................................................................................4 Figure 2.1: Strategy Formulation Process .................................................................................7 Figure 2.2: AFREPREN Institutional Location ........................................................................9 Figure 3.1: Proposed AFREPREN Structure ..........................................................................17

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EEXXEECCUUTTIIVVEE SSUUMMMMAARRYY Introduction and Background The African Energy Policy Research Network (AFREPREN) was launched in 1989 to strengthen local research capacity and to harness it in the service of energy policy making and planning. AFREPREN’s main focus is to assess, formulate and propose energy policy options that could lead to the provision of cleaner energy services to the rural and urban poor in Africa in an environmentally-sound fashion. However, one of the key obstacles to research in Africa is the absence of reliable time series and up-to-date energy data, especially data and information focusing on the poor. The Network made an attempt to address the above obstacle during the 1999-2002 research programme, and according to the 2002 AFREPREN Evaluation, the data and information compiled by AFREPREN researchers during this period was extremely useful as per the following quote from the Evaluation report:

“AFREPREN’s principal researchers (and their associated research assistants) have produced topical and interesting research, some of it ground-breaking. The main strength of the research is undoubtedly the wealth of primary data contained within virtually every one of the studies”.

Strategy Formulation The 2002 Evaluation indicated that the Network was fulfilling a valuable purpose and deserved continued Sida support as shown by the following key quotes:

“At an abstract level, however, the evaluators believe that AFREPREN is an extremely relevant – nay, critical – programme to the energy problems facing the Eastern and Southern African region.” “The evaluators have no hesitation in recommending that Sida continue financial support to AFREPREN.”

The evaluators expressed a need to clarify, formalize and document the structure and mode of operation of AFREPREN to enable it achieve its mission more effectively. In order to implement the proposed improvements, the AFREPREN Strategic Taskforce met on 14-15th August, 2003 to develop a 5-10 year Strategy Plan that: (a) responds to the recommendations of the 2002 Evaluation; (b) sets the stage for an 18-month preparatory period; and, (c) provides a road map for ensuring that AFREPREN continues to fulfil its mission in an effective fashion. The plan proposes a long term vision for AFREPREN and provides guidance on how the Network should structure and position itself to tackle the 18-month transition / preparatory programme financed by Sida and also other current and prospective projects / programmes being financed or to be financed by other donors. The AFREPREN mission statement was re-examined and reformulated to read:

“Develop feasible policy options for the delivery of affordable and cleaner energy services to the poor in Africa”.

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The mission reflects the main purpose and focus of AFREPREN. It provides a reference point from which all activities can be designed and implemented to ensure the ultimate purpose of the Network is achieved. The next diagram illustrates the key steps followed during the strategy formulation process.

Broad Vision

Mission

SWOT Analysis

Objectives

Indicators

Strategies

Products / Outputs

Workplan

Monitoring

&

Evaluation

Governance and Structure The strategic plan includes a proposal to refine and document the existing network structure and mode of operation, in line with the 2002 Evaluation. This modified structure fits in with the overall Strategic Plan and will enable AFREPREN pursue its mission more effectively. The plan also defines the membership of AFREPREN and outlines the roles of the various organs and governing bodies. The following diagram presents the key organs and governing bodies of the Network.

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Steering Committee Theme Group Coordinators

AFREPREN Assembly - All Core Members + Selected representatives

from other member categories & organs

African Energy Community

Theme Group Coordinators Researchers

Selection Panel

Evaluators External Reviewers Auditors of FinancialReports (KPMG)

Director AFREPREN Secretariat

Policy Advisory Panel - Senior African academics,

- Selected policy makers, - Selected policy analysts,

- International resource

Advisory Committee - Donors,

- Steering Committee members, - AFREPREN Director

National Focal Points

Financing The need for AFREPREN to secure additional funding has been emphasized in this document. Guidelines to facilitate and encourage fund-raising efforts both at the Network level and at the various organ levels have been proposed. Principles to guide expenditure patterns have also been outlined and these will be further developed. Monitoring and Evaluation Monitoring and evaluation is crucial since it ensures that the plan is implemented effectively. This document presents various technical and financial evaluation tools to ensure that the output and quality targets of the Network are consistently realized. Next Steps This planning document effectively sets the stage for the 18-month preparatory period and facilitates planning and development of the next research programme cycle of AFREPREN. It covers the short-term (18-Months), medium term (5-years) and long term (10-years) planning horizons. The document provides a framework for more detailed planning which will involve the key organs of AFREPREN and the current principal sponsors, Sida, who have been instrumental in the successful development of the AFREPREN network.

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11..00 IINNTTRROODDUUCCTTIIOONN AANNDD BBAACCKKGGRROOUUNNDD

1.1 Background on AFREPREN Although, Africa has substantial energy resources, Africa has one of the lowest per capita consumption of commercial energy in the world. This is particularly true of the sub-Saharan African region. In 1990, per capita consumption of commercial energy in sub-Saharan Africa was estimated to be 705 kilogrammes of oil equivalent (kgoe). Between 1990 and 2000 per capita consumption of commercial energy remained small and stagnant - falling slightly from an average of 705kgoe to 669kgoe – about 40% of the world average (World Bank, 2001; 2003). Of greater concern, sub-Saharan Africa is the only region registering consistently falling levels of per capita consumption of commercial energy. Table 1.1: Commercial energy consumption per capita in kilogrammes of oil

equivalent (kgoe) for selected world regions (1980-2000) Region 1980 1990 2000 East Asia & Pacific 578 743 871 Europe & Central Asia 3,348 3,966 2,653 Latin America & Caribbean 1,074 1,057 1,181 Middle East &North Africa 798 1,134 1,368 Sub-Saharan Africa 714 705 669

