African Peace and Security Architecture. APSA Roadmap 2016 ... · promoting “peace, security, and...

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African Peace and Security Architecture. APSA Roadmap 2016 – 2020

This work is published under the sole responsibility of the African Union Commission / Peace and Security Department. All rights reserved.

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© African Union Commission, Peace and Security Department, Addis Ababa, December 2015

1st edition, December 2015

African Union Commission P.O. Box 3243 Roosevelt Street Addis Ababa, Ethiopia

Tel. +251 11 551 3822 Fax +251 11 551 9321 Email [email protected] Internet: www.peaceau.org Twitter: @AU_PSD

Design Ira Olaleye, Eschborn, Germany

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Strategic Priorities and Indicators

Strategic Priority 1: Conflict Prevention

Strategic Priority 4: Strategic Security Issues

Strategic Priority 5: Coordination and Partnerships

Strategic Priority 2: Crisis/Conflict Management

Strategic Priority 3: Post-Conflict Reconstruction and Peace Building

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Preface ...................................................................................................................................................................................................................................... 6List of Abbreviations ................................................................................................................................................................................................... 6Executive summary ...................................................................................................................................................................................................... 7Foreword ............................................................................................................................................................................................................................... 8Introduction ........................................................................................................................................................................................................................ 10APSA Legal and institutional dimensions ................................................................................................................................................. 12Progress made in implementing APSA ....................................................................................................................................................... 14The APSA Roadmap 2016–2020: Strategic Priorities and Indicators ............................................................................... 22

Strategic Priority 1: Conflict Prevention .............................................................................................................................................. 231.1 Capacities of CEWS and the EWS .......................................................................................................................................................... 231.2 Interaction between CEWS, regional and national EWS ................................................................................................ 251.3 Engagement of CEWS/EWS with decision-makers .............................................................................................................. 251.4 Collaboration of CEWS/EWS with external stakeholders .............................................................................................. 261.5 Capacity for structural conflict prevention .................................................................................................................................. 271.6 Capacity to deploy and conduct preventive diplomacy ................................................................................................ 29

Strategic Priority 2: Crisis/Conflict Management ........................................................................................................................ 312.1 Political/legal decision-making mechanisms ............................................................................................................................. 322.2 Capacity to plan, deploy, manage, sustain and liquidate .............................................................................................. 332.3 Mission support systems and mechanisms ................................................................................................................................ 342.4 Capacities and capabilities pledged/on standby ................................................................................................................... 352.5 Capacity to plan, deploy, manage, support and monitor mediation interventions ............................ 362.6 Coordination on mediation interventions .................................................................................................................................... 37

Strategic Priority 3: Post-Conflict Reconstruction and Peace Building .................................................................... 393.1 PCRD Mechanisms and regional policies ....................................................................................................................................... 393.2 PCRD responds to specific needs in different conflict phases .................................................................................. 403.3 AU and RECs coordination function of PCRD ........................................................................................................................... 413.4 Resources for the implementation of PCRD programmes ........................................................................................... 423.5 Capacities for support to post-conflict Member States .................................................................................................. 433.6 Capacities to implement the SSR policy framework .......................................................................................................... 443.7 Capacities of the AUC and the RECs/RMs to respond to DDR challenges .................................................... 44

Strategic Priority 4: Strategic Security Issues .................................................................................................................................. 464.1 Illicit flow of SALW ............................................................................................................................................................................................... 464.2 Mine action and counter-IED/explosives management ................................................................................................. 474.3 Weapons of Mass Destruction (WMD) disarmament and non-proliferation ............................................ 484.4 Counter-terrorism measures ..................................................................................................................................................................... 484.5 Illicit Financial Flows .......................................................................................................................................................................................... 504.6 Africa’s Integrated Maritime Strategy (AIMS) ........................................................................................................................... 524.7 AFRIPOL as coordination mechanism .............................................................................................................................................. 52

Strategic Priority 5: Coordination and Partnerships ................................................................................................................. 545.1 Coordinating function of the PSC .......................................................................................................................................................... 545.2 Intra- and inter-departmental collaboration/coordination ......................................................................................... 555.3 MoU between the AU and the RECs/RMs .................................................................................................................................... 565.4 The AU Liaison Offices ...................................................................................................................................................................................... 575.5 Policy and strategic dialogue within APSA partnerships ................................................................................................ 575.6 Financial ownership of APSA ..................................................................................................................................................................... 58

Cross-cutting issues ............................................................................................................................................................................................................. 60

Monitoring and Evaluation ................................................................................................................................................................................... 61

Annex ...................................................................................................................................................................................................................................... 63APSA Roadmap Impact Indicators ........................................................................................................................................................................ 64

Results Framework Strategic Priority 1: Conflict Prevention ..................................................................................................... 66

Results Framework Strategic Priority 2: Crisis/Conflict Management .............................................................................. 81

Results Framework Strategic Priority 3: Post-Conflict Reconstruction and Peace Building ........................ 96

Results Framework Strategic Priority 4: Strategic Security Issues ........................................................................................ 108

Results Framework Strategic Priority 5: Coordination and Partnerships ....................................................................... 121

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Table of Content

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List of Abbreviations

ACIRC .............. African Capacity for Immediate Response to Crises

ACSRT ............. African Centre for Studies and Research on Terrorism

AfDB ................ African Development Bank AFRIPOL ........ African Police Cooperation MechanismAIMS ................ Africa’s Integrated Maritime Strategy AHSG ............... African Heads of State and Government AML/CFT ...... Anti-Money Laundering/

Combating the Financing of TerrorismAPSA ................ African Peace and Security Architecture ASC ................... African Standby Capacity ASF ................... African Standby Force ASI ..................... African Solidarity Initiative AU ..................... African UnionAUC .................. African Union Commission AULOs ............ African Union Liaison Offices C3IS .................. Command, Control, Communication

and Information Systems CAAS ............... Conflict Alerting and Analysis Tools CAPCCO ........ Central African Police Chiefs’ Committee CBOs ................ Community Based Organizations CEN-SAD ....... Community of Sahel-Saharan States CEWARN ....... IGAD Early Warning SystemCEWS .............. Continental Early Warning System CISSA ............... Committee of Intelligence and Security

Services of Africa CLB ................... Continental Logistics Base CMCC .............. Continental Movement Control Centres COMESA ....... Common Market for Eastern and

Southern Africa COMWARN COMESA Early Warning SystemConOps ......... Concepts of Operations COPAX ............ Council of Peace and Security in

Central Africa CSCPF ............. Continental Structural Conflict

Prevention Framework CSO .................. Civil Society OrganizationCSVA ................ Country Structural Vulnerability

Assessments CSVMS ........... Country Structural Vulnerability

Mitigation Strategies DDR .................. Disarmament, Demobilization and

Reintegration DDRCP ............ Disarmament, Demobilisation and

Reintegration .............................. Capacity Programme DNFBPs .......... Designated Non-Financial Businesses

and ProfessionsDPA ................... Department for Political Affairs EAC ................... East African Community EACWARN ... EAC Early Warning SystemECCAS ............. Economic Community of Central African

States ECOWAS ....... Economic Community of West African

States ECOWARN ... ECOWAS Early Warning SystemEU ...................... European Union EWR ................. Early Warning Reports

EWS ................. Early Warning Systems FATF ................. Financial Action Task Force FIU .................... Financial Intelligence Unit GBV .................. Gender-Based Violence HR ..................... Human Resources ICT ..................... Information and Communications

Technology IDTFCP ........... Inter-Departmental Task Force on

Conflict Prevention IED .................... Improvised Explosive DeviceIGAD ................ Intergovernmental Authority for

Development KMF ................. Knowledge Management Framework LEAs ................. Law Enforcement AgenciesM&E ................ Monitoring and EvaluationMARAC .......... Early Warning Mechanism on Central

AfricaMoU ................ Memorandum of Understanding on

Cooperation MSU ................. Mediation Support Unit NEPAD ............ New Partnership for Africa’s

DevelopmentNGOs .............. Non-Governmental Organizations OAU ................. Organisation of African UnityPCNA ............... Post-Conflict Needs Assessment PCRD ............... Post-Conflict Reconstruction and

Development PLANELMs ... Planning Elements PSC ................... Peace and Security Council PSD ................... Peace and Security Department PSO ................... Peace Support Operations PSP ................... Peace Strengthening Projects QIPs ................. Quick Impact ProjectsRDC .................. Rapid Deployment Capability RECs ................. Regional Economic CommunitiesRECSA ............. Regional Centre For Small Arms RMCC .............. Regional Movement Control Centres RMs .................. Regional MechanismsSADC ............... Southern African Development

Community SALW ............... Small Arms and Light Weapons SARPCCO ...... Southern African Regional Police Chiefs

Cooperation .............................. Organisation SOP ................... Standard Operating Procedure SSR .................... Security Sector Reform SVA ................... Structural Vulnerability Assessment TCC ................... Troop Contributing Countries TOC .................. Transnational Organized Crime ToR .................... Terms of ReferenceTQM ................ Technical Quarterly MeetingUN ..................... United Nations UXO .................. Unexploded Ordnance VPN .................. Virtual Private Network WAPCCO ....... West African Police Chiefs Committee

Organization WMD .............. Weapons of Mass Destruction

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Executive summary

In line with the Solemn Declaration on the 50th Anniversary of the Organization of African Unity/African Union of the African Heads of State and Government, that was adopted at the meeting of the AU Assembly on 25 May 2013, and in order to substantially contribute to achieving the goals of the AU initiative on “Silencing of the Guns: Pre-requisites for realising a conflict-free Africa by the year 2020”, the “APSA Roadmap 2016-2020” is a strategic document, which builds on the achievements and challenges resulting from the implementation of the previous APSA Roadmap (2011-2013). The Roadmap is the result of an inclusive and participatory process in-volving different departments at the AUC and at the RECs/RMs.

The APSA Roadmap 2016-2020 provides a shared understanding of the results to be achieved by all APSA stakeholders, it articulates a shared understanding of the roles and functions each stakeholder involved in APSA is expected to play; it highlights a shared understanding of the need to increased collaboration and coordination among all stakeholders involved in APSA; and finally the roadmap is the most relevant tool to communicate APSA project plans and expected results to Member States, partners and other external actors.

With a focus on concrete activities and strategic objectives, this Roadmap aims at mapping out a way forward to enable the consolidation of gains made, and address the most pressing challeng-es, so as to make the African Peace and Security Architecture fully functional and operational, and in this way contribute effectively to the maintenance and preservation of peace and security in Africa.

The APSA Roadmap 2016-2020 details the AUC and RECs/RMs joint aims in five strategic priority areas: Conflict prevention (incl. early warning and preventive diplomacy), crisis/conflict man-agement (incl. ASF and mediation), post-conflict reconstruction and peace building, strategic security issues (such as illegal flows of SALW, IEDs, WMD disarmament, counter-terrorism, illicit financial flows as well as transnational organised crime and cyber crime) and coordination and partnerships. In addition, cross-cutting issues are covered by the Roadmap.

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Foreword

Fourteen years ago, the African Union (AU) started im-plementing the African Peace and Security Architecture (APSA) as articulated in the 2002 Protocol Relating to the Establishment of the Peace and Security Council (PSC) of the African Union. Since then, the Union has made significant progress, not only in establishing the APSA institutions and mechanisms, but also in increas-ingly utilizing them for the purpose of conflict pre-vention, management and resolution, with a view to promoting “peace, security, and stability on the conti-nent”, as envisaged by the 2000 Constitutive Act of the AU and in lie with the aspirations of the Africa’s people. This is all the more important given the nexus between peace, security and development. The APSA Roadmap 2016 – 2020 presented here manifests the continued determination to ensure further progress, and paves the way for future collaboration between the AU, the Regional Economic Communities (RECs) and Regional Mechanisms for Conflict Prevention, Management and Resolution (RMs) to effectively address security issues and contribute to a more peaceful Africa.

The Roadmap is a strategic document, which builds on the achievements and challenges result-ing from the implementation of previous APSA Roadmaps. It is based on the 2008 Memorandum of Understanding on Cooperation in the area of Peace and Security signed between the AU and the RECs/RMs in 2008. The Roadmap is in line with the Solemn Declaration adopted by the As-sembly of AU Heads of State and Government on the 50th Anniversary of the Organization of African Unity/African Union, held on 25 May 2013, in Addis Ababa, Ethiopia. It further serves to achieve the goals of the AU’s initiative on Silencing the Guns: Pre-requisites for realising a conflict-free Africa by the year 2020, in order not to bequeath the burden of conflicts to the next generation of Africans. This Roadmap is the result of an inclusive and participatory process involving different Departments at the AU Commission (AUC) and at the RECs/RMs.

The APSA Roadmap 2016 – 2020 provides a shared understanding of the results to be achieved by all APSA stakeholders, articulates a shared understanding of the roles and functions each stakeholder involved in APSA is expected to perform, highlights a shared understanding of the need for increased collaboration and coordination among all stakeholders involved in APSA, and finally, it is the most relevant tool to communicate APSA project plans and expected results to Member States, partners and other external actors.

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With a focus on concrete activities and strategic objectives, this Roadmap aims at mapping out a way forward to enable the consolidation of gains made, and address the most pressing chal-lenges, so as to make the APSA fully operational, and in this way contribute effectively to the maintenance and preservation of peace, security and stability in Africa. The Roadmap details the joint aims of the AUC and the RECs/RMs in five strategic priority areas: Conflict prevention (including early warning and preventive diplomacy), crisis/conflict management (including the African Standby Force and mediation), post-conflict reconstruction and development and peace-building, strategic security issues (such as proliferation of small arms and light weapons, disar-mament, counter-terrorism and transnational organised crime among others), and coordination and partnerships. In addition, cross-cutting issues – such as gender-mainstreaming in peace and security and climate change – are addressed by this Roadmap.

Building on the conclusions of the workshop of the AU-RECs/RMs senior officials and experts held on 19 – 21 November 2013 in Abuja, Nigeria, the 10th meeting of AU-RECs/RMs senior officials held on 20 – 21 November 2014 in Cairo, Egypt, as well as the outcome of the 8th PSC Retreat on enhancement of cooperation between the PSC and the RECs/RMs held on 14 – 16 Septem-ber 2015 in Abuja, Nigeria, the AU and RECs/RMs senior officials finalised this APSA Roadmap 2016 – 2020 at their 11th meeting held on 23 – 25 November 2015 in Harare, Zimbabwe.

The APSA Roadmap 2016 – 2010 consists of an introduction, followed by a section that recalls its legal and institutional dimension and a brief review of APSA implementation and progress made so far. In the main part of the Roadmap, APSA strategic priorities and related indicators are detailed. The Roadmap then concludes with brief observations on monitoring and evaluation. A detailed results framework for the various strategic priorities is annexed to the Roadmap.

Making the APSA fully operational through implementing this Roadmap, will further contribute to the capacitation of the AU and the RECs/RMs to effectively address the scourge of conflicts and crises in the continent, and promote lasting peace, security and stability in Africa.

Ambassador Smaïl Chergui AU Commissioner for Peace and Security

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At the meeting of the African Union Assembly on 25 May 2013, African Heads of State and Gov-ernment (AHSG) adopted a Solemn Declaration on the 50th Anniversary of the Organization of African Unity/African Union (OAU/AU). In this landmark declaration, the Assembly expressed its determination to achieve the goal of a conflict free Africa, to make peace a reality for all people and rid the continent of civil wars, civil conflicts, human rights violations, humanitarian disasters and violent conflicts, and to prevent genocide. The African leaders also pledged not to bequeath the burden of conflicts to the next generation of Africans and undertook to end all wars on the continent by 2020, a commitment that has taken practical expression in the AU initiative on “Si-lencing of the Guns: Pre-requisites for realising a conflict-free Africa by the year 2020”.

As a key component of Agenda 2063, “Silencing the Guns by 2020” underlines the necessity of making the continent’s mechanisms for conflict prevention, management and resolution op-erational at all levels – at the heart of which is a fully functional and operational African Peace and Security Architecture (APSA). Following the recommendations of the APSA Roadmap 2011-2013, priority has been given to pushing ahead with the operationalization of all pillars of APSA, including those tasked with conflict prevention, peacemaking, peacekeeping and peace support operations, national reconciliation and post-conflict reconstruction and development. These are in line with the Strategic Plan of the African Union Commission 2014-2017 (AUC), which posits that “the overall goal of achieving an integrated, prosperous and inclusive Africa at peace with it-self playing a dynamic role on the continent and global arena cannot be realized if durable peace and stability is not established”. In addition, improved harmonisation, collaboration and coor-dination between the AU and the Regional Economic Communities (RECs) and Regional Mecha-nisms for Conflict Prevention, Management and Resolution (RMs) in the full operationalization of APSA remains a key strategic and operational priority.

The development and implementation of the APSA Roadmap 2016-2020 is guided by the follow-ing principles:

z The Roadmap is informed and driven by the spirit of collective security and self-reliance. z The overarching goals and aspirations of the Roadmap are anchored in, and contribute to-

wards achieving the objectives of “Silencing the Guns by 2020” and the first 10-Year Imple-mentation Plan of the Union’s “Agenda 2063”.

z The Roadmap aims at strengthening ownership, consensus and synergy between the AU and the RECs/RMs.

z Sustainability is at the heart of the APSA Roadmap. z The Roadmap is results-oriented. z The AU maintains a leadership role in the implementation of the APSA Roadmap 2016-2020.

The “APSA Roadmap 2016-2020” is a strategic document, which builds on the achievements and challenges resulting from the implementation of the previous APSA Roadmap (2011-2013). This draft Roadmap aims at mapping out a way forward to enable the consolidation of gains made, and address the most pressing challenges, so as to make APSA fully functional and operational, and in this way contribute effectively to the maintenance and preservation of peace and security in Africa.

Introduction

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This Roadmap is the result of an inclusive and participatory process involving different depart-ments at the AUC and at the RECs/RMs. It fulfils five major functions, which might be summa-rized as follows:

z First, it provides a shared understanding of the results to be achieved by all APSA stakehold-ers. The AUC and the RECs/RMs have collectively developed the roadmap and its results frameworks, and this document reflects a collective agreement on the strategic priorities and on the objectives that need to be reached during the period 2016-2020.

z Second, the roadmap articulates a shared understanding of the roles and functions each stakeholder involved in APSA is expected to play. APSA is intended to effectively deal with a wide range of issues, conflicts and crises, whose nature, intensity and geographical scale vary greatly and require specific and adapted responses. The clarification, common understanding of and the respect for the complementarity between the roles and functions of each stake-holder is crucial to the effective implementation of APSA.

z Third, the roadmap highlights a shared understanding of the need to increased collaboration and coordination among all stakeholders involved in APSA. Not only does APSA deal with a wide range of issues, but it also involves a wide range of stakeholders, of organisations with their own history, mandate, priorities and competences. Bringing all these stakeholders to work in a coordinated manner is a key condition to increase the probability that the expected results might be achieved.

z Finally, the roadmap is the most relevant tool to communicate APSA project plans and expect-ed results to Member States, partners and other external actors. APSA is, indeed, supported by a large number of technical and financial partners. Moreover, APSA is of great interest for Member States and a multitude of actors (other continental bodies, academia, etc.). Having a single communication tool is of utmost importance for clarity and transparency purposes and guide interventions on the continent.

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At the heart of APSA are the 2000 Constitutive Act of the African Union and the 2002 Protocol Relating to the Establishment of the Peace and Security Council (PSC). APSA aims to outline the system (roles, instruments and procedures) by which the AU, the RECs as well as the RMs can realise their conflict prevention, management and resolution mandates. The APSA, as enshrined in the PSC Protocol, embraces an expanded and comprehensive agenda for peace and security that includes (direct and structural) conflict prevention, early warning and preventive diplomacy, peace-making and peace building, the encouragement and promotion of democratic practices as well as intervention and humanitarian action and disaster management.

Before the transition of the Organization of African Unity (OAU) to the African Union, an OAU Mechanism for Conflict Prevention, Management and Resolution existed (it was established July 1993 in Cairo), to provide the Organization with instruments capable of enabling it to deal with the scourge of conflicts and to facilitate collective African action in matters of conflict manage-ment. However, the scope and gravity of the conflicts, as well as their complex nature, soon revealed the limitations of the Mechanism, which among other things, was not equipped with the means for the deployment of peace keeping operations, a responsibility left exclusively to the United Nations (UN).

The AU recognizes eight RECs, including:

z CEN-SAD – Community of Sahel-Saharan States z COMESA – Common Market for Eastern and Southern Africa z EAC – East African Community z ECCAS – Economic Community of Central African States z ECOWAS – Economic Community of West African States z IGAD – Intergovernmental Authority on Development z SADC – Southern African Development Community z UMA - Union du Maghreb Arabe

These RECs are also key drivers of African economic and political integration as defined in the 1991 Abuja Treaty.

The path that led to the creation of APSA is rooted in the genesis of the African Union. Concerned by the great number of conflicts that erupted in Africa and their devastating impact on African countries and key events such as the Rwanda genocide, African leaders declared their deter-mination to deal with both inter- state and intra-state conflicts. The promotion of peace and security, therefore, became one of the key objectives of the AU as enshrined in its Constitutive Act. It was adopted on 11 July 2000 at the 36th Ordinary Summit of the OAU in Lomé, Togo; and the African Union was subsequently launched at a summit held in Durban, South Africa, on 9 July 2002. At the same time the RECs/RMs were consolidating their respective legal arrangements. The African Heads of State and Government recognized the negative consequences of violent conflicts on civilians and the impact on socio-economic development and as a consequence en-shrined in the Constitutive Act that the Union shall promote peace, security and stability on the continent; and promote democratic principles and institutions, popular participation and good governance. The adoption of the Constitutive Act marked a radical shift from the cardinal OAU principle of national sovereignty and non-intervention in national affairs. Although the Consti-tutive Act upholds the principle of non-interference, it also reserves the right of the Union “to

APSA Legal and institutional dimensions

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intervene in a Member State in respect of grave circumstances namely: war crimes, genocide and crimes against humanity” (article 4h). The Constitutive Act also articulates the inseparable link between development and security, stating in its preamble that “the scourge of conflicts in Africa constitutes a major impediment to the socio-economic development of the continent and of the need to promote peace, security and stability as a prerequisite for the implementation of our development and integration agenda”. On the relationship between the Union on the one hand and the RECs/RMs on the other, the Constitutive Act underlines the need to “coordinate and harmonize the policies between the existing and future Regional Economic Communities for the gradual attainment of the objectives of the Union.”

In furtherance of this new and clear paradigm on security and development, the Union adopted the Protocol Relating to the Establishment of the Peace and Security Council (PSC Protocol), which entered into force on 26 December 2003. The Protocol embraces an expanded and com-prehensive agenda for peace and security that includes conflict prevention, early warning and preventive diplomacy, peace-making, peace support operations and intervention, peace build-ing and post-conflict reconstruction, humanitarian and disaster management. It establishes the PSC as a standing decision-making organ for the prevention, management and resolution of conflicts in the continent and to facilitate timely and efficient response to conflict and crisis situ-ations in Africa. The PSC is supported by further APSA pillars, namely: the Panel of the Wise, the Continental Early Warning System (CEWS), the African Standby Force (ASF) and the Peace Fund. There is a complimentary African Governance Architecture (AGA) that is based on the African Charter on Democracy, Elections and Governance. It was adopted in January 2007 and entered into force in February 2012.

Article 16 of the PSC Protocol deals with the relationship between the AU and the RMs. It states that the RMs are an integral part of APSA. Article 16 furthermore stipulates that with respect to conflict prevention, peacemaking and peacebuilding, there shall be regular exchange of infor-mation, close harmonization, coordination, cooperation and effective partnership between the PSC and the RMs. In addition, the RECs are a constituent part of this continental architecture, and are expected to play a set of vital functions. They are the building blocks of the AU and rec-ognized in the PSC Protocol as part of the overall continental security architecture. In January 2008 a Memorandum of Understanding on Cooperation (MoU) in the area of peace and security between the African Union, the RECs and the Coordinating Mechanisms of the Regional Brigades of Eastern Africa and Northern Africa was signed to provide the framework for cooperation in order to strengthen coordination towards their shared goal of ridding the continent of the scourge of conflicts and laying the foundation for sustainable peace, security and stability on the continent.

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APSA implementation has constantly been reviewed by the PSC. It has also been assessed exter-nally twice, 2010 and 2014. The 2010 assessment “Moving Forward Africa” (the so-called Fisher report) recognised progress particular in those areas where roadmaps had been adopted, i.e. the ASF and CEWS. However, the report also noted that there remained challenges with regard to the vertical integration of APSA (i.e. between the Union and the RECs/RMs) and the limited levels of coordination between other pillars. It also highlighted the need for increased horizontal integration (i.e. within the AUC itself). Various components were developing at different paces, and the level of horizontal coordination had been limited. In addition challenges with regard to APSA’s sustainability and subsidiarity were identified. This assessment has translated into the APSA implementation roadmap for 2011-2013.

With the support of partners, the AU and the RECs used the period 2007 to 2011 to build the Union’s and REC/RM’s capacity for the prevention, management and resolution of conflicts. In particular, the AU and the RECs/RMs focused on developing the APSA pillars. These efforts en-hanced the capacity of the Union and RECs/RMs in designing and implementing conflict early warning systems; strengthened these institutions’ preventive diplomacy capabilities and the planning and conduct of Peace Support Operations (PSOs); and set out to operationalize the ASF by providing the ASF at Union and RECs/RMs levels with the required staff, training and tools to work with. The aim of the APSA Roadmap 2011-2013 was therefore set to achieve the full oper-ationalization of APSA. To this end, significant progress has been made in the operationalization of the APSA as documented in the 2010 and 2014 APSA assessment reports.

The 2014 APSA Assessment, which was tabled in March 2015, mapped out key priorities that are being addressed in the current APSA Roadmap. The Report addresses the following topics: the main APSA pillars, namely the PSC, the Panel, the ASF, CEWS and the Peace Fund; the AU’s stra-tegic partnerships on peace and security with the RECs/RMs, with the UN and with the European Union (EU); mediation and preventive diplomacy; gender, peace and security; disarmament, de-mobilization and reintegration (DDR); security sector reform (SSR); maritime safety and security; counter-terrorism; climate change and security; the AU Border Programme; Post-Conflict Recon-struction and Development (PCRD); the AU Liaison Offices in conflict and post-conflict countries; engagement with Civil Society Organizations (CSOs); donor assistance to APSA; the RECs/RMs’ capacity-building needs for the operationalization of APSA; and the APSA Roadmap.

Notably, the following progress has been made with regard to the five APSA pillars and some other important policy fields.

1. Peace and Security Council

The PSC has become the centre of major decision-making on peace and security on the conti-nent and it is viewed as such by the international community. The PSC provides leadership on peace and security challenges on the continent. It holds meetings and briefing sessions on a timely basis to address conflict and crisis.

The workload of the PSC has grown exponentially because of its visibility and its leadership and coordination role on the continent on issues of peace and security. The PSC has contributed to the resolution of many conflicts in the continent, inter alia in Somalia, Burundi, Mali, the Demo-

Progress made in implementing APSA

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cratic republic of the Congo, Comoros, Madagascar, Côte d’Ivoire and actively involved with the relevant RECs to address threats and conflicts in their regions, for instance in the Central African Republic (CAR), Guinea Bissau, Sudan, South Sudan, Guinea, Niger, Kenya and Mauritania.

What remains to be addressed is the absence of an enforcement and compliance mechanisms with regard to the implementation of decisions made; the low level of interaction between the PSC and similar structures at the REC level; interaction between the PSC, the Panel of the Wise and the Chairperson’s Special Envoys, Representatives and Mediators needs to be structured; and the increasing work load of the PSC Secretariat needs to be addressed.

2. Early Warning

Early Warning Systems (EWS) are established both on the continental and regional levels. The Continental Early Warning system (CEWS) at Union level, regional early warning systems of the Intergovernmental Authority for Development (IGAD: CEWARN), the Economic Community of West African States (ECOWAS: ECOWARN), the East African Community (EAC: EACWARN), the Common Market for Eastern and Southern Africa (COMESA: COMWARN), the Economic Commu-nity of Central African States (ECCAS: MARAC). The Southern African Development Community (SADC) early warning system is intelligence based. CEWS, CEWARN and ECOWARN have been rather functional for some time. The early warning systems have been established to provide decision makers at continental level (PSC, the Chairperson, Commissioner and Director of Peace and Security) and at regional level with timely information, analysis and response options.

The CEWS and RECs have made considerable progress in terms of putting the necessary infra-structure, methodology and systems in place. CEWS continuously monitors and gathers infor-mation through its Situation Room, producing various reports, including early warning reports, situation updates, flash reports and weekly updates. The CEWS is making efforts to enhance coordination with AUC Peace and Security Department (AU PSD) Divisions and programmes. An Inter-Departmental Task Force on Conflict Prevention (IDTFCP) has been set up to facilitate dialogue among AUC Departments working on conflict prevention, more specifically structural conflict prevention. CEWARN, COMWARN and ECOWARN, too, have started disseminating EWS to decision-makers.

Coordination between CEWS and the EWS of the RECs continues through regular technical meetings, which are held twice a year. To date, 16 meetings have been held which discussed and reviewed, among other things, the customisation and sharing of CEWS tools as well as joint trainings on Strategic Conflict Assessments. Staff exchange visits and technical support pro-grammes have also been carried out. CEWS continued to provide support in the establishment and strengthening of the EWS of AU Member States to enhance collaboration. Engagement with CSOs has been initiated through a workshop at the Union and the elaboration of modalities for collaboration. Collaboration with the UN (Cluster on conflict prevention), EU (Joint Research Centre) and the World Bank has also been established. Improving connectivity between CEWS and the REC EWS is in progress, three RECs have been connected and the others are in the pro-cess of being connected to the Union’s VSAT (very small aperture terminal) network or other alternative means. CEWS and the RECs are in constant communication through other means, including the CEWS online portal. Progress has also been made in the REC-to-REC cooperation, particularly between CEWARN, EACWARN and COMWARN. The EWS of the Union and the RECs have developed methodological systems of monitoring to help establish a baseline for conflict analysis. The level of harmonisation and coordination between the AU and RMs has made tre-mendous progress and would be maintained and strengthened. The individual EWS of most RECs have made major advances.

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However, some challenges remain to be vigorously addressed, including the weak linkage be-tween early warning and early response by decision-makers; the gathering of non-adequate data due to the ever-changing conflict dynamics; the low connectivity between the CEWS and the EWS of the RECs; the lack of connectivity between National EWS and REC EWS; and the var-iation of levels of operationalization of various EWS at the level of the RECs.

3. Preventive Diplomacy and Mediation

In its mandate to perform preventive diplomacy functions, the PSC is supported by the AUC Chairperson, which must, under its authority and in consultation with all parties involved in a conflict, deploy efforts and take all initiatives deemed appropriate to prevent, manage and resolve a dispute. Indeed, the chairperson can, at his/her own initiative or when so requested by the PSC, use his/her good offices, either personally or through special envoys, special rep-resentatives, members of the AU Panel of the Wise or RECs/RMs, to prevent potential conflicts and resolve those that do occur. In exercising his/her powers, the chairperson is assisted by the Commissioner for Peace and Security and PSD.

In terms of structured mediation, the AUC Chairperson has frequently appointed special envoys and special representatives to act as the organisation’s mediators. Mediation processes are by their very nature intensive, medium-to-long-term commitments, requiring a permanent, flexible and time-consuming engagement. Not only are the situations under mediation complex and protracted, the very environments within which mediation occurs are at times complex, often with a number of organisations and individuals involved (or wishing to be involved). There are currently approximately 25 high-level representatives, special envoys and special representa-tives deployed across the continent, many of whom act as mediators.

As a preventive diplomacy structure, the Panel of the Wise was constituted under Article 11 of the PSC Protocol to support the efforts of the PSC and those of the AUC Chairperson, particularly in the area of conflict prevention. The Panel is therefore an integral part of the AU preventive diplomatic framework.

The Panel has over the years focused on preventive diplomacy missions, in particular to coun-tries undergoing election processes. In these missions, Panel members provide advice, open channels of communication, carry out fact-finding missions, undertake shuttle diplomacy and promote the adoption of confidence-building measures, among others. In addition, the Panel has included a thematic approach to its work and published a series of documents relating to election related violence, women and children in armed conflict, non-impunity, truth, justice and reconciliation, and strengthening governance for peace, security and stability.

The RECs are developing or have developed corresponding structures to the AU Panel of the Wise. SADC has established a mediation, conflict prevention and preventative diplomatic struc-ture that includes a Panel of Elders and a Mediation Reference Group. ECOWAS has established the Council of the Wise and is in the process of creating a mediation facilitation unit. The EAC has decided to establish a Panel of Eminent Persons and is in the process of establishing a me-diation unit. COMESA has established as part of its preventive diplomatic strategy, a Committee of Elders. In the 2015 crisis in Burundi, COMESA and EAC collaborated closely on mediation. The Community of Sahel-Saharan States (CEN-SAD) has established the Permanent High-Level Me-diator for Peace and Security. IGAD has established a Mediation Unit and uses its committee of Ambassadors for mediation. And ECCAS is in the process of developing its mediation infrastruc-ture with the assistance of the Union.

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In 2013 the AU and the RECs have established the Pan-African Network of the Wise (PanWise) that aims to bring together relevant mediation actors of the Union, the RECs and African civil societies in order to enhance collaboration between the structures and harmonise approaches of the AU and RECs through workshops, joint missions and research.

The establishment of PanWise represents a great opportunity for developing and improving cooperation in the context of the African peace and security framework. Collaboration between the Panel of the Wise and the RECs has been tentative, but effective. ECOWAS and the Pan-el have been engaged in a number of preventive diplomacy and good offices missions, pay-ing particular attention to election-related issues. The level of collaboration with the COMESA Committee of Elders is also very high. The Panel has progressively and effectively established links with all the RECs and has initiated several consultations with RECs to explore modalities of strengthening national capacities and establishing linkages between the national and regional and continental efforts in this regard. Coordination and collaboration efforts being undertaken should be encouraged and further institutionalised to avoid duplication of efforts, overlapping preventive diplomatic processes. The increased operationalization of PanWise is absolutely nec-essary, especially in the spirit of Agenda 2063.

Challenges remain with regard to inadequate levels of interaction between the Panel of the Wise, the PSC and the Chairperson; inadequate involvement of members of the Panel of the Wise in AU-led structured mediation engagements (with AU special envoys, representatives and mediators); the slow process of operationalization of PanWise; and, finally, the insufficient ca-pacity of the Panel of the Wise Secretariat at AU.

4. The African Standby Force

It should be noted as underlined in the ASF Roadmap III that a great deal has been achieved so far in the development of the ASF. These achievements include a suite of common policy docu-ments, an annual continental training implementation and coordination meeting, harmonised training standards and annual training directives that guide Member States and RECs/RMs and facilitate utilization of training centres in implementation of training programmes and standby forces that can be used collectively to address conflicts on the continent.

Good progress has also been made towards developing the Rapid Deployment Capability (RDC) concept. Considerable progress has equally been made in the development of the Civilian and Police Components of the ASF, notably in the area of policy development and the establishment of management capabilities at the strategic level of the AU and the operational level of the RECs/RMs. However, the establishment of the civilian component has continued to lag behind the military and police components.

The ASF assessment report recognises that on the overall, the capacity of African peace support operations has increased in numbers and quality. Implementation of the ASF Action plan 2014-2015 recommended by the independent team of experts has been a good basis and direction to ensure Full Operational Capability for the ASF by the end of 2015. Steps have also been taken to harmonise the ASF and the African Capacity for immediate Response to Crises (ACIRC), including the incorporation of ACIRC into the Amani Africa II Field Training Exercise that is aimed at vali-dating the operational readiness of the ASF.

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This is in line with the objective of the Union and the 25th AU Assembly’s decision to ensure the development of an ASF capacity that is able to deploy rapidly, with sustainable administrative and logistics support as well as management capabilities. However, the challenge of an ade-quate structure, framework and system to support the planning, deployment, management and sustenance of AU PSOs on a round-the-clock basis remains.