Sources: Word Bank, 2001; 2003 In many respects, the nexus between energy and poverty presents the most important challenge facing the African energy community. The World Bank estimated that, in 1998, about half the region’s population had average incomes of below one dollar a day. The trend is even more worrisome when one realizes that since the 1980s, the absolute number of poor in Africa has grown five times more than the figure for Latin America, and twice that for South Asia (World Bank, 2001b). Table 1.2: Poverty in selected African countries. Country % of population with incomes

of less that $1 per day Survey

Burkina Faso 61.2 1994 Burundi 58.4 1998 Central African Republic 66.6 1993 Ethiopia 81.9 1999-2000 Gambia The 59.3 1998 Niger 61.4 1995 Nigeria 70.2 1997 Sierra Leone 57.0 1989 Uganda 82.2 1996 Zambia 63.7 1998

Source: World Bank, 2003

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Table 1.3: Poverty in selected African countries. Country (%) of population with

incomes of less $2 per day Survey

Botswana 50.1 1993 Burkina Faso 85.8 1994 Burundi 89.2 1998 Cameroon 64.4 1996 Central African Republic 84.0 1993 Ethiopia 98.4 1999-2000 Gambia The 82.9 1998 Ghana 78.5 1999 Kenya 58.6 1997 Lesotho 65.7 1993 Madagascar 83.3 1999 Malawi 76.1 1997-98 Mali 90.6 1994 Mauritania 68.7 1995 Mozambique 78.4 1996 Namibia 55.8 1993 Niger 85.3 1995 Nigeria 90.8 1997 Rwanda 84.6 1983-85 Senegal 67.8 1995 Sierra Leone 74.5 1989 Tanzania 59.7 1993 Uganda 96.4 1996 Zambia 87.4 1998 Zimbabwe 64.2 1990-91

Source: World Bank, 2003 The poor are the majority in Africa and the provision of improved and cleaner energy services is, arguably, the most important challenge facing the African energy community today (AFREPREN, 1999). In summary, the poor in Africa face, inter alia, three key energy challenges:

• Reliance on biofuels that harm human health and the environment. • Inadequate access to cleaner energy services for productive purposes and institutional

applications. • Incomes that are too low (as well as limited access to appropriate financing schemes)

to allow the poor to procure cleaner and more sustainable energy services that are more expensive.

In the last two decades, African countries have implemented a wide range of energy sector reform initiatives, which were expected to address some of the above concerns. Initial indications from a wide range of African countries, however, demonstrate that few of these reform initiatives have resulted in significant improvement in the provision of cleaner energy services to Africa’s poor. What is particularly worrisome about the above challenges is the deterioration in quality and reliability of energy services available. For many rural and urban poor in Africa, reliance on traditional biofuels is increasing and the absolute numbers of people with no access to electricity continues to grow.

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It is the above challenges that have been the pre-occupation of AFREPREN’s research programme - launched in 1989 to strengthen local research capacity and to harness it in the service of energy policy making and planning. AFREPREN’s main focus is to assess, formulate and propose energy policy options that could lead to the provision of cleaner energy services to the rural and urban poor in Africa in an environmentally-sound fashion. The current AFREPREN programme (1999-2002 recently extended to June, 2003) which covers 10 countries in Eastern and Southern Africa (see map – figure 1.1), focuses on the following broad research themes: i) Energy Sector Reform (ESR) The Energy Sector Reform Theme Group’s primary focus is to assess the impact of

reforms on the region’s power sector. ii) Energy Services for the Urban Poor (ESUP) This theme group examines energy consumption and access among the urban poor in

Africa with special emphasis on energy use in micro-enterprises. iii) Renewables and Energy for Rural Development (RERD) The main objective of this theme group is to identify options for the provision of

modern energy services to low-income rural areas of Africa with special emphasis on commercial/service/productive uses of energy. The recent 2002 AFREPREN General Assembly (AGA) and AFREPREN Steering Committee recommended the establishment of a new Theme Group on Gender and Energy (GE) as a stand alone Theme Group. It used to be a sub-set of this Theme Group in the current research programme.

iv) Special Studies of Strategic Significance for Energy Sector Development in Africa

(SSSS) This theme group examines new and emerging issues and trends in energy

technologies, energy investments and their implications for the African energy sector. One of the key obstacles to research in Africa is the difficulty of accessing reliable up-to-date data. This is because data collection and documentation requires a significant amount of resources. Since its inception, AFREPREN expended significant effort in collecting and documenting energy related data on Africa, mainly focusing on the Eastern and Southern Africa region (fig 1.1). In addition, AFREPREN, with the assistance of its host institution, the Foundation for Woodstove Dissemination (FWD) has developed a highly specialized energy library and documentation unit.

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Figure 1.1: AFREPREN Coverage

The 1999-2002 AFREPREN Research Programme covered new subject areas with special emphasis on provision of modern energy services to the poor. Previous studies relied on secondary data analysis but this was not possible with the new subject areas where little information on the poor had been collected. According to the 2002 evaluation, the data and information compiled by AFREPREN researchers in the new subject areas was extremely useful as per the following quote (see page 24 of the Evaluation Report):

“AFREPREN’s principal researchers (and their associated research assistants) have produced topical and interesting research, some of it ground-breaking. The main strength of the research is undoubtedly the wealth of primary data contained within virtually every one of the studies”.

The data and information which has been documented in the AFREPREN library was instrumental in the compilation of the Special Issue of the Energy Policy Journal on provision of modern energy services to the poor in Africa (September, 2002) which is a highly regarded energy journal as per the following quote from the 2002 Evaluation (see page 24 of the Evaluation Report):

“Energy Policy is, arguably, the most important and influential international energy policy journal and is read by many policy makers in the energy sector”.