5. Other APSA Programmes

a. Post-Conflict Reconstruction and Peace Building

In its 10th Anniversary Declaration of May 2014, the PSC called for a stronger and more sustained support to countries emerging from conflict with regard to reconciliation and PCRD. The Decla-ration stresses the importance of consolidating the peace and security gains in the post-conflict phase to prevent relapse into conflict. The importance of post-conflict reconstruction has also been underlined in the Solemn Declaration on the 50th Anniversary of the OAU/AU. The need to support sustainable peace, stability and development in countries that have emerged or emerg-ing from conflict through the APSA is of paramount importance.

The focus of the AUC has been on developing the partnerships to operationalize the PCRD Policy (2006) and put into place the necessary mechanisms and consultative platforms for its imple-mentation. At the AUC-level, there has been a notable increase of joint activities with various Departments of the Commission, particularly with the Department of Political Affairs and of Social Affairs with a view to leveraging the comparative advantage of the various Departments on PCRD. In that regard, in September 2014, the AUC held a joint meeting in Bangui, CAR, on the Union’s support to the transition plan prepared by the CAR authorities. At the national level, the PCRD provided the African Union Liaison Offices (AULOs) with timely support through the fund-ing of Peace Strengthening Projects (PSPs) aimed at addressing early recovery through support to reconciliation processes, peace building and rehabilitation/construction of small infrastruc-ture projects at community level.

The heightened pace of awareness towards the mobilization of alternative resources for Afri-ca’s development as epitomised in the convening of an African Solidarity Conference at level of Heads of State and Government held on 1 February 2014, in Addis Ababa, Ethiopia, as part of activities marking 50th anniversary of the OAU/AU was a major achievement. A total of USD 3 million was pledged, however, the pledges still need to materialize.

AUC is currently establishing a funding mechanism for the African Solidarity Initiative (ASI). “Champion countries” are being mobilized to steer the process of further resource mobiliza-tion from within Africa. The PCRD is assessing its support to the African Union Youth Volunteer (AUYV) programme with a view to enhancing the collaboration to respond to PCRD strategy and priorities in countries emerging from conflict. Discussions on the location of the AU Centre for PCRD have reached final stages.

At regional level, the RECs as building blocks for peace and security in Africa must be able to articulate clear regional positions on relevant PCRD efforts. However, most of the RECs lack the capacity to undertake this critical role. The AUC is contributing to the establishment of PCRD units and formulation of policies, strategies and programmes at REC level.

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Much work has been done with respect to Security Sector Reform (SSR). The AU Security Sector Policy Framework provides a framework for Member States and the RECs in the formulation, implementation, monitoring and evaluation of SSR processes. The AUC has conducted series of SSR orientation, sensitisation and training at various levels throughout the continent. The AUC undertook assessment missions to Madagascar and CAR and deployed experts to Comoros, CAR and South Sudan. Most RECs are also promoting governance through SSRs and taking initiatives in their various Member States with the active collaboration with internal partners. The joint AU, ECOWAS, EU and UN Security Assessment Mission to Guinea Bissau conducted in March 2015 stands as a good example.

In addition, the AU has developed an AU Disarmament, Demobilisation and Reintegration Ca-pacity Programme (AU DDRCP). The objective of the AU DDRCP is to strengthen capacities within the AUC, its Member States, RECs and RMs. The AU DDRCP was officially launched in 2013. The AUC is already providing assistance to national DDR processes pursuant to requests made by member states. It collaborates closely with international partners. The capacity of the AU and RECs would continue to be enhanced in order to address specific request from Member States.

Remaining challenges include the complex nature of post-conflict issues and the level of re-sources PCRD requires; lack of coordination to align PCRD efforts with other peace and security programs both at the AU and RECs level; understaffed Unit at the level of the AUC and limited financial resources; the low level of capacity at the RECs levels and lack of shared learning be-tween the RECs; and aligning regional peace building objectives to national stabilization plans.

b. Strategic Security Issues

It is recognized that in the past 50 years since the establishment of the OAU, countries in all regions have experienced varying degrees of state fragility, caused by poor economic manage-ment, ethnic conflict and civil wars, and natural and man-made disasters as indicated in the Agenda 2063 framework document. Although African countries are stronger institutionalized today, the threat of state fragility lingers on through important “neighbourhood effects” such as narcotic drugs, maritime piracy, human trafficking and small arms proliferation. The Solemn Declaration on the 50th Anniversary of the OAU/AU expressed the determination of the African Heads of State and Government to eradicate recurrent and address emerging sources of con-flict, including piracy, trafficking in narcotics and human beings, all forms of extremism, armed rebellions, terrorism, transnational organized crime and new crimes such as cybercrime. In its 10th Anniversary Declaration the PSC also noted with concern the growing threat of terrorism in Africa and called on the AUC and the Secretariats of the RECs/RMs to come up with a com-prehensive Union strategy for addressing the phenomenon of extremism, terrorism and other emerging threats to peace and security in Africa such as piracy, human trafficking, drug traffick-ing, religious tensions, and the spread of small arms and light weapons. Furthermore, the PSC calls for the development of mechanisms within APSA to deal with these emerging threats.

The AU and the RECs have developed a number of policies, instruments and tools to address these emerging threats. There are the AU Small Arms and Light Weapons (SALW) Proliferation Strategy and, at the RECs level, strategies on small arms proliferation, such as the Nairobi Pro-tocol, the Southern Africa Firearms Protocol, the ECOWAS SALW Convention, the Kinshasa Con-vention for the Control of SALW and their Ammunition in Central Africa as well as the Regional Centre For Small Arms, the AU Counter Terrorism model law developed by African Centre for Studies and Research on Terrorism (ACSRT), and the AUC counter terrorism framework. EAC has

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adopted a SALW policy. Some RECs have developed strategies on counter terrorism such as the ECOWAS political declaration on a common position against terrorism, the EAC counter-terror-ism strategy, and IGAD’s Mutual Legal Assistance and Extradition Law.

On maritime security, the AU has adopted the 2050 Africa Integrated Maritime Strategy (2050 AIMS), the governments of West and Central Africa have adopted a declaration on maritime safety and security in their common maritime domain. The Southern and Eastern African RECs, COMESA, EAC, and IGAD together with the Indian Ocean Community have developed and are implementing a regional maritime programme to combat piracy.

However, some challenges remain, such as the need to develop greater cooperation and harmo-nization of continental efforts in combatting terrorism and implementation of the continental frameworks and strategies as well as an effective and appropriate system of follow-up mecha-nisms; the integration of maritime security into the APSA; and the implementation of existing agreements on SALW.

6. Cross cutting Issues

Gender mainstreaming in peace and security: UN Security Council Resolution 1325 is the cor-nerstone on women, peace and security. This global framework is supplemented at the conti-nental level by the AU Solemn Declaration on Gender Equality in Africa which calls for the need to ensure the full and effective participation and representation of women in peace processes including the prevention, management and resolution of conflicts and post-conflict resolutions in Africa. The AU Gender policy seeks to enhance the role of women in creating an enabling, stable and peaceful environment for the pursuit of Africa’s development agenda.

The RECs and their Member States have developed gender policies, adopted gender declara-tions and action plans that guide their gender mainstreaming programmes. The AU has launched a major five-year Gender, Peace and Security Programme 2015-2020. The Programme was mapped out through a long process of consultation with the RECs and CSOs. Since the launch of the Programme, the AU, RECs and CSOs have together developed annual work plans for 2015 and 2016. The work plans would continue to address challenges relating to capacity constraints in implementing and monitoring the Programme at Union and RECs levels, the implementation of joint activities, support given to AU field missions and, the Special Envoy on Women Peace and Security in discharging her duties. The Programme is built on high level of cooperation and collaboration among the AU, RECs, CSOs and relevant partners.

Still, appropriate indicators for gender mainstreaming need to be developed as well as the nec-essary skills to use the relevant tools to monitor the indicators. In addition, staffing levels need to be scaled up to implement the gender programme.

Climate change: The manifold consequences of climate change represent another of the many threats facing Africa. Indeed, climate change is viewed by many as a threat multiplier that ex-acerbates security trends, tensions and stability. The AU is already taking steps to address the effects of climate change through the AU Department of Rural Economy and Agriculture. The Department administers various programmes on climate change, including the Monitoring of Environment and Security in Africa. The Commission supports the African Regional Strategy for disaster risk reduction management by the New Partnership for Africa’s Development (NEPAD). The Commission, the African Development Bank (AfDB) and the UN Economic Commission for Africa are supporting a major initiative, the Global Climate Change Observing System – Africa. The African Climate Policy Centre, which addresses the need for greatly improved climate infor-

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mation for Africa and strengthening the use of such information for decision making for Africa, is operational. There are also several regional initiatives on climate change in Africa like the regional climate change programme for Southern Africa, which has developed GIS (Geographic Information System) risk and vulnerability guidelines for SADC. ECOWAS is attempting to do the same. Structures for climate change and early warning exist in Africa. How these structures would collaborate with the CEWS and the regional early warning mechanisms would need to be studied.

Enhanced coordination and collaboration between the African Union and REC/RMs structures that deal with climate change on the one hand and the early warning and conflict prevention functions of the PSD on the other remain a challenge.

7. Relations between the AU and RECs/RMs in peace and security

The RECs are the building blocks of the African Union and recognized in the PSC Protocol as part of the overall security architecture of the African Union. The MoU between the AU, the RECs and the RMs of the Regional Standby Forces of Eastern Africa and Northern Africa provides the framework for cooperation in order to strengthen coordination towards their shared goal of ridding the continent of the scourge of conflicts and laying the foundation for sustainable peace, security and stability on the continent.

The level of cooperation and coordination between the AU and RECs/RMs is very intensive, particularly in the operationalization of APSA which is one the objectives of the MoU. Liaison Officers to the AU from the RECs/RMs have been established as well as well as AU Liaison offic-es to the RECs/RMs. The establishment of the Liaison Offices by the AU and the RECs/RMs has strengthened linkages between the AU and the RECs/RMs, improving the exchange of informa-tion. The Senior Officials of the AU and RECs/RMs meet regularly to strengthen coordination and harmonization in the area of peace and security and discuss the status of the implementation of the MoU. A Joint Task Force comprising AU Officials and RECs /RMs Liaison Officers to the AU has been established to work out modalities to ensure implementation of the existing policy frame-works regarding AU-RECs/RMs collaboration and coordination in the area of peace and security.

In order to fully optimize the partnership between the AU and the RECs/RMs, the principles of subsidiarity, complementarity and comparative advantage need to be applied. Moreover, the PSC, in a Communiqué issued after its 477th meeting held on 18 December 2014, underscores the importance of building more collaboration and synergy between the PSC and RECs/RMs in the promotion of peace and stability in Africa as envisaged in the PSC Protocol. The Council stressed the need to uphold the principles of subsidiarity and comparative advantage in a way that strengthens the efforts of Africa to achieve durable peace and sustainable development. The PSC also endorsed – through its Communiqué issued after the Council’s 549th meeting held on 9 October 2015 – the conclusions of a retreat on the enhancement of cooperation between the PSC and RECs/RMs held in Abuja, Nigeria from 14 to 16 September 2015, particularly relating to the issue of conflict mediation.

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The APSA Roadmap 2016–2020: Strategic Priorities and Indicators

This Roadmap is based on an agreed planning methodology, with clear objectives and priorities for 2016-2020 and the main strategies for achieving them. The emphasis of this Roadmap is on implementation and an adequate monitoring and evaluation mechanism. Another principle that guided the development of the Roadmap is the strong need for commu-nication, cooperation and coordination between the AU, the RECs/RMs and other international actors. As far as possible, the facilitation of synergies would be encouraged. The Union and the RECs/RMs have limited resources, and therefore every effort should be made to avoid duplica-tion and overlaps, which lead to inefficient use of resources.

The Roadmap is built on five thematic priorities with clear broad objectives defined for each the-matic priority covering the conflict prevention, management and resolution cycle, as indicated below and as elaborated in the accompanying framework:

1 Strategic Priority 1: Conflict Prevention

2 Strategic Priority 2: Crisis/Conflict Management

3 Strategic Priority 3: Post-Conflict Reconstruction and Peacebuilding

4 Strategic Priority 4: Strategic Security Issues

5 Strategic Priority 5: Coordination and Partnerships

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Conflict prevention involves, simultaneously, a direct and operational focus of intervening before violence occurs as well as a systematic, strategic focus of addressing the root, proximate, and structural causes of conflict. Effective pre-ventive action is the accurate identification of factors and timely combined applica-tion of structural and direct prevention measures. Within the context of APSA, the development and implementation of early warning systems at the AU and the RECs have been priority activity areas, marked by the strengthening of existing EWS as well as the development of an early warning capability at some of the RECs where this capability did not exist. These developments have been guided by the principles of comparative advantage, non-duplication of efforts as well as harmonisation, coordination and collaboration as conflict prevention is enhanced by coordi-nation through collaborative data gathering and joint analysis by relevant APSA stakeholders.

Central to APSA’s fulfilment of direct and structural prevention is the coordination and collabo-ration between the EWS in place and/or under operationalization at the AU and the RECs/RMs, the various panels of the wise/panels of elders (at AU and RECs/RMs) mandated with conflict prevention responsibilities and the high level decision-makers that in each institution are tasked with conflict prevention responsibilities (at AU, the AU PSC and the AUC Chairperson).

The overall strategic objective of strategic priority 1 is to contribute to effective, coordinated and timely direct and structural prevention of conflicts and crises by the AU and the RECs/RMs.

Strategic Objective 1 Indicators z Evidence of enhanced capacity of CEWS and EWS of the RECs/RMs to individually and

collaboratively monitor, collect and analyse data on the basis of tools and methodologies developed

z Conflict prevention interventions (direct and structural) are informed by systematic/joint early warning and analysis

z Direct conflict prevention interventions by AU/RECs/RMs (preventive diplomacy) are timely, coordinated and effective

z Evidence of structural prevention responses/interventions z Evidence of APSA stakeholders cooperation in preventive actions z Evidence of use of early warning reports by decision makers.

Strategic priority 1 has been divided into six specific objectives, each of them addressing one major obstacle to effective response. They are presented in the following sections.

1.1 Capacities of CEWS and the EWS

Although well advanced with regards to the implementation of event data collection tools and data management and sharing tools, as well as the required Information and Communications Technology (ICT) infrastructure and methodologies, full implementation of the AU CEWS and the EWS of the RECs/RMs (ECOWARN, CEWARN, COMWARN, EACWARN, among others),data collection and monitoring tools has not yet been fully achieved. This is due to: rapid changing nature of conflicts and their dynamics requiring a constant re-assessment of the adequacy of

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1 Strategic Priority 1: Conflict Prevention

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existing data collection tools; insufficient human resources; methodology handbooks and Stand-ard Operating Procedures (SOPs) is not always followed by analysts and not always relying on data generated by existing tools; limited frequency of early warning reports; inadequate feed-back from decision-makers on early warning reports; absence of structured interaction between CEWS/EWS-RECs and relevant staff from other departments. With regards to analysis, AU CEWS and the EWS of the RECs/RMs need to strengthen the quality, frequency and timeliness of early warning reports, situation updates, flash reports, weekly updates and other types of reports, including the strengthening of scenario-building and policy/response options contained therein. Moreover, and with specific reference to EWS at the RECs currently in early stages of develop-ment, additional efforts must be taken to accelerate the development of methodologies and tools for data gathering and analysis as well as capacity for the production of early warning and other types of reports.

The specific objective 1 is therefore to enhance the capacity of the AU CEWS and the EWS of the RECs/RMs to systematically monitor, collect and analyse relevant information in order to provide timely early warning reports, updates and other types of reports.

Priority 1 Specific Objective 1 indicators z Existing data collection, analysis and methodology tools developed, tested, fully imple-

mented and customised z Evidence of improved quality of data gathered (widened variety, timeliness, relevance,

verifiable) z Evidence of trend tracking tools fully implemented (where applicable: Africa Reporter,

CAAS, Democracy Trends Reports) z Increased consistency in the production of early warning reports by CEWS and EWS of the

RECs/RMs z Increased frequency of production of early warning alerts by CEWS/EWS-RECs z Evidence of data tools usage in the reports z Reports following adopted methodologies z Evidence of interaction with the PSD/Department of Political Affairs (DPA)/RECs staff in

terms of peer reviews, joint writing of reports including situational and analysis reports z Evidence of AU CEWS and EWS of the RECs/RMs use of AU DPA Election Risk Management

Tools or similar tools at REC level z Evidence of the RECs/RMs use of Election observation and Political Analysis Reports z Percentage of African borders demarcated z Number of African States having established National Border Commissions to manage

their borders

The main strategies envisaged to reach this objective focus on two key dimensions: (i) the full operationalization of the data collection, monitoring and analysis systems at both AU and RECs; and (ii) the improvement of the quality and quantity of early warning reports by AU CEWS and EWS of the RECs/RMs. In the first dimension, a series of activities are envisaged, including, cus-tomisation of existing data collection and analysis tools; operationalization of new tools (i.e. Conflict Alerting and Analysis Tools (CAAS) as well as ICT infrastructure support and secure ac-cess). With relation to the second key dimension (frequency and quality of reporting) strate-gies include: the recruitment of requisite number of staff; the expansion of coverage of conflict typologies and geographical areas; training of AUC and RECs/RMs staff (on tools; on conflict analysis; on statistical analysis) and also a survey of analysts, desk officers and decision makers.

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1.2 Interaction between CEWS, regional and national EWS

Although working relations between CEWS and the EWS of the RECs/RMs have been marked by increased collaboration over the years (Technical Quarterly Meetings, joint briefings, technical support missions, experience sharing, etc.), there is still quite some way to go in terms of sys-tematic collaboration on data collection, early warning analyses and other activities. This limited systematic collaboration is due to, inter alia, technological and methodological challenges (lack of system of data and information sharing; need to continue to co-develop data collection tools; actual sharing of information); varying stages of operationalization of early warning systems; challenges of information and analysis sharing related to political will.

The specific objective 2 is therefore to deepen the substantive and systematic interaction be-tween CEWS and the EWS of the RECs/RMs, between the EWS of the RECs/RMs, and between CEWS and the EWS of the RECs/RMs and their national early warning systems.

Priority 1 Specific Objective 2 indicators z The CEWS and the EWS of the RECs are regularly connected z The EWS of the RECs are regularly connected z Evidence of institutionalised early warning systems’ systematic sharing of data (increase

in information sharing) z Evidence of strengthened collaboration z Attendance and participation by CEWS and EWS of the RECs at the Technical Meetings z Evidence of information sharing between CEWS and EWS as well as between RECs z Evidence of analysis sharing and co-development of scenario-building and policy response

options formulation z The RECs and their national early warning units are regularly connected and systematical-

ly share data

The main strategies envisaged to reach this objective focus on simultaneously strengthening the connectivity (from a technical ICT perspective) between the CEWS and the EWS of the RECs/RMs and between the EWS of the RECs/RMs; as well as activities geared towards institutional-izing the sharing of data, information and analysis between the CEWS and the EWS of the RECs/RMs on on-going and developing situations. With relation to the first area of focus, activities envisaged include ensuring connectivity via the AU VSAT; purchasing the necessary equipment and securing access; addressing the issues relating to hosting application tools. In terms of the former dimension (related to efforts at institutionalizing collaboration), strategies and activities focus on supporting the RECs/RMs with the operationalization of their EWS (particular those at earlier stages of development) through the provision of training and experience-sharing, and activities focused on deepening the collaboration on analysis (including scenario-building and policy options formulation; expanding the practice of weekly joint briefings; conducting further CEWS simulations with the RECs/RMs and promoting joint analyses; promoting deeper exchang-es of experience between EWS of the RECs.

1.3 Engagement of CEWS/EWS with decision-makers

The two APSA assessments (2010 and 2014) pointed to the limited interaction or “modest en-gagement” between CEWS and the EWS of the RECs/RMs and their respective decision-makers, which limits the efficacy of early warning information and analysis. In the case of CEWS, this interaction relates particularly to the PSC, the office of the Chairperson and other structures and organs of the AU (Panel of the Wise, DPA, etc.). This “modest engagement” is in part due

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to: (i) limited opportunities for direct interaction between CEWS/RECs and their respective de-cision-makers; (ii) established information flows at AUC and also at RECs levels which make di-rect interaction difficult; (iii) in the case of the AU, limited understanding by AU structures and organs of what CEWS does and what outputs/products it produces; and (iv) lack of monitoring and feedback mechanisms allowing CEWS and the EWS of the RECs/RMs to measure quality of interaction, quality of outputs, needs of decision makers, etc.

Specific objective 3 is therefore to enhance engagement between CEWS, the EWS of the RECs/RMs and national early warning centres with their respective decision-makers.

Priority 1 Specific Objective 3 indicators z Evidence of interaction between CEWS and the PSC z Evidence of interaction between EWS and relevant statutory bodies z Evidence of early warning reports being pushed up the decision-making structure (either

in their ‘pure’ form or used in other reports such as the Chairperson’s Report to the PSC) z Evidence of deeper inter-departmental collaboration in briefing relevant decision makers

at AU (PSD, DPA, others) z At REC level evidence of increased production and dissemination of reports to deci-

sion-makers z Evidence of decision makers at different levels using and taking into account the analysis

and recommendations contained in the Early Warning Reports (EWRs) and briefings z Feedback on the quality of reports obtained from decision-makers/others as appropriate

The first set of strategies envisaged to reach this objective focuses on enhancing the opportuni-ties for interaction, including briefings and meetings between the CEWS and AU decision-mak-ers (PSC, Chairperson, Commissioners) as well as the EWS of the RECs and their respective de-cision-makers. This includes activities geared towards exploring all possible opportunities for interaction in the context of each institution (including joint briefings with other departments); the improvement of reporting templates and the further institutionalization of verbal briefings; deployment of CEWS and EWS of the RECs/RMs information and sensitization campaigns with-in their institutions; developing feedback mechanisms whereby decision-makers systematically provide comments and inputs on early warning products; and, substantive involvement of de-cision-makers (including at national level) in assessments conducted (example: structural vul-nerability assessments, SVAs). Second, this objective will require the CEWS and the EWS of the RECs/RMs to support the development of national early warning capabilities (where appropri-ate) through training and capacity building, the regular exchange of information and analysis with Member States’ institutions, and, the hosting of joint simulation exercises with national early warning centres.

1.4 Collaboration of CEWS/EWS with external stakeholders

Comprehensive, timely and effective early warning information and analysis requires close col-laboration with key stakeholders such as parliamentarians, partner organisations, in particular African CSOs (NGOs, research centres, academic institutions, think-tanks, CBOs) and interna-tional organisations such as the UN, the World Bank and others. Both the AU and the RECs/RMs regard collaboration with CSOs/International Organisations on matters of data collection and analysis sharing as necessary for the successful operation of their early warning systems. African and Africa-based academics, researchers, development practitioners, humanitarian re-lief personnel, representatives of community based organisations, professional associations and

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women’s and youth groups, professionals, etc., possess an impressive wealth of knowledge and experience, wide access to information and local actors – all of which can strengthen the quality of the outputs produced by the CEWS and the EWS of the RECs/RMs.

Yet, as pointed out in the 2014 APSA assessment, although at AU level engagement with CSOs has been initiated and collaboration with the UN (cluster on conflict prevention), the EU (joint research centre) and the World Bank has been established, there continues to be limited sub-stantive interaction between CEWS and RECs/RMs and stakeholders such as CSOs, international organisations and bilateral countries (here the exception being ECOWARN and WANEP). Part of the reasons for this are related to a lack of detailed understanding of what exactly CEWS/EWS of the RECs/RMs do (particularly their data collection tools, methodology and approach; a closed system that uses open-source information); lack of appropriate ‘points of entry/contact’ for external stakeholders to interact on data gathering; analysis and formulation of options; and, ultimately, lack of political will – as can be seen for instance in the AU, and some of the RECs.

Specific objective 4 is therefore to enhance collaboration between CEWS and the EWS of the RECs/RMs with relevant external stakeholders with regards to information and analysis shar-ing as well as development of policy and response options.

Priority 1 Specific Objective 4 indicators z CEWS-CSOs and other stakeholders Modalities for Collaboration approved and imple-

mented z CSOs, International Organisations, Academia, Think Tanks, and parliaments are ‘plugged

into the system’ (information sharing) and contribute with data collection, monitoring and analysis

z CEWS and RECs hold briefing sessions with CSOs/International Organisations/Academia and Think Tanks

The main strategies envisaged to reach this objective focus on the establishment of regular and systematic communication channels between the CEWS/EWS of the RECs/RMs and relevant ex-ternal stakeholders (development of the CEWS Portal, joint briefing sessions); development of the necessary ICT requirements so that relevant external stakeholders can plug into the various systems’ tools (even data collection, indicator monitoring; other points of entry, such as analy-sis); adoption and implementation of a CEWS-CSOs modalities of collaboration framework; and, establishment and strengthening of linkages and networks with national and subnational CSOs. In addition, and in order for relevant stakeholders to meaningfully contribute to the efforts of CEWS and the EWS of the RECs/RMs, training and capacity building activities to CSOs, academic organisations and think tanks in the field of early warning, structural vulnerability analysis and conflict prevention more broadly are planned.

1.5 Capacity for structural conflict prevention

The AU and the RECs/RMs acknowledge that conflict prevention must include both a direct focus of intervening before large-scale violence occurs (preventive diplomacy and associated tools), as well as focus on the structural (root) causes of conflict. However, structural conflict prevention remains at an incipient stage at both continental and sub-regional levels. This is de-spite the fact that, for instance, the African Union Border Programme (AUBP) is systematically addressing the continent’s poorly defined borders in an attempt to prevent conflict that could stem from disputed borders. The Union has also addressed the issue of structural conflict pre-vention in numerous key policy documents (on human rights, governance, democratisation, the

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fight against corruption, disarmament, socio-economic development, management of natural resources among many others). However, it was not until 2014 that a specific framework on structural conflict prevention has been adopted (it was finally endorsed by the PSC on 29 April 2015). The Continental Structural Conflict Prevention Framework (CSCPF) aims at strengthening the AU’s direct prevention actions with activities to assist Member States in addressing/identi-fying structural vulnerability of countries to conflict at an early stage and is to be supported by the AUC Inter-Departmental Taskforce on Conflict Prevention (IDTFCP).

At the same time, the African Union has adopted an African Governance Architecture (AGA), through the African Charter on Democracy, Elections and Governance (2007). It is aiming at ad-dressing many of the dimensions of structural vulnerability, including good governance, the rule of law, democracy and human rights, popular participation, management of public funds and service delivery among others.

Implementation of the CSCPF is still at an incipient stage, a result of lack of resources (staff and financial), the need to mainstream conflict prevention (in its various dimensions) in the work of the AUC, among others. Moreover, linkages between APSA and AGA as well as the AU and the RECs in the domain of structural conflict prevention remain tenuous, partly as a result of a lack of communication and collaboration between different departments at AUC, and between the AU and the RECs.

Specific objective 5 is therefore to enhance the capacity for structural conflict prevention by the AU and the RECs.

Priority 1 Specific Objective 5 indicators z At Continental level, the CSCPF is finalised (reviewed by PSD and other stakeholders) and

shared z CSVAs are conducted jointly with relevant RECs z Results of the CSVA are communicated to the IDTFCP and to decision-makers z IDTFCP meets regularly z Decision-makers take into account the analysis and results of the CSVA z The AUC gradually develops an early/early prevention posture z Increased harmonization between APSA and AGA z Deepened link between the AU and the RECs on structural conflict prevention z Evidence of coordination with RECs/RMs on border management and cross border coop-

eration z Evidence of implementation of the (to be) adopted Enhanced Border Management

Strategy

The main strategies and activities envisaged for this objective include aspects related to the finalization and operationalization of related policies, mainstreaming conflict prevention as well as enhancing APSA actors’ capacity to undertake structural vulnerability analysis/assessments. At continental level for example, this includes the operationalization of the CSCPF and the con-duct of CSVAs and Country Structural Vulnerability Mitigation Strategies (CSVMS) while at REC/RM level it includes the operationalization of existing conflict prevention frameworks. Activities focusing on the mainstreaming conflict prevention across the AU Commission but also at the various RECs/RMs are central to this strategy – for example, at the AUC this includes regular meetings of the IDTFCP.

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In addition, activities are proposed in the context of strengthening the institutional linkages between the APSA and the AGA to support and complement the efforts of Member States to achieve their commitments in terms of human rights and the rule of law, popular participation, management of public funds, transparency, elections among others. This includes the regular provision by the AGA Secretariat of situational analysis to the PSC; AGA participation at the IDTFCP; conduct of joint missions between DPA and PSD; and elections/post-election joint as-sessments.

In terms of capacity development, strategies include the sharing of existing methodologies, manuals and SOPs by the CEWS with relevant RECs/RMs, as well as the training of analysts with regards to structural vulnerability assessments. It also includes the joint development by CEWS and the EWS of the RECs/RMs of CSVAs.

1.6 Capacity to deploy and conduct preventive diplomacy

The costs of managing conflict once it has erupted (whether in fielding peacekeeping operations or providing humanitarian relief), of engaging in lengthy mediation and peace-making efforts, as well as the very high costs of recovery (rebuilding economic and socio-political systems) and the incalculable costs in human suffering and loss of human capital have underscored the concern with conflict prevention at continental and sub-regional levels. Indeed, recognising that the hu-man, financial and material costs of prevention are considerably less than the devastating con-sequences of armed violence, the AU and the RECs have for more than two decades developed policies and instruments designed to prevent violent conflict.

Nevertheless, there is a sense that a ‘culture of fire fighting’ prevails, with these organisations tending to act (or being prompted to act) only when situations have already turned violent. At both AU and REC levels there are several actors with a direct conflict prevention mandate – at the AU, for example, the PSC, the Chairperson, the Panel of the Wise as well as special repre-sentatives/envoys appointed by the Chairperson can undertake preventive diplomacy missions. Likewise, at the RECs/RMs several actors are tasked with conflict prevention responsibilities. The prevalence of a ‘culture of fire fighting’ appears to be related to overall capacity, resources as well as these organisations’ need not to loose focus on on-going high intensity conflicts/on-go-ing peace support operations. Yet, this can also be attributed to a lacking culture of prevention as well as the ad-hoc nature of decision-making, planning and deployment of preventive diplo-macy missions (absence of a preventive diplomacy system).

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Specific objective 6 is therefore to enhance the capacity of the AU and the RECs to effectively deploy and conduct preventive diplomacy (direct prevention).

Priority 1 Specific Objective 6 indicators z Evidence of frequency, relevance and efficacy of preventive diplomacy missions undertak-

en by the AU and the RECs (good offices, fact finding, conciliation, pre-election missions) z At the AU, evidence of closer coordination between PSC, Chairperson, Special Envoys and

Members of the Panel of the Wise (both informal as well as formal through participation in PSC meetings, etc.)

z Members of the Panel of the Wise/Friends of the Panel/PanWise are regularly tasked with preventive diplomacy missions

z REC Policy Organs task their respective Councils of Elders or similar structures to under-take preventive diplomacy actions

z Evidence of preventive diplomacy missions undertaken by Councils of Elders or similar structures

z Confidential reports of Councils of Elders or similar structures presented to decision mak-ers

z PSC and AUC Chairperson as well as Executive Secretary’s at RECs regularly conduct pre-ventive diplomacy missions/other undertakings

z Knowledge Management Framework (KMF) implemented as part of an M&E system z Evidence of joint missions with RECs under the PanWise umbrella z Evidence of strengthened capacity for direct prevention at national level (national infra-

structures for peace)

There are two main strategies to attain the objective above, particularly with regards to an in-crease on frequency, relevance and efficacy of preventive diplomacy missions undertaken by the AU and the RECs. On the one hand, AU and RECs/RMs actors involved in preventive diplomacy missions must be equipped with the relevant skills, capacities and support required for timely and effective interventions. This involves: targeted training based on needs assessment to spe-cial envoys, representatives and members of the Panel of the Wise; finalization of recruitment and training of staff for the various existing institutions/organs responsible for preventive diplo-macy (AUC, Panel of the Wise Secretariat and related institutions at the RECs/RMs); implemen-tation of the KMF as well as the 2012 mediation SOPs to preventive diplomacy interventions; creation and operationalization of an operational support team; operationalization of PanWise; among others.

Furthermore, and in order for a more predictable and integrated preventive diplomacy system to develop, strategies at the AU level are geared towards enhancing the coordination between the PSC, the Chairperson, special envoys, special representatives and members of the Panel of the Wise. With regards to AU and RECs/RMs, the strengthening of linkages with regard to pre-ventive diplomacy missions, including decision-making, planning and deployment of joint mis-sions is key. Indeed, the strategic objective defined above depends on a clearly defined system and process for decision-making, planning, deployment and conduct of preventive diplomacy missions in a coordinated fashion – both within as well as across APSA institutions. Here, the first and perhaps most important activity relates to the finalization of the consultations for the AU Mediation Support Unit (MSU) as well as those at the RECs/RMs. In addition, the development of an integrated preventive diplomacy and mediation strategy (capturing the two different but complementary dimensions) is envisaged as a priority activity. Finally, it is critical that the AU and the RECs/RMs develop outreach and information actions focusing on their actual roles in direct conflict prevention as well as develop strategies for fund raising and sustainability.

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2 Strategic Priority 2: Crisis/Conflict Management

The AU and the RECs/RMs are increasingly deploying African-led peace sup-port operations in response to crisis and conflict situations across the conti-nent. Although the political will to undertake such operations has grown rapidly, the operational ability to do so still requires significant investment. To ensure that African peace operations can deploy rapidly when required, and be effective throughout the duration of their deployment, the operational readiness of the African Standby Force (ASF), and the planning, management, deployment and sustainment of Africa peace support operations, need to be enhanced.

The increase in opportunities for peace-making by regional and sub-regional organisations, and by civil society organisations including NGOs and CBOs has resulted in an exponential growth in mediation interventions in Africa at multiple levels. Mediation is increasingly used by the UN, AU, RECs/RMs and at national level as an approach to the peaceful settlement of disputes and conflicts. This form of peace-making is here understood as a structured process, involving a third party who is not a party to the conflict, the acceptance of mediation and a particular mediator by parties to a dispute, and the voluntary nature of agreements reached. As noted in the 2014 APSA assessment, in most of the major conflicts in Africa, the AU has either engaged directly in mediation or supported mediation led by one of the RECs. Indeed, between 2007 and 2014, the African Union deployed special envoys, special representatives or mediators to Guinea, Mada-gascar, Guinea-Bissau, Comoros, Niger, Burundi, CAR, Somalia, Sudan, the Great Lakes Region, Liberia and Mali. The importance, complexity and difficulty of mediation and preventive diplo-macy require a systematic and professional approach, where collaboration and coordination between actors and a high level of expertise and professional support are required.

The first objective for strategic priority 2 of the roadmap is therefore to contribute to enhanced operational readiness of the ASF, and more effective African PSOs.

First Strategic Objective 2 Indicators z Evidence of cooperation between AU, RECs/RMs and Member States in the develop-

ment and retention of PSO capabilities z Evidence of cooperation between AU, RECs/RMs and Member States in the planning

and deployment of operations z Evidence of systems and procedures which enable the deployment of PSOs z Evidence of timely deployment of operations within the context of relevant frameworks z Evidence of effective planning and management of operations

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The second objective for the strategic priority 2 of the roadmap is to contribute to the effective and coordinated management and resolution of conflicts and crises through mediation by the AU and the RECs.

Second Strategic Objective 2 Indicators z Evidence of timely and coordinated mediation interventions by the AU,

RECs/RMs z Evidence of enhanced capacity at the AU, RECs/RMs to plan, deploy, manage

and support mediation interventions z Evidence of enhanced capacity by actors at national level to plan and conduct mediation

interventions z Evidence of enhanced cooperation between the AU, RECs/RMs and the UN on media-

tion interventions

Strategic priority 2 has been broken down into six specific objectives, each of them addressing one major obstacle to effective response. They are presented in the following sections.