There is a need to ensure that the energy data collection and documentation efforts are sustained with special emphasis on data highlighting the energy needs of the poor. The embryonic efforts of AFREPREN in this area have proved useful and there is a clear opportunity for AFREPREN to set a new standard of performance by bridging this important data and information gap. This issue has been addressed by the AFREPREN Strategic Taskforce meeting.

1.2 Genesis of Strategic Taskforce The AFREPREN Steering Committee established a Strategic Taskforce consisting of two Steering Committee members and the AFREPREN Director. The Strategic Taskforce was assigned the responsibility of preparing a long-term vision and strategic plan for AFREPREN and providing advice to the Steering Committee on strategies that will enable AFREPREN address key challenges that the Network faces and take advantage of emerging opportunities.

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The Strategic Taskforce met on 14-15th August, 2003 to develop a 5-10 year Strategy Plan to be presented to the AFREPREN Steering Committee for approval. It addresses the key issues and recommendations from the 2002 Evaluation and Sida. The Strategy Planning document is a working document which provides a framework from which detailed action plans outlining the research foci and mode of operation will be developed by the various governing bodies of AFREPREN. The plan proposes a long-term vision for AFREPREN and provides guidance on how the Network should structure and position itself to tackle the 18-month transition / preparatory programme financed by Sida and also other current and prospective projects / programmes being financed or to be financed by other donors during this period and beyond. This is in line with the views expressed by the 2002 Evaluation and Sida emphasizing the need for AFREPREN to secure sponsorship from other donors.

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22..00 SSTTRRAATTEEGGYY FFOORRMMUULLAATTIIOONN

2.1 Importance of the Strategic Planning Approach The strategic planning approach is vital for any organization because it ensures that planning is consistent with the organization mission, values and character. It highlights areas that need to be changed and provides valuable insights on how the change can be effected (Arango, 1998). AFREPREN like any other not-for-profit entity is not driven by commercial interests. Since not-for-profit entities do not focus on the bottom line, they have an even greater need to determine their mission and stick to it in order to achieve their ultimate purpose (Drucker, 1999). There is, therefore, a need for AFREPREN to re-examine, refine and express its purpose and goal and to ensure that its activities are directed at achieving the defined purpose and goal. This process involves establishing the long-term vision and outlining the means to pursue the vision by defining the organization mission and its broad objectives (QuickMBA.com, 2003). Once this is achieved, strategies need to be developed that will assist in meeting the objectives. To function effectively in a dynamic environment, it is also important to examine and outline the organization strengths and weaknesses and to recognize the opportunities and threats1 posed by the external environment (Holloway, 2001). The 2002 Evaluation of AFREPREN indicated that the network was fulfilling a valuable purpose as indicated by the following key quotes (see pages 19 and 46 of the Evaluation Report):

“At an abstract level, however, the evaluators believe that AFREPREN is an extremely relevant – nay, critical – programme to the energy problems facing the Eastern and Southern African region.” “The evaluators have no hesitation in recommending that Sida continue financial support to AFREPREN.”

They expressed a need to clarify, formalize and document the structure and mode of operation of AFREPREN in order to better fulfil its mandate more effectively. The proposed changes are evolutionary and arise organically from AFREPREN’s past experience. The changes will undoubtedly enable the network to function more effectively. The strategic planning exercise which is a vital component to any organization undergoing change is therefore timely and crucial.

2.2 Strategy Formulation Process A review of the current vision and mission of AFREPREN was conducted followed by a review of AFREPREN’s area of focus, approach and products / outputs. The vision and mission were modified to reflect a more emphatic “focus on the poor”.

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An analysis of the internal and external environment in which AFREPREN operates was conducted through SWOT analysis to identify AFREPREN’s Strengths, Weaknesses, Opportunities and Threats1 (Potential Collaborators). The key objectives of AFREPREN were then analyzed in detail and indicators and strategies to achieve these objectives were formulated (fig 2.1). Figure 2.1: Strategy Formulation Process

Broad Vision

Mission

SWOT Analysis

Objectives

Indicators

Strategies

Products / Outputs

Workplan

Monitoring

&

Evaluation

2.3 AFREPREN Vision and Mission The vision and mission for AFREPREN were defined. The vision indicates the long-term goal of AFREPREN. The vision is broad and represents a long-term target which AFREPREN, in collaboration with its development partners who share this vision, is committed to achieving. A target of the year 2015 was set, to correlate with the planning horizon contained in planning documents of many governments in the region and also targets set by key development partners.

Vision - Contribute to ensuring more sustainable energy services for all in Africa by the year 2015.

The mission reflects the main purpose of AFREPREN and explains how the vision will be achieved. It shows the focus of AFREPREN’s work and acts as a reference point from which all activities can be designed and implemented to ensure the ultimate purpose is achieved.

Mission - Develop feasible policy options for the delivery of affordable and cleaner energy services to the poor in Africa.

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1 The Concept of Threats in the not-for-profit sector is not as clear as in the competitive for-profit commercial world. What would be considered threats in a competitive market sector are often potential collaborators in the not-for-profit sector.

For the mission to be achieved, there is need to constantly solicit the opinions of key stakeholders to ensure their support and commitment. Involvement of policy makers in the planning and implementation of Network activities is therefore crucial.

2.4 AFREPREN SWOT Analysis An in-depth examination of AFREPREN’s Strengths, Weaknesses, Opportunities and Threats / Potential Collaborators (SWOT analysis) was conducted. (i) AFREPREN’s Strengths

• Focus on the poor which is the main issue of concern in Africa. • Regional focus / geographic coverage (Eastern and Southern Africa) • Provision of scarce energy data (current and time series) • Specialized energy library • Production of books and journal articles • Approach of pairing of policy makers and academics • Added benefit of the network structure (contacts to key institutions, low cost,

access to experts across the region) (ii) AFREPREN’s Weaknesses

• Limited focus on short term outputs (slow response to near-term policy needs and developments)

• Insufficient use of proven and effective channels of reaching top policy makers • Excessive reliance on secondary energy data that is not always reliable. • Limited access to reliable pan-African energy data • Inadequate documentation on energy research methodologies that focus on the

poor • No online access by network members to the specialized library at the Secretariat • Insufficient focus on the poor

(iii) Identified Opportunities

• Responding to the increased demand for feasible energy policy options for the poor in a rapidly reforming energy sector

• Meeting the increased demand for up-to-date and time series energy data focussing on the poor

• Accessing the increased flow of funds targeting the provision of energy services for the poor.

• Strengthening AFREPREN as the premium source of skilled African energy professionals

• Publishing of an annual energy journal focusing on Africa (initially based on the expanded AFREPREN Newsletter)

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(iv) Identified Threats2 / Potential Collaborators • Existing and potential regional and international collaborators who provide policy

makers with similar products / outputs and obtain funding from the same sponsors • Other non-energy policy options that address the needs of the poor • Donors shift to national level funding with less attention to regional initiatives

such as AFREPREN The strategies to be adopted capitalize on the identified strengths and address the highlighted weaknesses. In addition, the proposed structure is expected to take advantage of opportunities available and put in place measures to minimize the envisioned threats and / or forge closer link with potential collaborators. The SWOT analysis is an important strategic planning tool which will be utilized regularly by the strategic taskforce and will provide insights on modifications that may be required to the long term plan. Below is a diagram showing the institutional location of AFREPREN and its closer traditional links to academic and policy institutions. Figure 2.2: AFREPREN Institutional Location

ACADEMIC INSTITUTIONS

NON GOVERNMENTAL INSTITUTIONS/CIVIL SOCIETY

TRADE UNIONS

POLICY INSTITUTIONS

PRIVATE SECTOR

AFREPREN

2.5 AFREPREN’s Objectives Mission Statement - “Provide key stakeholders with feasible policy options, information and skills for the delivery of affordable and cleaner energy services for the poor in Eastern and Southern Africa.” Given the above mission statement that emphasizes the provision of feasible policy options, information and skills to key stakeholders in order to ensure affordable and cleaner energy services for the poor, the following objectives were set by the Strategic Taskforce.

2 The concept of threats in the not-for-profit sector is not as clear as in the competitive for-profit commercial world. What could be considered threats in a competitive market sector are often potential collaborators in the not-for-profit sector.

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Objectives: • Mobilising African energy researchers and professionals to undertake energy policy research work that leads to feasible policy options for cleaner energy services for the poor • Collecting and compiling up-to-date and time-series energy data and documentation focusing on the poor in the region • Disseminating the Network’s research results in particular to energy policy-making organs in the region • Strengthening research capacity in energy policy in Eastern and Southern Africa.

2.6 Indicators, Strategies and Action Programs for the Objectives Objective I: Mobilising African energy researchers and professionals to undertake energy policy research work that leads to feasible policy options for cleaner energy services for the poor. Indicators of Objective I

• No. of researchers • No. of peer reviewed national, regional and international publications (conference

papers, journal articles, books and magazines) • No. of above publications that address cleaner energy services for the poor

Strategies for Objective I

• Needs assessment surveys • Formulation of research themes • Setting up inter-disciplinary research teams • Design research cycles in line with stakeholder needs • Quality monitoring of research outputs

Action Plans to Achieve Strategies for Objective I Needs Assessment Surveys: Conduct a needs assessment to identify differentiated strategies for responding to identified challenges. Special attention should be paid to the energy service needs of the poor. Needs identification will be conducted through:

In-house opinions of current network members, subscribers to AFREPREN publications and noted experts on the energy needs of the poor in Africa

Policy advisory panel

Recommendation from national seminars and other appropriate events

Assessment of national Poverty Reduction Strategy Papers (PRSPs3) and

millennium development goals (MDGs4)

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3 Poverty Reduction Strategy Papers initiated by the World Bank are 3-year action plans prepared by governments outlining how they will reduced poverty

Formulation of research themes 1. Mobilize a team of inter-disciplinary African energy professionals interested in working

on energy services for the poor from both the academic and policy communities to pursue the identified research themes. Special emphasis to be placed on ensuring equitable geographic distribution and gender balance through an appropriate selection processes.

2. Ensure quality of research output through internal and external peer review mechanisms

Design research cycles in line with stakeholder needs 1. Set duration of research cycles in accordance with the needs of policy makers (previous

cycles proved too long). Prepare proposal for a four (4) year research programme with two (2) research phases. Phase I would consist of 2 year research cycle where 1st year is dedicated to data collection and literature review and 2nd year is for the actual study to produce a journal article and book chapter. Phase II would involve another research proposal cycle to re-examine the issues of focus.