2.1 Political/legal decision-making mechanisms

Decision-making for an ASF operation (mandated to use force) requires consultations that will help determine an appropriate framework, scope and resource requirements for such engage-ment. In this regard, consultations and actions are required at principally four levels, including the UN; the AU; the concerned REC/RM; and the potential Troop and Police Contributing Coun-tries. Coherent and well sequenced decision making is critical to ensuring that an ASF operation is able to respond swiftly and deploy rapidly within the specified deployment timeframes, for instance 14-days in the case of rapid response to mass atrocities, war crimes and crimes against humanity (Scenario 6, ASF Policy Framework). It is also critical to ensure that an operation has the requisite authority and legitimacy. If political and legal decision-making and authorisation is lacking any, limited to and/or slow at all (or any of the) four levels of actors, this can significantly impede rapid deployment. In this regard, political and legal decision-making processes at the four levels need to be synchronised and/or streamlined to facilitate expedited mandating and rapid deployment processes.

The specific objective 1 is therefore to ensure that political and legal decision making mecha-nisms are clarified, harmonised and structured between specifically the AU and the RECs/RMs so as to enable more effective cooperation in the mandating, deployment and management of operations.

Priority 2 Specific Objective 1 indicators z Existence and utilisation of harmonised and streamlined policies, guidance

and procedures (between the AU and the RECs/RMs) informing PSO mandating and decision making for the planning, deployment and management of PSOs

z Evidence of planned and structured consultations amongst AUC Departments and Divi-sions on the planning, mandating/decision making and deployment of PSOs

z Evidence of joint AU and RECs/RMs planning, programming and assessment in relation to the development and enhancement of the ASF

z Evidence of joint AU and RECs/RMs analysis and planning for operations z Evidence of AU and RECs/RMs coordination/collaboration in the preparation of deploy-

ments z Evidence of timely deployment of operations z Increased rapidity in the deployment of PSOs

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The main set of strategies/activities envisaged for the fulfilment of this objective are focused on ensuring consultation and agreement amongst the AU, RECs/RMs and Member States to consider the harmonisation and streamlining of their political and legal instruments, procedures and timeframes in support of rapid and well-coordinated responses. Specifically, this will include workshops (of the concerned decision makers of the AU, RECs/RMs and Member States) that will generate concrete recommendations (on harmonisation and coordination of decision-making), which in turn will be submitted for formal endorsement and action. A second set of activities are targeted at actions that need to be taken by the planning elements at the AU and RECs/RMs to assess each procedure within the decision-making chain and to define and assign responsi-bilities as appropriate. The review of the MoU on Cooperation in the Area of Peace and Security between the AU and the RECs/RMs will need to be facilitated to, amongst other aspects, provide guidance on legal and procedural aspects as concerned with the mandating, planning, deploy-ment, management, sustenance and liquidation of ASF operations. All relevant personnel will require good orientation and training on legal and procedural aspects of the ASF. Additionally, the AU and RECs/RMs will need to review all existing legal arrangements for ongoing peace sup-port operations with the view to ensure a sound legal basis and framework for the employment of the ASF. The last set of activities will pertain to meetings and processes for the development of a system to monitor decision-making and implementation for the ASF.

2.2 Capacity to plan, deploy, manage, sustain and liquidate

The Planning Elements (PLANELMs) were established to serve as management capability for the ASF and exist at the level of the AU and the RECs/RMs. The AU PLANELM serves as the strate-gic-level whilst the RECs/RMs PLANELMs serves at the operational level. RECs/RMs PLANELMs also serve as strategic level for operations they mandate, and in this instance, the AU PLANELM provides strategic support to the mandating REC/RM. In broad terms the PLANELMs are respon-sible for the management of pre-deployment, deployment and post deployment processes for the ASF. Although significant steps have been taken to ensure multidimensional, well-resourced and effective PLANELMs, progress across the AU and regions has been mostly mixed and un-even. It is generally recognized that more work and emphasis should be placed on ensuring appropriate structures for the PLANELMs, which should also be staffed with highly skilled and capable planners. The AU and regional PLANELMs should ensure they possess the full suite of policy guidance and Standard Operating Procedures that will inform and guide their efforts. There is need to also ensure greater collaboration and communication between the AU and the Regional PLANELMs. In this regard, the AU will be required to play a stronger role in terms of leadership and guidance on the ASF. This element has been notably challenging to date.

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The specific objective 2 is therefore to enhance the capacities of planning elements as well as to ensure they possess the required systems, processes and policies to adequately plan, de-ploy, manage, sustain and liquidate peace support operations.

Priority 2 Specific Objective 2 indicators z Existence of adequate human resources capacity within the planning elements z Existence of planning and deployment guidelines, policies and procedures aligned to cur-

rent realities and developments z Evidence of formal approval of guidelines, policies and procedures z Evidence that PSO planners (at the AU and REC/RM levels) are well oriented and knowl-

edgeable of the guidelines, policies and procedures and are accordingly able to apply these in planning for operations

z Domestication of ASF guidelines, policies and procedures by the RECs/RMs and Member States at the regional and Member States levels respectively

z Evidence that the AU and RECs/RMs systematically apply guidance, policies and proce-dures in planning, deployment, management, sustainment and liquidation of PSOs

z Evidence of the allocation of the required resources to the planning elements z Evidence of increased PSO efficiency

The main set of strategies/activities envisaged for the fulfilment of this objectives include indi-vidual and joint assessments of the AU and RECs/RMs to confirm critical gaps (policies, Standard Operation Procedures, staffing, expert/niche capacities etc.) that need to be addressed, and recommendations and plans to address these gaps. Steps will also be taken to review the Aide Memoire on planning for ASF operations and this aide memoire should receive full support and endorsement by the AU and RECs/RMs. The latter should be directed to domesticate the planning guidance as relevant. There should also be activities to ensure improved staffing (qual-itative and quantitative) of the PLANELMs and such a process should include a skills audit and assessment; training and recruitment. Emphasis should also be placed on further developing the planning and management capacity of the various planners at the continental and regional PLANELMs.

2.3 Mission support systems and mechanisms

The development of effective mission support strategies, systems and mechanisms which can underpin the rapid deployment of peace support operations to the field, and which can ensure that these operations can be sustained for the duration of deployment, are critical for the con-duct of African peace support operations.

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The specific objective 3 is therefore to establish critical mission support systems and mecha-nisms as well as robust administrative and logistics policies and processes for deployment, management, sustenance and liquidation of operations.

Priority 2 Specific Objective 3 indicators z Establishment and operationalisation of the ASF Continental Logistics Base to facilitate

mission start-up z Establishment of an AU and RECs/RMs administrative and logistics support system, mech-

anism, process and framework for ASF operations z Existence of formal agreements between AU and its partners on administrative and logis-

tics support mechanisms for AU PSO z Evidence of joint assessments between the AU, RECs/RMs and other partners on strate-

gic lift capabilities on the continent, including continental movement coordination and facilitation

z Existence of formal agreements concluded between AU and its partners on support for AU PSO strategic lift capabilities and continental movement coordination and facilitation

z Existence of formal agreements concluded between AU and Member States strategic lift capabilities on support for AU PSO

z Existence of formal agreements concluded between AU and its partners on support for AU PSO strategic lift capabilities and continental movement coordination and facilitation

z Establishment and operationalisation of the ASF Continental C3IS architecture and system z Establishment and operationalisation of the ASF Continental and Regional Movement

Control Centres (CMCC) and (RMCC) respectively

2.4 Capacities and capabilities pledged/on standby

The demand for skilled and trained personnel for the conduct of peace support operations con-tinues to grow. In this regard, the AU and the RECs/RMs have invested in the development of the African Standby Capacity (ASC), a continental roster that can be utilized to support the re-cruitment and deployment needs for African peace support operations. As the roster has been developed and is in place, it now needs to be populated with personnel, and utilized to service recruitment needs for operations.

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The specific objective 4 is therefore to ensure the efficiency of the ASF human resource man-agement.

Priority 2 Specific Objective 4 indicators z Existence of harmonised training standards and directives z Existence of training evaluation, assessment, certification, verification systems z Evidence of adequate capacity by training centres and institutions to support AU in facil-

itating required and targeted training processes using AU harmonised training standards in line with Annual ASF Training directives

z Continuation of the Training Centres Programme to facilitate support to training institu-tions to deliver and conduct training for the AU and ASF

z Evidence that the ASF has sufficiently qualified and skilled capacities and capabilities (mil-itary, police and civilian) pledged/on standby and on the ASC Roster

z Evidence of the promotion and utilisation of the ASC roster as a recruitment tool and ap-proved human resource policy frameworks and field operations procedures that facilitate rapid deployment and management of field personnel

z Evidence and utilisation of adequate (civilian) recruitment/deployment policies and pro-cesses for field missions

z Evidence of training and rostering linkages to facilitate rapid deployment of qualified, ex-perienced and well trained personnel pledged for ASF operations

2.5 Capacity to plan, deploy, manage, support and monitor mediation interventions

Within the context of the AU, the Chairperson normally appoints Special Envoys and Special Rep-resentatives to conduct structured mediation processes. Similarly, the RECs/RMs also engage in mediation, often in partnership with the AU and have their own mandates and structures for peace-making. The 2014 Assessment noted how this form of peace-making is a specialized en-deavour requiring a high level of expertise and professional support.

There are a number of key challenges at present: the absence of a professionalised approach to mediation; the absence of sustained professional support to mediators at the AU and the RECs; and, existing structures and processes are inadequate for rapid deployment of mediation and preventive diplomacy interventions, including flexible funding.

The specific objective 5 is therefore to enhance the capacity of the AU and the RECs/RMs to plan, deploy, manage, support and monitor mediation interventions.

Priority 2 Specific Objective 5 indicators z Evidence of efficient mediation interventions z Evidence of operationalization of MSUs) at the AU and the RECs/RMs z Evidence and documentation of the use of the guidance contained in the 2012 SOPs

for Mediation Support (note that these have clear guidance on: appointing and hiring processes for lead mediator; decision to deploy a mediator; creating a mediation roster; developing mediation mandates; creating an AU mediation team (needed expertise and capacity, core team members, resource persons); mediator pre-deployment briefings; de-sign of mediation strategies; funding, etc.

z Evidence and documentation of the use of the KMF for Mediation (lessons learned, etc.) z Evidence of reviews and evaluations of concluded AU and RECs/RMs mediations z Evidence of harmonization of national mechanisms with RECs

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The main strategies/activities envisaged to reach this objective centre on the need to equip the AU, RECs/RMs and national level actors involved in mediation with relevant capacities for effec-tive mediation interventions. Indeed, these strategies/activities are designed to strengthen the AU and RECs’ capacity to design, plan, deploy, manage and monitor preventive diplomacy and mediation interventions. These strategies include three key dimensions: (i) the full operation-alization of existing policies and processes relating to mediation at both AU and the RECs/RMs; (ii) the creation of MSUs at the AU and the RECs with the aim of establishing track I and track II mediation structures and coordinate technical expertise for effective professional support to peace processes; (iii) capacity building trainings and retreats for the envoys and mediators and create inter-face between the AU and RECs; (iv) strengthening regional mediation capacity building upon national institutional and normative frameworks. Consequently, implementing the 2012 SOPs for Mediation Support and the Knowledge Management Framework for Media-tion Processes, as well as finalizing the PSD Roster, will strengthen the process of appointment, pre-deployment preparation and start-up phase of AU mediation activities, including lessons learned and monitoring and evaluation of mediation interventions. Finalising consultations for (and launching) MSUs at both AU and the RECs/RMs, including developing the concept for an ‘Operational Support Team’ at the AU are key areas of intervention for the strengthening of mediation capacity in the period of this roadmap. Finally, this objective requires that consid-erable focus be placed on targeted training to mediators and special envoys – training which is proposed to stem from the conduct of a needs assessment survey.

2.6 Coordination on mediation interventions

Collaboration and coordination between different actors engaged in mediation is a critical fac-tor in the success of mediation processes. This is particularly the case in the African continent where a significant number of actors, ranging from States and individuals to organisations such as the UN, the AU and the RECs have become involved in mediation in one form or another. In the case of the AU and the RECs, whether through nominated Special Representatives, Envoys, Chief Mediators, or through the collective efforts of panels of eminent personalities such as the AU Panel of the Wise and similar mechanisms at sub-regional level (including ECOWAS’ Council of the Wise; COMESA’s Committee of Elders and SADC’s Panel of Elders), High Level Implemen-tation Panels (Sudan for example) and International Contact Groups, demonstrate that these organisations have assumed, and will continue to play key roles in peace-making, including pre-ventive diplomacy (fact-finding, good offices, conciliation and confidence-building), facilitation and mediation efforts. These developments have taken place in an increasingly complex interna-tional mediation environment, where often multi-party mediation has become the norm. With-in the context of mediation interventions, regular consultations should be held with the RECs/RMs, which will take, within the framework of APSA, the necessary initiatives in their respective region and initiate mediations to conduct structured peace process jointly with the AU or on their own, as decided at the PSC retreat in Abuja in 2015. Yet, at present, collaboration and coordination are mostly done in an ad-hoc basis, as there is an absence of mechanisms and pro-cedures for ensuring coordination and cooperation between the AU, RECs/RMs and the UN in mediation and preventive diplomacy initiatives. There is a need for enhanced consultation and coordination between the AU and the relevant RECs/RMs regarding decisions on, and conduct of mediation initiatives.

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The specific objective 6 is therefore to enhance coordination between the AU, the RECs/RMs and the UN on mediation interventions.

Priority 2 Specific Objective 6 indicators z Examples of coordinated mediation interventions by AU, RECs/RMs and UN z Evidence of information-sharing and joint decision-making between AU and RECs/RMs z Evidence of joint mediation endeavours z Evidence of joint analysis and assessment between AU and RECs/RMs z Forum of AU/REC/RMs mediation focal points

In order to ensure enhanced coordination between the AU, RECs/RMs and the UN on mediation to take place, a number of strategies and activities are proposed. These include, with regard to AU-REC relations on mediation: the development and implementation of AU/RECs/RMs Media-tion Guidelines; increased frequency of joint missions and international contact groups leading to joint mediations (where appropriate); information sharing and deepened support to the RECs with regards to the professionalization and support to mediation. The AU and the RECs/RMs may also consider the creation of the Forum of AU/RECs/RMs focal points. With regards to the crucial area of coordination and collaboration with the UN, activities include the adoption and implementation of the AU/UN Mediation Guidelines; information sharing; collaboration through technical support and exchanges of experiences; and, strengthening the alignment of UN/AU mediation guidelines.

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3 Strategic Priority 3: Post-Conflict Reconstruction and Peace Building

Post-conflict reconstruction, development and comprehensive peace build-ing efforts are closely linked to all other elements of the APSA and central for their success. The recent relapses of several post-conflict countries into violence and instability highlight the challenge, and therefore, the imperative for post-conflict reconstruction and development in Africa, as well as the need for more concerted action in consolidating peace in countries emerging from conflict. Drawing the lessons from past experi-ence in rebuilding countries emerging from conflict, the AU Assembly adopted, in 2006, a PCRD Policy Framework, as a guide for the development of comprehensive policies and strategies to consolidate peace and pave the way for growth and sustainable development in countries emerging from conflict. The Policy highlights six indicative elements of PCRD; namely security; humanitarian/emergency assistance; socio-economic reconstruction and development; political governance and transition; human rights, justice and reconciliation; and gender.

The objective for the strategic priority 3 of the roadmap is to contribute to effective, coordi-nated and timely support to post-conflict Member States and communities emerging from conflict.

Priority 3 Strategic Objective Indicators z PCRD interventions and support to Member States are timely and based on a systematic

assessment of post-conflict needs z Evidence of joint PCRD programming, including formulation of common objectives,

between AUC departments, between AUC and RECs/RMs, between RECs/RMs and RECs/RMs and between AUC and Member States as well as RECs/RMs and Member States

z Evidence of PCRD initiatives in post-conflict Member States that are based on continen-tal or regional PCRD policies and/or strategies

z Evidence of enhanced capacities of AU and RECs to provide and coordinate support to post-conflict Member States, based on policies and strategies

z Evidence of financial and in-kind support mobilised by AU/RECs and channelled to post-conflict Member States

z Evidence of AU and RECs PCRD/DDR/SSR expertise deployed within peace support oper-ations

Strategic priority 3 has been broken down into seven specific objectives, each of them address-ing one major obstacle to effective response strategies. They are presented in the following sections.

3.1 PCRD Mechanisms and regional policies

The AU PCRD Policy Framework of 2006 has identified institutional mechanisms that are to be implemented by AU and RECs in order to assist post-conflict Member States in their reconstruc-tion efforts. While AU and RECs made considerable process, some of the mechanisms are not yet in place or not yet fully operational. The six pillars of PCRD are defined broadly in the policy framework, and a clear definition and operational guidelines on each of the pillars are missing. Further, the PCRD policy framework sees a need for regional guidelines for the implementation of PCRD efforts, which supports the harmonisation of PCRD policies on national level. Some

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RECs played a leading role in developing regional PCRD policy frameworks, but lack implemen-tation capacities. Other regions strive to develop regional PCRD policy frameworks within the timeframe of the roadmap.

Specific objective 1 is to ensure that PCRD mechanisms at the level of AUC, REC/RM and post-conflict countries as well as PCRD policies are in place and operational, in line with the six pillars of the PCRD policy framework.

Priority 3 Specific Objective 1 indicators z Evidence that AUC and RECs/RMs have the mechanisms in place according to their man-

date given by their respective policy organs z Evidence of regional PCRD policies in place in all regions, and harmonised with the conti-

nental PCRD policy framework

Three main strategies have been identified in order to achieve the specific objective. The first one relates to the six pillars (indicative elements) of the PCRD policy framework: each of the pillars will be clearly defined, and operational guidelines or similar strategic documents will be developed. The second strategy consists of the establishment of PCRD mechanisms at differ-ent levels. A Multidimensional Committee on PCRD will be established in order to interact with international actors on the continent on PCRD. A PSC Standing Committee is to be established in order to monitor actors and provide support to affected countries. Regular briefing sessions of the PSC will assure the political oversight and support to PCRD efforts. On national level, post-conflict Member States are to be supported in the establishment of ministerial committees on PCRD. An interdepartmental taskforce at AU level, involving RECs through their Liaison Offic-es, will be established and will meet regularly, in order to foster harmonisation and synergies. The third strategy relates to the development and implementation of regional PCRD policies and strategies. The PCRD policy framework will be adapted to region specific situations, and guide-lines will be developed accordingly. Member states of the regions will be closely involved in the process, and RECs will cooperate with AU and align their policy frameworks and strategies.

3.2 PCRD responds to specific needs in different conflict phases

The high degree of relapse into violence of post-conflict countries, as well as the numerous pro-tracted crises on the continent, indicate the need for an adequate response of PCRD measures to different needs in the conflict cycle. This is particularly relevant for the stabilization and early recovery phase during or directly following peace support operations. If not holistically concep-tualised, PSOs risk leaving a gap in support to the local communities, which needs to be filled by early recovery and humanitarian interventions, closely linked to reconstruction and devel-opment measures. Despite efforts of AU and RECs to closely link PSOs and post-conflict efforts, there is a lack of conceptual clarity on the phase of stabilization and early recovery, as well as on the role of conflict preventive measures in peace building. Additionally, there is a need for closer cooperation between all actors responsible for interventions in post-conflict Member States.

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Specific objective 2 is to ensure that PCRD interventions are responding to specific needs in different conflict phases.

Priority 3 Specific Objective 2 indicators z Evidence that PCRD programmes and strategies are informed by joint analysis on the

structural causes of conflict and include strategies and activities for conflict prevention z Evidence of (approved) strategic documents which point out roles and responsibilities of

AU and REC actors in the stabilization phase z Evidence of increased joint planning and close cooperation and coordination of all actors/

divisions within AU/RECs which are engaged in post-conflict countries and situations z Evidence that the PCRD policy is leveraged in support of stabilization and early recovery

efforts z Evidence of early recovery instruments such as Quick Impact Projects (QIPs) and peace

strengthening projects being utilised in PSOs or its immediate aftermath as instruments in support of stabilization and early recovery efforts

Three sets of strategies have been developed in order to address the causes of the problem and achieve the specific objective. The first one relates to the development of a holistic strategy of interventions in the stabilization and early recovery phase. PSOs will be assisted in the im-plementation of QIPs, and in the development of their capacities to timely implement or liaise with the relevant actors implementing PCRD, stabilization and early recovery measures. The second strategy relates to the development of a holistic concept on the interaction between peace building and conflict prevention, involving governance and state building aspects. Here, it is important to engage with all relevant actors on AU and REC level, map out interventions and develop guidelines for conflict sensitivity and Do No Harm, taking into account long-term struc-tural causes of conflict. The third strategy consists of setting up a mechanism for coordination, joint planning and regular exchange on interventions in post-conflict Member States (interde-partmental taskforce), involving all relevant actors, such as the AUC as well as RECs through their Liaison Offices.

3.3 AU and RECs coordination function of PCRD

The effective support to Member States in PCRD requires close collaboration between all rele-vant actors involved. Besides the AU, RECs and the respective Member States (including relevant ministries and departments), the UN and other international organisations, post-conflict recon-struction and peace building efforts also involve civil society organisations at local, national, regional and continental levels. At the moment, there is still lack of regular and systematic ex-change between the AU and the RECs as these actors. The AU PCRD Policy Framework of 2006 provides guidance on roles and responsibilities of AU and RECs as well as on mechanisms to be established for the effective implementation of PCRD measures on member state level. There is, anyhow, still a lack of clear definitions of roles and responsibilities of the AU and the RECs, as well as lack of harmonised approaches and regular exchange. Finally, the AU and the RECs partic-ipation and coordination role in other (often international) mechanisms related to post-conflict reconstruction of the continent needs to be enhanced.

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Specific objective 3 is to ensure that the AU and the RECs exercise their coordination function effectively and comprehensively.

Priority 3 Specific Objective 3 indicators z Planning, monitoring and reporting processes on PCRD between AUC and RECs/RMs are

harmonized z AUC and RECs/RMs take up a relevant role in international PCRD processes, such as the

New Deal and Post-Conflict reconstruction frameworks in Member States z Implementation strategy for PCRD policy framework clearly highlights different roles and

responsibilities of the various stakeholders

The strategies developed in order to address the causes of the problem are threefold: the first one consists of organising regular systematic exchange between AU and RECs on PCRD strategies and interventions, through dialogue sessions as well as through joint stakeholder work plans and other strategic documents. Secondly, regular systematic exchange is to be established be-tween AU/RECs and external actors in the field of PCRD (e.g. through regular joint stakeholder meetings). This includes the UN Peace Building Commission as well as relevant CSOs. Also joint stakeholder monitoring and evaluation activities for PCRD are envisaged. Finally, AUC and RECs identify and participate in relevant fora and exchange meetings in the field of PCRD and peace building, e.g. in the New Deal for Fragile States process as well as in post-conflict needs assess-ment by international actors.

3.4 Resources for the implementation of PCRD programmes

The PCRD Policy Framework (2006) sees the mobilization of resources for PCRD as a major re-sponsibility of the AU. At the 19th Ordinary Session of the policy organs of the African Union, in July 2012, the African Solidarity Initiative (ASI) was launched as an AU-led process for mobilizing support from within the continent for countries emerging from conflict. A Decision – Assembly/AU/Dec.425 (XIX) – on the ASI, was adopted, requesting the AUC, in close collaboration with the countries concerned and all other Member States, RECs, and other relevant African institutions, to roll-out a full implementation plan, and to mobilize in-kind, capacity building, as well as fi-nancial contributions, to support post-conflict reconstruction activities and efforts in the African countries concerned.

Specific objective 4 is to ensure that the capacities of the AU and the RECs to generate (finan-cial and in-kind) resources for post-conflict countries and communities are enhanced.

Priority 3 Specific Objective 4 indicators z Resources being pledged and delivered by AU Member States in support to PCRD coun-

tries z In kind and financial support given to Member States, CSOs etc. through AUC and RECs/

RMs z Amount of funds being channelled through the PCRD funding windows z Number of Member States/AUC/RECs/RMs co-financing arrangements in support of PCRD

efforts in countries emerging from conflict

In order to achieve the specific objective, the following four strategies are envisioned: the Afri-can Solidarity Initiative is to be operationalized through the implementation of its resource mo-bilization strategy, the development of strategies and mechanisms to operationalize all aspects

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of the ASI (including identifying post-conflict needs, channelling funds, reporting and monitor-ing, etc.). A mechanism is to be developed in the frame of the ASI to support Member States to engage with each other directly on addressing post-conflict needs, and the necessary capacities are to be established at the level of the AUC in order to keep the ASI operational. Second, a funding window is to be established to channel funds from AU to RECs and Member States for PCRD interventions, especially relating to regional and cross-border interventions. Third, needs of post-conflict Member States are to be assessed regularly and systematically, and linked to resource mobilization efforts. Finally, round tables and pledging conferences are organised reg-ularly to generate additional support for post-conflict Member States.

3.5 Capacities for support to post-conflict Member States

Peace building is a complex and extensive process that involves addressing the root causes of conflicts, as well as creating social cohesion and establishing peaceful mechanisms and institu-tions for all members of society. It touches upon all aspects of nation building, humanitarian interventions in the immediate aftermath of conflict as well as socio-economic development; it includes rule of law and the reform of the security sector, constitutionalism and democracy, good governance, human rights aspects as well as reconciliation. It is therefore paramount that these processes are shaped on national and local level, and that national and local actors receive the support needed from regional and continental institutions, namely AU and RECs, as per their mandate in the PCRD Policy Framework.

Specific objective 5 is to ensure that the capacities of AU and RECs to respond to post-con-flict Member States needs through effective coordination and development of PCRD interven-tions/Member States support are enhanced.

Priority 3 Specific Objective 5 indicators z Number of Member States which are supported in the implementing of policies or strate-

gies which are related to PCRD (security, transitional justice and human rights, socio-eco-nomic reconstruction and development, humanitarian/emergency aid, gender as well as governance and democracy aspects)

z Number of PCRD assistance requests addressed by AU and REC z Evidence that support to member state is based on post-conflict needs assessment

Strategies to address this specific objective are threefold. AU and REC’s Liaison Offices and field offices, and post-conflict Member States need to be assessed and supported in enhancing their capacities in the field of PCRD through training and other capacity development measures. It will further need to be assured that the review of AULOs mandates keeps in mind the role they can play in PCRD. Coherence is also to be enhanced between activities of AULOs/field offices and AU/REC strategies for PCRD. Second, capacities of AU and RECs to assist Member States in the development and monitoring of tailor made interventions will be enhanced through the development of implementation strategies for all indicative elements of the PCRD policy frame-work, the support to Member States in the development of national policies and strategies as well as in the implementation of national programmes. Third, an expert database/roster is to be developed based on a mapping of expertise needed in peace building processes, covering all in-dicative elements of the PCRD policy. A mechanism will ensure that experts are being deployed to post-conflict Member States, AULOs or PSOs according to the needs on the ground.

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3.6 Capacities to implement the SSR policy framework

The reform of the security sector is often a complex and extremely challenging, but paramount process for post-conflict reconstruction of Member States. The AU Assembly through Assembly/AU/Dec.177 (X) in 2008 asked the AUC to develop a comprehensive AU Policy Framework on SSR, within the context of the Policy Framework on PCRD. The SSR Policy Framework was con-sequently developed and adopted in 2013. The AUC as well as RECs therefore need to enhance their capacities in order to effectively fill out the role given to them in the SSR policy framework. This includes the development of regional SSR policies as well as the enhanced capacities to assist Member States in their SSR efforts, among others. SSR interventions need to be closely coordinated with and linked to all other elements of PCRD, including governance and reconcili-ation aspects.

Specific objective 6 is to ensure that AU and RECs have the capacities to effectively fulfil their role as defined in the SSR policy framework.

Priority 3 Specific Objective 6 indicators z Number of Member States supported in implementing SSR policy z Evidence of SSR assistance requests addressed by AU and RECs z SSR processes supported by AU/RECs are gender sensitive z Number of required civilian SSR experts provided in support of AU peace support opera-

tions

There are five strategies to address the specific objective, all rooted in the mandate given to AU and RECs by the SSR policy framework. First, regional SSR policies are to be developed and to be used as an instrument for standardization and harmonisation of national SSR policies. AU and RECs will collaborate not only with each other, but also with Member States on aligning the pol-icies and developing mechanisms for monitoring the implementation of SSR policies on national level. Second, capacities of AU and RECs will be developed through several interventions in order to assist Member States in the development and implementation of national SSR policies. They include the development and implementation of SSR assessment tools, guidance notes, mobili-sation of funds, conduction of SSR trainings as well as financial support to Member States. Third, AU and RECs will, through dialogue forums and other mechanisms, bring together relevant SSR stakeholders on the continent. Forth, a continental code of conduct for armed forces involved in African peace support operations will be developed in line with the AU Operational Guidance Note (OGN) on the Development of Codes of Conduct for African Security Institutions. Finally, an expert roster will be developed in order to assure that SSR experts are ready to be deployed in PSOs and to Member States on a short-term notice.

3.7 Capacities of the AUC and the RECs/RMs to respond to DDR challenges

The Disarmament, Demobilization and Reintegration (DDR) of ex-combatants is a complex pro-cess, with political, humanitarian and socio-economic dimensions. These dimensions are inte-gral to promoting peace, security and stability in Africa and spans across the initial stabilization of war-torn societies and into their long-term development through laying of groundwork for safeguarding and sustaining of communities in which these individuals return, while building national capacity for long-term peace, security and development.

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Specific objective 7 is to ensure enhanced capacities of AUC, RECs/RMs and Member States to meet the DDR challenges in post-conflict African countries.

Priority 3 Specific Objective 7 indicators z Number of DDR Assistance requests addressed by AU and RECs z Number of AU and RECs DDR expertise deployed within peace support operations z Number of DDR documents developed and continental dialogue platforms facilitated z Evidence of required DDR expertise provided in support to AU peace support operations

There are five main strategies envisaged to reach this objective. The first strategy is geared to-wards mainstreaming gender through supporting DDR-related gender-sensitive activities that are also responsive to the needs of children and other marginalised and vulnerable groups. The second strategy consists of supporting DDR capacity building for Member States, RECs/ RMs and AU peace support operations, including through the deployment of AU sponsored DDR experts. The third strategy entails the development of DDR policy documents, SOPs and training material to harmonize continental language on DDR. The fourth strategy involves convening a number of DDR forums in support of regional and continental dialogue on DDR. Finally, Member States will be assisted in fundraising for national DDR activities and in monitoring and evaluation mecha-nisms for the DDR processes they are engaged in. These strategies will be implemented in close collaboration with the United Nations and other international partners and organisations.

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4 Strategic Priority 4: Strategic Security Issues

Based on a broad notion of human security the African continent will be faced with a series of strategic security challenges in the next five years. Problems identified include inadequate and disjointed efforts to address illicit flows of Small Arms and Light Weapons (SALW); mines, explosives and improvised explosive devices (IEDs); terrorism; and organized crime.

The objective for the strategic priority 4 of the roadmap is to contribute to enhancing the time-liness and effectiveness of the response to strategic security challenges by all stakeholders.

Priority 4 Strategic Objective Indicators z Evidence of effective policies, programs and capacities being developed and implement-

ed to address transnational threats. z Evidence of Member States incorporating/implementing gender dimensions in SALW

control programmes including national plans, national commissions, legislation, data on arms and violence against women and vulnerable groups

The strategic priority 4 has been broken down into seven specific objectives, each of them ad-dressing one major obstacle to effective response strategies. They are presented in the following sections.

4.1 Illicit flow of SALW

The APSA assessment has drawn attention to the fact that the effectiveness in which illicit flows of SALW are currently addressed is limited. This is due to a number of circumstances, amongst others: non-domestication of legal and policy instruments to address the illicit flow of weap-ons; weak operational capacities of Members States to prevent, detect and respond to illicit SALW trafficking and circulation; insufficient updated research, data and analysis on trafficking and circulation of illicit SALW to support evidence-based programming; the lack of a compre-hensive monitoring and evaluation capacity with regards to illicit SALW control interventions; the absence of an effective law enforcement cooperation and coordination mechanism with a continental and regional scope to facilitate inter-state cooperation; as well as limited capacities of PSOs in managing and accounting for weapons and implementing illicit SALW control inter-ventions.

Specific objective 1 is to effectively implement integrated, comprehensive and sustainable pol-icies and measures to address the illicit flow of SALW in line with international instruments and best practices.

Priority 4 Specific Objective 1 indicators z Evidence of Member States marking arms and maintaining records z Evidence of Member States cooperating in arms tracing and seizure z Evidence of Member States securing arms stockpiles z Evidence of Member States adopting legislation and measures to regulate arms owner-

ship and transfers, and criminalizing illicit activities z Evidence of Member States’ ownership and financial contribution to national policies and

programmes

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The main strategies/activities envisaged in order to reach this objective are five-fold. First, bi-an-nual Steering Committee meetings to strengthen coordination initiatives, financial and technical resources for Member States will be mobilized and direct technical support given to Members States. It is expected that this will help effectively domesticating legal instruments to address the illicit flow of weapons. Second, operational support to priority interventions in SALW con-trol (training, purchase of equipment, development of guidelines, etc.) will be provided. It is assumed that this will build operational capacities in Member States. Third, expert studies in collaboration with RECs/RMs and research groups will be commissioned, reports and data from RECs, RMs and research groups compiled, findings validated, suggested strategic responses drafted, and methods of evidence based planning employed. It is expected that these meas-ures will make comprehensive knowledge on the flow of illicit SALW on the continent available. Fourth, basic guidelines for the integration of evaluations and assessments in project design by AU/RECs/RMs will be developed and AU/RECs/RMs and partners will support the compilation of biennial reports on SALW control. The expected result of these activities is that monitoring capacity in SALW control has been established. Finally, technical support will be given to PSOs in developing SOPs and guidelines to manage and account for weapons, and also in streamlining SALW control into ConOps and mission mandate. In addition, training and operational support will be provided to PSOs in implementing mandated SALW control interventions. The expected outcome of these activities is to enhance PSOs’ capacity to manage weapon holdings and stock-piles and implement SALW control interventions is built.

4.2 Mine action and counter-IED/explosives management

The inability of Member States to fully meet their obligations under the Anti-Personnel land-mines Convention and the Convention on Cluster Munitions has been identified as a challenge. This is due to five reasons: The limited technical and operational capacities of Member States to implement mine action programmes; a lack of integrated and sustainable policies and pro-grammes to support victims of landmines and unexploded ordnance (UXO); the absence of both inter-state modalities and agreements to clear mines in border areas as well as regional mech-anisms/platforms to mobilize resources and foster south-south cooperation; and the limited expertise, financial and operational resources at the level of PSOs to deal with the threat of IEDs and UXOs.

Specific objective 2 is to implement mine action and counter-IED/explosives management pro-grammes by affected Member States and PSOs in an integrated and sustainable manner.

Priority 4 Specific Objective 2 indicators z Evidence of Member States progress towards their clearance deadlines/targets z Evidence of victims’ assistance policies and programmes z Evidence of participation of women in national mine action z Conclusion of agreements and development of cross-border demining projects z Resources mobilized through the South-South cooperation platform z Percentage of IEDs detected and disposed by AU-PSOs

The main strategies/activities envisaged in order to reach this objective include collaboration with Mine Action centres to deliver training to member state practitioners. In addition demining and training equipment will be provided to affected Member States and trainings on various Mine Action components (awareness, program management, landmine impact surveys, gen-der mainstreaming, etc.) delivered. The expected result of these measures is that technical and

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operational capacities of Member States to implement mine action programs are built. In ad-dition, technical support and training to Member States on developing and sustaining victims’ assistance programmes will be provided and guidelines and best practices on victims’ assistance developed and disseminated. The expected outcome is the integration of victim assistance pro-grammes into national policies.

Strategies/activities will also include: the conclusion of interstate agreements to survey and demine border regions under the auspices of the AU Border Programme (AUBP) will be facilitat-ed with a view to reach agreement reached and develop projects to demine border areas; the development of south-south cooperation strategy and implementation modalities and a bienni-al donor conferences and south-south cooperation platforms convened. The expected result of this is that the South-South Cooperation platform and continental resource mobilization modal-ities will be established.

Finally, technical support to PSOs in streamlining counter-IED and explosives management in the development of Concepts of Operations (ConOps) will be provided and technical and operation-al support to capacitate PSOs in the area of counter-IED and explosives management mobilized. The expected outcome of these activities is that counter-IED expertise and equipment will be integrated into PSO mandates and support packages.