2. Redesign the Special Studies group that addresses short-term policy challenges 3. Based on the 2002 AFREPREN Evaluation design research activities that address the

following initiatives: – Post WSSD5 events on sustainable energy services for the poor – Renewables in Eastern and Horn of Africa focusing on cogeneration, geothermal and

bio-fuels study sponsored by HBF6 – Post WSSD initiative on expansion of the use of renewables and energy efficiency

systems in a reforming power sector sponsored by REEEP7 – Study on policy options for cleaner energy services for the poor (Post-WSSD

initiative) sponsored by GNESD8 – Climate Change – Productive use of modern forms of energy – Survey to assess the outsourcing opportunities for SME’s in the ongoing power sector

reforms sponsored by the World Bank / SME9 study Quality monitoring of research outputs Ensure quality of research output through internal and external peer review mechanisms

4 Millennium Development Goals monitored by the United Nations outline 7 development targets to be implemented by individual countries by the year 2015 5 WSSD – World Summit on Sustainable Development held in Johannesburg South Africa in 2002 6 HBF – Heinrich Boll Foundation 7 REEEP – Renewable Energy and Energy Efficiency Partnership 8 GNESD – Global Network on Energy for Sustainable Development

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9 SME – Small and Medium Enterprises / World Bank study

Objective II: Collecting and compiling trend and up-to-date energy data and documentation focusing on the poor in the region. Indicators for objective II:

• Energy data sets on the poor in Africa the latest of which is not more than 3 years old • Energy documents (hard copy and electronic) on the poor in Africa the latest of which

are not more than 1 year old. Strategies for Objective II

• Use secondary data sources to compile data and information on the poor in the region • Validation of secondary data • Carry out primary data surveys

Action Plans to Achieve Strategies for Objective II Use secondary data sources to compile data and information 1. Develop a time series data (trend data) set based on the secondary sources such as

statistical reports, survey reports, and annual reports. 2. Commission short-term studies to validate and up-date data sets that are not available in

the public domain. The studies could be undertaken by individuals in the government statistical bureaus, utilities, government ministries and trade associations

Validation of secondary data 1. Source secondary information from multiple sources for data validation 2. Develop proxies for data items that cannot be validated through multiple sources Carry out primary data surveys Commission primary data surveys on energy services for the poor in selected countries to fill key data gaps. Objective III: Disseminating the Network’s research results in particular to energy policy-making organs in the region. Indicators for objective III:

• No. of articles in mass circulation, newspapers and magazines covering AFREPREN events and research findings

• No. of participants at AFREPREN organized events (breakfast policy briefings, book

launches, conferences, regional workshops and National Policy Seminars)

• No. of participants at non-AFREPREN major events where AFREPREN research findings are presented

• No. of high level decision makers at the above events e.g. presidents, former

presidents ministers, deputy ministers, PS, directors, senior managers

• No. of TV and radio programmes that cover AFREPREN events and research findings

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• No. of AFREPREN web-site hits • No. of references to AFREPREN in popular web search engines (Google, Yahoo,

MSN, AskJeeves etc) • Availability of aforementioned data sets and documents on a publicly accessible

website and libraries respectively Strategies for Objective III • Use the most effective modes of disseminating results in the region • Use of mass circulation media Action Plans to Achieve Strategies for Objective III Use the most effective modes of disseminating results in the region (i) Identify, prioritize and select the modes of disseminating network findings to decision

makers. (ii) Identify and prioritize the dissemination modes of network findings to the various

stakeholders as well as the different countries. Use of mass circulation media Give preference to mass circulation modes of dissemination network findings because of their proven effectiveness. Objective IV: Strengthening research capacity in energy policy in Eastern and Southern Africa Indicators for objective IV:

• No. of participants at training courses in energy and related skills (e.g. IT, communication, proposal preparation and research methodology).

• No. of post graduate energy scholarships issued at Doctorate, Masters, Diploma and

Certificate levels.

• No. of fellowships / sabbatical leaves / attachments.

• No. of successful graduants from the above programmes. Strategies for Objective IV

• Organize training courses • Use of AFREPREN literature as training materials on energy policy

Action Plans to Achieve Strategies for Objective IV Organize training courses (i) Organize short-term courses / attachments / fellowships to impart skills to active

practitioners in the academic and policy community (AFREPREN members and non-members).

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(ii) In collaboration with appropriate institutions, organize longer term courses aimed at building future capacity in energy policy in Eastern and Southern Africa.

Use of AFREPREN literature as training materials on energy policy 1. Ensure AFREPREN books and research reports are widely available in the region in all

institutions that offer energy courses 2. Avail AFREPREN research findings in a form that can be easily used in training such as

training handbooks, electronically on diskettes and CDs, and through the internet.

2.7 Products / Outputs The Core Product of AFREPREN is reflected by its mission statement which states:

“Provide key stakeholders with feasible policy options for the delivery of affordable and cleaner energy services to the poor in Africa.”

The outputs of AFREPREN represent the delivery channels used to deliver the core product. The strategic taskforce conducted an analysis of the delivery channels available and it was realized that AFREPREN was not using the most effective channels for reaching top level policy makers. Most of the channels used by AFREPREN targeted lower level technocrats. The strategies identified above aim at optimizing available delivery channels to reach the various target groups. The table below outlines the various delivery channels available and attempts to prioritize the most effective channels for reaching AFREPREN’s main target group - key decision makers and influential researchers / academics.

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Table 2.1: Outputs / Delivery Channels

Target Group Ranking10 of Effectiveness

Delivery Channel Availability at AFREPREN National

Policy Makers

Donors Credit Institutions

Research Community

Private Sector

NGOs Technocrats / Advisers

Newspaper articles & features

√ √ √ √ √ √ √ 1

Breakfast Policy Briefings

√ √ √ √ 1

Book Launches √ √ √ √ √ 1 Regional Magazine Articles

√? √ √ √ √ √ √ 1

Conferences √ √ √ √ √ √ √ 1

Regional Workshops √ √ √? √ √ √ √ 2 National Policy Seminars

√ √ √ √ √ √ √ 2

Newsletters √ √ √? √ √ √ √ 2 Conference Papers √ √ √ √? √ √ 2 Occasional Papers √ √? √ √? √ √? 3 Website √ √ √ √ √ √ 3 Journal Articles √ √ √ √? √ √ 3

Training Courses √ √ √ √ √ 4 Policy Reports √ √ √? √ √? 4 Working Papers √ √ √? √ √? 4 CDs √ √ √? 4

10 Ranking : 1 –Most effective channel; 4 – Least effective channel

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33..00 GGOOVVEERRNNAANNCCEE AANNDD SSTTRRUUCCTTUURREE

3.1 Defining AFREPREN Membership and Roles of Various Bodies The proposed structure of AFREPREN developed during the Strategic Taskforce meeting takes into account advice of the 2002 Evaluation and Sida. The proposed changes are evolutionary and an improvement of the existing Network structure and mode of operation, which had not been clearly documented in the past. This modified structure fits in with the overall Strategic Plan and will enable AFREPREN pursue its mission more effectively.

3.2 AFREPREN Membership categories Four (4) membership categories have been defined

• Core Member – Principal researcher • Associate Member - associate researcher, special studies researcher, assistant

researcher and researchers involved in other short-term activities of AFREPREN • Student Member – recipient of AFREPREN Scholarships • Subscribers to free Newsletter / Update11

Table 3.1: Benefits and responsibilities of various categories of memberships Core

Members Associate Members

Student Members (AFREPREN scholarship recipients)

Subscribers to free newsletter / update11

BENEFITS Research Funding X X Publication Support X X X Data Support X X X Scholarship X Sponsorship to international conferences, training courses

X X X

Newsletter X X X X Fellowship X X Update X X X Community web-site page X X Free web page X X X X RESPONSIBILITIES Undertake policy research X X Provide national data X X X X Provide national documentation X X X X Undertake data validation X X X Provide impact statements X X Respond to occasional AFREPREN questionnaire

X X X X

Fund raising efforts X

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11 Shorter update on AFREPREN activities – not all newsletter subscribers would receive or benefit from the update

3.3 Governance Structure of AFREPREN Figure 3.1: Proposed AFREPREN Structure

Theme Group Coordinators Researchers

Selection Panel

Evaluators External Reviewers Auditors of FinancialReports (KPMG)

Director AFREPREN Secretariat

Policy Advisory Panel - Senior African academics, - Selected policy makers, - Selected policy analysts, - International resource

Advisory Committee - Donors, - Steering Committee members, - AFREPREN Director

National Focal Points

African Energy Community

AFREPREN Assembly - All Core Members + Selected representatives

from other member categories & organs

Steering Committee Theme Group Coordinators

3.3.1 AFREPREN General Assembly (AGA) Composition

• All principal researchers and selected associate members12 • Observers (donors, director, secretariat staff and other invited parties)

Functions

• Approves major policy decisions by consensus (and if not possible by at least 75% majority voting)

• Elects the AFREPREN Steering Committee • Country members select National Focal Points • Tenure – Duration of programme cycle • Not less than 75% of members constitute a quorum • In the absence of AGA members, Secretariat to invite available persons from other

AFREPREN organs and membership categories

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12 Associate members are AFREPREN researchers who are not involved in the core research programme. These could be members of the Special Studies of Strategic Significance theme group, AFREPREN sponsored Masters Degree Students and researchers involved in the various initiatives coordinated by AFREPREN.

3.3.2 Steering Committee • Major co-ordination organ of AFREPREN for implementing AGA directives • Members elected by the General Assembly. As the need arises, can co-opt additional

members from other AFREPREN membership categories and organs • Attended by the Director • Selection process - selected by the Theme Group at the AFREPREN General

Assembly (AGA) • Steering Committee membership includes Theme Group Coordinators and other

members selected by their respective Theme Groups • Tenure – proposal to have 4yr cycle split in half to allow for continuity • Nomination and selection of Special Studies and MSc scholarship applicants • Decisions by consensus (and if not possible by at least 75% majority voting) • Not less than 75% of members constitute a quorum • In the absence of Steering Committee members, Secretariat to invite available persons

from other AFREPREN organs and membership categories 3.3.3 Theme Group Coordinators Qualities

• Expertise in policy research • Leadership skills

Functions

• Chair theme group meetings • Encourage and aid the researchers • Develop cross national comparisons of members research results • Attend Steering Committee meetings • Eligible for nomination to advisory committee • Subject to availability and skills, eligible for selection as editors of major

AFREPREN publications • Selection process – Selected by Theme Group members at AGA • Tenure – 4 year cycle split in half to allow for continuity

3.3.4 Theme Groups Composition

• Principal researchers in respective themes • Institutional, disciplinary, geographical and gender balance to be encouraged in theme

group composition.Observers (donors, director, secretariat staff and other invited parties)

Functions

• Elects the Theme Group Coordinator • Involved in internal / peer review of research reports • Develop the Theme Group plan • Undertake core research work • Decisions by consensus (and if not possible by at least 75% majority voting) • Not less than 75% of members constitute a quorum • In the absence of theme group members, Secretariat to invite available persons from

other AFREPREN organs and membership categories 18

3.3.5 Advisory Committee • Should have representatives of major financing organizations, AFREPREN Director,

2 members of the Steering Committee proposed by the Secretariat and confirmed by the AFREPREN Steering Committee

• Will review workplans, progress reports and proposals from the Steering Committee and Secretariat

• Nomination process – proposed by Secretariat and approved by Steering Committee • Tenure – proposal to have 4yr cycle for Steering Committee representative split in

half to allow for continuity and key financier representatives to remain for the period of the funding made available

• Will have no decision making powers • In the absence of Advisory Committee members, Secretariat to invite available

persons from other AFREPREN organs and membership categories 3.3.6 Policy Advisory Panel

• Will have about 10 members made up of senior African academics, policy analysts, policy makers, and international / regional energy resource persons (knowledgeable in African energy issues), chairs of the theme groups and AFREPREN Director. Preference will be given to energy experts interested in issues pertaining to energy services for the poor