4.3 Weapons of Mass Destruction (WMD) disarmament and non-proliferation

Implementing the international regimes on WMD disarmament and non-proliferation has been identified as being little effective. This is attributed to the non-domestication of legal and policy instruments against WMD; weak operational and institutional capacities of Members States; and insufficient research and data on the threat and risks of illicit chemical, biological and nucle-ar proliferation and trafficking.

The specific objective 3 is to effectively implement instruments and policies to address WMD disarmament and non-proliferation.

Priority 4 Specific Objective 3 indicators z Technical assistance and training provided to Member States to domesticate legal and

operational aspects of the international instruments against WMD z Member States establishing/designating the required implementation mechanisms/bodies

The main strategies/activities envisaged in order to reach this objective are two-fold. First, there will be collaboration with the international bodies to sensitize states, identify gaps and assis-tance will be channelled to Member States. In addition, technical and operational resources for Member States from donors and international partners will be mobilized. The expected result of these activities is that legal instruments to address WMD disarmament and non-proliferation will be effectively domesticated. Furthermore, expert studies will be commissioned and reports and data available with the international bodies compiled with a view to make available com-prehensive knowledge on the risks and threats of chemical, biological and nuclear proliferation and trafficking.

4.4 Counter-terrorism measures

So far, counter-terrorism efforts on the African continent have been mainly ineffective and un-sustainable. There are a number of reasons for this, including the absence of an effective rule

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of law-based criminal justice response to terrorism; poor capacities and training of law enforce-ment agencies to implement preventive and response measures to terrorist acts; the lack of integrated approaches to prevent radicalization, address the conditions conducive to the spread of terrorism and engage civil society; poor coordination and collaboration among states in poli-cy, legislative and operational counter-terrorism measures; the absence of rigorous and updated operational research and analysis that informs policy development and response measures; and also the non-existence of an inclusive continental platform to coordinate counter-terrorism (CT) action among Member States, RECs, donors and assistance providers.

The specific objective 4 is to make national and regional counter-terrorism measures effective in preventing and responding to terrorist acts.

Priority 4 Specific Objective 4 indicators z Evidence of MS authorities foiling terrorist acts z Evidence of terrorism cases investigated and tried in courts z Evidence of CSO involvement in/support for national counter-terrorism efforts z Evidence of inter-state cooperation in terrorism investigations and trials z Evidence of Member States sharing and utilizing intelligence, reports and studies on ter-

rorism and counter-terrorism z Evidence of effective support and coordination provided to Member States by donors,

partners and RECs z Evidence of de-radicalization initiatives by RECs z Evidence of programmes implemented by counter violent extremism (CVE) initiatives

The strategies adopted to address the causes of the problem and reach the objective are six-fold. First, legislative support will be provided to Member States in ratifying and domesticating regional and international anti-crime and counter-terrorism instruments; likewise training and capacity building support will be given to judges, prosecutors and law enforcement agencies in integrating and implementing essential components; in addition best practices will be ex-changed on criminal justice responses to terrorism, rule of law and human rights (criminali-zation, investigations, cooperation, detention, trials, corrections, etc.). These activities should contribute to both the effective domestication of legal instruments to address counter-terrorism and the strengthening of criminal justice systems.

Second, training and support will be provided to law enforcement agencies in preventing and responding to terrorist acts (information and intelligence gathering and analysis, protection of sensitive sites, investigations and evidence gathering and protection, countering IEDs, anti-mon-ey laundering and countering terrorism financing, recruitment and internet abuse, emergency response, human rights safeguards, etc.). The expected result is that capacities of law enforce-ment agencies to implement preventive and response measures to terrorist acts are built.

Third, consultative and inclusive platforms will be provided to develop context-specific ap-proaches and programmes to prevent radicalization and recruitment and address conditions conducive to the spread of terrorism and preventing radicalization. In addition, early recovery, counter-radicalization and community engagement components will be streamlined into region-al cooperative counter-terrorism operations. The expected outcome is that national and region-al integrated strategies to prevent radicalization, addressing the conditions conducive to the spread of terrorism, and civil society engagement is developed and implemented.

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Fourth, consultation and cooperation platforms for intelligence sharing and coordination and harmonization of counter-terrorism efforts will be strengthened and sustained; political and op-erational support to the development of cooperative regional counter-terrorism operations and intelligence sharing mechanisms including within the framework of the Committee of Intelli-gence and Security Services of Africa (CISSA), the African Centre for the Study and Research on Terrorism (ACSRT) Focal Points and the Nouakchott and Djibouti Processes will be provided; the role of the PSC pursuant to the 2004 Protocol and the relevant communiqués will be operation-alized; support to the harmonization of legislation and other inter-state modalities regarding extradition and arrest warrants will be given; and African Arrest Warrant against individuals accused of terrorist acts will be operationalized and implemented. The expected outcome of these measures is an enhanced judicial and operational cooperation among Member States and regions.

Fifth, periodic and thematic expert research and studies will be commissioned; Focal Points will be designated by Member States to the ACSRT and information will be shared regularly; Mem-ber States will submit their annual reports pursuant to the 2004 Protocol; counter-terrorism will be harmonized and integrated into CEWS; the ACSRT CT Situation Room will be operationalized; and an assessment and evaluation mission to Member States will be conducted. As a result comprehensive knowledge and analysis will be available on terrorist groups modus operandi, agendas and structures; recruitment and financing methods; and related trends.

Finally, an annual Consultative Counter-Terrorism Forum will be convened; the AU-RECs Steering Committee on Counter-terrorism and transnational organized crime (TOC) will be established; RECs will be supported to replicate the efforts at African Union levels; and sub-region cooper-ation/coordination centres at RECs levels will be established. It is expected that an effective coordination mechanism is established among Member States, RECs, donors and assistance pro-viders in identifying and aligning priorities and allocation of resources.

4.5 Illicit Financial Flows

Implementation of the international instruments on anti-money laundering and countering the financing of terrorism (AML/CFT) is ineffective and incomplete. Due to a combination of factors that include inadequate capacity among institutions such as Financial Intelligence Unit (FIUs) and Law Enforcement Agencies (LEAs) that are undertrained, understaffed or lack a clear mandate and powers to enforce AML/CFT measures; and law awareness among financial and non-financial reporting entities; many jurisdictions have inadequate AML/CFT laws while others have implementation challenges. There is also inadequate inter-state cooperation on AML/CFT issues including on judicial, institutional and operational matters; the existence of regulatory and operational challenges to address AML/CFT in the informal sector and cash-based econo-my; inadequate regulatory measures to address the vulnerability of non-profit organizations to abuse by terrorists; and, finally, poor capacities and integrated approaches to address proceeds of criminal activities such as environmental crimes, trafficking and smuggling.

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The specific objective 5 is to fully and effectively implement international legal instruments and recommendations of the Financial Action Task Force (FATF) and the High Level Panel on Illicit Financial Flows recommendations.

Priority 4 Specific Objective 5 indicators z Evidence of Member States developing and enforcing national legislation and practices

on AML/CFT z Evidence of FIU and LEAs adequately capacitated to fulfil their mandate z Evidence of preventive and response measures to deal with AML/CFT in the informal

economy and charity establishments and other designated non-financial businesses and professions (DNFBPs)

z Evidence of effective policies and practices linking anti-environmental crime efforts to AML/CFT

z Evidence of increased suspicious transaction reports received by FIUs z Evidence of increased awareness of AML/CFT among reporting entities

The main strategies/activities envisaged in order to reach this objective are five-fold.

First, the delivery of technical and legislative support to Member States in establishing and strengthening FIUs, and developing/strengthening their mandate and operational modalities will be facilitated; and FIUs and financial establishments will be sensitised and trained in imple-menting FATF recommendations, the recommendations of the High Level Panel on Illicit Finan-cial Flows and the International Convention for the Suppression of the Financing of Terrorism. It is assumed that Financial Intelligence Unit (FIUs) are established, capacity is built and effective mandates are provided.

Second, regular forums/sessions to foster exchanges, common understanding and approaches to enhance inter-state cooperation will be facilitated; and joint trainings for Member States on international cooperation in judicial matters regarding AML/CFT will be conducted. This will lead to effective inter-state cooperation on AML/CFT issues, including on judicial, institutional and operational matters.

Third, operational guidance notes will be developed and best practices compiled to assist Mem-ber States address AML/CFT within the context of the informal sector and cross border trans-portations of currency. In addition, joint trainings and sensitisation exercises will be organized to address cash couriers and cross border cross-border transportations of currency also including other DNFBPs. It is expected that this will strongly support the implementation of effective reg-ulatory and operational measures to address AML/CFT in the informal sector and cash-based economy.

Fourth, technical and legislative support will be provided to Member States in regulating op-erations of non-profit organizations, and non-profit organizations and CSOs will be trained on transparency and preventing abuse for terrorist financing purposes. It is expected that this will lead to the implementation of effective regulatory and transparency measures to prevent the abuse of non-profit organizations.

Fifth, LEAs such as police, the judiciary and office of the prosecutor, customs, authorities etc. will be sensitised and trained on investigation of AML/CFT crimes including capacity building in asset recovery.

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Sixth, studies and research will be commissioned and supported to identify trends in terrorism financing and gaps in response measures; and the development of integrated and comprehen-sive approaches and policies will be assisted to address terrorism financing through environ-mental crimes, trafficking and smuggling. It is expected that these measures will lead to the de-velopment of effective policies and guidelines to address terrorist financing from environmental crimes, trafficking and smuggling.

4.6 Africa’s Integrated Maritime Strategy (AIMS)

The African Union’s maritime security policy is weakly integrated into APSA: This has mainly three reasons: the absence of a Plan of Action for the Operationalization of the 2050 AIM Strat-egy; a lack of effective mainstreaming of maritime security into CEWS; and the non-alignment of RECs strategies on maritime security to AIMS 2050.

The specific objective 6 is to fully integrate the 2050 Africa’s Integrated Maritime Strategy (AIMS) into APSA.

Priority 4 Specific Objective 6 indicators z Evidence of the AUC developing an implementation matrix and Member States adopting

a Plan for the Operationalization of the 2050 AIMS z Evidence of revised CEWS indicators and guidelines z Evidence of RECs developing and adopting harmonized strategies on maritime security

The main strategies/activities envisaged in order to reach this objective are three-fold. First, a Plan of Action for the Operationalization of the 2050 AIMS in accordance with AU Assembly Dec. 496 (XXII) will be developed and adopted – paving the way for the effective implementation of a Plan of Action for the Operationalization of the 2050 AIMS. Second, the CEWS Indicators’ Module (data collection and monitoring) will amended and the CEWS Handbook (2008) revised, with a view to effectively mainstreaming maritime security is into CEWS. And third, regional workshops will be held to harmonize RECs strategies on maritime security. The expected effect will be that RECs strategies on maritime security are aligned to AIMS 2050.

4.7 AFRIPOL as coordination mechanism

Coordination in combating Transnational Organized Crime (TOC) has been limited due to 4 main reasons: a lack of effectively domesticating legal instruments to address TOC; weak legal codes to address TOC; a lack of information, analysis and response options for members states and RECs/RMs with regard to TOC; and insufficient knowledge about the nexus between TOC, ter-rorism and violent extremism. In addition a collective anti-cyber crime policy is missing due to 4 main reasons: a lack of effectively domesticating legal instruments to address cyber crime; non-tabling of the AUC Chairperson report on cyber security; the absence of national cyber security frameworks as well as the absence of REC and REC-to-REC agreements on mutual assis-tance in combating cyber crime. Moreover, Africa is faced with not only conventional security threats such as internal and interstate conflicts, but also non-conventional threats arising from a changing international environment, which include transnational organized crime and terrorism. It is in this context that AU Member States agreed to establish a mechanism for police coopera-tion, AFRIPOL, at the strategic, operational, and tactical levels. In pursuance of Executive Council Decision EX.CL/Dec.820 (XXV), adopted at its 25th Ordinary Session held in Malabo, Equatorial Guinea, from 20 to 24 June 2014, the Commission has facilitated the meeting of the Ad Hoc Committee on the operationalization of AFRIPOL on 2 July 2014 in Addis Ababa; on 2 October 2014 in Kampala, Uganda; from 18 – 19 March 2015 in Algiers, Algeria; and on 2 June 2015 in Ad-

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dis Ababa. The Ad Hoc Committee will report its work and present the to the meeting of African Police Chiefs to be held in Algiers, Algeria from 13-14 December 2015 the drafts of the Statute, Structure, Program of Work and Action Plan for consideration.

The specific objective 7 is to effectively strengthen the cooperation and coordination in the combat of TOC and a continental anti-cyber crime policy is actively promoted.

Priority 4 Specific Objective 7 indicators z Evidence of ratification and domestication of legal instruments on TOC and cyber crime

in Member States z Evidence of the establishment – in collaboration with AFRIPOL – of a regional TOC centre z Evidence of Member States efficiently addressing the nexus between TOC and terrorism

and violent extremism z Evidence of Member States adopting cyber crime frameworks z Evidence of increased REC-to-REC assistance in combating cyber crime

The main strategies/activities envisaged in order to reach this objective are nine-fold. First, an-nual reports will be submitted by Member States to the AUC. Second, a mapping of the status quo will be organized and areas for follow-up activities identified. Third, AUC with AFRIPOL and regional police organisations will establish a centre to systematically provide Member States and RECs with information, analysis and response options for with regard to TOC; and guide-lines for the establishment of national specialised TOC investigation units will be developed. Four, a workshop will be organized to explore the nexus between TOC and terrorism and violent extremism, on whose basis detailed policy recommendations will be developed. Five, the AU Convention of Cyber Security and Personal Data Protection in accordance with AU Executive Council Dec. 846 (XXV) will be ratified and domesticated. Six, an AUC Chairperson report on cy-ber security will be tabled which (1) describes the extend of the threat to peace and security in Africa, (2) maps national efforts of Member States to counter-act IT-based threats against peace and security, (3) documents some best practice and lessons learned, (4) follows up on the AU Assembly decision to harmonize national legislations through a convention on cyber security, (5) suggests coordinating activities by the AUC vis-à-vis the RECs, and (6) details a strategy of how to mobilize the support of international partners such as the UN or the EU in these efforts. Seven, regional workshops on the design of national cyber security frameworks in accordance with AU Executive Council Dec. 846 (XXV), §24 will be facilitated. Eight, an agreement on mutual assistance in cyber-crime agreements in accordance with AU Executive Council Dec. 846 (XXV) will be drafted, adopted and ratified. Finally, efforts will be undertaken to establish and make AFRIPOL effective.

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5 Strategic Priority 5: Coordination and Partnerships

At policy level, the implementation of APSA shall be guided by the roadmap under the leadership of the AUC. RECs/RMs commit to harmonize respective strategies and priori-ties with the roadmap and ensure the roadmap informs their engagements. Following the harmonisation role of the AUC, the implementation of APSA is based on effective collabora-tion and coordination of several actors, including the AU, RECs/RMs, Member States, financial and technical partners and also CSOs, including academia and think tanks. Furthermore, for the effective operationalization of the required capacities for conflict prevention, management and resolution in each stakeholder institution, considerable intra-organisational development remains a priority. The full operationalization of APSA is therefore predicated upon collaboration and coordination (inter and intra institutional) as one of the priorities to be addressed with the utmost attention.

The objective for the strategic priority 5 of the roadmap is to contribute to enhanced effective-ness of coordination and partnership within the APSA framework.

Priority 5 Strategic Objective Indicators z Evidence of regional peace and security strategies designed and implemented in line

with the AU policy framework z Evidence of common programming, including formulation of common objectives, be-

tween AUC departments and between AU and RECs/RMs z Evidence of common positions on APSA framework between AU and RECs/RMs z Evidence, documentation and joint analysis of the implementation of the subsidiarity

principle in several operations in the field z Evidence of lessons learned from the implementation of the subsidiarity principle (re-

sults and challenges) that are feeding new programming z Evidence of implementation and monitoring of decisions the AUC has committed to z Evidence of efficient use and possible mutualisation of human resources between the

AUC and RECs/RMs z Evidence of timely deployment of the Panel of the Wise from the AUC

Strategic priority 5 has been broken down into six specific objectives, each of them addressing one major obstacle to effective coordination. They are presented in the following sections.

5.1 Coordinating function of the PSC

The analysis of the previous roadmap highlighted the limited effectiveness of the coordinating function of the PSC with the RECs/RMs mechanisms (see PSC Protocol 2002). This limited effec-tiveness was due to three main reasons:

First, there were limited interactions between the AU-PSC and similar mechanisms within RECs/RMs. Second, there was a lack of common understanding of the principles of subsidiarity, com-plementarity and comparative advantage (what they mean and entail) between different actors. Finally, there was a lack of clear guidelines to make the interactions between PSC and RECs/RMs mechanisms fully operational.

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Specific objective 1 is therefore to make the coordinating function of the PSC effective.

Priority 5 Specific Objective 1 indicators z Evidence of decisions from PSC taking into account RECs/RMs inputs z Evidence of common PSC-RECs/RMs positions z Operation of joint AU-RECs/RMs Field Missions/Liaison Offices

The main strategies/activities envisaged in order to reach this objective are three-fold. The first one consists of allowing the participation of RECs/RMs in relevant PSC meetings in order to make sure that the interactions between the AU-PSC and similar mechanisms within RECs/RMs are in place. The second strategy consists of organizing a series of dialogue sessions between the AUC and RECs/RMs on the definition of subsidiarity (and/or of partnership) and between PSC and RECs/RMs on the nature of their necessary interactions. It is expected that these activities will lead to the development of two strategy documents (one that highlights guiding princi-ples and expected results from using the subsidiarity principle, the second one being dedicated to highlighting principles and expected results from PSC – RECs/RMs interactions) and to clear agreements between the AUC, RECs/RMs and PSC to use these strategy documents as a basis for future interactions. Finally, dialogue sessions between PSC and RECs/RMs on the nature of RECs/RMs interactions with PSC will be organized. The expected outcome of this activity is the development of guidelines/policy document stipulating the nature of RECs/RMs interactions with PSC.

5.2 Intra- and inter-departmental collaboration/coordination

Evaluations and consultations between APSA stakeholders have highlighted the limited intra- and inter-departmental collaboration and coordination at AUC/RECs/RMs levels as a problem that required special attention. The analyses identified two main causes explaining the limited level of coordination: each department is characterized by weak horizontal linkages and the horizontal linkages between the various APSA components are also weak.

Specific objective 2 is therefore to reach an enhanced intra and inter-departmental collabora-tion and coordination at the level of the AUC and RECs/RMs.

Priority 5 Specific Objective 2 indicators z Evidence of collaboration/coordination between PSD and other AUC Departments in dif-

ferent conflict phases (prevention, management, resolution and PCRD) z Evidence of deepened collaboration and linkages between the various APSA components

and the African Governance Architecture (AGA) both at the AU and REC level z Evidence of joint APSA activities and programming between the PSD and other relevant

Departments within the AUC

The main strategy consists of organising a series of information sharing and coordination meet-ings between different PSD divisions and units at the level of the AUC and of each REC/RM and to perform joint planning sessions. It is expected that once these strategies are implemented, the coordination mechanisms within various PSD divisions and units will be in place. The second strategy consists of institutionalizing the Inter-Departmental Task Force on Conflict Prevention (IDTFCP) at technical and policy levels, in order to make sure that the horizontal linkages be-tween the various departments are functioning.

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5.3 MoU between the AU and the RECs/RMs

The third problem that needs to be addressed relates to the limited implementation of the MoU between the AUC and the RECs/RMs in the realization of APSA. This problem is due to: a lack of a clear and commonly shared understanding of the concepts of subsidiarity, complementarity and comparative advantage (what they mean and entail); a lack of a clear and commonly shared understanding of the concept of coordination (what it means and entails); policies/standard op-eration procedures between the AUC and the RECs/RMs are not harmonized; and, finally, there is no adequate monitoring system for the implementation of the MoU.

Specific objective 3 is therefore to ensure that the MoU between the AU and the RECs/RMs is implemented effectively.

Priority 5 Specific Objective 3 indicators z Participation of AU and RECs/RMs Liaison Officers in all relevant statutory meetings of the

AU and RECs/RMs z Evidence of the fact that RECs/RMs Liaison Offices have access to all relevant reports re-

quired to fulfil their mandate under the PSC Protocol z The Chairperson of the AU Commission and Chief Executives of the RECs/RMs meet at

least once a year z Evidence of institutionalised and systematic use of channels for information sharing at

higher political level and technical level between the AU and the RECs/RMs z Evidence of institutionalisation and use of common conflict analyses z Examples of joint fact finding and/or monitoring missions between the AU and the RECs/

RMs z Evidence of common reports – RECs/RMs contributing to AUC and PSC reports to the AU

Assembly of Heads of State and Government

The strategies adopted to address the causes of the problem and reach the objective are four-fold. First, dialogue sessions aiming at clarifying and agreeing on the concepts underlying the implementation of the MoU (subsidiarity, coordination) will be organized, a strategy document making the subsidiarity concept operational developed, and a strategy document drafted. It is expected that through these measures the concepts of subsidiarity, complementarity and com-parative advantage (and/or partnership) are clearly defined and agreed upon.

Second, policies and standard operation procedures between the AUC and the RECs/RMs will be harmonized; a strategy document making the concept of coordination operational will be devel-oped and a strategy document drafted; and the AU-RECs/RMs Task Force on strengthening the relations between the AUC and RECS/RMs in the area of peace and security will be institution-alized. As a result it is expected that the concept of coordination is clearly defined and agreed upon.

Third, through dialogue sessions between AU and RECs/RMs on the types of policies and stand-ard operation procedures that need to be harmonised, in the end harmonized policies and standard operation procedures between the AU and the RECs/RMs will be put in place.

Fourth, a monitoring system will be developed; staff will be allocated to specific monitoring functions; common AU and RECs/RMs monitoring missions will be conducted (one per year in each REC/RM); and common AU and REC/RMs monitoring meetings will be held (one per year). It is expected that these steps will lead to the establishment of an adequate monitoring system for following-up on the MoU implementation.

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5.4 The AU Liaison Offices

Liaison Offices play a fundamental role in the implementation of APSA. However, evaluations and consultations between stakeholders indicated that the relevance and efficiency of AU Liai-son Offices established by the PSC and of AULOs within the RECs/RMs is rather limited. Analyses show that his problem is due to the following: the AU Liaison Offices/Field Missions mandate is not revised despite changes on the ground (there are no clear exit strategies for AULOs and unclear lines of communication and reporting); there are limited direct links between different Liaison Offices (AULOs/Field Missions and AULOs to the RECs/RMs and AU Regional Offices); and, AULOs suffer from limited (in numbers and relevance) technical capacities.

Specific objective 4 is therefore to ensure that the AU Liaison Offices are relevant and efficient.

Priority 5 Specific Objective 4 indicators z Participation of AU Liaison Offices in all relevant statutory meetings of the AU and RECs/

RMs z Evidence of institutionalised and use of common conflict analyses z Evidence of close involvement of AU Liaison Offices in the organisation of joint fact-finding

and/or monitoring missions done by the AU, the RECs/RMs and/or partners z Evidence of improved quality of monitoring of peace agreements, political situations on

the ground, and implementation of PSC decisions on the ground

The strategies developed to address the causes of the problem and reach the objective are threefold. First, a series of analyses/evaluations of the relevance, efficiency and effectiveness of AULOs will be launched; the relevance, efficiency and effectiveness of AULOs will be evaluated; and guidelines for formulating relevant mandates for AULOs depending on changes in political/security situation on the ground will be developed. It is assumed that this leads to a regular re-view of AULO’s mandates and reflection of the political/security situations on the ground.

Second, needs in terms of human resources specific to each Liaison Office (directly linked to the mandate of the AULO) will be analysed; clear guidelines for staff recruitment will be developed; and staff will be recruited. It is expected that through these measures AULO will be equipped with relevant staff (in adequacy with their respective mandate).

Third, a comprehensive monitoring system will be developed; staff will be allocated to specific monitoring functions; and common AU-RECs/RMs (and partners) results-monitoring meetings will be held. It is anticipated that these steps will bring about an adequate monitoring system for following-up on the performance of AULOs.

5.5 Policy and strategic dialogue within APSA partnerships

Since its creation, the relations with financial and technical partners of APSA are crucial to the success of its implementation. However, the analysis of the previous roadmap reveals the lim-ited relevance and efficiency of partnership(s) between the AUC and its external partners. This problem is due to six main causes:

z Limited common understanding of the concept of partnership (what it means and entails); z Limited common understanding of the concept of capacity building (what it means and en-

tails); z Lack of capacity at the AU level to monitor the extent to which it complies with the different

decisions it has committed to implement;

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z Disconnect (i.e. absence of clear strategic and results-based links) between the AU-partners dialogue at higher political level and its implementation at technical level;

z Lack of adequate coordination between partners; z Lack of monitoring mechanisms allowing the AU and its partners to regularly assess the rele-

vance, efficiency and effectiveness of their partnership.

Specific objective 5 is therefore to ensure that the policy and strategic dialogue within APSA partnerships are effective.

Priority 5 Specific Objective 5 indicators z Evidence of institution-to-institution (AU-RECs/RMs-EU-UN) common policy dialogue z Evidence of joint reports based on results z Evidence of AU and RECs/RMs quality/results-based and timely financial and narrative

reports to their partners z No/limited evidence of conflicts/tensions between AU and partners

The strategies envisaged for addressing the causes of the problem are five-fold. First, dialogue sessions between AU and partners as well as between RECs/RMs and their partners on the con-tent of the strategy document and on the most appropriate process leading to its conception will be organized; and a strategy document will be drafted. It is expected that, as a result, the AU and its partners as well as each REC/RM and their partners, share a common understanding of the concept of partnership. Second, dialogue sessions between AU and partners on the con-tent of the strategy document and on the most appropriate process leading to its conception will be facilitated; and a strategy document drafted. The expected outcome will be that the AU and its partners as well as each REC/RM and their partners, share a common understanding of the concept of capacity building. Third, a monitoring system will be developed, staff will be allo-cated to specific monitoring functions, and common AU-partners results-monitoring meetings will be held (twice a year). This will lead to the establishment of an internal monitoring system that allows for following-up on the different decisions it has committed to implement. Fourth, strategic meetings between AU and partners gathering high level representatives and technical staff will be held to address the disconnect between different AU-partners dialogue levels. Fifth, dialogue meetings between AU and partners will be held and a harmonised programme support plan covering the roadmap timeframe will be developed with a view to the joint development of harmonised and aligned partnership tools between the AU and international partners.

5.6 Financial ownership of APSA

Despite several decisions by the AU Assembly of heads of State and Government and/or pro-visions made in the establishment of the PSC, APSA still suffers from the absence of financial ownership by the AUC and RECs/RMs, and from a high dependency on donors and international partners. This problem is due to two main reasons: the Member States’ contribution to Peace Fund is low and the APSA has attracted very limited additional funding from alternative sources of finance.

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Specific objective 6 is therefore to ensure that the financial ownership of APSA has increased and dependency on donors and international partners decreased substantially.

Priority 5 Specific Objective 6 indicators z Evidence of increased revenues into the Peace Fund and similar regional funding mech-

anisms z Evidence of increased AU operational budget from Member States z Evidence of increased AU programme budget from Member States z Evidence of increased AU PSO budge from Member States z Evidence of increased funds emanating from private sector

The strategies envisaged for addressing the causes of the problem are two-fold. First, resource mobilization by Member States will be facilitated through the implementation of §8(5) of the PSC Protocol and the conclusions of the retreat of the PSC on working methods (5-7 July 2007) on the establishment of a Resource Mobilization Committee well as implementation of AU As-sembly Dec. 578 (XXV) on targets for the new scale of assessment. As an effect, Article 21(4) of the PSC Protocol on the establishment of a Revolving Trust Fund with the Peace Fund will be made operational. Second, a detailed AU budget (including revised or amended versions) will be published as part of the AU Assembly documentation; a detailed annual activity plan of the programmes/projects to be funded from the Peace Fund will be developed; a robust annual re-view mechanism will be introduced; and an expert study on fundraising from private sector and resource-based extraction industries will be commissioned. It is expected that these steps will make AU Assembly Decision 561 (XXIV) on alternative sources of funding operational.

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Cross-cutting issues

An important aspect of the roadmap consists of mainstreaming and addressing cross-cutting issues of gender, climate change, natural resource governance, human rights and youth. Gender, Peace and Security is at the core of APSA, which strives to strengthen women’s participation in peace, security and post-conflict reconstruction in Africa and improve the quality and effective-ness of mechanisms and institutions in charge of addressing issues of protection of women and children in conflict and post-conflict contexts. The roadmap should be seen as a key contribution to mainstreaming gender issues into the continental peace and security agenda and ensuring women’s increased participation and protection in time of conflict. This will be done through enhancing capacities of relevant African Institutions to integrate gender into the continental peace and security agenda, supporting RECs/RMs in implementing regional action plans on Res-olution 1325 and other key resolutions and strengthening capacity to monitor national action plans as well as strengthening advocacy, partnership, research and dialogue on gender, peace and security.

The promotion and defence of human rights is also mainstreamed in the roadmap, as the AUC and the RECs/RMs attempt to enhance capacities and coordination of Member States, institu-tions and other stakeholders to address human rights concerns in Conflict Prevention, Manage-ment and Reduction. Similarly, the roadmap addresses the issues of continental coordination, collaboration and research to mitigate the impact of climate change as a threat to peace and security in Africa. Likewise, natural resource governance is of great concern, and the roadm-ap engages APSA stakeholders to build their capacity to prevent conflicts and/or relapse into violence through inclusive and sustainable management of natural resources. Finally, special attention should be given to the youth, the roadmap encouraging the AUC and the RECs/RMs to develop and implement sustainable youth empowerment policies that aim to educate and integrate the youth of the continent in peace and security. Migration and refugee issues relate to all strategic priorities of the APSA Roadmap. During the implementation of the Roadmap, efforts must be undertaken to address the relationship between displacement, migration and peace and security.

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Monitoring and Evaluation

During the period covered by the previous roadmap, efforts have been put into monitoring pro-grammes at the level of the AUC and RECs/RMs. However, despite indicators of improvement, the AUC and RECs/RMs have not yet reached their full potential to systematically report on results. As demonstrated in this document, the AUC, RECs/RMs have embarked on the develop-ment of the roadmap for the period 2016-2020 using a results-sensitive approach and commit to putting in place a comprehensive monitoring

1

system that will allow highlighting results through-out implementation.

The first phase of APSA implementation will be dedicated to developing a comprehensive mon-itoring system that aims to:

z Share monitoring roles and responsibilities among all stakeholders involved in APSA; z Allow RECs/RMs review and document their contribution to the implementation of the

Roadmap z Allow the AUC and RECs/RMs to collect and analyse indicators that have been specified dur-

ing the APSA planning phase, and to collect and analyse indicators that have not been spec-ified but that are likely to be as important to qualify progress as the ones initially identified;

z Allow relevant and timely management responses at AUC, RECs/RMs and between AUC and RECs/RMs during the implementation APSA;

z Allow AUC and RECs/RMs to be at the forefront of the development of peace and security indicators at regional and continental levels;

z Allow the AUC and RECs/RMs to deepen its partnerships’ dialogue using monitoring data and, thereby, enhance the relevance and effectiveness of APSA.

The monitoring system will be developed in order to collect and analyse data/indicators at ac-tivity, output, specific objective and strategic objective levels. This implies, beyond the estab-lishment of clear monitoring responsibilities of all stakeholders involved in APSA, the need to enhance their monitoring skills. For this purpose, the first phase of development of the mon-itoring system will consist of an in-depth dialogue with all stakeholders on their expectations, on their current capacities and on the definition of mechanisms allowing for the monitoring to take place effectively. On the basis of this in-depth dialogue, a monitoring method and tool, as well as a capacity building plan, will be developed. Once approved, the monitoring system will be put into practice with technical support provided by the AUC. It is of utmost importance that the monitoring system integrates all the outputs, the specific and strategic objectives, as well as each cross-cutting issue, defined in the results frameworks in order to fine-tune and concretise progress indicators throughout the implementation of the roadmap.

The AUC, RECs/RMs also commit to regularly evaluate the implementation of APSA: an internal mid-term review is planned to take place during the first half of 2018 in order to assess the extent to which progress indicators are being achieved, and to formulate recommendations on how to possibly enhance the relevance, efficiency, effectiveness and sustainability of the imple-mentation of the APSA roadmap.

1 Monitoring is defined as “a continuing function that uses systematic collection of data on specified indicators to provide management and the main stakeholders of an intervention with information regarding the use of allocated funds, the extent of progress, the likely achievement of objectives and the obstacles that stand in the way of improved performance” (OECD, 2002)

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63

Strategic Priorities and Indicators

Strategic Priority 1: Conflict Prevention

Strategic Priority 4: Strategic Security Issues

Strategic Priority 5: Coordination and Partnerships

Annex

Strategic Priority 2: Crisis/Conflict Management

Strategic Priority 3: Post-Conflict Reconstruction and Peace Building

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rmed

by

syst

emat

ic/jo

int e

arly

war

ning

an

d an

alys

is

z

Dire

ct c

onfli

ct p

reve

ntio

n in

terv

en-

tions

by

AU/R

ECs/

RMs (

prev

entiv

e di

plom

acy)

are

tim

ely,

coo

rdin

ated

an

d ef

fect

ive

z

Evid

ence

of s

truc

tura

l pre

vent

ion

resp

onse

s/in

terv

entio

ns

z

Evid

ence

of A

PSA

stak

ehol

ders

co

oper

atio

n in

pre

vent

ive

actio

ns

z

Evid

ence

of u

se o

f ear

ly w

arni

ng

repo

rts b

y de

cisio

n m

aker

s

Stra

tegi

c Pr

iorit

y In

dica

tors

(I)

z

Evid

ence

of c

oope

ratio

n be

twee

n AU

, REC

s/RM

s and

Mem

ber S

tate

s in

the

deve

lopm

ent a

nd re

tent

ion

of P

SO c

apab

ilitie

s

z

Evid

ence

of c

oope

ratio

n be

twee

n AU

, REC

s/RM

s and

Mem

ber S

tate

s in

the

plan

ning

and

dep

loym

ent o

f op

erat

ions

z

Evid

ence

of s

yste

ms a

nd p

roce

-du

res w

hich

ena

ble

the

depl

oy-

men

t of P

SOs

z

Evid

ence

of t

imel

y de

ploy

men

t of

oper

atio

ns w

ithin

the

cont

ext o

f re

leva

nt fr

amew

orks

z

Evid

ence

of e

ffect

ive

plan

ning

and

m

anag

emen

t of o

pera

tions

Stra

tegi

c Pr

iorit

y In

dica

tors

(II)

z

Evid

ence

of t

imel

y an

d co

ordi

nate

d m

edia

tion

inte

rven

tions

by

the

AU,

RECs

/RM

s

z

Evid

ence

of e

nhan

ced

capa

city

at

the

AU, R

ECs/

RMs t

o pl

an, d

eplo

y, m

anag

e an

d su

ppor

t med

iatio

n in

terv

entio

ns

z

Evid

ence

of e

nhan

ced

capa

city

by

acto

rs a

t nat

iona

l lev

el to

pla

n an

d co

nduc

t med

iatio

n in

terv

entio

ns

z

Evid

ence

of e

nhan

ced

coop

erat

ion

betw

een

the

AU, R

ECs/

RMs a

nd th

e U

N o

n m

edia

tion

inte

rven

tions

Stra

tegi

c Pr

iorit

y In

dica

tors

z

PCRD

inte

rven

tions

and

supp

ort

to M

embe

r Sta

tes a

re ti

mel

y an

d ba

sed

on a

syst

emat

ic a

sses

smen

t of

pos

t-con

flict

nee

ds

z

Evid

ence

of j

oint

PCR

D pr

ogra

m-

min

g, in

clud

ing

form

ulat

ion

of

com

mon

obj

ectiv

es, b

etw

een

AUC

depa

rtm

ents

, bet

wee

n AU

C an

d RE

Cs/R

Ms,

bet

wee

n RE

Cs/R

Ms a

nd

RECs

/RM

s and

bet

wee

n AU

C an

d M

embe

r Sta

tes a

s wel

l as R

ECs/

RMs a

nd M

embe

r Sta

tes

z

Evid

ence

of P

CRD

initi

ativ

es in

po

st-c

onfli

ct M

embe

r Sta

tes t

hat

are

base

d on

con

tinen

tal o

r reg

ion-

al P

CRD

polic

ies a

nd/o

r str

ateg

ies

z

Evid

ence

of e

nhan

ced

capa

citie

s of

AU

and

REC

s to

prov

ide

and

coor

dina

te su

ppor

t to

post

-con

flict

M

embe

r Sta

tes,

bas

ed o

n po

licie

s an

d st

rate

gies

z

Evid

ence

of f

inan

cial

and

in-k

ind

supp

ort m

obili

sed

by A

U/R

ECs a

nd

chan

nelle

d to

pos

t-con

flict

Mem

-be

r Sta

tes

z

Evid

ence

of A

U a

nd R

ECs P

CRD/

DDR/

SSR

expe

rtise

dep

loye

d w

ithin

pe

ace

supp

ort o

pera

tions

Stra

tegi

c Pr

iorit

y In

dica

tors

z

Evid

ence

of e

ffect

ive

polic

ies,

pr

ogra

ms a

nd c

apac

ities

bei

ng

deve

lope

d an

d im

plem

ente

d to

ad

dres

s tra

nsna

tiona

l thr

eats

z

Evid

ence

of M

embe

r Sta

tes i

ncor

-po

ratin

g/im

plem

entin

g ge

nder

di

men

sions

in S

ALW

con

trol

pro

-gr

amm

es in

clud

ing

natio

nal p

lans

, na

tiona

l com

miss

ions

, leg

islat

ion,

da

ta o

n ar

ms a

nd v

iole

nce

agai

nst

wom

en a

nd v

ulne

rabl

e gr

oups

Stra

tegi

c Pr

iorit

y In

dica

tors

z

Evid

ence

of r

egio

nal p

eace

and

se

curit

y st

rate

gies

des

igne

d an

d im

plem

ente

d in

line

with

the

AU

polic

y fr

amew

ork

z

Evid

ence

of c

omm

on p

rogr

amm

ing,

in

clud

ing

form

ulat

ion

of c

omm

on

obje

ctiv

es, b

etw

een

AUC

depa

rt-

men

ts a

nd b

etw

een

AU a

nd R

ECs/

RMs

z

Evid

ence

of c

omm

on p

ositi

ons o

n AP

SA fr

amew

ork

betw

een

AU a

nd

RECs

/RM

s

z

Evid

ence

, doc

umen

tatio

n an

d jo

int

anal

ysis

of th

e im

plem

enta

tion

of

the

subs

idia

rity

prin

cipl

e in

seve

ral

oper

atio

ns in

the

field

z

Evid

ence

of l

esso

ns le

arne

d fr

om th

e im

plem

enta

tion

of th

e su

bsid

iarit

y pr

inci

ple

(res

ults

and

ch

alle

nges

) tha

t are

feed

ing

new

pr

ogra

mm

ing

z

Evid

ence

of i

mpl

emen

tatio

n an

d m

onito

ring

of d

ecisi

ons t

he A

UC

has c

omm

itted

to

z

Evid

ence

of e

ffici

ent u

se a

nd

poss

ible

mut

ualis

atio

n of

hum

an

reso

urce

s bet

wee

n th

e AU

C an

d RE

Cs/R

Ms

z

Evid

ence

of t

imel

y de

ploy

men

t of

the

Pane

l of t

he W

ise fr

om th

e AU

C

65

66


1Re

sults

Fra

mew

ork

Stra

tegi

c Pr

iorit

y 1:

Co

nflic

t Pre

venti

on (i

nclu

ding

Ear

ly W

arni

ng a

nd P

reve

ntive

Dip

lom

acy)

Stra

tegi

c pr

iorit

y ob

ject

ive

To c

ontr

ibut

e to

effe

ctiv

e, c

oord

inat

ed a

nd

timel

y di

rect

and

stru

ctur

al p

reve

ntio

n of

con

-fli

cts a

nd c

rises

by

the

AU a

nd th

e RE

Cs/R

Ms

Stra

tegi

c O

bjec

tive

Indi

cato

rs z

Evid

ence

of e

nhan

ced

capa

city

of C

EWS

and

EWS

of th

e RE

Cs/R

Ms t

o in

divi

dual

ly a

nd

colla

bora

tivel

y m

onito

r, co

llect

and

ana

lyse

da

ta o

n th

e ba

sis o

f too

ls an

d m

etho

dolo

gies

de

velo

ped.

z

Conf

lict p

reve

ntio

n in

terv

entio

ns (d

irect

and

st

ruct

ural

) are

info

rmed

by

syst

emat

ic/jo

int

early

war

ning

and

ana

lysis

. z

Dire

ct c

onfli

ct p

reve

ntio

n in

terv

entio

ns b

y AU

/RE

Cs/R

Ms (

prev

entiv

e di

plom

acy)

are

tim

ely,

coor

dina

ted

and

effe

ctiv

e. z

Evid

ence

of s

truc

tura

l pre

vent

ion

resp

onse

s/in

terv

entio

ns.

z

Evid

ence

of A

PSA

stak

ehol

ders

coo

pera

tion

in

prev

entiv

e ac

tions

. z

Evid

ence

of u

se o

f ear

ly w

arni

ng re

port

s by

deci

sion

mak

ers

Sour

ces o

f ver

ifica

tion

z

Min

utes

of C

EWS/

REC

EWS

mee

tings

z

CEW

S/RE

C EW

S pl

anni

ng d

ocum

ents

(Log

Fr

ame,

etc

.) z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts z

Feed

back

from

ana

lyst

s and

dec

ision

-mak

ers

z

Sam

ples

of r

epor

ts

Assu

mpt

ions

z

Full

impl

emen

tatio

n of

CEW

S an

d th

e EW

S at

th

e RE

Cs is

ach

ieve

d z

AU a

nd th

e RE

Cs st

reng

then

ver

tical

and

ho

rizon

tal c

oope

ratio

n w

ith re

gard

s to

early

w

arni

ng

Prob

lem

def

initi

on 1

Alth

ough

wel

l adv

ance

d w

ith re

gard

s to

the

impl

emen

tatio

n of

eve

nt d

ata

colle

ctio

n to

ols a

nd d

ata

man

agem

ent a

nd sh

arin

g to

ols,

as w

ell a

s the

requ

ired

ICT

infr

astr

uctu

re a

nd m

etho

dolo

gies

, ful

l im

plem

enta

tion

of th

e AU

CEW

S an

d th

e EW

S of

the

RECs

/RM

s dat

a co

llect

ion

and

mon

itorin

g to

ols h

as n

ot y

et b

een

fully

ach

ieve

d. W

ith re

gard

s to

anal

ysis,

AU

CEW

S an

d th

e EW

S of

the

RECs

/RM

s ne

ed to

stre

ngth

en th

e qu

ality

, fre

quen

cy a

nd ti

mel

ines

s of e

arly

war

ning

repo

rts,

situ

atio

n up

date

s, fl

ash

repo

rts,

wee

kly

upda

tes a

nd o

ther

type

s of r

epor

ts, i

nclu

ding

the

stre

ngth

enin

g of

scen

ar-

io-b

uild

ing

and

polic

y/re

spon

se o

ptio

ns c

onta

ined

ther

ein.

Thi

s is d

ue to

: z

Rapi

d ch

angi

ng n

atur

e of

con

flict

s and

thei

r dyn

amic

s req

uire

a c

onst

ant r

e-as

sess

men

t of t

he a

dequ

acy

of e

xist

ing

data

col

lect

ion

tool

s; z

Insu

ffici

ent h

uman

reso

urce

s; z

Met

hodo

logy

Han

dboo

ks a

nd S

OPs

not

alw

ays f

ollo

wed

; z

Anal

ysts

not

alw

ays r

elyi

ng o

n da

ta g

ener

ated

by

exist

ing

tool

s;

z

Lim

ited

freq

uenc

y of

ear

ly w

arni

ng re

port

s; z

Inad

equa

te fe

ed-b

ack

from

dec

ision

-mak

ers o

n ea

rly w

arni

ng re

port

s; z

Abse

nce

of st

ruct

ured

inte

ract

ion

betw

een

CEW

S/EW

S-RE

Cs a

nd re

leva

nt st

aff f

rom

oth

er d

epar

tmen

ts

(in th

e ca

se o

f the

AU

CEW

S th

ese

are

Peac

e an

d Se

curit

y De

part

men

t sta

ff su

ch a

s des

k of

ficer

s/Pa

nel o

f the

Wise

Sec

reta

riat a

nd a

lso D

epar

tmen

t of P

oliti

cal A

ffairs

).

Stra

tegi

c Pr

iorit

y 1

Spec

ific

obje

ctiv

e 1

Enha

nced

cap

acity

of t

he A

U C

EWS

and

the

EWS

of th

e RE

Cs/R

Ms t

o sy

stem

atic

ally

mon

itor,

colle

ct a

nd a

naly

se re

l-ev

ant i

nfor

mat

ion

in o

rder

to p

rovi

de ti

mel

y ea

rly w

arni

ng

repo

rts,

upd

ates

and

oth

er ty

pes o

f rep

orts

.

Spec

ific

obje

ctiv

e 1

Indi

cato

rs z

Exist

ing

data

col

lect

ion,

ana

lysis

and

m

etho

dolo

gy to

ols d

evel

oped

, tes

ted,

fu

lly im

plem

ente

d an

d cu

stom

ised

z

Evid

ence

of i

mpr

oved

qua

lity

of d

ata

gath

ered

(wid

ened

var

iety

, tim

elin

ess,

re

leva

nce,

ver

ifiab

le)

z

Evid

ence

of t

rend

trac

king

tool

s ful

ly

impl

emen

ted

(whe

re a

pplic

able

: Afr

ica

Repo

rter

, CAA

S, D

emoc

racy

Tre

nds

Repo

rts)

z

Incr

ease

d co

nsist

ency

in th

e pr

oduc

tion

of e

arly

war

ning

repo

rts b

y CE

WS

and

EWS

of th

e RE

Cs/R

Ms

z

Incr

ease

d fr

eque

ncy

of p

rodu

ctio

n of

ea

rly w

arni

ng a

lert

s by

CEW

S/EW

S-RE

Cs z

Evid

ence

of d

ata

tool

s usa

ge in

the

repo

rts

z

Repo

rts f

ollo

win

g ad

opte

d m

etho

dolo

-gi

es

z

Evid

ence

of i

nter

actio

n w

ith P

SD/D

PA/

RECs

staf

f in

term

s of p

eer r

evie

ws,

join

t w

ritin

g of

repo

rts i

nclu

ding

situ

atio

nal

and

anal

ysis

repo

rts

z

Evid

ence

of A

U C

EWS

and

EWS

of th

e RE

Cs/R

Ms u

se o

f AU

DPA

Ele

ctio

n Ri

sk

Man

agem

ent T

ools

or si

mila

r too

ls at

RE

C le

vel

z

Evid

ence

of t

he R

ECs/

RMs u

se o

f Ele

c-tio

n ob

serv

atio

n an

d Po

litic

al A

naly

sis

Repo

rts

z

Perc

enta

ge o

f Afr

ican

bor

ders

dem

ar-

cate

d z

Num

ber o

f Afr

ican

Sta

tes h

avin

g es

tab-

lishe

d N

atio

nal B

orde

r Com

miss

ions

to

man

age

thei

r bor

ders

Sour

ces o

f ver

ifica

tion

z

Min

utes

of C

EWS/

REC

EWS

mee

tings

z

CEW

S/RE

C EW

S pl

anni

ng d

ocum

ents

(L

og F

ram

e, e

tc)

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts z

Feed

back

from

ana

lyst

s and

dec

ision

- m

aker

s z

Inte

rnal

CEW

S/RE

C EW

S ac

tivity

repo

rts

z

Sam

ples

of r

epor

ts z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

EWS

of th

e RE

Cs/R

Ms r

epor

ts to

thei

r re

spec

tive

chie

f exe

cutiv

es/a

ssem

blie

s z

DPA

Polit

ical

Ana

lysis

Rep

orts

z

Situ

atio

n Ro

om re

port

s (CE

WS

and

EWS)

Assu

mpt

ions

z

Impl

emen

tatio

n of

dat

a co

llect

ion

tool

s pr

ocee

ds a

s pla

nned

(whe

re a

ppro

pri-

ate)

; z

A sy

stem

of f

eedb

ack

from

dec

ision

m

aker

s is i

mpl

emen

ted

z

Staf

f com

plem

ent (

anal

ysts

) is s

tren

gth-

ened

z

Coor

dina

tion

of e

ach

early

war

ning

uni

t ov

erse

es q

ualit

y co

ntro

l of r

epor

ting,

us-

age

of to

ols a

nd e

xist

ing

met

hodo

logi

es z

CEW

S an

d EW

S: C

oope

ratio

n an

d tr

ust

is bu

ilt a

mon

g th

e im

plem

entin

g en

titie

s at

Mem

ber S

tate

s lev

el to

supp

ort d

ata

colle

ctio

n sy

stem

s.

Results Framework Strategic Priority 1: Conflict Prevention (including Early Warning and Preventive Diplomacy)

67

68

African Peace and Security Architecture. APSA Roadmap 2016 – 2020O

utpu

tsO

utpu

ts In

dica

tors

Stra

tegi

es/A

ctiv

ities

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 1

.1AU

CEW

S an

d EW

S of

the

RECs

/RM

s dat

a co

llect

ion

and

mon

itorin

g an

d an

alys

is sy

stem

is

fully

in p

lace

z

Impr

oved

qua

lity

of d

ata

gath

ered

(iss

ues

of w

iden

ed v

arie

ty, r

elev

ance

, ver

ifica

tion

addr

esse

d) z

Tren

d tr

acki

ng to

ols (

Afric

a Re

port

er;

CAAS

) ful

ly im

plem

ente

d an

d be

ing

used

by

ana

lyst

s z

Tim

ely,

rele

vant

and

up-

to-d

ate

info

rma-

tion

mon

itorin

g, g

athe

ring

and

diss

emi-

natio

n z

Feed

back

from

the

surv

ey o

f ear

ly

war

ning

ana

lyst

s/de

sk o

ffice

rs a

nd d

e-ci

sion-

mak

ers p

rovi

des u

sefu

l inp

uts f

or

furt

her i

mpr

ovem

ent

z

AT IG

AD/C

EWAR

N, C

onfli

ct M

onito

ring,

M

appi

ng a

nd R

epor

ting

is im

plem

ente

d z

At E

CCAS

, evi

denc

e of

effe

ctiv

e fu

nctio

n-in

g of

the

natio

nal o

ffice

s of M

ARAC

in a

ll M

embe

r Sta

tes

z

At E

CCAS

, evi

denc

e of

a fu

lly fu

nctio

ning

sit

uatio

n ro

om

z

Cust

omisa

tion

of e

xist

ing

data

col

lect

ion

and

anal

ysis

tool

s z

Fina

lisat

ion

of A

fric

a Pr

ospe

cts

z

Deve

lopm

ent o

f Con

flict

Ale

rtin

g an

d An

alys

is To

ols (

CAAS

) z

Supp

ort M

IS (b

andw

idth

pay

men

ts)

z

Secu

ring

acce

ss (p

urch

ase

VPN

clie

nt a

nd

serv

er so

ftw

are;

dom

ain

nam

e re

gist

ra-

tion;

pur

chas

e ce

rtifi

cate

s) z

Surv

ey o

f ana

lyst

s, d

esk

offic

ers a

nd

deci

sion

mak

ers

z

Expa

nd th

e co

vera

ge o

f con

flict

typo

lo-

gies

and

geo

grap

hica

l are

as (I

GAD/

CE-

WAR

N a

nd S

ADC)

z

EAC

to fu

rthe

r dev

elop

, int

egra

te a

nd

cust

omise

EAC

WAR

N to

ols f

or d

ata

colle

ctio

n z

At E

CCAS

, tra

inin

g of

staf

f and

nat

iona

l co

rres

pond

ents

z

At E

CCAS

dev

elop

men

t of e

arly

war

ning

re

late

d so

ftw

are

and

spec

ialis

ed to

ols

z

At E

CCAS

, set

ting

up o

f MAR

AC n

atio

nal

offic

es in

all

Mem

ber S

tate

s z

Trai

ning

of A

UC

and

RECs

/RM

s sta

ff (o

n to

ols;

on

conf

lict a

naly

sis; o

n st

atist

ical

an

alys

is) z

At C

OM

ESA

– re

gula

r rev

iew,

upd

ate

and

ratio

nalis

e st

ruct

ural

dat

a to

ens

ure

it is

rele

vant

z

Upd

ate

COM

WAR

N to

inco

rpor

ate

sys-

tem

atic

ana

lysis

of d

ynam

ic d

ata

z

Enha

nce

skill

s of C

OM

WAR

N st

aff t

houg

h tr

aini

ng c

ours

es a

nd e

xcha

nge

visit

s

z

Data

from

CEW

S ev

ent d

ata

tool

s z

Afric

a Pr

ospe

cts r

esul

ts z

Tech

nica

l req

uire

men

ts p

urch

ased

and

op

erat

iona

l z

Trai

ning

con

duct

ed z

CEW

S an

d EW

S: A

ctiv

ity/P

rogr

ess R

e-po

rts,

situ

atio

n an

d in

cide

nt re

port

s

z

Impl

emen

tatio

n of

dat

a co

llect

ion

tool

s pr

ocee

ds a

s pla

nned

(whe

re a

ppro

pria

te)

z

A sy

stem

of f

eedb

ack

from

dec

ision

mak

-er

s is i

mpl

emen

ted

z

Staf

f com

plem

ent (

anal

ysts

) is s

tren

gth-

ened

z

Coor

dina

tion

of e

ach

early

war

ning

uni

t ov

erse

es q

ualit

y co

ntro

l of r

epor

ting,

us-

age

of to

ols a

nd e

xist

ing

met

hodo

logi

es

Out

put 1

.2En

hanc

ed q

ualit

y an

d qu

antit

y of

Ea

rly W

arni

ng

Repo

rts b

y AU

CE

WS

and

EWS

of th

e RE

Cs/R

Ms

z

Num

ber o

f rep

orts

incr

ease

d z

Evid

ence

of g

aps/

unde

r-util

isatio

n of

da

ta to

ols i

n th

e w

ritin

g of

ear

ly w

arni

ng

repo

rts a

ddre

ssed

z

Evid

ence

of f

ull u

tilisa

tion

of th

e M

etho

d-ol

ogie

s/SO

Ps o

bser

ved

z

Part

icip

atio

n/in

tera

ctio

n w

ith o

ther

rele

-va

nt st

aff i

n th

e de

velo

pmen

t of r

epor

ts

obse

rved

(in

the

AU C

EWS

this

rela

tes t

o PS

D/DP

A) z

Feed

back

on

the

qual

ity o

f rep

orts

ob

tain

ed fr

om d

ecisi

on-m

aker

s/ot

hers

as

appr

opria

te z

AU C

EWS

and

EWS

of th

e RE

Cs/R

Ms i

n-te

grat

e in

to th

eir e

arly

war

ning

repo

rtin

g th

e AU

DPA

Ele

ctio

n Ri

sk M

anag

emen

t To

ol

z

Recr

uitm

ent o

f the

requ

isite

num

ber

of st

aff a

s pro

vide

d fo

r in

the

CEW

S Ro

adm

ap z

Trai

ning

of e

arly

war

ning

offi

cers

and

de

sk o

ffice

rs o

n us

ing

CEW

S/RE

Cs to

ols

z

Deep

en sy

stem

of p

eer r

evie

w o

f ear

ly

war

ning

repo

rts

z

At C

OM

ESA,

con

tinuo

us im

prov

emen

t of

CO

MW

ARN

SVA

s (an

d in

corp

orat

ing

dyna

mic

dat

a) z

Prom

ote

join

t ana

lysis

and

writ

ing

of

early

war

ning

repo

rts (

as a

ppro

pria

te a

nd

acro

ss th

e AU

C/RE

Cs)

z

Surv

ey o

f dec

ision

mak

ers

z

Ope

ratio

nalis

atio

n of

the

Elec

tion

Risk

M

anag

emen

t Too

l z

Elec

tion

obse

rvat

ion

and

polit

ical

ana

lysis

re

port

s by

DPA

z

ECCA

S: E

lect

ion

obse

rvat

ion

and

polit

ical

an

alys

is re

port

s by

rele

vant

stru

ctur

es

with

in th

e RE

Cs z

CEW

ARN

: Pro

duct

ion

of re

gula

r EW

re

port

s z

At C

EWAR

N: o

pera

tiona

lize

the

situa

tion

room

s with

all

the

rele

vant

ear

ly w

arni

ng

staf

f

z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Sam

ples

of r

epor

ts z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S) z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Surv

ey o

f dec

ision

mak

ers

z

Repo

rts o

f brie

fings

to P

SC o

n el

ectio

ns

and

the

polit

ical

situ

atio

n on

the

Cont

i-ne

nt;

z

DPAs

brie

fings

to th

e PS

C on

ele

ctio

ns

and

the

polit

ical

situ

atio

n on

the

cont

i-ne

nt z

CEW

S an

d EW

S: si

tuat

ion

and

inci

dent

re

port

s

z

Impl

emen

tatio

n of

dat

a co

llect

ion

tool

s pr

ocee

ds a

s pla

nned

(whe

re a

ppro

pria

te)

z

A sy

stem

of f

eedb

ack

from

dec

ision

mak

-er

s is i

mpl

emen

ted

z

Staf

f com

plem

ent (

anal

ysts

) is s

tren

gth-

ened

z

Coor

dina

tion

of e

ach

early

war

ning

uni

t ov

erse

es q

ualit

y co

ntro

l of r

epor

ting,

us-

age

of to

ols a

nd e

xist

ing

met

hodo

logi

es

Prob

lem

def

initi

on 2

Alth

ough

rela

tions

bet

wee

n CE

WS

and

the

Early

War

ning

Sys

tem

s of t

he R

ECs/

RMs h

ave

been

mar

ked

by in

crea

sed

colla

bora

tion

(Tec

hnic

al M

eetin

gs, j

oint

brie

fings

, tec

hnic

al su

ppor

t miss

ions

, ex

perie

nce

shar

ing,

etc

.), th

ere

is st

ill q

uite

som

e w

ay to

go

in te

rms o

f sys

tem

atic

col

labo

ratio

n on

dat

a co

llect

ion,

ear

ly w

arni

ng a

naly

ses a

nd o

ther

act

iviti

es:

z

The

regu

lar c

onne

ctio

n be

twee

n th

e Si

tuat

ion

Room

in A

ddis

Abab

a (C

EWS)

and

the

Early

War

ning

Sys

tem

s at t

he R

ECs (

Artic

le 1

2 of

the

PSC

Prot

ocol

) rem

ains

“ve

ry lo

w”

due

to te

chno

logi

cal a

nd

met

hodo

logi

cal c

halle

nges

(lac

k of

syst

em o

f dat

a an

d in

form

atio

n sh

arin

g; n

eed

to c

ontin

ue to

co-

deve

lop

data

col

lect

ion

tool

s; a

ctua

l sha

ring

of in

form

atio

n);

z

Leve

ls of

ope

ratio

nalis

atio

n of

ear

ly w

arni

ng sy

stem

s are

at v

aryi

ng st

ages

of d

evel

opm

ent “

ham

perin

g ha

rmon

isatio

n ef

fort

s”;

z

Chal

leng

es o

f com

para

ble/

com

patib

le m

etho

dolo

gies

; z

Chal

leng

es o

f inf

orm

atio

n an

d an

alys

is sh

arin

g; z

Tim

ely

coor

dina

tion

of a

ctiv

ities

.


Stra

tegi

c Pr

iorit

y 1

69

70

African Peace and Security Architecture. APSA Roadmap 2016 – 2020Sp

ecifi

c ob

ject

ive

2Su

bsta

ntiv

e (d

eepe

ned)

and

syst

emat

ic in

tera

ctio

n be

twee

n CE

WS

and

the

EWS

of th

e RE

Cs/R

Ms,

bet

wee

n th

e EW

S of

th

e RE

Cs/R

Ms,

and

bet

wee

n CE

WS

and

the

EWS

of th

e RE

Cs/

RMs a

nd th

eir n

atio

nal e

arly

war

ning

syst

ems.

Spec

ific

obje

ctiv

e 2

Indi

cato

rs z

The

CEW

S an

d th

e EW

S of

the

RECs

are

re

gula

rly c

onne

cted

z

The

EWS

of th

e RE

Cs a

re re

gula

rly c

on-

nect

ed z

Evid

ence

of i

nstit

utio

nalis

ed e

arly

war

n-in

g sy

stem

s’ sy

stem

atic

shar

ing

of d

ata

(incr

ease

in in

form

atio

n sh

arin

g) z

Evid

ence

of s

tren

gthe

ned

colla

bora

tion

z

Atte

ndan

ce a

nd p

artic

ipat

ion

by C

EWS

and

EWS

of th

e RE

Cs a

t the

Tech

nica

l M

eetin

gs z

Evid

ence

of i

nfor

mat

ion

shar

ing

betw

een

CEW

S an

d EW

S as

wel

l as b

etw

een

RECs

z

Evid

ence

of a

naly

sis sh

arin

g an

d co

-de-

velo

pmen

t of s

cena

rio-b

uild

ing

and

polic

y re

spon

se o

ptio

ns fo

rmul

atio

n z

The

RECs

and

thei

r nat

iona

l ear

ly w

arni

ng

units

are

regu

larly

con

nect

ed a

nd sy

stem

-at

ical

ly sh

are

data

Sour

ces o

f ver

ifica

tion

z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Qua

rter

ly Te

chni

cal M

eetin

g M

inut

es z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S an

d RE

Cs)

z

“inc

reas

e in

the

amou

nt o

f rel

evan

t in

form

atio

n sh

ared

and

com

mun

icat

ion

betw

een

the

RECs

and

CEW

S”

Assu

mpt

ions

z

Will

from

AU,

REC

s and

RM

s to

putt

ing

into

pra

ctic

e ve

rtic

al a

nd h

orizo

ntal

link

-ag

es b

etw

een

early

war

ning

syst

ems

z

Mem

ber S

tate

s are

read

y to

dev

elop

na

tiona

l ear

ly w

arni

ng c

apab

ilitie

s z

Mob

ilisa

tion

of a

dequ

ate

reso

urce

s tak

es

plac

e z

Tech

nica

l qua

rter

ly m

eetin

gs c

ontin

ue to

ta

ke p

lace

in o

rder

to im

prov

e ha

rmon

i-sa

tion

and

colla

bora

tion

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

nsO

utpu

t 2.1

CEW

S an

d Ea

rly

War

ning

Sys

tem

s of

the

RECs

con

-ne

cted

for d

ata

shar

ing

z

CEW

S an

d Ea

rly W

arni

ng S

yste

ms o

f the

RE

Cs c

onne

cted

(tec

hnol

ogy)

z

CEW

S an

d Ea

rly W

arni

ng S

yste

ms o

f the

RE

Cs sy

stem

atic

ally

shar

ing

data

z

CEW

S ho

stin

g of

app

licat

ion

tool

s z

CEW

S su

ppor

t to

acqu

isitio

n of

equ

ip-

men

t z

RECs

and

thei

r nat

iona

l ear

ly w

arni

ng

units

(whe

re a

pplic

able

) are

regu

larly

co

nnec

ted

and

shar

ing

data

z

Ensu

re c

onne

ctiv

ity to

REC

s and

Lia

ison

Offi

ces t

hrou

gh A

U V

SAT

or o

ther

alte

rna-

tive

mea

ns z

Purc

hase

nec

essa

ry e

quip

men

t z

Supp

ort M

IS (b

andw

idth

pay

men

ts)

z

Secu

ring

acce

ss (p

urch

ase

VPN

clie

nt a

nd

serv

er so

ftw

are;

dom

ain

nam

e re

gist

ra-

tion;

pur

chas

e ce

rtifi

cate

s) z

Host

ing

of a

pplic

atio

n to

ols (

inst

alla

tion

of a

pplic

atio

ns, e

nsur

ing

acce

ss to

app

li-ca

tions

) z

Secu

re c

omm

unic

atio

n sy

stem

bet

wee

n EA

CWAR

N a

nd th

e CE

WS

z

CEW

S/RE

C Pr

ogra

mm

e ev

alua

tions

and

as

sess

men

ts z

Qua

rter

ly Te

chni

cal M

eetin

g M

inut

es z

Data

and

info

rmat

ion

gath

ered

by

CEW

S/RE

Cs

z

Will

from

AU,

REC

s and

RM

s to

putt

ing

into

pra

ctic

e th

e ve

rtic

al a

nd h

orizo

ntal

lin

kage

s bet

wee

n th

eir e

arly

war

ning

sy

stem

s z

ICT

reso

urce

s are

ava

ilabl

e fo

r the

task

z

Mob

ilisa

tion

of a

dequ

ate

reso

urce

s tak

es

plac

e z

EWS

at th

e RE

Cs h

ave

the

nece

ssar

y hu

man

and

fina

ncia

l res

ourc

es to

fully

im

plem

ent t

heir

EWS

Out

put 2

.2Ea

rly W

arni

ng

Syst

ems o

f the

RE

Cs a

t diff

er-

ent s

tage

s of

deve

lopm

ent

are

supp

orte

d in

th

eir e

ffort

s at

full

impl

emen

-ta

tion

z

REC

EWS

fully

ope

ratio

nal (

part

icul

arly

th

ose

in e

arlie

r dev

elop

men

t sta

ges)

z

REC

EWS

gene

ratin

g da

ta a

nd a

naly

sis z

REC

EWS

data

gat

herin

g m

etho

dolo

gy

z

CEW

S to

con

tinue

to p

rovi

de su

ppor

t to

RECs

(joi

nt tr

aini

ngs o

n m

etho

dolo

gy,

shar

ing

and

cust

omisa

tion

of C

EWS

tool

s) z

Esta

blish

and

or s

tren

gthe

n RE

Cs a

nd

thei

r nat

iona

l situ

atio

n ro

oms

z

Qua

rter

ly Te

chni

cal M

eetin

g M

inut

es z

REC

prog

ram

me

docu

men

ts z

CEW

S/RE

C Pr

ogra

mm

e ev

alua

tions

and

as

sess

men

ts

z

Sam

e as

abo

ve


Out

put 2

.3Ch

anne

ls a

nd

tool

s for

CEW

S an

d EW

S fr

om

the

RECs

/RM

s to

coo

rdin

ate

and

colla

bora

te

on a

naly

sis,

in

clud

ing

scen

ar-

io-b

uild

ing

and

polic

y/re

spon

se

optio

ns’ f

orm

ula-

tion

are

in p

lace

z

CEW

S an

d EW

S at

the

RECs

hav

e co

mpa

t-ib

le/c

ompl

emen

tary

met

hodo

logi

es z

Join

t brie

fings

(CEW

S an

d EW

S of

the

RECs

) z

Join

t ear

ly w

arni

ng re

port

s (CE

WS

and

EWS

of th

e RE

Cs)

z

CEW

S to

con

tinue

to p

rovi

de su

ppor

t to

RECs

(joi

nt tr

aini

ngs o

n m

etho

dolo

gy,

shar

ing

and

cust

omisa

tion

of C

EWS

tool

s) z

CEW

S to

exp

and

the

prac

tice

of jo

int

wee

kly

brie

fings

to a

ll th

e EW

S at

the

RECs

(exa

mpl

e of

the

wee

kly

brie

fings

w

ith E

COW

AS/E

COW

ARN

) z

CEW

S to

hos

t fur

ther

“CE

WS

Cara

na

Sim

ulat

ion

Exer

cise

s” w

ith th

e EW

S of

th

e RE

Cs z

Join

t REC

s and

thei

r nat

iona

l ear

ly w

arn-

ing

units

scen

ario

bui

ldin

g

z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Qua

rter

ly Te

chni

cal M

eetin

g M

inut

es z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S an

d RE

Cs)

z

“inc

reas

e in

the

amou

nt o

f rel

evan

t in

form

atio

n sh

ared

and

com

mun

icat

ion

betw

een

the

RECs

and

CEW

S”

z

Sam

e as

abo

ve

Prob

lem

def

initi

on 3

Lim

ited

inte

ract

ion/

“mod

est e

ngag

emen

t” b

etw

een

CEW

S an

d th

e EW

S of

the

RECs

/RM

s and

thei

r res

pect

ive

deci

sion-

mak

ers (

in th

e ca

se o

f CEW

S pa

rtic

ular

ly th

e PS

C, th

e of

fice

of th

e Ch

airp

er-

son

and

othe

r str

uctu

res a

nd o

rgan

s of t

he A

U (P

anel

of t

he W

ise, D

PA, e

tc).

This

is in

par

t due

to:

z

Lim

ited

oppo

rtun

ities

for d

irect

inte

ract

ion

betw

een

CEW

S/RE

Cs a

nd th

eir r

espe

ctiv

e de

cisio

n-m

aker

s (e.

g. th

e PS

C, a

lthou

gh so

me

step

s tak

en w

ith th

e sc

hedu

ling

of C

EWS

brie

fings

to th

e PS

C);

z

Info

rmat

ion

flow

at A

UC

and

also

at R

ECs l

evel

s z

Lim

ited

unde

rsta

ndin

g by

AU

stru

ctur

es a

nd o

rgan

s of w

hat C

EWS

does

and

wha

t out

puts

/pro

duct

s it p

rodu

ces;

z

Lack

of m

onito

ring

and

feed

back

mec

hani

sms a

llow

ing

CEW

S to

mea

sure

qua

lity

of in

tera

ctio

n, q

ualit

y of

out

puts

, nee

ds o

f dec

ision

mak

ers,

etc

.Sp

ecifi

c ob

ject

ive

3En

hanc

ed e

ngag

emen

t bet

wee

n CE

WS,

the

EWS

of th

e RE

Cs/

RMs a

nd n

atio

nal e

arly

war

ning

cen

tres

with

thei

r res

pect

ive

deci

sion

-mak

ers.