• Will advise on trends and priorities for energy policy research • Nomination process – proposed by Secretariat and approved by Steering Committee • Tenure – proposal to have 4yr cycle split in half to allow for continuity • In the absence of Policy Advisory Panel members, Secretariat to invite other available

persons from other AFREPREN organs and membership categories 3.3.7 Selection Panel

• Assess proposals and membership application • Select active members of AFREPREN Core Theme Groups. Selection criteria to

include demonstrated commitment to addressing the energy needs of the poor, quality of research proposal, innovative subject area, soundness of research methodology, balance with respect to policy makers / academics / NGO / private sector / Unions, gender, geographic representation and discipline (natural / social scientists)

• Nomination process – proposed by Secretariat and approved by Steering Committee • Tenure – for the selection period and not involved in the related AFREPREN

activities for a minimum of 3 years after the selection process • In the absence of Selection Panel members, Secretariat to invite other available

persons from other AFREPREN organs and membership categories 3.3.8 National Focal Points

• Co-ordinate and promote AFREPREN activities in respective country • Organize National Seminars • Fund raise for the Network at National level • Ensure that AFREPREN national mini-documentation units are functional • Provide updates to respective AFREPREN National Focal Point webpage

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3.3.9 Director • Head of hosting institution • Nominated by Secretariat and hosting institution • Graduate and post-graduate qualifications in energy or policy related discipline • At least 10 years experience in the management and coordination of a regional energy

policy research programme in Africa • Approved by General Assembly • Tenure – for as long as hosting arrangement is in place

Functions

• Representational (mainly at major national, regional and international events) • Propose potential members for the Advisory Committee, Policy Advisory Panel,

External Reviewers and Selection Panel. • Manage Secretariat (make key decisions involving running of Secretariat such as

recruitment) 3.3.10 AFREPREN Secretariat

• Proposed Hosting Institution approved by the AGA • Tenure – for as long as hosting arrangement is in place • Administrative (co-ordination, organization, management of funds and preparation of

financial reports) • Research (backstopping for the theme groups) • Library / Documentation Unit • Data support • Nomination of AFREPREN funded training course participants and participants to

major conferences and events • Facilitation and organization of regional level workshops and training courses • Coordination of AFREPREN scholarship programmes • Development and maintenance of AFREPREN website

3.3.11 Key Principles on Membership Participation

• The above structure should aim at broadening the participation of AFREPREN members in various Network organs and avoids duplication of functions

• Wherever possible, a member should not serve in more than two (2) governing and advisory bodies.

• Members serving in the governing and advisory bodies should not benefit from scholarships issued by AFREPREN or be beneficiaries of advice / recommendations arising from themselves (e.g. they should refrain from participation if an issue they can benefit from arises).

• Active AFREPREN member benefiting from Network research funding should not also be beneficiaries of major scholarship support (e.g. PhD, Masters and Diploma).

• Members who fail to submit the required outputs will be provided with 3 reminders over a period of 1-Month after which their Network membership will be cancelled

• During selection of members, efforts will be made to ensure equitable distribution between policy makers, academics and other stakeholders (NGOs, Private Sector, Unions etc). In addition efforts to ensure better gender, inter-disciplinary and geographic balance will continue to be pursued

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3.3.12 Dispute resolution • The first step will be to try and arrive at a consensus and mutual agreement • Should consensus not be realized, to follow and apply contract requirements • Should contract term not be sufficient to resolve, disputes arising to be resolved at the

next level of reporting where decision would be final

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44..00 FFIINNAANNCCIINNGG There is a need for AFREPREN to secure additional funding sources to pursue its mission identified as developing policy options for meeting the energy needs of the poor. The need for additional sponsors was re-emphasized by the 2002 Evaluation and by the principal sponsors, Sida. Significant effort has been placed on fundraising in the past 12 months and a number of sponsors have provided modest support to the network. The resource mobilization efforts will continue during the preparatory / transition period and will be undertaken at the international, regional and national levels. As a principle and to encourage fund raising and minimize bureaucratic hurdles, financing at all levels to be primarily utilized at the level it was raised but the individuals / organs concerned to be encouraged to use other Network members / organs. Fund-raising at this level to be carried out by all AFREPREN members, governing organs and advisory bodies, National Focal Points and Secretariat. Should larger flows come through (<$100,000) raised by an AFREPREN individual or organ, the Network will develop more formal channels for handling the larger fund flows.

4.1 Network Level Fund Raising – Donor Missions

• Financing raised through official donor missions represents Network level funding to be utilized by AFREPREN to be coordinated primarily through the Secretariat with guidance from the respective donor agency, Steering Committee and General Assembly.

• Targeted donor missions will consist of at least one principal researcher and one member of the Secretariat.

• Proposals will be presented to prospective donors and at key international events where prospective sponsors are in attendance.

4.2 Organ Level Fund Raising

• Funding raised at the organ level should be primarily used at the organ level but should be reported to the Network so as to include it as part of AFREPREN’s total of mobilized funds.

• Respective entities to be encouraged to work closely with AFREPREN members and organs of the Network.

• Also encouraged to share findings with AFREPREN. • If members / organs so wish, they could use the AFREPREN structure for fund

raising as long as they consult with the Secretariat and relevant organs.

4.3 Principles Guiding Expenditure Patterns

• The Network shall maintain modest expenditure levels and shall strive to be a low- cost Network to reflect its pro-poor character

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• During seminars, workshops and training courses modestly priced hotels and other facilities shall be utilized. The Network will procure economy class tickets where air travel is required. Wherever possible, 5-star establishments and 1st class and business class air tickets will be avoided barring exceptional circumstances (e.g. need for large

conference facilities and participation of Ministers, Permanent Secretaries and other dignitaries)

• For regional participants (during seminars and workshops), US$ 100 shall be provided

to cover incidental costs. There shall be no daily subsistence allowance (DSA) apart from the US$ 100 incidental stipend. Subject to resource constraints, Secretariat to directly pay for the cost of accommodation, meals, air tickets and local transport. All other reimbursements to be based on receipts.