Spec

ific

obje

ctiv

e 3

Indi

cato

rs z

Evid

ence

of i

nter

actio

n be

twee

n CE

WS

and

the

PSC

z

Evid

ence

of i

nter

actio

n be

twee

n EW

S an

d re

leva

nt st

atut

ory

bodi

es z

Evid

ence

of e

arly

war

ning

repo

rts b

eing

pu

shed

up

the

deci

sion-

mak

ing

stru

ctur

e (e

ither

in th

eir ‘

pure

’ for

m o

r use

d in

ot

her r

epor

ts su

ch a

s the

Cha

irper

son’

s Re

port

to th

e PS

C) z

Evid

ence

of d

eepe

r int

er-d

epar

tmen

tal

colla

bora

tion

in b

riefin

g re

leva

nt d

ecisi

on

mak

ers a

t AU

(PSD

, DPA

, oth

ers)

z

At R

EC le

vel e

vide

nce

of in

crea

sed

pro-

duct

ion

and

diss

emin

atio

n of

repo

rts t

o de

cisio

n-m

aker

s z

Evid

ence

of d

ecisi

on m

aker

s at d

iffer

ent

leve

ls us

ing

and

taki

ng in

to a

ccou

nt th

e an

alys

is an

d re

com

men

datio

ns c

onta

ined

in

the

EWRs

and

brie

fings

z

Feed

back

on

the

qual

ity o

f rep

orts

ob

tain

ed fr

om d

ecisi

on-m

aker

s/ot

hers

as

appr

opria

te

Sour

ces o

f ver

ifica

tion

z

PSC

Secr

etar

iat (

PSC

Agen

da)

z

PSC

com

mun

iqué

s z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S) z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Surv

ey to

dec

ision

-mak

ers

z

CEW

S an

d CP

S m

eetin

g re

port

s

Assu

mpt

ions

z

Wor

kflo

ws a

nd o

utpu

ts a

re im

prov

ed a

nd

alig

ned

in a

mor

e sy

stem

atic

way

with

de

cisio

n-m

aker

s nee

ds z

Deci

sion-

mak

ers a

re fu

lly b

riefe

d on

the

outp

uts a

nd m

etho

dolo

gy o

f the

resp

ec-

tive

EWS

z

Deci

sion

mak

er a

t con

tinen

tal,

regi

onal

an

d na

tiona

l lev

els r

egul

arly

use

the

out-

puts

from

EW

S an

d ac

t on

thei

r inf

orm

a-tio

n an

d re

com

men

datio

ns z

Ther

e w

ill b

e in

tere

st a

nd e

ffect

ive

coop

-er

atio

n fr

om M

embe

r Sta

tes i

n es

tabl

ish-

ing

natio

nal e

arly

war

ning

cap

abili

ties

Stra

tegi

c Pr

iorit

y 1

71

72


utpu

tsO

utpu

ts In

dica

tors

Stra

tegi

es/A

ctiv

ities

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 3

.1Th

e CE

WS

and

EWS

of th

e RE

Cs re

gu-

larly

brie

f rel

evan

t dec

isio

n m

aker

s

z

Evid

ence

of m

eetin

gs a

nd b

riefin

gs

cond

ucte

d by

EW

S to

dec

ision

mak

-er

s (at

AU,

incl

udin

g th

e PS

C, th

e Ch

airp

erso

n as

wel

l as t

he P

anel

of

the

Wise

am

ong

othe

rs)

z

Deci

sion

mak

ers t

ake

into

acc

ount

th

e an

alys

is an

d re

com

men

datio

ns

cont

aine

d in

the

EWRs

and

brie

fings

; z

Feed

back

on

the

qual

ity o

f brie

fings

ob

tain

ed fr

om d

ecisi

on-m

aker

s/ot

h-er

s as a

ppro

pria

te z

Evid

ence

of d

issem

inat

ion

of re

port

s to

Mem

ber S

tate

s, in

clud

ing

con-

sulta

tive

mee

tings

at m

embe

r sta

te

leve

l (fo

r exa

mpl

e CO

MES

A’s S

VAs)

z

Evid

ence

of j

oint

ass

essm

ent o

f st

ruct

ural

vul

nera

bilit

y re

port

s ini

ti-at

ed b

y M

embe

r Sta

tes

z

Mem

ber s

tate

s col

labo

rate

with

CE

WS/

EWS-

REC

to c

onve

ne in

tern

al

dial

ogue

s aro

und

SVA

repo

rts

z

Requ

ests

from

Dec

ision

Mak

ers/

Mem

ber S

tate

s to

CEW

S/EW

S-RE

Cs

to d

iscus

s Rep

orts

and

resp

onse

op

tion

reco

mm

enda

tions

z

At E

CCAS

, MAR

AC’s

part

icip

atio

n to

th

e Co

unci

l of p

eace

and

secu

rity

in C

entr

al A

fric

a (C

OPA

X) st

atut

ory

mee

tings

z

“ide

ntify

way

s and

mec

hani

sms t

o ef

fect

ivel

y en

gage

dec

ision

-mak

ers”

z

CEW

S to

par

ticip

ate

at P

SC m

eetin

gs

whe

n ap

prop

riate

and

to b

rief P

SC

mem

bers

info

rmal

ly, d

urin

g ‘b

reak

-fa

st b

riefin

gs’)

z

CEW

S to

brie

f Cha

irper

son

and

Com

-m

issio

ner f

or P

eace

and

Sec

urity

z

CEW

S an

d EW

S of

the

RECs

to d

evel

-op

/impr

ove

the

tem

plat

e fo

r its

ora

l br

iefin

gs;

z

CEW

S an

d EW

S of

the

RECs

to d

evel

-op

trai

ning

/info

rmat

ion

sess

ions

on

thei

r met

hods

, act

iviti

es a

nd to

ols

to k

ey d

ecisi

on-m

aker

s; z

At IG

AD/C

EWAR

N, e

vide

nce

of

stre

ngth

enin

g of

dec

ision

supp

ort

prod

ucts

to d

ecisi

on m

aker

s; z

Surv

ey to

dec

ision

-mak

ers

z

COM

WAR

N m

ake

regu

lar r

epor

ts

to th

e Co

mm

ittee

on

Peac

e an

d Se

curit

y z

COM

ESA/

COM

WAR

N h

old

join

t re

view

s of S

VAs w

ith re

spec

tive

a w

ide

rang

e of

sect

ors o

f res

pect

ive

Mem

ber S

tate

s,

z

COM

WAR

N c

onve

ne re

gion

al m

eet-

ing

for s

kills

bui

ldin

g an

d pe

er-r

e-vi

ew o

f SVA

s z

At E

CCAS

, MAR

AC b

riefs

regu

larly

on

the

polit

ical

and

secu

rity

situa

tion

in

the

regi

on

z

PSC

Secr

etar

iat (

PSC

Agen

da)

z

PSC

com

mun

iqué

s; z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

s-m

ents

(CEW

S) z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

th

e st

ate

of p

eace

and

secu

rity

in

Afric

a z

COM

ESA/

COM

WAR

N re

port

s; z

IGAD

/CEW

ARN

repo

rts;

z

Resu

lts o

f the

surv

ey to

de

cisio

n-m

aker

s z

Offi

cial

com

mun

icat

ions

from

M

embe

r sta

tes

z

Min

utes

of C

OPA

X m

eetin

gs

z

Wor

kflo

ws a

nd o

utpu

ts a

re

impr

oved

and

alig

ned

in a

mor

e sy

stem

atic

way

with

dec

ision

-mak

-er

s nee

ds z

Deci

sion-

mak

ers a

re fu

lly b

riefe

d on

th

e ou

tput

s and

met

hodo

logy

of t

he

resp

ectiv

e EW

S z

Enha

nced

will

from

dec

ision

mak

ers

to u

se re

port

s in

deci

sion

mak

ing

proc

esse

s

Out

put 3

.2At

AU

, rel

evan

t dep

artm

ents

(PSD

, DP

A) jo

intly

brie

f the

PSC

on

de-

moc

racy

, pea

ce a

nd se

curit

y on

the

cont

inen

t

z

Evid

ence

of j

oint

brie

fings

by

rele

-va

nt d

epar

tmen

ts (P

SD, D

PA, o

ther

s)

to th

e PS

C

z

To b

e co

mpl

eted

z

To b

e co

mpl

eted

Out

put 3

.3Th

e CE

WS

and

the

EWS

of th

e RE

Cs/

RMs s

uppo

rt th

e de

velo

pmen

t of

natio

nal e

arly

war

ning

cap

abili

ties

(and

whe

re a

ppro

pria

te th

e re

gula

r ex

chan

ge o

f inf

orm

atio

n an

d an

alys

is

with

Mem

ber S

tate

s ins

titut

ions

and

ex

istin

g na

tiona

l inf

rast

ruct

ures

for

peac

e)

z

Evid

ence

of s

tren

gthe

ning

and

de-

velo

pmen

t of n

atio

nal e

arly

war

ning

ce

ntre

s z

Evid

ence

of s

harin

g of

info

rmat

ion

and

anal

ysis

betw

een

CEW

S an

d EW

S of

the

RECs

/RM

s and

nat

iona

l ea

rly w

arni

ng c

entr

es

z

RECs

supp

ort n

atio

nal u

nits

en-

gage

men

t with

pol

icy

mak

ers a

t the

na

tiona

l lev

els

z

CEW

S an

d EW

S of

the

RECs

to

prov

ide

supp

ort t

o M

embe

r Sta

tes

in th

e de

velo

pmen

t of n

atio

nal e

arly

w

arni

ng c

entr

es (j

oint

trai

ning

s on

met

hodo

logy

, sha

ring

and

cust

omi-

satio

n of

tool

s) z

CEW

S to

hos

t “CE

WS

Cara

na S

im-

ulat

ion

Exer

cise

s” w

ith th

e EW

S of

M

embe

r Sta

tes

z

Supp

ort t

o M

embe

r Sta

tes i

n th

e op

erat

iona

lisat

ion

of E

lect

ion

Situ

a-tio

n Ro

oms

z

to b

e co

mpl

eted

z

Ther

e w

ill b

e in

tere

st a

nd e

ffect

ive

coop

erat

ion

from

Mem

ber S

tate

s in

esta

blish

ing

natio

nal e

arly

war

ning

ca

pabi

litie

s.

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

nsO

utpu

t 3.1

The

CEW

S an

d EW

S of

the

RECs

regu

-la

rly b

rief r

elev

ant d

ecis

ion

mak

ers

z

Evid

ence

of m

eetin

gs a

nd b

riefin

gs

cond

ucte

d by

EW

S to

dec

ision

mak

-er

s (at

AU,

incl

udin

g th

e PS

C, th

e Ch

airp

erso

n as

wel

l as t

he P

anel

of

the

Wise

am

ong

othe

rs)

z

Deci

sion

mak

ers t

ake

into

acc

ount

th

e an

alys

is an

d re

com

men

datio

ns

cont

aine

d in

the

EWRs

and

brie

fings

; z

Feed

back

on

the

qual

ity o

f brie

fings

ob

tain

ed fr

om d

ecisi

on-m

aker

s/ot

h-er

s as a

ppro

pria

te z

Evid

ence

of d

issem

inat

ion

of re

port

s to

Mem

ber S

tate

s, in

clud

ing

con-

sulta

tive

mee

tings

at m

embe

r sta

te

leve

l (fo

r exa

mpl

e CO

MES

A’s S

VAs)

z

Evid

ence

of j

oint

ass

essm

ent o

f st

ruct

ural

vul

nera

bilit

y re

port

s ini

ti-at

ed b

y M

embe

r Sta

tes

z

Mem

ber s

tate

s col

labo

rate

with

CE

WS/

EWS-

REC

to c

onve

ne in

tern

al

dial

ogue

s aro

und

SVA

repo

rts

z

Requ

ests

from

Dec

ision

Mak

ers/

Mem

ber S

tate

s to

CEW

S/EW

S-RE

Cs

to d

iscus

s Rep

orts

and

resp

onse

op

tion

reco

mm

enda

tions

z

At E

CCAS

, MAR

AC’s

part

icip

atio

n to

th

e Co

unci

l of p

eace

and

secu

rity

in C

entr

al A

fric

a (C

OPA

X) st

atut

ory

mee

tings

z

“ide

ntify

way

s and

mec

hani

sms t

o ef

fect

ivel

y en

gage

dec

ision

-mak

ers”

z

CEW

S to

par

ticip

ate

at P

SC m

eetin

gs

whe

n ap

prop

riate

and

to b

rief P

SC

mem

bers

info

rmal

ly, d

urin

g ‘b

reak

-fa

st b

riefin

gs’)

z

CEW

S to

brie

f Cha

irper

son

and

Com

-m

issio

ner f

or P

eace

and

Sec

urity

z

CEW

S an

d EW

S of

the

RECs

to d

evel

-op

/impr

ove

the

tem

plat

e fo

r its

ora

l br

iefin

gs;

z

CEW

S an

d EW

S of

the

RECs

to d

evel

-op

trai

ning

/info

rmat

ion

sess

ions

on

thei

r met

hods

, act

iviti

es a

nd to

ols

to k

ey d

ecisi

on-m

aker

s; z

At IG

AD/C

EWAR

N, e

vide

nce

of

stre

ngth

enin

g of

dec

ision

supp

ort

prod

ucts

to d

ecisi

on m

aker

s; z

Surv

ey to

dec

ision

-mak

ers

z

COM

WAR

N m

ake

regu

lar r

epor

ts

to th

e Co

mm

ittee

on

Peac

e an

d Se

curit

y z

COM

ESA/

COM

WAR

N h

old

join

t re

view

s of S

VAs w

ith re

spec

tive

a w

ide

rang

e of

sect

ors o

f res

pect

ive

Mem

ber S

tate

s,

z

COM

WAR

N c

onve

ne re

gion

al m

eet-

ing

for s

kills

bui

ldin

g an

d pe

er-r

e-vi

ew o

f SVA

s z

At E

CCAS

, MAR

AC b

riefs

regu

larly

on

the

polit

ical

and

secu

rity

situa

tion

in

the

regi

on

z

PSC

Secr

etar

iat (

PSC

Agen

da)

z

PSC

com

mun

iqué

s; z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

s-m

ents

(CEW

S) z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

th

e st

ate

of p

eace

and

secu

rity

in

Afric

a z

COM

ESA/

COM

WAR

N re

port

s; z

IGAD

/CEW

ARN

repo

rts;

z

Resu

lts o

f the

surv

ey to

de

cisio

n-m

aker

s z

Offi

cial

com

mun

icat

ions

from

M

embe

r sta

tes

z

Min

utes

of C

OPA

X m

eetin

gs

z

Wor

kflo

ws a

nd o

utpu

ts a

re

impr

oved

and

alig

ned

in a

mor

e sy

stem

atic

way

with

dec

ision

-mak

-er

s nee

ds z

Deci

sion-

mak

ers a

re fu

lly b

riefe

d on

th

e ou

tput

s and

met

hodo

logy

of t

he

resp

ectiv

e EW

S z

Enha

nced

will

from

dec

ision

mak

ers

to u

se re

port

s in

deci

sion

mak

ing

proc

esse

s

Out

put 3

.2At

AU

, rel

evan

t dep

artm

ents

(PSD

, DP

A) jo

intly

brie

f the

PSC

on

de-

moc

racy

, pea

ce a

nd se

curit

y on

the

cont

inen

t

z

Evid

ence

of j

oint

brie

fings

by

rele

-va

nt d

epar

tmen

ts (P

SD, D

PA, o

ther

s)

to th

e PS

C

z

To b

e co

mpl

eted

z

To b

e co

mpl

eted

Out

put 3

.3Th

e CE

WS

and

the

EWS

of th

e RE

Cs/

RMs s

uppo

rt th

e de

velo

pmen

t of

natio

nal e

arly

war

ning

cap

abili

ties

(and

whe

re a

ppro

pria

te th

e re

gula

r ex

chan

ge o

f inf

orm

atio

n an

d an

alys

is

with

Mem

ber S

tate

s ins

titut

ions

and

ex

istin

g na

tiona

l inf

rast

ruct

ures

for

peac

e)

z

Evid

ence

of s

tren

gthe

ning

and

de-

velo

pmen

t of n

atio

nal e

arly

war

ning

ce

ntre

s z

Evid

ence

of s

harin

g of

info

rmat

ion

and

anal

ysis

betw

een

CEW

S an

d EW

S of

the

RECs

/RM

s and

nat

iona

l ea

rly w

arni

ng c

entr

es

z

RECs

supp

ort n

atio

nal u

nits

en-

gage

men

t with

pol

icy

mak

ers a

t the

na

tiona

l lev

els

z

CEW

S an

d EW

S of

the

RECs

to

prov

ide

supp

ort t

o M

embe

r Sta

tes

in th

e de

velo

pmen

t of n

atio

nal e

arly

w

arni

ng c

entr

es (j

oint

trai

ning

s on

met

hodo

logy

, sha

ring

and

cust

omi-

satio

n of

tool

s) z

CEW

S to

hos

t “CE

WS

Cara

na S

im-

ulat

ion

Exer

cise

s” w

ith th

e EW

S of

M

embe

r Sta

tes

z

Supp

ort t

o M

embe

r Sta

tes i

n th

e op

erat

iona

lisat

ion

of E

lect

ion

Situ

a-tio

n Ro

oms

z

to b

e co

mpl

eted

z

Ther

e w

ill b

e in

tere

st a

nd e

ffect

ive

coop

erat

ion

from

Mem

ber S

tate

s in

esta

blish

ing

natio

nal e

arly

war

ning

ca

pabi

litie

s.

Prob

lem

def

initi

on 4

Alth

ough

“eng

agem

ent w

ith C

SOs h

as b

een

initi

ated

thro

ugh

a w

orks

hop

at th

e AU

and

the

elab

orat

ion

of m

odal

ities

for c

olla

bora

tion”

and

“col

labo

ratio

n w

ith th

e U

N (c

lust

er o

n co

nflic

t pre

ven-

tion)

, EU

(joi

nt re

sear

ch c

entr

e) a

nd th

e W

orld

Ban

k ha

s also

bee

n es

tabl

ished

”, at

pre

sent

, the

re is

lim

ited

subs

tant

ive

inte

ract

ion

betw

een

CEW

S an

d st

akeh

olde

rs su

ch a

s CSO

s, in

tern

atio

nal

orga

nisa

tions

and

bila

tera

l cou

ntrie

s. P

art o

f the

reas

ons f

or th

is ar

e: z

Lack

of d

etai

led

unde

rsta

ndin

g of

wha

t exa

ctly

CEW

S do

es (p

artic

ular

ly it

s dat

a co

llect

ion

tool

s, m

etho

dolo

gy a

nd a

ppro

ach;

a c

lose

d sy

stem

that

use

s ope

n-so

urce

info

rmat

ion)

; z

Lack

of a

ppro

pria

te ‘p

oint

s of e

ntry

/con

tact

’ for

ext

erna

l sta

keho

lder

s to

inte

ract

with

CEW

S (d

ata

gath

erin

g; a

naly

sis a

nd fo

rmul

atio

n of

opt

ions

) z

Lack

of p

oliti

cal w

ill/p

erce

ptio

n Sp

ecifi

c ob

ject

ive

4En

hanc

ed c

olla

bora

tion

betw

een

CEW

S an

d th

e EW

S of

the

RECs

/RM

s with

rele

vant

ext

erna

l sta

keho

lder

s with

rega

rds

to in

form

atio

n an

d an

alys

is sh

arin

g as

wel

l as d

evel

opm

ent

of p

olic

y an

d re

spon

se o

ptio

ns.

Spec

ific

obje

ctiv

e 4

Indi

cato

rs z

CEW

S-CS

Os a

nd o

ther

stak

ehol

ders

Mo-

dalit

ies f

or C

olla

bora

tion

appr

oved

and

im

plem

ente

d; z

CSO

s/In

tern

atio

nal O

rgan

isatio

ns/A

ca-

dem

ia a

nd T

hink

Tan

ks, a

nd p

arlia

men

ts

are

‘plu

gged

into

the

syst

em’ (

info

rma-

tion

shar

ing)

and

con

trib

ute

with

dat

a co

llect

ion,

mon

itorin

g an

d an

alys

is. z

CEW

S an

d RE

Cs h

old

brie

fing

sess

ions

w

ith C

SOs/

Inte

rnat

iona

l Org

anisa

tions

/Ac

adem

ia a

nd T

hink

Tan

ks

Sour

ces o

f ver

ifica

tion

z

CEW

S-CS

Os M

odal

ities

for C

olla

bora

tion

z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S an

d RE

Cs)

Assu

mpt

ions

z

CEW

S an

d EW

S sy

stem

s of t

he R

ECs

activ

ely

impl

emen

t sys

tem

s and

pro

ce-

dure

s for

regu

lar i

nter

actio

n w

ith e

xter

nal

stak

ehol

ders

z

Exte

rnal

stak

ehol

ders

are

fully

brie

fed

on th

e ou

tput

s and

met

hodo

logy

of t

he

resp

ectiv

e EW

S z

Ther

e w

ill b

e in

tere

st a

nd e

ffect

ive

coop

-er

atio

n fr

om e

xter

nal s

take

hold

ers

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

nsO

utpu

t 4.1

Chan

nels

and

to

ols f

or C

SOs,

In

tern

atio

nal

Org

anis

atio

ns,

Acad

emia

and

Th

ink

Tank

s to

cont

ribut

e to

th

e CE

WS

data

ga

ther

ing

and

anal

ysis

func

tion

are

in p

lace

.

z

CEW

S Po

rtal

con

tain

s an

entr

y po

int f

or

CSO

s, In

tern

atio

nal O

rgan

isatio

ns, A

ca-

dem

ia a

nd T

hink

Tan

ks z

CEW

S in

corp

orat

es e

vent

dat

a fr

om C

SOs,

In

tern

atio

nal O

rgan

isatio

ns, A

cade

mia

an

d Th

ink

Tank

s z

Join

t brie

fings

/mee

tings

z

Evid

ence

of I

GAD’

s str

engt

heni

ng o

f net

-w

orks

with

loca

l, na

tiona

l, re

gion

al a

nd

cont

inen

tal C

SOs

z

Evid

ence

of E

CCAS

’ str

engt

heni

ng o

f net

-w

orks

with

loca

l, na

tiona

l, re

gion

al a

nd

cont

inen

tal C

SOs

z

Spec

ifica

lly fo

r AU

/CSO

s: D

ecid

e on

e of

th

e fo

llow

ing

optio

ns: (

i) st

reng

then

CID

O

as a

civ

il so

ciet

y fo

cal p

oint

with

in th

e AU

C; (i

i) CS

O a

ccre

dita

tion

via

ECO

SOCC

; (ii

i) a

CEW

S-sp

ecifi

c ac

cred

itatio

n pr

oce-

dure

; z

Conn

ect C

SOs/

Inte

rnat

iona

l Org

anisa

-tio

ns/A

cade

mia

and

Thi

nk T

anks

to C

EWS

thro

ugh

the

CEW

S Po

rtal

; z

Deve

lop

poin

ts o

f ent

ry fo

r the

se st

ake-

hold

ers a

s reg

ards

con

text

and

stru

ctur

al

info

rmat

ion,

act

or a

nd g

roup

info

rmat

ion

and

beha

viou

r and

eve

nt in

form

atio

n (s

ituat

ion

repo

rts a

nd in

cide

nt re

port

s) z

IGAD

: est

ablis

h an

d st

reng

then

net

wor

ks

with

loca

l, na

tiona

l, re

gion

al a

nd c

onti-

nent

al C

SOs i

nvol

ved

in o

r with

pot

entia

l fo

r inv

olve

men

t in

early

war

ning

and

ea

rly re

spon

se z

ECCA

S: e

stab

lish

and

stre

ngth

en n

et-

wor

ks w

ith lo

cal,

natio

nal,

regi

onal

and

co

ntin

enta

l CSO

s inv

olve

d in

or w

ith p

o-te

ntia

l for

invo

lvem

ent i

n ea

rly w

arni

ng

and

early

resp

onse

z

CEW

S Po

rtal

z

Repo

rts b

y CS

Os,

Inte

rnat

iona

l Org

anisa

-tio

ns, A

cade

mia

and

Thi

nk T

anks

z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S an

d RE

Cs)

z

CEW

S an

d EW

S sy

stem

s of t

he R

ECs

activ

ely

impl

emen

t sys

tem

s and

pro

ce-

dure

s for

regu

lar i

nter

actio

n w

ith e

xter

nal

stak

ehol

ders

z

Exte

rnal

stak

ehol

ders

are

fully

brie

fed

on th

e ou

tput

s and

met

hodo

logy

of t

he

resp

ectiv

e EW

S ;

z

Ther

e w

ill b

e in

tere

st a

nd e

ffect

ive

coop

-er

atio

n fr

om e

xter

nal s

take

hold

ers

Stra

tegi

c Pr

iorit

y 1


73

74


utpu

t 4.2

Capa

city

for

CSO

s, A

cade

mic

or

gani

satio

ns,

acad

emic

and

th

ink

tank

s to

supp

ort E

W is

en

hanc

ed

z

Evid

ence

of C

SOs a

dvoc

atin

g fo

r im

ple-

men

ting

reco

mm

enda

tions

from

SVA

s z

Evid

ence

of t

hink

-tank

con

trib

utio

n to

CO

MW

ARN

SVA

s

z

COM

ESA

build

cap

acity

of a

ccre

dite

d CS

Os t

o su

ppor

t CO

MES

A SV

As z

COM

ESA

esta

blish

regi

onal

thin

k-ta

nk o

n SV

As

z

CEW

S an

d EW

S sy

stem

s of t

he R

ECs

activ

ely

impl

emen

t sys

tem

s and

pro

ce-

dure

s for

regu

lar i

nter

actio

n w

ith e

xter

nal

stak

ehol

ders

z

Exte

rnal

stak

ehol

ders

are

fully

brie

fed

on th

e ou

tput

s and

met

hodo

logy

of t

he

resp

ectiv

e EW

S z

Ther

e w

ill b

e in

tere

st a

nd e

ffect

ive

coop

-er

atio

n fr

om e

xter

nal s

take

hold

ers

Prob

lem

def

initi

on 5

Whi

le b

oth

the

AU a

nd th

e RE

Cs/R

Ms a

ckno

wle

dges

that

con

flict

pre

vent

ion

mus

t inc

lude

bot

h a

dire

ct/o

pera

tiona

l foc

us o

f int

erve

ning

bef

ore

larg

e-sc

ale

viol

ence

occ

urs,

as w

ell a

s foc

us o

n th

e st

ruct

ural

(roo

t) c

ause

s of c

onfli

ct, s

truc

tura

l con

flict

pre

vent

ion

rem

ains

at a

n in

cipi

ent s

tage

. At C

ontin

enta

l lev

el, a

lthou

gh st

ruct

ural

con

flict

pre

vent

ion

is co

ntai

ned

in n

umer

ous k

ey p

olic

y do

cu-

men

ts (o

n hu

man

righ

ts, g

over

nanc

e, d

emoc

ratis

atio

n, th

e fig

ht a

gain

st c

orru

ptio

n, d

isarm

amen

t, so

cio-

econ

omic

dev

elop

men

t, m

anag

emen

t of n

atur

al re

sour

ces a

mon

g m

any

othe

rs),

it w

as n

ot

until

rece

ntly

that

a sp

ecifi

c fr

amew

ork

on st

ruct

ural

con

flict

pre

vent

ion

has b

een

adop

ted.

In o

rder

to st

reng

then

its d

irect

pre

vent

ion

actio

ns w

ith a

ctiv

ities

to a

ssist

Mem

ber S

tate

s in

addr

essin

g/id

entif

ying

stru

ctur

al v

ulne

rabi

lity

of c

ount

ries t

o co

nflic

t at a

n ea

rly st

age,

the

Com

miss

ion

has e

labo

rate

d a

Cont

inen

tal S

truc

tura

l Con

flict

Pre

vent

ion

Fram

ewor

k an

d la

unch

ed a

n In

ter-d

epar

t-m

enta

l tas

kfor

ce o

n co

nflic

t pre

vent

ion.

At t

he sa

me

time,

the

AUC

has d

evel

oped

an

Afric

an G

over

nanc

e Ar

chite

ctur

e (A

GA) w

hich

add

ress

es m

any

of th

e di

men

sions

of s

truc

tura

l vul

nera

bilit

y, in

clud

ing

good

gov

erna

nce,

the

rule

of l

aw, d

emoc

racy

and

hum

an ri

ghts

, pop

ular

par

ticip

atio

n, m

anag

emen

t of p

ublic

fund

s, se

rvic

e de

liver

y am

ong

othe

rs. I

mpl

emen

tatio

n of

the

CSCP

F is

still

at

an in

cipi

ent s

tage

, a re

sult

of la

ck o

f res

ourc

es (s

taff

and

finan

cial

), th

e ne

ed to

mai

nstr

eam

con

flict

pre

vent

ion

(in it

s var

ious

dim

ensio

ns) i

n th

e w

ork

of th

e AU

C, a

mon

g ot

hers

. At t

he sa

me

time,

lin

kage

s bet

wee

n AP

SA a

nd A

GA a

s wel

l as t

he A

U a

nd th

e RE

Cs in

the

dom

ain

of st

ruct

ural

con

flict

pre

vent

ion

rem

ain

tenu

ous,

par

tly a

resu

lt of

lack

of c

omm

unic

atio

n an

d co

llabo

ratio

n be

twee

n di

ffere

nt d

epar

tmen

ts a

t AU

C, a

nd b

etw

een

the

AU a

nd th

e RE

Cs.

Spec

ific

Obj

ectiv

e 5

Enha

nced

cap

acity

for S

truc

tura

l Con

flict

Pre

vent

ion

by th

e AU

and

the

RECs

.

Spec

ific

Obj

ectiv

e 5

Indi

cato

rs z

At C

ontin

enta

l lev

el, t

he C

SCPF

is fi

nalis

ed

(rev

iew

ed b

y PS

D an

d ot

her s

take

hold

ers)

an

d sh

ared

z

CSVA

s are

con

duct

ed jo

intly

with

rele

vant

RE

Cs z

Resu

lts o

f the

CSV

A ar

e co

mm

unic

ated

to

the

IDTF

CP a

nd to

dec

ision

-mak

ers

z

IDTF

CP m

eets

regu

larly

z

Deci

sion-

mak

ers t

ake

into

acc

ount

the

anal

ysis

and

resu

lts o

f the

CSV

A z

The

AUC

grad

ually

dev

elop

s an

early

/ear

-ly

pre

vent

ion

post

ure

z

Incr

ease

d ha

rmon

izatio

n be

twee

n AP

SA

and

AGA

z

Deep

ened

link

bet

wee

n th

e AU

and

the

RECs

on

stru

ctur

al c

onfli

ct p

reve

ntio

n z

Evid

ence

of c

oord

inat

ion

with

REC

s/RM

s on

bor

der m

anag

emen

t and

cro

ss b

orde

r co

oper

atio

n z

Evid

ence

of i

mpl

emen

tatio

n of

the

(to b

e)

adop

ted

Enha

nced

Bor

der M

anag

emen

t St

rate

gy

Sour

ces o

f ver

ifica

tion

z

Cont

inen

tal S

truc

tura

l Con

flict

Pre

vent

ion

Fram

ewor

k (A

U)

z

RECs

/RM

s Con

flict

pre

vent

ion

fram

e-w

orks

z

Sam

ples

of C

SVA

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S) z

AGA

oper

atio

naliz

atio

n re

port

s; z

Oth

er D

PA re

port

s

Assu

mpt

ions

z

At th

e le

vel o

f the

AU,

Mem

ber S

tate

s vo

lunt

eer f

or st

ruct

ural

vul

nera

bilit

y as

sess

men

ts;

z

AU a

nd M

embe

r Sta

tes c

omm

it to

impl

e-m

entin

g th

e CS

CPF,

incl

udin

g th

e co

untr

y m

itiga

tion

stra

tegy

dim

ensio

n; z

At th

e AU

, all

rele

vant

dep

artm

ents

re

cogn

ise th

e im

port

ance

of t

he In

-te

r-Dep

artm

enta

l Tas

k Fo

rce

on C

onfli

ct

Prev

entio

n an

d ac

tivel

y pa

rtic

ipat

e in

its

activ

ities

and

mee

tings

z

Clos

e co

llabo

ratio

n be

twee

n AP

SA a

nd

AGA

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 5

.1Th

e AU

and

the

RECs

hav

e th

e ca

paci

ty fo

r sys

-te

mat

ic st

ruct

ur-

al v

ulne

rabi

lity

asse

ssm

ent/

anal

ysis

.

z

At A

U, C

SVA

and

CSVM

S ar

e co

nduc

ted

acco

rdin

g to

the

agre

ed To

R.

z

Evid

ence

of u

tilisa

tion

of th

e m

etho

dolo

-gy

, man

uals

and

SOPs

obs

erve

d; z

Cons

ider

atio

n/ta

blin

g of

the

CSVA

/CSV

M

at th

e In

ter-d

epar

tmen

tal t

askf

orce

on

conf

lict p

reve

ntio

n z

Evid

ence

of c

olla

bora

tion

with

DPA

(w

ithin

the

AGA

fram

ewor

k) z

Feed

back

on

the

qual

ity o

f rep

orts

ob

tain

ed fr

om d

ecisi

on-m

aker

s/ot

hers

as

appr

opria

te

z

Met

hodo

logy

, man

uals

and

SOPs

for

Coun

try

Stru

ctur

al V

ulne

rabi

lity

Asse

ss-

men

t are

fina

lised

; z

Agre

emen

t is f

orm

alise

d w

ith in

itial

(vol

-un

teer

) Mem

ber S

tate

s to

be th

e su

bjec

t of

the

CSVA

/CSV

MS;

z

Trai

ning

of a

naly

sts a

nd o

ther

rese

arch

-er

s on

CSVA

/CSV

MS;

z

Prod

uctio

n of

the

CSVA

/CSV

MS

follo

win

g th

e te

mpl

ate;

z

Diss

emin

atio

n of

the

resu

lts.

z

Deve

lopm

ent o

f clo

ser l

inka

ges b

etw

een

APSA

and

AGA

z

Cont

inen

tal S

truc

tura

l Con

flict

Pre

ven-

tion

Fram

ewor

k z

Sam

ples

of C

SVA/

CSVM

S re

port

s z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S) z

AGA

repo

rts

z

Sam

e as

abo

ve

Out

put 5

.2At

AU

, the

In

ter-

depa

rt-

men

tal T

ask-

forc

e on

Con

flict

Pr

even

tion

conv

enes

regu

-la

rly a

nd g

uide

s th

e or

gani

satio

n in

its e

ffort

s at

mai

nstr

eam

ing

of c

onfli

ct p

re-

vent

ion

acro

ss

AUC

thro

ugh

polic

y re

com

-m

enda

tions

, di

rect

supp

ort

to p

rogr

amm

es

and

depa

rt-

men

ts.

z

Inte

r-dep

artm

enta

l tas

kfor

ce o

n co

nflic

t pr

even

tion

mee

ts re

gula

rly;

z

Inte

r-dep

artm

enta

l tas

kfor

ce o

n co

nflic

t pr

even

tion

mee

tings

are

att

ende

d by

al

l AU

C st

akeh

olde

rs in

volv

ed (a

nd n

ot

simpl

y PS

D st

aff);

z

Inte

r-dep

artm

enta

l tas

kfor

ce o

n co

nflic

t pr

even

tion

mee

tings

subs

tant

ivel

y ad

-dr

ess t

he m

anda

te o

f the

task

forc

e;

z

Regu

lar m

eetin

gs o

f the

Tas

kfor

ce;

z

Trai

ning

acr

oss A

UC

on th

e Co

ntin

enta

l St

ruct

ural

Con

flict

Pre

vent

ion

Polic

y Fr

amew

ork

and

rela

ted

inst

rum

ents

z

Task

forc

e to

con

sider

inte

r-dep

artm

enta

l br

iefin

gs to

dec

ision

-mak

ers o

n sit

ua-

tions

und

er c

onsid

erat

ion

z

Min

utes

of m

eetin

gs z

Inte

rnal

CEW

S ac

tivity

repo

rts

z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

(CEW

S)

z

Sam

e as

abo

ve

Stra

tegi

c Pr

iorit

y 1


75

76


utpu

tsO

utpu

ts In

dica

tors

Stra

tegi

es/A

ctiv

ities

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 5

.3St

reng

then

ed

inst

itutio

nal

linka

ges a

nd

syne

rgy

be-

twee

n AP

SA a

nd

AGA

to su

ppor

t an

d co

mpl

i-m

ent e

ffort

s by

Mem

bers

Sta

te

to a

chie

ve th

eir

com

mitm

ents

on

hum

an ri

ghts

an

d th

e ru

le o

f la

w, p

opul

ar

part

icip

atio

n,

man

agem

ent

of p

ublic

fund

s (a

ccou

ntab

ility

, co

rrup

tion)

, tr

ansp

aren

cy,

lega

l and

judi

-ci

al fr

amew

orks

, el

ectio

ns a

nd

publ

ic p

artic

ipa-

tion

and

hum

an

right

s.

z

Enha

nced

and

dee

pene

d co

nduc

t of f

ree

and

fair

elec

tions

z

Stra

tegy

to a

ddre

ss u

ncon

stitu

tiona

l ch

ange

s of g

over

nmen

t is i

n pl

ace.

z

Enha

nced

und

erst

andi

ng o

n co

nstit

u-tio

nal i

ssue

s in

Afric

a; z

Enha

nced

pop

ular

isatio

n of

AU

nor

ms

and

lega

l prin

cipl

es

z

AGA

Secr

etar

iat r

egul

arly

pro

vide

s sit

uatio

nal a

naly

sis to

mem

bers

of t

he

PSC

(and

oth

er A

PSA

pilla

rs) o

n iss

ues

rang

ing

from

ele

ctio

ns, h

uman

righ

ts,

cons

titut

iona

lism

and

rule

of l

aw, a

nd

hum

anita

rian

situa

tions

; z

AGA

tech

nica

l and

pol

itica

l mee

tings

are

at

tend

ed b

y Pe

ace

and

Secu

rity

Coun

cil

Mem

bers

z

AGA

part

icip

ates

in th

e In

ter-d

epar

tmen

-ta

l Tas

kfor

ce o

n Co

nflic

t Pre

vent

ion

z

Join

t miss

ions

bet

wee

n DP

A an

d PS

D (fo

r ex

ampl

e PC

RD re

late

d) z

Annu

al H

igh

Leve

l Dia

logu

e on

Dem

ocra

-cy

, Hum

an R

ight

s and

Gov

erna

nce

z

Stud

y on

the

Stat

e of

Con

stitu

tiona

lism

in

Afr

ica

z

Deve

lopm

ent o

f a st

rate

gy to

add

ress

un

cons

titut

iona

l cha

nges

of g

over

nmen

t z

Popu

laris

atio

n of

AU

nor

mat

ive

fram

e-w

orks

on

dem

ocra

cy, e

lect

ions

, gov

ern-

ance

and

hum

an ri

ghts

z

Capa

city

bui

ldin

g of

Afr

ican

inst

itutio

ns

to st

reng

then

rule

of l

aw in

Afr

ica

z

Post

ele

ctio

ns jo

int a

sses

smen

ts a

nd d

i-al

ogue

s on

impl

emen

tatio

n of

ele

ctio

ns

obse

rver

s rec

omm

enda

tions

z

Deve

lopm

ent o

f an

inve

ntor

y of

stan

d-ar

ds a

nd b

est p

ract

ices

in e

lect

ions

z

DPA

Repo

rts

z

AGA

tech

nica

l and

pol

itica

l mee

tings

’ re

port

s z

Repo

rts o

f the

Inte

rdep

artm

enta

l Tas

k-fo

rce

on C

onfli

ct P

reve

ntio

n z

Conc

ludi

ng o

bser

vatio

ns a

nd re

com

men

-da

tions

on

the

stat

us o

f im

plem

enta

tion

of th

e Af

rican

Cha

rter

on

Dem

ocra

cy,

Elec

tions

and

gov

erna

nce

z

Out

com

e st

atem

ent f

or th

e hi

gh L

evel

Di

alog

ue o

n De

moc

racy

z

At th

e AU

, rel

evan

t dep

artm

ents

are

co

gnisa

nt o

f the

nee

d to

dev

elop

stra

te-

gies

and

act

iviti

es to

faci

litat

e AG

A-AP

SA

syne

rgie

s

Out

put 5

.4En

hanc

ed

capa

citie

s in

delim

itatio

n an

d de

mar

catio

n of

bor

ders

as a

co

nflic

t pre

ven-

tion

mea

sure

z

Evid

ence

of m

embe

r sta

te se

nsiti

satio

n an

d en

gage

men

t with

the

issue

of b

or-

der d

elim

itatio

n an

d de

mar

catio

n z

Upd

ated

dat

a co

llect

ed o

n cu

rren

t bor

-de

rs (A

UBI

S –

Bord

er In

form

atio

n Sy

stem

up

to d

ate)

z

Staf

f rec

ruite

d an

d tr

aine

d z

Ratif

icat

ion

and

entr

y in

to fo

rce

of th

e AU

con

vent

ion

on C

ross

Bor

der C

oope

ra-

tion

also

cal

led

Nia

mey

Con

vent

ion

z

Tech

nica

l and

fina

ncia

l sup

port

as w

ell

as p

rovi

sion

of n

eces

sary

equ

ipm

ent t

o M

embe

r Sta

tes f

or th

e de

limita

tion

and

dem

arca

tion

exer

cise

s z

Sens

itisa

tion

of m

embe

r sta

tes o

n th

e be

nefit

s of d

elim

itatio

n an

d de

mar

ca-

tion

of b

orde

rs a

s a c

onfli

ct p

reve

ntio

n m

easu

re z

Enco

urag

e jo

int i

nteg

rate

d m

anag

emen

t of

bor

der a

reas

z

Trai

ning

of b

orde

r man

agem

ent a

genc

ies

on e

nhan

ced

bord

er m

anag

emen

t z

Sens

itisa

tion

miss

ions

to M

embe

r Sta

tes

for t

he e

ntry

into

forc

e of

the

cros

s bor

-de

r coo

pera

tion

(Nia

mey

Con

vent

ion)

z

Sust

ain

annu

al c

oord

inat

ion

mee

tings

be

twee

n AU

BP a

nd R

ECs o

n Bo

rder

M

anag

emen

t z

Data

col

lect

ion

on th

e st

atus

of c

urre

nt

bord

ers i

n Af

rica

(thr

ough

fiel

d m

issio

ns

and

upda

ted

repo

rts t

o be

sent

by

MS)

z

Avai

l col

onia

l bor

der a

rchi

ves t

o su

ppor

t de

limita

tion

proc

ess b

y M

embe

r Sta

tes

thro

ugh

the

esta

blish

men

t of a

bor

der

arch

ives

bur

eau

with

the

AUBP

and

at

the

RECs

leve

l z

Offe

r pla

tform

to fa

cilit

ate

disc

ussio

ns

betw

een

Mem

ber S

tate

s to

find

solu

-tio

ns to

com

mon

bor

der i

ssue

s z

Recr

uitm

ent o

f 2 e

xper

ts o

n de

limita

tion

and

dem

arca

tion

and

recr

uitm

ent o

f 3

expe

rts o

n cr

oss b

orde

r coo

pera

tion,

ca

paci

ty d

evel

opm

ent a

nd p

roje

ct m

an-

agem

ent

z

Proc

urem

ent o

f the

soft

war

e fo

r the

AU

Bo

rder

Info

rmat

ion

Syst

em z

ECCA

S: D

evel

opm

ent o

f the

soft

war

e fo

r th

e RE

Cs’ B

orde

r Inf

orm

atio

n Sy

stem

z

AU M

&E

repo

rts

z

Inte

r-sta

te b

orde

r con

vent

ions

or p

ro-

toco

ls z

Tran

s-bo

rder

coo

pera

tion

infr

astr

uctu

res

(roa

ds, h

ospi

tals,

scho

ols,

mar

kets

, wat

er

foun

tain

s, e

tc.)

z

Mem

ber S

tate

s can

con

sult

the

arch

ive

at th

e AU

and

REC

s bur

eau

of a

rchi

ves

z

Polit

ical

com

mitm

ent o

f Mem

ber S

tate

s z

Avai

labi

lity

of fi

nanc

ial a

nd h

uman

re

sour

ces

Stra

tegi

c Pr

iorit

y 1


77

78

African Peace and Security Architecture. APSA Roadmap 2016 – 2020Pr

oble

m d

efin

ition

6Al

thou

gh c

onfli

ct p

reve

ntio

n ha

s bee

n re

peat

edly

con

sider

ed a

key

prio

rity

of th

e AU

and

the

RECs

, man

y re

spon

dent

s tal

k ab

out a

pre

vaili

ng ‘c

ultu

re o

f fire

figh

ting’

, with

the

orga

nisa

tions

tend

ing

to a

ct w

hen

situa

tions

hav

e al

read

y tu

rned

vio

lent

. Par

tly, t

his a

ppea

rs to

be

rela

ted

to o

vera

ll ca

paci

ty, r

esou

rces

as w

ell a

s the

nee

d no

t to

lose

focu

s on

on-g

oing

hig

h in

tens

ity c

onfli

cts/

AU p

eace

su

ppor

t ope

ratio

ns, b

ut a

lso th

is ca

n be

att

ribut

ed to

: z

Lack

of c

apac

ity fo

r pre

vent

ive

dipl

omac

y (h

uman

reso

urce

s, sk

ills,

fina

ncia

l) z

Ad-h

oc n

atur

e of

dec

ision

-mak

ing,

pla

nnin

g an

d de

ploy

men

t of p

reve

ntiv

e di

plom

acy

miss

ions

Spec

ific

Obj

ectiv

e 6

Enha

nced

cap

acity

by

the

AU a

nd th

e RE

Cs to

effe

ctiv

ely

de-

ploy

and

con

duct

pre

vent

ive

dipl

omac

y (d

irect

pre

vent

ion)

.

Spec

ific

Obj

ectiv

e 6

Indi

cato

rs z

Evid

ence

of f

requ

ency

, rel

evan

ce a

nd

effic

acy

of p

reve

ntiv

e di

plom

acy

mis-

sions

und

erta

ken

by th

e AU

and

the

RECs

(g

ood

offic

es, f

act f

indi

ng, c

onci

liatio

n,

pre-

elec

tion

miss

ions

); z

At th

e AU

, evi

denc

e of

clo

ser c

oord

ina-

tion

betw

een

PSC,

Cha

irper

son,

Spe

cial

En

voys

and

Mem

bers

of P

anel

of t

he

Wise

(bot

h in

form

al a

s wel

l as f

orm

al

thro

ugh

part

icip

atio

n in

PSC

mee

tings

, et

c) z

Mem

bers

of t

he P

anel

of t

he W

ise/

Frie

nds o

f the

Pan

el/P

anW

ise a

re re

gu-

larly

task

ed w

ith p

reve

ntiv

e di

plom

acy

miss

ions

; z

REC

Polic

y O

rgan

s tas

k th

eir r

espe

ctiv

e Co

unci

ls of

Eld

ers o

r sim

ilar s

truc

ture

s to

unde

rtak

e pr

even

tive

dipl

omac

y ac

tions

z

Evid

ence

of p

reve

ntiv

e di

plom

acy

mis-

sions

und

erta

ken

by C

ounc

ils o

f Eld

ers

and

simila

r str

uctu

res

z

Conf

iden

tial r

epor

ts o

f Cou

ncils

of E

lder

s or

sim

ilar s

truc

ture

s pre

sent

ed to

dec

i-sio

n m

aker

s z

PSC

and

AUC

Chai

rper

son

as w

ell a

s Ex

ecut

ive

Secr

etar

y’s a

t REC

s reg

ular

ly

cond

uct p

reve

ntiv

e di

plom

acy

miss

ions

/ot

her u

nder

taki

ngs

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

impl

emen

ted

as p

art o

f a M

&E

syst

em z

Evid

ence

of j

oint

miss

ions

with

REC

s un

der t

he P

anW

ise u

mbr

ella

z

Evid

ence

of s

tren

gthe

ned

capa

city

for

dire

ct p

reve

ntio

n at

nat

iona

l lev

el (n

a-tio

nal i

nfra

stru

ctur

es fo

r pea

ce)

Sour

ces o

f ver

ifica

tion

z

PSC

Com

mun

iqué

s and

Pre

ss R

elea

ses

z

Chai

rper

son’

s Com

mun

iqué

s and

Pre

ss

Rele

ases

z

Pane

l of t

he W

ise S

ecre

taria

t rep

orts

; z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Med

ia re

port

s z

Join

t pol

itica

l miss

ions

repo

rts

z

Elec

tion

Obs

erva

tion

Miss

ion

Repo

rts

(ele

ctio

n di

sput

es a

nd c

risis

prev

entio

n m

eetin

gs)

z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

Assu

mpt

ions

z

Will

and

com

mitm

ent f

rom

rele

vant

st

akeh

olde

rs to

rega

rd p

reve

ntiv

e di

plo-

mac

y as

a k

ey to

ol fo

r the

mai

nten

ance

of

pea

ce a

nd se

curit

y z

Com

mitm

ent b

y re

leva

nt st

akeh

olde

rs to

st

ream

line

a pr

even

tive

actio

n ap

proa

ch

to C

PMR;

z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

ld-

ers t

o pu

ttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 6

.1AU

and

REC

s/RM

s act

ors

invo

lved

in p

re-

vent

ive

dipl

o-m

acy

mis

sion

s ar

e eq

uipp

ed

with

rele

vant

ca

paci

ties f

or

timel

y an

d ef

fec-

tive

prev

entiv

e ac

tions

z

AU P

anel

of t

he W

ise S

ecre

taria

t ful

ly st

affe

d; z

Agre

emen

t on

the

loca

tion

and

staf

fing

of a

n AU

M

edia

tion

Supp

ort U

nit (

MSU

) (*t

o be

disc

usse

d in

the

next

spec

ific

obje

ctiv

e) z

Targ

eted

/tai

lore

d tr

aini

ng to

all

rele

vant

stak

e-ho

lder

s con

duct

ed z

Pane

l of t

he W

ise/F

riend

s of t

he P

anel

/Pan

Wise

m

embe

rs d

eplo

yed

freq

uent

ly z

PSC

mem

bers

and

Cha

irper

son

depl

oyed

fre-

quen

tly z

PSD

Rost

er is

use

d fo

r the

sele

ctio

n of

“pr

even

-tiv

e di

plom

ats”

and

thei

r tea

ms

z

Join

t miss

ions

und

erta

ken

(incl

udin

g di

ffere

nt

sect

ors w

ithin

the

AUC)

z

2012

SO

Ps fo

r Med

iatio

n Su

ppor

t are

bei

ng u

sed

in p

reve

ntiv

e m

issio

ns (*

incl

udin

g pr

e-de

ploy

-m

ent s

tart

-up

phas

e, o

pera

tiona

l pla

ns, e

tc)

z

The

Know

ledg

e M

anag

emen

t Fra

mew

ork

for

Med

iatio

n Pr

oces

ses i

s bei

ng u

sed

in p

reve

ntiv

e di

plom

acy

miss

ions

z

CEW

S an

d PS

D De

sk O

ffice

rs e

ngag

ed (*

see

belo

w)

z

Fund

raisi

ng/f

inan

cial

sust

aina

bilit

y st

rate

gy

agre

ed.

z

Evid

ence

of e

nhan

ced

capa

city

of t

he E

COW

AS

Coun

cil o

f the

Wise

on

tech

niqu

es o

f man

agin

g an

d m

itiga

ting

crise

s

z

Fina

lise

the

recr

uitm

ent o

f sta

ff fo

r the

Pan

el o

f th

e W

ise S

ecre

taria

t z

Fina

lise

the

cons

ulta

tions

on

a M

edia

tion

Supp

ort

Uni

t z

Fina

lise

the

oper

atio

nalis

atio

n of

Pan

Wise

(cod

e of

con

duct

and

acc

redi

tatio

n pr

oced

ure)

z

Crea

te a

n O

pera

tiona

l Sup

port

Team

(*di

scus

sed

belo

w u

nder

med

iatio

n) z

Cond

uct n

eeds

ass

essm

ent s

urve

y w

ith S

peci

al

Envo

ys, R

epre

sent

ativ

es, P

anel

of t

he W

ise/

Frie

nds o

f the

Pan

el/P

anW

ise m

embe

rs a

nd a

lso

PSC

and

Chai

rper

son’

s Offi

ce z

Targ

eted

/tai

lore

d tr

aini

ng to

Pan

el o

f the

Wise

/Fr

iend

s of t

he P

anel

/Pan

Wise

mem

bers

on

the

basis

of n

eeds

ass

essm

ent s

urve

y; a

nd a

lso P

SC

mem

bers

and

staf

f at C

hairp

erso

n’s o

ffice

z

Clos

er in

tera

ctio

n w

ith C

EWS

and

PSD

Desk

O

ffice

rs

z

Ope

ratio

nal s

uppo

rt to

pre

vent

ive

actio

ns;

z

Subs

tant

ive

part

icip

atio

n of

Pan

el o

f the

Wise

Se

cret

aria

t, as

wel

l as r

epre

sent

ativ

es o

f the

PSC

an

d th

e of

fice

of th

e Ch

airp

erso

n in

the

activ

ities

of

the

Inte

r-dep

artm

enta

l Tas

kfor

ce o

n Co

nflic

t Pr

even

tion

z

Fina

lisat

ion

of th

e PS

D Ro

ster

(pre

vent

ive

dipl

omac

y an

d m

edia

tion

sect

ions

; env

oys a

nd

tech

nica

l exp

erts

) z

Subs

tant

ive

part

icip

atio

n of

Pan

el o

f the

Wise

Se

cret

aria

t, as

wel

l as r

epre

sent

ativ

es o

f the

PSC

an

d th

e of

fice

of th

e Ch

airp

erso

n in

act

iviti

es

rela

ted

to th

e Co

ntin

enta

l Str

uctu

ral C

onfli

ct

Prev

entio

n Fr

amew

ork

z

At R

ECs l

evel

: z

Supp

ort t

o pr

even

tive

dipl

omac

y m

issio

ns a

nd

capa

city

enh

ance

men

t of t

he C

ounc

il of

the

Wise

or

of s

imila

r str

uctu

res

z

Deve

lop

a st

rate

gy fo

r fun

d ra

ising

and

sust

aina

-bi

lity

z

Esta

blish

, whe

re a

pplic

able

, miss

ing

prev

entiv

e di

plom

acy

stru

ctur

es

z

PSC

Com

mun

iqué

s and

Pre

ss

Rele

ases

z

Chai

rper

son’

s Com

mun

iqué

s an

d Pr

ess R

elea

ses

z

Pane

l of t

he W

ise S

ecre

taria

t re

port

s;

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

cu-

rity

in A

fric

a z

Know

ledg

e M

anag

emen

t Fr

amew

ork

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd

asse

ssm

ents

z

Avai

labi

lity

of re

sour

ces a

nd

capa

bilit

ies

z

Avai

labi

lity

of ti

mel

y an

d re

le-

vant

ear

ly w

arni

ng in

form

atio

n an

d an

alys

is z

Will

and

com

mitm

ent f

rom

re

leva

nt st

akeh

olde

rs to

rega

rd

prev

entiv

e di

plom

acy

as a

key

to

ol fo

r the

mai

nten

ance

of

peac

e an

d se

curit

y z

Com

mitm

ent b

y re

leva

nt st

ake-

hold

ers t

o st

ream

line

a pr

even

-tiv

e ac

tion

appr

oach

to C

PMR

Stra

tegi

c Pr

iorit

y 1


79

80


utpu

tsO

utpu

ts In

dica

tors

Stra

tegi

es/A

ctiv

ities

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 6

.2Cl

early

def

ined

sy

stem

and

pr

oces

s for

de

cisi

on-m

ak-

ing,

pla

nnin

g,

depl

oym

ent a

nd

cond

uct o

f pre

-ve

ntiv

e di

plo-

mac

y m

issi

ons

in a

coo

rdin

ated

m

anne

r is i

n pl

ace.

z

Evid

ence

of c

oord

inat

ion

betw

een

AU

acto

rs a

nd b

etw

een

AU a

nd R

ECs/

RMs

invo

lved

in p

reve

ntiv

e di

plom

acy

z

Exist

ence

of a

pre

vent

ive

dipl

omac

y an

d m

edia

tion

stra

tegy

doc

umen

t z

Chai

rper

son,

Spe

cial

Env

oys,

and

mem

-be

rs o

f the

Pan

el o

f the

Wise

mee

t mor

e re

gula

rly

z

Prev

entiv

e di

plom

acy

inte

rven

tions

ar

e co

nduc

ted

on th

e ba

sis o

f sha

red

anal

ysis

z

Incr

ease

d fr

eque

ncy

of jo

int m

issio

ns

(Pan

Wise

, AU

/REC

s) z

Evid

ence

of c

oord

inat

ion

betw

een

AU,

RECs

and

oth

er a

ctor

s inv

olve

d in

pre

-ve

ntiv

e di

plom

acy

z

Supp

ort t

o “p

reve

ntiv

e di

plom

ats”

dur

ing

inte

rven

tions

on

the

grou

nd z

Evid

ence

of e

nhan

ced

natio

nal c

apac

ities

fo

r pre

vent

ive

dipl

omac

y

z

Deve

lopm

ent o

f an

inte

grat

ed p

reve

n-tiv

e di

plom

acy

and

med

iatio

n st

rate

gy (*

se

e al

so sp

ecifi

c ob

ject

ive

on m

edia

tion

belo

w)

z

Out

reac

h an

d in

form

atio

n ac

tions

on

the

prev

entiv

e ro

les o

f diff

eren

t AU

inst

itu-

tions

and

bod

ies;

z

Pane

l of t

he W

ise S

ecre

taria

t/M

edia

tion

Supp

ort U

nit s

taffe

d an

d eq

uipp

ed fo

r en

hanc

ed c

oord

inat

ion

of m

anag

emen

t/ad

min

/logi

stic

al su

ppor

t com

pone

nts o

f pr

even

tive

dipl

omac

y;

z

Adap

t/ad

opt 2

012

SOPs

for M

edia

tion

Supp

ort s

peci

fical

ly to

pre

vent

ive

mis-

sions

(*in

clud

ing

deci

sion

on a

ppoi

nt-

men

ts, p

re-d

eplo

ymen

t sta

rt-u

p ph

ase,

op

erat

iona

l pla

ns, e

tc)

z

Pane

l of t

he W

ise S

ecre

taria

t/M

edia

-tio

n Su

ppor

t Uni

t to

deve

lop

a pl

an to

st

reng

then

syst

emat

ic li

nkag

es b

etw

een

the

PSC,

Cha

irper

son,

Pan

el o

f the

Wise

/Fr

iend

s of t

he P

anel

, and

AU

Spe

cial

En

voys

z

Impl

emen

t a p

ract

ice

of ti

mel

y, re

leva

nt

and

shar

ed a

naly

sis (s

ee a

bove

, CEW

S) z

Stre

ngth

en th

e lin

kage

s with

REC

s/RM

s w

ith re

gard

s to

prev

entiv

e di

plom

acy

inte

rven

tions

; z

Tech

nica

l sup

port

to th

e RE

Cs fo

r st

reng

then

ing

thei

r pre

vent

ive

dipl

oma-

cy c

apac

ities

z

Expa

nd th

e on

e-da

y m

eetin

g of

Pan

el o

f th

e W

ise m

embe

rs w

ith S

peci

al E

nvoy

s (A

nnua

l Hig

h Le

vel R

etre

at);

z

Und

erta

king

regu

lar r

evie

ws a

nd e

valu

a-tio

n of

con

flict

pre

vent

ion

activ

ities

z

PSC

Com

mun

iqué

s and

Pre

ss R

elea

ses

z

Chai

rper

son’

s Com

mun

iqué

s and

Pre

ss

Rele

ases

z

Pane

l of t

he W

ise S

ecre

taria

t rep

orts

; z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

z

Will

and

com

mitm

ent f

rom

rele

vant

st

akeh

olde

rs to

rega

rd p

reve

ntiv

e di

plo-

mac

y as

a k

ey to

ol fo

r the

mai

nten

ance

of

pea

ce a

nd se

curit

y z

Com

mitm

ent b

y re

leva

nt st

akeh

olde

rs to

st

ream

line

a pr

even

tive

actio

n ap

proa

ch

to C

PMR;

z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

lder

s z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

ld-

ers t

o pu

ttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Stra

tegi

c Pr

iorit

y 2

2Re

sults

Fra

mew

ork

Stra

tegi

c Pr

iorit

y 2:

Cr

isis

/Con

flict

Man

agem

ent

Afric

an S

tand

by-F

orce

Stra

tegi

c Pr

iorit

y O

bjec

tive

To c

ontr

ibut

e to

enh

ance

d op

erat

iona

l rea

dine

ss o

f the

ASF

, an

d m

ore

effe

ctiv

e Af

rican

PSO

s

Stra

tegi

c O

bjec

tive

Indi

cato

rs z

Evid

ence

of c

oope

ratio

n be

twee

n AU

, RE

Cs/R

Ms a

nd M

embe

r Sta

tes i

n th

e de

velo

pmen

t and

rete

ntio

n of

PSO

ca

pabi

litie

s z

Evid

ence

of c

oope

ratio

n be

twee

n AU

, RE

Cs/R

Ms a

nd M

embe

r Sta

tes i

n th

e pl

anni

ng a

nd d

eplo

ymen

t of o

pera

tions

z

Evid

ence

of s

yste

ms a

nd p

roce

dure

s w

hich

ena

ble

the

depl

oym

ent o

f PSO

s z

Evid

ence

of t

imel

y de

ploy

men

t of o

p-er

atio

ns w

ithin

the

cont

ext o

f rel

evan

t fr

amew

orks

z

Evid

ence

of e

ffect

ive

plan

ning

and

man

-ag

emen

t of o

pera

tions

Sour

ces o

f ver

ifica

tion

z

Deci

sions

by

rele

vant

dec

ision

-mak

ing

orga

ns z

Avai

labi

lity

of c

ompr

ehen

sive

miss

ion

plan

ning

and

man

agem

ent d

ocum

enta

-tio

n z

Docu

men

ted

capa

bilit

ies a

vaila

ble

for

depl

oym

ent

z

Abili

ty to

rapi

dly

and

effic

ient

ly p

lan

and

depl

oy o

pera

tions

z

Enha

nced

cap

acity

and

cap

abili

ties f

or

the

man

agem

ent a

nd su

sten

ance

of

oper

atio

ns

Assu

mpt

ions

z

Will

and

com

mitm

ent f

rom

all

stak

ehol

d-er

s inv

olve

d in

the

ASF

in p

uttin

g in

to

prac

tice

wha

t the

y co

mm

itted

to z

Rele

vanc

e an

d su

itabi

lity

of th

e AS

F co

n-ce

pt to

Afr

ican

PSO

requ

irem

ents

and

de

ploy

men

t nee

ds z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Prob

lem

def

initi

on 1

The

polit

ical

and

lega

l dec

ision

-mak

ing

proc

esse

s hav

e no

t bee

n su

ffici

ently

dev

elop

ed a

nd st

ruct

ured

to e

nabl

e ra

pid

depl

oym

ent o

f pea

ce su

ppor

t ope

ratio

ns

and

coop

erat

ion

amon

g AU

, REC

s/RM

s and

Mem

ber S

tate

s in

this

rega

rd.

Results Framework Strategic Priority 2: Crisis/Conflict Management

81

82


ecifi

c O

bjec

tives

1Po

litic

al/l

egal

dec

isio

n-m

akin

g m

echa

nism

s are

cla

rifie

d,

harm

onis

ed a

nd st

ruct

ured

bet

wee

n sp

ecifi

cally

the

AU a

nd

the

RECs

/RM

s so

as to

ena

ble

mor

e ef

fect

ive

coop

erat

ion

in

man

datin

g, d

eplo

ymen

t and

man

agem

ent o

f ope

ratio

ns

Spec

ific

Obj

ectiv

es 1

Indi

cato

rs

z

Exist

ence

and

util

isatio

n of

har

mon

ised

and

stre

amlin

ed p

olic

ies,

gui

danc

e an

d pr

oced

ures

(bet

wee

n th

e AU

and

the

RECs

/RM

s) in

form

ing

PSO

man

datin

g an

d de

cisio

n m

akin

g fo

r the

pla

nnin

g,

depl

oym

ent a

nd m

anag

emen

t of P

SOs

z

Evid

ence

of p

lann

ed a

nd st

ruct

ured

co

nsul

tatio

ns a

mon

gst A

UC

Depa

rtm

ents

an

d Di

visio

ns o

n th

e pl

anni

ng, m

anda

t-in

g/de

cisio

n m

akin

g an

d de

ploy

men

t of

PSO

s z

Evid

ence

of j

oint

AU

and

REC

s/RM

s pl

anni

ng, p

rogr

amm

ing

and

asse

ssm

ent

in re

latio

n to

the

deve

lopm

ent a

nd

enha

ncem

ent o

f the

ASF

z

Evid

ence

of j

oint

AU

and

REC

s/RM

s ana

l-ys

is an

d pl

anni

ng fo

r ope

ratio

ns z

Evid

ence

of A

U a

nd R

ECs/

RMs c

oord

ina-

tion/

colla

bora

tion

in th

e pr

epar

atio

n of

de

ploy

men

ts z

Evid

ence

of t

imel

y de

ploy

men

t of o

per-

atio

ns z

Incr

ease

d ra

pidi

ty in

the

depl

oym

ent o

f PS

Os

Sour

ces o

f Ver

ifica

tion

z

Deve

lopm

ent a

nd u

tilisa

tion

of p

olic

ies,

gu

idan

ce a

nd S

OPs

on

plan

ning

and

de-

cisio

n m

akin

g pr

oces

ses a

nd c

orpo

ratio

n an

d co

ordi

natio

n ap

proa

ches

, sys

tem

s an

d m

echa

nism

s am

ong

AU, R

ECs/

RMs

and

Mem

ber S

tate

s z

Repo

rts a

nd/o

r min

utes

from

AU,

REC

/RM

mee

tings

z

Min

utes

from

AU

-REC

s/RM

s and

Mem

-be

r Sta

tes m

eetin

gs z

Stra

tegy

doc

umen

t z

Mon

itorin

g do

cum

ent,

mon

itorin

g da

ta,

data

ana

lysis

z

Man

agem

ent d

ecisi

on z

Min

utes

from

mon

itorin

g m

eetin

gs

Assu

mpt

ions

z

Suffi

cien

t pol

itica

l will

and

com

mitm

ent

at th

e va

rious

dec

ision

mak

ing

leve

ls of

th

e AU

, REC

s/RM

s and

Mem

ber S

tate

s to

ens

ure

effe

ctiv

e co

oper

atio

n fo

r mor

e ra

pid

and

effic

ient

inte

rven

tions

z

Defin

ition

of c

oope

ratio

n m

echa

nism

s in

line

with

the

conc

ept o

f sha

red

resp

on-

sibili

ties a

cros

s the

se th

ree

leve

ls an

d fa

cilit

atio

n of

com

mon

/sim

ilar/

repl

icab

le

syst

ems a

nd p

roce

dure

s tha

t will

faci

l-ita

te sh

arin

g re

quire

d in

form

atio

n fo

r m

onito

ring

and

repo

rtin

g pu

rpos

es z

Rele

vant

AU

C De

part

men

ts a

nd D

ivisi

ons

unde

rsta

nd th

eir r

oles

in su

ppor

ting

PSO

s and

are

will

ing

to su

ppor

t the

ce

ntra

l rol

e of

the

Peac

e an

d Se

curit

y De

part

men

t in

exec

utio

n of

pol

itica

l and

le

gal d

ecisi

ons a

s con

cern

PSO

s z

Pres

ence

of i

ndiv

idua

l, or

gani

satio

nal

and

inst

itutio

nal c

apac

ities

am

ong

the

stak

ehol

ders

with

in th

e AS

F st

ruct

ures

to

impl

emen

t wha

t is r

equi

red

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 1

.1

Polit

ical

dec

isio

n m

akin

g gu

id-

ance

/pro

cess

es

and

coop

erat

ion

mec

hani

sms f

or

PSO

s are

dev

el-

oped

, for

mal

ly

endo

rsed

and

ut

ilise

d by

the

AUC

RECs

/RM

s an

d M

embe

r St

ates

z

Deve

lopm

ent o

f gui

delin

es a

nd p

roce

-du

res a

ligne

d to

cur

rent

real

ities

and

de

velo

pmen

ts

z

AU (+

Mem

ber S

tate

s) a

nd R

ECs/

RMs

form

ally

end

orse

gui

delin

es a

nd p

roce

-du

res

z

Evid

ence

that

the

entir

e sy

stem

of a

ctor

s sy

stem

atic

ally

app

lies a

nd re

fere

nces

th

e gu

idel

ines

and

pro

cedu

res f

or th

e pu

rpos

es o

f pol

itica

l dec

ision

mak

ing

z

AU, R

EC/R

M, M

embe

r Sta

tes W

orks

hop

to a

sses

s lay

ers o

f dec

ision

mak

ing,

im

plic

atio

ns fo

r rap

id e

mpl

oym

ent o

f the

AS

F (a

nd R

DC),

and

to h

arm

onise

and

st

ream

line

resp

ectiv

e pr

oced

ures

and

tim

efra

mes

z

Seek

form

al e

ndor

sem

ent (

at a

ll le

vels

as

rele

vant

) of a

gree

d up

on p

roce

dure

s and

tim

efra

mes

z

Ensu

re p

lann

ers a

nd o

ther

rele

vant

staf

f an

d st

akeh

olde

rs a

re se

nsiti

sed/

orie

nt-

ed o

n de

cisio

n m

akin

g pr

oced

ures

and

po

licie

s

z

Repo

rts f

rom

con

sulta

tive

mee

tings

/w

orks

hops

z

Deci

sions

take

n by

the

AU a

utho

ritie

s

z

Polit

ical

will

to a

dopt

a c

lear

def

initi

on

and

faci

litat

e de

velo

pmen

t of P

oliti

cal

deci

sion

mak

ing

guid

ance

/pro

cess

es

and

coop

erat

ion

mec

hani

sms f

or P

SOs

by b

oth

the

AU, R

ECs/

RMs a

nd M

embe

r St

ates

Stra

tegi

c Pr

iorit

y 2


Out

put 1

.2

Deci

sion

mak

ing

proc

esse

s and

pr

oced

ures

for

PSO

s of t

he A

U,

RECs

/RM

s and

M

embe

r Sta

tes

harm

onis

ed a

nd

stre

amlin

ed

z

Esta

blish

men

t of c

lear

pro

cedu

res f

or

deci

sion

mak

ing/

man

datin

g of

miss

ions

z

RECs

/RM

s and

Mem

ber S

tate

s tak

e sp

e-ci

fic d

ecisi

ons a

t the

regi

onal

and

nat

ion-

al le

vels

on th

e m

anda

ting

and

plan

ning

of

AU

led/

man

date

d PS

Os i

n ac

cord

ance

w

ith c

olle

ctiv

e de

cisio

ns u

nder

take

n at

th

e co

ntin

enta

l lev

el

z

PSC

and

othe

r rel

evan

t dec

ision

mak

ing

auth

oriti

es sy

stem

atic

ally

adh

ere

to

esta

blish

ed p

roce

sses

and

pro

cedu

res

z

Cons

ulta

tive

mee

ting

betw

een

AU, R

ECs/

RMs a

nd M

embe

r Sta

tes t

o m

ap o

ut

a de

cisio

n m

akin

g pr

oces

s whi

ch a

lso

assig

ns ro

les a

nd re

spon

sibili

ties,

se-

quen

cing

and

har

mon

isatio

n of

dec

ision

m

akin

g pr

oced

ures

z

Form

al e

ndor

sem

ent o

f agr

eed

proc

ess-

es/p

roce

dure

s

z

Repo

rts f

rom

con

sulta

tive

mee

tings

z

Deci

sions

take

n by

the

AU, R

EC-R

M a

nd

Mem

ber S

tate

aut

horit

ies

z

Polit

ical

will

of t

he A

U, R

ECs/

RMs a

nd

Mem

ber t

o ha

rmon

ise a

nd st

ream

line

thei

r dec

ision

mak

ing

proc

esse

s and

pr

oced

ures

for P

SOs

Out

put 1

.3

Lega

l arr

ange

-m

ents

and

pro

-ce

dure

s for

the

empl

oym

ent o

f th

e AS

F by

the

AUC

and

RECs

/RM

s con

clud

ed

and

agre

ed

upon

z

Exist

ence

of a

ppro

ved

lega

l arr

ange

-m

ents

and

pro

cedu

res f

or P

SOs

z

All r

elev

ant s

take

hold

ers a

re a

dequ

atel

y se

nsiti

sed

on th

e le

gal r

equi

rem

ents

and

ar

rang

emen

ts

z

Cond

uct w

orks

hop

to d

evel

op le

gal

fram

ewor

k fo

r the

ASF

(to

incl

ude

rele

-va

nt te

mpl

ates

of l

egal

doc

umen

tatio

n as

requ

ired

for o

pera

tions

) z

Deve

lop

a jo

int A

U –

REC

/RM

MoU

for

the

empl

oym

ent o

f the

ASF

z

Ensu

re fu

ll en

dors

emen

t of l

egal

fram

e-w

orks

at a

ll le

vels

as re

leva

nt (A

UC,

RE

Cs/R

Ms,

Mem

ber S

tate

s) z

nsur

e se

nsiti

satio

n an

d/or

trai

ning

of

lega

l fra

mew

orks

and

arr

ange

men

ts fo

r al

l rel

evan

t per

sonn

el, i

nclu

ding

Leg

al

Offi

cers

at t

he A

U, R

ECs/

RMs a

nd e

xist

-in

g m

issio

ns

z

Revi

ew le

gal a

rran

gem

ents

for o

n-go

ing

miss

ions

with

vie

w to

alig

ning

thes

e w

ith

revi

sed

arra

ngem

ents

and

pro

cedu

res

z

Repo

rts f

rom

wor

ksho

p(s)

z

Miss

ion

man

date

s and

lega

l fra

mew

orks

(in

clud

ing

key

miss

ion

guid

ance

doc

u-m

ents

and

/or t

empl

ates

) z

Mon

itorin

g an

d ev

alua

tion

repo

rts

z

Will

of A

UC,

REC

s/RM

s and

Mem

ber

Stat

es to

dev

elop

and

abi

de b

y le

gal a

rran

ge-

men

ts a

nd p

roce

dure

s for

the

empl

oym

ent

of th

e AS

F

Out

put 1

.4

Conc

epts

of c

o-or

dina

tion

and

colla

bora

tion

clea

rly d

efin

ed

and

agre

ed

upon

by

AU,

RECs

/RM

s and

M

embe

r Sta

tes

z

Exist

ence

of a

stra

tegy

doc

umen

t tha

t hi

ghlig

hts g

uidi

ng p

rinci

ples

and

exp

ect-

ed re

sults

from

coo

rdin

atin

g th

e w

ork

z

Evid

ence

that

this

stra

tegy

doc

umen

t hi

ghlig

hts a

nd c

larif

ies k

ey c

oord

inat

ion

com

pone

nts a

nd p

roce

dure

s z

Agre

emen

t bet

wee

n th

e AU

and

REC

s/RM

s to

use

this

stra

tegi

c do

cum

ent a

s a

basis

for f

utur

e de

ploy

men

t of o

pera

-tio

ns

z

Dial

ogue

sess

ions

bet

wee

n AU

and

REC

s/RM

s on

the

defin

ition

of c

oord

inat

ion;

z

Agre

emen

t to

deve

lop

a st

rate

gy d

ocu-

men

t mak

ing

the

conc

ept o

f coo

rdin

a-tio

n op

erat

iona

l; z

Draf

ting

of th

e st

rate

gy d

ocum

ent

z

Min

utes

from

AU

-REC

s/RM

s and

Mem

-be

r Sta

tes m

eetin

gs z

Stra

tegy

doc

umen

t

z

Will

of A

U, R

ECs/

RMs a

nd M

embe

r St

ates

to a

gree

on

the

conc

epts

of c

oor-

dina

tion

and

colla

bora

tion

and

ensu

re

impl

emen

tatio

n of

all

ASF

proc

esse

s fo

llow

this

conc

ept

Out

put 1

.5Ha

rmon

ized

polic

ies a

nd

stan

dard

ope

rat-

ing

proc

edur

es

betw

een

the

AU

and

the

RECs

/RM

s and

Mem

-be

r Sta

tes p

ut in

pl

ace

z

AU a

nd R

ECs/

RMs a

re a

ble

to w

ork

to-

geth

er in

a m

ore

pred

icta

ble

man

ner

z

Dial

ogue

sess

ions

bet

wee

n AU

and

REC

s/RM

s and

Mem

ber S

tate

s on

the

type

s of

polic

ies a

nd st

anda

rd o

pera

ting

proc

e-du

res t

hat n

eed

to b

e ha

rmon

ised

z

Polic

y do

cum

ents

z

Stan

dard

Ope

ratin

g Pr

oced

ures

z

Repo

rts o

f mee

tings

z

Deci

sions

by

deci

sion-

mak

ing

orga

ns

z

Agre

emen

t by

the

AU, R

ECs/

RMs a

nd

Mem

ber S

tate

s to

harm

onize

thei

r pol

i-ci

es a

nd st

anda

rd o

pera

ting

proc

edur

es

that

will

faci

litat

e be

tter

coo

rdin

atio

n an

d co

oper

atio

n am

ong

them

83

84


utpu

t 1.6

Exis

tenc

e of

an

adeq

uate

mon

-ito

ring

syst

em

for f

ollo

win

g-up

on

impl

emen

-ta

tion

z

The

mon

itorin

g sy

stem

cle

arly

hig

hlig

hts

the

diffe

rent

type

s of i

nfor

mat

ion

that

ne

ed to

be

colle

cted

, doc

umen

ted

and

anal

ysed

; z

The

mon

itorin

g sy

stem

est

ablis

hes c

lear

re

spon

sibili

ties f

or p

erfo

rmin

g m

onito

r-in

g ta

sks;

z

The

mon

itorin

g sy

stem

is c

lose

ly li

nked

to

man

agem

ent d

ecisi

on p

roce

sses

.