• Budgets for Network activities shall be prepared by the Secretariat in line with

guidelines provided by donors, AFREPREN auditors and fiscal regulations of hosting country.

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55..00 MMOONNIITTOORRIINNGG AANNDD EEVVAALLUUAATTIIOONN This process will involve determining key outputs and parameters to be measured for monitoring performance. Achievements will be noted and highlighted and corrective action taken for outputs and parameters lagging behind or deviating from the plan. Some of the tools to be used include the following:

• As the need arises, SWOT reviews of AFREPREN Strategic Plan and Vision. • Ensuring contractual obligations are fulfilled through a regular updated outputs

checklist. • Ensuring that members lagging behind in AFREPREN research assignments are not

issued with additional research assignments or involved in other AFREPREN activities

• Splitting payments and linking them to submission of outputs • Internal and external review (by international experts) of research reports • Peer reviews of research reports • More rigorous implementation of the 3-reminders rule - 3 reminders to submit outputs

before forfeiture of membership. • For researchers who are not able to finalise their reports, the AFREPREN Steering

Committee recommended an 80% to 20% split of the outstanding research payment depending on whether the report requires content (thematic content) or editorial adjustment. If a report requires major thematic content adjustment, 80% of the amount allocated would be deducted as editing fees, and if the work required is mainly editorial, 20% of the allocation would be deducted.

• Internal and external evaluation of Network programmes and activities • Annual financial audits by an international auditing firm. • Copies of audit reports to be distributed to the Steering Committee and key donors

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66..00 NNEEXXTT SSTTEEPPSS -- SSeettttiinngg tthhee ssttaaggee ffoorr tthhee 1188--MMoonntthh PPrreeppaarraattoorryy PPeerriioodd aanndd LLoonngg TTeerrmm ppllaann

This Strategic planning document provides the framework for more detailed planning both in the short, medium and long terms. The process will involve the various organs of AFREPREN including the principal sponsors Sida who have been instrumental in the successful development of the Network since inception. The planning horizons are as follows:

• Short-term (18-months) – Planning / Transition period which will provide resources and time to address the recommendations and advice of the 2002 Evaluation and Sida. It also provides the opportunity for more detailed elaboration of this Strategic Plan, AFREPREN’s organizational structure and mode of operation. Will also be refined and thus set the stage for the launch of the next research cycle of the Network. Monitoring and evaluation will be conducted by the AFREPREN Steering Committee, sponsors and Secretariat

• Medium-term (5 years) – Will involve implementation of next research cycle and

planning for future research cycles which including possibility of establishing an endowment fund to sustain the key core outputs of AFREPREN which include publications, data and library. Monitoring and evaluation through internal and external evaluations as well as SWOT reviews of strategic plan.

• Long-term (10 years) – Future research cycles aimed at achieving AFREPREN’s long

term vision. Evaluation through internal and external evaluations as well as SWOT reviews of strategic plan

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77..00 BBIIBBLLIIOOGGRRAAPPHHYY AERC, 2003, “Introduction to the African Economic Research Consortium (AERC)”, URL:

http://www.aerc.org/. AFREPREN (African Energy Policy Research Network), 2002 ‘Energy Policy, Special Issue,

Africa: improving modern energy services for the poor’, Elsevier Science Ltd. AFREPREN, 1999. “AFREPREN Research Programme Proposal to Sida - 1999-2002”,

AFREPREN/FWD Nairobi. AFREPREN, 1999. “AFREPREN 18-Month Preparatory / Transition Period Proposal to

Sida”, AFREPREN/FWD Nairobi.

Arango, John B, 1998. “An Introduction to Planning”, Algodones Associates Inc. Christensen, J. M. and McCall M. K. 1994, “AFREPREN, The African Energy Policy

Research Network, An Evaluation. Evaluations 1994:3”, Sarec – Swedish Agency for Research Cooperation within Developing Countries.

Clancy, Joy and Rowlands, Ian, H. 2002, “Sida Supported Programme within the African

Energy Policy Research Network (AFREPREN) – Sida Evaluation 02/23”, Sida, Department for Research Cooperation, Sweden.

Drucker, Peter, 1999. “Managing the Non-Profit Organization”, Butterworth-Heinemann,

Oxford. Hvelplund, F and Worrell, Ernst, 1999, “Sida Supported Programme within the African

Energy Policy Research Network (AFREPREN) – Sida Evaluation 99/5”, Sida, Department for Research Cooperation, Sweden.

Holloway, Richard, 2001. “Towards Financial Self-Reliance”, Earthscan Publications Ltd.

London, UK. QuickMBA.com, 2003. “Porter's Five Forces: A Model For Industry Analysis”, Internet

Centre for Management and Business Administration, Inc. URL: http://www.quickmba.com/ the strategic planning process.htm.

QuickMBA.com, 2003. “SWOT Analysis”, Internet Centre for Management and Business

Administration, Inc. URL: http://www.quickmba.com/swot analysis.htm. QuickMBA.com, 2003. “The Strategic Planning Process”, Internet Centre for Management

and Business Administration, Inc. URL: http://www.quickmba.com/ the strategic planning process.htm.

Ramani, K.V. and Zin O.H. 1990. “Regional Network on Energy Policy Issues, Experience

with the Asia and Pacific Energy Planning Network (APENPLAN)”, Asia and Pacific Development Centre (APDC).

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World Bank, 2001. “World Development Report 2000/2001: Attacking poverty”, World Bank, Washington DC

World Bank, 2003. “World Development indicators 2003. World Bank”, Washington DC.