z

Deve

lopm

ent o

f the

mon

itorin

g sy

stem

; z

Man

agem

ent d

ecisi

on to

allo

cate

staf

f to

spec

ific

mon

itorin

g fu

nctio

ns;

z

Com

mon

AU

and

REC

s/RM

s and

Mem

-be

r Sta

tes m

onito

ring

miss

ions

z

Com

mon

AU

and

REC

/RM

s and

Mem

ber

Stat

es m

onito

ring

mee

tings

z

Mon

itorin

g do

cum

ent,

mon

itorin

g da

ta,

data

ana

lysis

z

Man

agem

ent d

ecisi

on z

Min

utes

from

mon

itorin

g m

eetin

gs

z

Polit

ical

will

and

agr

eem

ent a

mon

g th

e AU

, REC

s/RM

s and

Mem

ber S

tate

s to

deve

lop

and

utili

se m

onito

ring

syst

em

deve

lope

d by

them

selv

es to

ach

ieve

th

e re

quire

d le

vel o

f coo

rdin

atio

n an

d co

rpor

atio

n in

the

impl

emen

tatio

n of

AS

F in

itiat

ives

Prob

lem

def

initi

on 2

The

plan

ning

ele

men

ts d

o no

t hav

e su

ffici

ent c

apac

ity a

s wel

l as s

yste

ms a

nd p

roce

dure

s to

adeq

uate

ly p

lan,

dep

loy,

man

age,

sust

ain

and

liqui

date

ope

ratio

ns a

t the

scal

e an

d pa

ce w

ith w

hich

de

ploy

men

ts a

re b

eing

man

date

d.

Spec

ific

Obj

ectiv

es 2

Th

e ca

paci

ties o

f pla

nnin

g el

emen

ts a

s wel

l as t

he re

quire

d sy

stem

s, p

roce

sses

and

pol

icie

s to

adeq

uate

ly p

lan,

dep

loy,

m

anag

e, su

stai

n an

d liq

uida

te P

SOs a

re e

nhan

ced

Spec

ific

Obj

ectiv

es 2

Indi

cato

rs

z

Exist

ence

of p

lann

ing

and

depl

oym

ent

guid

elin

es, p

olic

ies a

nd p

roce

dure

s al

igne

d to

cur

rent

real

ities

and

dev

elop

-m

ents

z

Evid

ence

of f

orm

al a

ppro

val o

f gui

de-

lines

, pol

icie

s and

pro

cedu

res

z

Evid

ence

that

PSO

pla

nner

s (at

the

AU

and

REC/

RM le

vels)

are

wel

l orie

nted

an

d kn

owle

dgea

ble

of th

e gu

idel

ines

, po

licie

s and

pro

cedu

res a

nd a

re a

ccor

d-in

gly

able

to a

pply

thes

e in

pla

nnin

g fo

r op

erat

ions

z

Dom

estic

atio

n of

ASF

gui

delin

es, p

olic

ies

and

proc

edur

es b

y th

e RE

Cs/R

Ms a

nd

Mem

ber S

tate

s at t

he re

gion

al a

nd

Mem

ber S

tate

s lev

els r

espe

ctiv

ely

z

Evid

ence

that

the

AU a

nd R

ECs/

RMs

syst

emat

ical

ly a

pply

gui

danc

e, p

olic

ies

and

proc

edur

es in

pla

nnin

g, d

eplo

ymen

t, m

anag

emen

t, su

stai

nmen

t and

liqu

ida-

tion

of P

SOs

z

Evid

ence

of t

he a

lloca

tion

of th

e re

quire

d re

sour

ces t

o th

e pl

anni

ng

elem

ents

z

Evid

ence

of i

ncre

ased

PSO

effi

cien

cy

Sour

ces o

f Ver

ifica

tion

z

Avai

labi

lity

and

utili

satio

n of

com

preh

en-

sive

polic

ies a

nd S

OPs

z

Miss

ion

plan

ning

doc

umen

ts a

nd te

m-

plat

es

z

Mon

itorin

g an

d Ev

alua

tion

repo

rts

z

Less

ons l

earn

ed a

nd b

est p

ract

ise

repo

rts

Assu

mpt

ions

z

Com

mitm

ent a

nd d

esire

by

AU a

nd R

EC/

RM le

ader

ship

to lo

gica

l and

syst

emat

ic

plan

ning

, dep

loym

ent a

nd m

anag

emen

t pr

oced

ures

for P

SOs

z

Rele

vant

AU

C De

part

men

ts a

nd D

ivisi

ons

(plu

s tho

se a

t REC

s/RM

s) u

nder

stan

d th

eir r

oles

in su

ppor

ting

PSO

s and

are

w

illin

g to

supp

ort t

he c

entr

al ro

le o

f the

Pe

ace

and

Secu

rity

Depa

rtm

ent t

o en

-su

re m

ore

effe

ctiv

ely

plan

ned,

dep

loye

d,

man

aged

and

liqu

idat

ed P

SOs

z

Part

ners

(mul

tilat

eral

and

bila

tera

l) to

th

e AU

and

REC

s/RM

s des

ire to

con

tinue

co

oper

atio

n in

supp

ort o

f Afr

ican

PSO

ca

pabi

litie

s and

cap

aciti

es

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 2

.1

Polic

ies,

pro

-ce

dure

s and

ot

her g

uida

nce

for p

lann

ing,

de

ploy

men

t, m

anag

emen

t, su

sten

ance

and

liq

uida

tion

of

PSO

s ava

ilabl

e an

d ut

ilise

d by

th

e AU

z

Evid

ence

that

all

ASF

polic

y do

cum

ents

ar

e up

date

d in

ligh

t of r

ecen

t PSO

exp

e-rie

nces

z

Deve

lopm

ent o

f pla

nnin

g gu

idel

ines

and

pr

oced

ures

taki

ng in

to a

ccou

nt e

xist

ing

real

ities

and

con

stra

ints

z

The

AU fo

rmal

ly e

ndor

ses p

lann

ing,

gu

idel

ines

and

diss

emin

ates

inte

rnal

ly,

ensu

ring

orie

ntat

ion

of a

ll pl

anne

rs

and

othe

r Com

miss

ion

stak

ehol

ders

as

rele

vant

(Hum

an R

esou

rces

, Fin

ance

, Pr

ocur

emen

t, Le

gal e

tc.)

z

Map

ping

of a

ll re

quire

d sy

stem

s, p

oli-

cies

, pro

cedu

res a

nd g

uida

nce

with

vie

w

to d

eter

min

ing

gaps

and

/or s

tatu

s z

Deve

lop

com

preh

ensiv

e ac

tion

plan

for

addr

essin

g ga

ps, e

nsur

ing

resp

onsib

ili-

ties a

nd ti

mef

ram

es a

re a

ssig

ned

z

Ensu

re a

ll AS

F po

licy

docu

men

ts a

re

revi

ewed

and

forw

arde

d fo

r for

mal

en

dors

emen

t z

Wor

ksho

p to

revi

ew/r

efin

e of

the

AU

Aide

Mem

oire

on

PSO

pla

nnin

g an

d de

cisio

n m

akin

g z

Subm

issio

n of

the

Aide

Mem

oire

for f

or-

mal

end

orse

men

t by

rele

vant

prin

cipl

es

z

Ensu

re a

ll pl

anne

rs a

nd A

U st

aff a

re su

f-fic

ient

ly o

rient

ed to

the

Aide

Mem

oire

an

d ab

le to

app

ly it

con

siste

ntly

z

Enco

urag

e RE

Cs/R

Ms t

o de

velo

p sim

ilar

guid

ance

whi

ch to

the

degr

ee p

ossib

le/

logi

cal a

ligns

with

AU

gui

danc

e

z

Repo

rts/

min

utes

from

con

sulta

tive

mee

tings

/wor

ksho

ps

z

Deci

sions

take

n by

the

AU a

utho

ritie

s z

Actio

n pl

ans (

that

supp

ort m

issio

n pl

anni

ng, d

eplo

ymen

t, m

anag

emen

t and

liq

uida

tion)

z

SOPs

z

AU h

as th

e re

quire

d ca

paci

ty a

nd

capa

bilit

y to

faci

litat

e de

velo

pmen

t and

ut

ilisa

tion

of th

ese

polic

ies,

pro

cedu

res

and

othe

r gui

danc

e fo

r pla

nnin

g, d

eplo

y-m

ent,

man

agem

ent a

nd li

quid

atio

n of

PS

Os

Out

put 2

.2Hu

man

reso

urce

ca

paci

ty o

f Pla

n-ni

ng e

lem

ents

ar

e en

hanc

ed

to th

e re

quire

d le

vels

z

Plan

ning

ele

men

ts h

ave

sust

aina

ble

mid

-term

hum

an re

sour

ce p

lans

and

st

rate

gies

z

Plan

ning

ele

men

ts a

re st

affe

d at

the

requ

ired

leve

ls z

Deta

iled

ToR

are

deve

lope

d fo

r all

post

s w

ithin

pla

nnin

g el

emen

t str

uctu

res

z

Skill

s ass

essm

ents

are

con

duct

ed o

n a

regu

lar b

asis,

and

hum

an re

sour

ce p

lans

ar

e ad

just

ed a

ccor

ding

ly z

Trai

ning

nee

ds a

sses

smen

ts a

re c

ondu

ct-

ed, a

nd ta

rget

ed tr

aini

ng is

pro

vide

d to

ad

dres

s tra

inin

g ne

eds

z

Deve

lopm

ent o

f hum

an re

sour

ce p

lans

an

d st

rate

gies

and

app

rova

l the

reof

z

Post

and

staf

fing

asse

ssm

ent c

ondu

cted

z

Adju

stm

ent o

f ToR

for a

ll po

sts b

ased

on

outc

omes

of a

sses

smen

ts a

nd h

uman

re

sour

ce p

lans

z

Cond

uct o

f ski

lls a

sses

smen

ts z

Cond

uct o

f tra

inin

g ne

eds a

sses

smen

ts z

Recr

uitm

ent o

f per

sonn

el

z

Hum

an re

sour

ce p

lans

and

stra

tegi

es z

Repo

rts o

f pos

t and

staf

fing

asse

ssm

ents

z

ToR

z

Repo

rts o

f ski

lls a

sses

smen

ts z

Repo

rts o

f tra

inin

g ne

eds a

sses

smen

ts z

Recr

uitm

ent s

tatis

tics

z

Polit

ical

will

to st

reng

then

the

plan

ning

el

emen

ts a

t the

AU

Com

miss

ion

and

the

RECs

/RM

s z

Abili

ty o

f the

AU

Com

miss

ion

and

RECs

/RM

s to

recr

uit p

erso

nnel

in a

tim

ely

man

ner

z

Abili

ty to

att

ract

and

reta

in tr

aine

d an

d sk

illed

per

sonn

el w

ithin

the

plan

ning

el

emen

ts

Out

put 2

.3Sy

stem

s and

pr

oced

ures

for

the

plan

ning

of

oper

atio

ns a

re

deve

lope

d an

d in

stitu

tiona

lised

z

Deta

iled

guid

ance

for t

he p

lann

ing

of

oper

atio

ns is

in p

lace

z

Staf

f in

the

plan

ning

ele

men

ts u

tilise

and

ad

here

to th

e pl

anni

ng g

uida

nce

z

The

nece

ssar

y sy

stem

s and

pro

cedu

res

to su

ppor

t the

pla

nnin

g pr

oces

ses a

re

in p

lace

z

Deve

lopm

ent o

f pla

nnin

g gu

idan

ce z

Dial

ogue

foru

ms o

n th

e pl

anni

ng g

uid-

ance

z

Appr

oval

of t

he p

lann

ing

guid

ance

at t

he

requ

ired

leve

ls z

Deve

lopm

ent o

f the

nec

essa

ry sy

stem

s an

d pr

oced

ures

that

und

erpi

n th

e pl

an-

ning

pro

cess

z

Trai

ning

of p

lann

ing

pers

onne

l to

enab

le

them

to p

lan

oper

atio

ns a

s per

the

guid

ance

z

Plan

ning

gui

danc

e z

Repo

rts o

f mee

tings

z

Docu

men

ted

syst

ems a

nd p

roce

dure

s z

Repo

rts o

f tra

inin

g an

d w

orks

hops

z

Man

agem

ent d

ecisi

ons

z

Polit

ical

will

to d

evel

op a

stru

ctur

ed

appr

oach

to th

e pl

anni

ng o

f ope

ratio

ns z

Polit

ical

will

to in

stitu

tiona

lise

plan

ning

sy

stem

s and

pro

cedu

res

z

Abili

ty to

cle

arly

out

line

role

s and

re-

spon

sibili

ties i

n th

e pl

anni

ng p

roce

sses

Stra

tegi

c Pr

iorit

y 2


85

86


utpu

t 2.4

Syst

ems a

nd

proc

edur

es

for t

he m

an-

agem

ent o

f op

erat

ions

are

de

velo

ped

and

inst

itutio

nalis

ed

z

Deta

iled

guid

ance

for t

he m

anag

emen

t of

ope

ratio

ns is

in p

lace

z

Staf

f in

the

plan

ning

ele

men

ts u

tilise

and

ad

here

to th

e m

anag

emen

t gui

danc

e z

The

nece

ssar

y sy

stem

s and

pro

cedu

res

to su

ppor

t the

man

agem

ent p

roce

sses

ar

e in

pla

ce

z

Deve

lopm

ent o

f man

agem

ent g

uida

nce

z

Dial

ogue

foru

ms o

n th

e m

anag

emen

t gu

idan

ce z

Appr

oval

of t

he m

anag

emen

t gui

danc

e at

the

requ

ired

leve

ls z

Deve

lopm

ent o

f the

nec

essa

ry sy

stem

s an

d pr

oced

ures

that

und

erpi

n th

e m

an-

agem

ent p

roce

ss z

Trai

ning

of p

lann

ing

pers

onne

l to

enab

le

them

to m

anag

e op

erat

ions

as p

er th

e gu

idan

ce

z

Man

agem

ent g

uida

nce

z

Repo

rts o

f mee

tings

z

Docu

men

ted

syst

ems a

nd p

roce

dure

s z

Repo

rts o

f tra

inin

g an

d w

orks

hops

z

Man

agem

ent d

ecisi

ons

z

Polit

ical

will

to d

evel

op a

stru

ctur

ed

appr

oach

to th

e m

anag

emen

t of o

per-

atio

ns z

Polit

ical

will

to in

stitu

tiona

lise

man

-ag

emen

t sys

tem

s and

pro

cedu

res a

nd

will

ingn

ess o

f oth

er re

leva

nt d

epar

t-m

ents

to c

ontr

ibut

e to

thes

e pr

oces

ses

as re

quire

d z

Abili

ty to

cle

arly

out

line

role

s and

re

spon

sibili

ties i

n th

e m

anag

emen

t pr

oces

ses

Prob

lem

def

initi

on 3

Cr

itica

l miss

ion

supp

ort s

yste

ms a

nd m

echa

nism

s for

acc

essin

g an

d ac

tivat

ing

stra

tegi

c lif

t and

faci

litat

ing

the

Com

man

d, C

ontr

ol, C

omm

unic

atio

n an

d In

form

atio

n Sy

stem

s (C3

IS) a

s wel

l as r

obus

t ad

min

istra

tive

and

logi

stic

s pol

icie

s and

pro

cess

es a

re n

ot in

pla

ce, c

onst

rain

ing

the

abili

ty to

dep

loy

pers

onne

l and

ass

ets i

nto

miss

ion

area

s and

faci

litat

e m

anag

emen

t as r

equi

red.

Spec

ific

Obj

ectiv

es 3

Cr

itica

l mis

sion

supp

ort s

yste

ms a

nd m

echa

nism

s as w

ell a

s ro

bust

adm

inis

trat

ive

and

logi

stic

s pol

icie

s and

pro

cess

es fo

r de

ploy

men

t, m

anag

emen

t, su

sten

ance

and

liqu

idat

ion

of

oper

atio

ns a

re e

stab

lishe

d

Spec

ific

Obj

ectiv

es 3

Indi

cato

rs

z

Esta

blish

men

t and

ope

ratio

naliz

atio

n of

the

ASF

Cont

inen

tal L

ogist

ics B

ase

to

faci

litat

e m

issio

n st

art-u

p z

Esta

blish

men

t of a

n AU

and

REC

s/RM

s ad

min

istra

tive

and

logi

stic

s sup

port

sy

stem

, mec

hani

sm, p

roce

ss a

nd fr

ame-

wor

k fo

r ASF

ope

ratio

ns z

Exist

ence

of f

orm

al a

gree

men

ts b

etw

een

AU a

nd it

s par

tner

s on

adm

inist

rativ

e an

d lo

gist

ics s

uppo

rt m

echa

nism

s for

AU

PSO

z

Evid

ence

of j

oint

ass

essm

ents

bet

wee

n th

e AU

, REC

s/RM

s and

oth

er p

artn

ers o

n st

rate

gic

lift c

apab

ilitie

s on

the

cont

i-ne

nt, i

nclu

ding

con

tinen

tal m

ovem

ent

coor

dina

tion

and

faci

litat

ion

z

Exist

ence

of f

orm

al a

gree

men

ts c

oncl

ud-

ed b

etw

een

AU a

nd it

s par

tner

s on

sup-

port

for A

U P

SO st

rate

gic

lift c

apab

ilitie

s an

d co

ntin

enta

l mov

emen

t coo

rdin

atio

n an

d fa

cilit

atio

n z

Exist

ence

of f

orm

al a

gree

men

ts c

on-

clud

ed b

etw

een

AU a

nd M

embe

r Sta

tes

stra

tegi

c lif

t cap

abili

ties o

n su

ppor

t for

AU

PSO

z

Esta

blish

men

t and

ope

ratio

nalis

atio

n of

th

e AS

F Co

ntin

enta

l C3I

S ar

chite

ctur

e an

d sy

stem

z

Esta

blish

men

t and

ope

ratio

nalis

atio

n of

the

ASF

Cont

inen

tal a

nd R

egio

nal

Mov

emen

t Con

trol

Cen

tres

(CM

CC) a

nd

(RM

CC) r

espe

ctiv

ely

Sour

ces o

f ver

ifica

tion

z

Stat

us R

epor

t on

the

esta

blish

men

t of

the

Cont

inen

tal L

ogist

ics B

ase

(CLB

) and

av

aila

ble

stra

tegi

c st

ocks

for m

issio

n st

art-u

p z

Stat

us R

epor

t on

the

esta

blish

men

t and

op

erat

iona

lisat

ion

of th

e C3

IS a

rchi

tec-

ture

, CM

CC a

nd R

MCC

z

Fram

ewor

k ag

reem

ents

bet

wee

n AU

(R

ECs/

RMs)

and

Mem

ber S

tate

s on

the

prov

ision

of s

trat

egic

lift

for A

U P

SOs

z

Part

ners

hip,

fram

ewor

k ag

reem

ents

and

Le

tter

s of e

xcha

nge

by A

U a

nd p

artn

ers

z

ecisi

ons b

y au

thor

ities

in A

U a

nd p

artn

er

orga

nisa

tions

/bila

tera

l don

ors

z

Repo

rts a

nd/o

r min

utes

of m

eetin

gs

z

Repo

rts o

f ass

essm

ent v

isits

z

Pres

s rel

ease

s

Assu

mpt

ions

z

Com

mitm

ent b

y al

l sta

keho

lder

s to

es-

tabl

ish, s

tock

and

ope

ratio

naliz

e th

e CL

B z

Afric

an M

embe

r Sta

tes a

re c

omm

itted

to

findi

ng w

ays t

o ad

dres

s crit

ical

cha

lleng

-es

as p

erta

in to

stra

tegi

c lif

t cap

abili

ties,

CM

CC, R

MCC

, C3I

S fo

r PSO

s z

Part

ners

for A

fric

an P

SOs a

re c

omm

itted

an

d w

illin

g to

con

tinue

wor

king

with

AU

and

REC

s/RM

s to

addr

ess c

ritic

al

chal

leng

es a

s per

tain

to st

rate

gic

lift

capa

bilit

ies f

or P

SOs

87

Stra

tegi

c Pr

iorit

y 2

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 3

.1

The

AU h

as a

ro

bust

stra

tegi

c lif

t con

cept

for

PSO

s

z

Exist

ence

of f

orm

al a

gree

men

ts c

oncl

ud-

ed b

etw

een

AU a

nd it

s Mem

ber S

tate

s an

d pa

rtne

rs o

n su

ppor

t to

the

prov

ision

of

stra

tegi

c lif

t, an

d CM

CC/R

MCC

, for

AU

PS

Os

z

Exist

ence

of a

gree

men

ts w

ith p

rivat

e co

ntra

ctor

s for

ASF

stra

tegi

c lif

t cap

abil-

ities

z

Cond

uct a

sses

smen

t of s

trat

egic

lift

and

CM

CC/R

MCC

infr

astr

uctu

re a

nd c

apab

ili-

ties a

t con

tinen

tal a

nd re

gion

al le

vels

z

AU, R

EC/R

M W

orks

hop

to re

view

an

d fin

alise

ASF

stra

tegi

c lif

t con

cept

(c

onsid

erin

g es

peci

ally

pos

sibili

ty fo

r pr

e-ap

prov

ed c

ontr

acts

for s

trat

egic

lift

ca

pabi

litie

s)

z

Deve

lop

actio

n pl

an fo

r str

ateg

ic li

ft, a

nd

CMCC

/RM

CC fo

r AU

PSO

s z

Subm

it fin

alise

d co

ncep

t and

impl

emen

-ta

tion

plan

for c

onsid

erat

ion

and

form

al

endo

rsem

ent b

y po

litic

al p

rinci

ples

z

Esta

blish

the

CMCC

and

the

RMCC

s in

line

with

the

Afric

an S

tand

by F

orce

Str

a-te

gic

Lift

Cap

abili

ty C

once

pt

z

Cons

ulta

tions

with

par

tner

s suc

h as

the

UN

on

stra

tegi

c lif

t sup

port

z

Build

HR

trai

ned

capa

city

to m

anag

e th

e CM

CC a

nd th

e RM

CCs

z

Part

ners

hip

agre

emen

ts

z

Lett

ers o

f exc

hang

e by

AU

and

par

tner

s z

Deci

sions

by

auth

oriti

es in

AU

and

par

t-ne

r org

anisa

tions

/bila

tera

l don

ors

z

Repo

rts a

nd/o

r min

utes

of m

eetin

gs

z

Repo

rts o

f ass

essm

ents

z

Pres

s rel

ease

s

z

Will

of A

U M

embe

r Sta

tes t

o of

fer a

nd

agre

e w

ith th

e AU

on

mod

aliti

es fo

r the

pr

ovisi

on o

f sup

port

for s

trat

egic

lift

ca

pabi

lity,

and

CMCC

/RM

CC, f

or P

SOs

z

Will

of p

artn

ers t

o au

gmen

t, if

requ

ired,

th

e su

ppor

t of A

U M

embe

r Sta

tes f

or

the

prov

ision

of s

uppo

rt fo

r str

ateg

ic

lift c

apab

ility

, and

CM

CC/R

MCC

, for

AU

PS

Os o

r PSO

s

Out

put 3

.2A

suff

icie

nt-

ly fu

nctio

nal

cont

inen

tal C

3IS

syst

em fo

r the

pu

rpos

es o

f Af-

rican

pea

ce su

p-po

rt o

pera

tions

es

tabl

ishe

d

z

Evid

ence

that

the

AU h

as in

pla

ce a

ro

bust

and

effe

ctiv

e C3

IS a

rchi

tect

ure

for

its P

SOs

z

Exist

ence

of C

IS c

onne

ctiv

ity a

nd C

2 ca

pabi

lity

betw

een

the

stra

tegi

c HQ

in

Addi

s and

the

RECs

/RM

s PLA

NEL

Ms a

nd

PSO

s z

Exist

ence

of r

elia

ble

expe

rtise

, fun

ding

an

d ot

her r

esou

rces

for t

he o

ptim

um

func

tioni

ng o

f the

C3I

S sy

stem

z

Exist

ence

of g

uide

lines

and

SO

Ps to

sup-

port

man

agem

ent o

f C3I

S ca

pabi

litie

s z

Exist

ence

of t

rain

ed a

nd h

ighl

y co

mpe

-te

nt e

xper

t per

sonn

el fo

r the

man

age-

men

t of r

outin

e an

d op

erat

iona

l tas

ks

and

activ

ities

of t

he C

3IS

infr

astr

uctu

re

z

Deve

lopm

ent o

f a d

etai

led

stra

tegy

for

enha

nced

and

effe

ctiv

e ca

pabi

litie

s for

in

form

atio

n sh

arin

g an

d co

mm

and

and

cont

rol o

f its

PSO

s z

Revi

ew le

sson

s and

exp

erie

nces

on

C3IS

in

pas

t and

ong

oing

PSO

s z

Und

erta

ke re

view

of t

he c

ontin

enta

l C3I

S ar

chite

ctur

e st

rate

gy

z

Deve

lop

of p

olic

ies,

SO

Ps a

nd g

uide

lines

fo

r int

erop

erab

ility

z

Wor

ksho

p (A

U, R

ECs/

RMs,

and

par

tner

s as

rele

vant

) to

revi

ew a

nd v

alid

ate

the

stra

tegy

z

Deve

lop

a tr

aini

ng (e

xerc

ise) p

lan

and

sche

dule

for t

estin

g an

d va

lidat

ing

C3IS

ca

pabi

litie

s for

PSO

s z

Faci

litat

e tr

aini

ng o

f hig

hly

com

pete

nt

expe

rt p

erso

nnel

for t

he m

anag

emen

t of

rout

ine

and

oper

atio

nal t

asks

and

ac

tiviti

es o

f the

C3I

S in

fras

truc

ture

z

Verif

icat

ion

of th

e C3

IS in

fras

truc

ture

z

Verif

icat

ion

Repo

rt o

f the

AU

C3I

S in

fra-

stru

ctur

e z

Repo

rts o

f tec

hnic

al a

sses

smen

ts, w

ork-

shop

s z

Deci

sions

by

AU, R

EC/R

M, M

embe

r Sta

te

auth

oriti

es

z

Agre

emen

ts w

ith p

artn

ers

z

Pres

s rel

ease

s

z

Afric

an M

embe

r Sta

tes a

re c

omm

itted

to

findi

ng w

ays t

o ad

dres

sing

criti

cal c

hal-

leng

es a

s it p

erta

in to

C3I

S fo

r PSO

s z

Part

ners

for A

fric

an P

SOs a

re c

omm

itted

an

d w

illin

g to

con

tinue

wor

king

with

Af

rican

org

anisa

tions

to a

ddre

ss c

ritic

al

chal

leng

es a

s rel

ated

to C

3IS

z

High

deg

ree

of c

oope

ratio

n be

twee

n AU

an

d th

e RE

Cs/R

Ms


88


utpu

t 3.3

The

CLB

is

esta

blis

hed

and

oper

atio

naliz

ed

and

exis

tenc

e of

su

ffic

ient

leve

l of

fiel

d su

ppor

t m

echa

nism

s to

supp

ort i

ts

oper

atio

ns

z

Esta

blish

men

t and

ope

ratio

naliz

atio

n of

the

ASF

Cont

inen

tal L

ogist

ics B

ase

to

faci

litat

e m

issio

n st

art-u

p z

Exist

ence

of s

uffic

ient

infr

astr

uctu

re,

equi

pmen

t, hu

man

cap

acity

and

oth

er

inte

gral

reso

urce

s to

ensu

re e

ffect

ive-

ness

and

effi

cien

cy in

its m

anag

emen

t of

PSO

s z

Evid

ence

that

whe

re A

U w

ill c

ontin

ue to

re

ly o

n ex

tern

al su

ppor

t, it

has t

he a

bilit

y an

d ca

paci

ty to

effe

ctiv

ely

man

age

and

repo

rt o

n th

at su

ppor

t z

Exist

ence

of l

ist o

f req

uire

d st

ocks

and

eq

uipm

ent a

nd d

eter

min

atio

n on

whi

ch

are

requ

ired

in st

rate

gic

rese

rve,

and

w

hich

will

be

sour

ced

via

pre-

appr

oved

co

ntra

ctin

g ar

rang

emen

ts

z

Und

erta

ke a

com

preh

ensiv

e te

chni

cal

asse

ssm

ent o

f log

istic

s cap

abili

ties o

f RE

Cs/R

Ms a

nd M

embe

r Sta

tes (

with

vi

ew a

lso o

f ide

ntify

ing

pote

ntia

l reg

ion-

al m

ount

ing

base

s) z

Deve

lopm

ent o

f gen

eric

Tab

les o

f Equ

ip-

men

t for

AU

PSO

s acr

oss a

ll co

mpo

nent

s (m

ilita

ry, p

olic

e an

d ci

vilia

n) z

Faci

litat

e AU

C-w

ide

wor

ksho

p on

key

m

issio

n su

ppor

t les

sons

lear

ned

in A

U

oper

atio

ns

z

Faci

litat

e W

orks

hop

of th

e AU

and

REC

s/RM

s to

revi

ew th

e lo

gist

ics d

epot

con

-ce

pt o

f the

ASF

for b

oth

the

cont

inen

tal

and

regi

onal

leve

ls z

Revi

sion

of A

SF m

issio

n su

ppor

t str

ateg

y (in

clud

ing

ASF

supp

ort m

anua

l and

ASF

lo

gist

ics c

once

pt) e

nsur

ing

it is

fully

in-

tegr

ated

; and

that

it p

resc

ribes

fina

ncia

l, ad

min

istra

tive,

pro

cure

men

t, hu

man

re

sour

ce, e

ngin

eerin

g, c

omm

unic

atio

ns

and

othe

r str

uctu

res,

pro

cess

es a

nd

proc

edur

es a

s rel

evan

t for

the

uniq

ue

need

s of P

SOs

z

Subm

issio

n of

revi

sed

Miss

ion

Supp

ort

conc

ept f

or fo

rmal

end

orse

men

t by

AU,

REC/

RM a

nd M

embe

r Sta

te A

utho

ritie

s z

Faci

litat

ion

of p

re-a

ppro

ved

cont

ract

s (fo

r cer

tain

serv

ices

and

equ

ipm

ent)

, pa

rtic

ular

ly fo

r miss

ion

star

t-ups

z

Stat

us R

epor

t on

the

esta

blish

men

t of

the

CLB

and

avai

labl

e st

ocks

for m

issio

n st

art-u

p z

Avai

labi

lity

of G

ener

ic T

able

s of E

quip

-m

ent f

or A

U P

SOs a

cros

s all

com

pone

nts

(mili

tary

, pol

ice

and

civi

lian)

z

Revi

sed

Miss

ion

Supp

ort c

once

pt fo

r im

plem

enta

tion

in A

U P

SOs

z

Pre-

appr

oved

con

trac

ts (f

or c

erta

in

serv

ices

and

equ

ipm

ent)

, par

ticul

arly

for

Miss

ion

Star

t-ups

z

Com

mitm

ent b

y al

l sta

keho

lder

s to

es-

tabl

ish, s

tock

and

ope

ratio

naliz

e th

e CL

B z

Repo

rts a

nd/o

r min

utes

of w

orks

hops

an

d m

eetin

gs

z

Deci

sions

by

polit

ical

aut

horit

ies (

AU/

REC/

RM/M

embe

r Sta

tes)

z

Will

by

AU, R

ECs/

RMs a

nd M

embe

r St

ates

to a

ppro

ve th

e fa

cilit

atio

n of

pr

e-ap

prov

ed c

ontr

acts

(for

cer

tain

se

rvic

es a

nd e

quip

men

t)

Out

put 3

.4

The

AU h

as

enha

nced

co

oper

atio

n w

ith p

artn

ers o

n pr

edic

tabl

e an

d fle

xibl

e su

ppor

t fo

r the

ASF

z

Exist

ence

of f

orm

al a

gree

men

ts c

on-

clud

ed b

etw

een

AU a

nd it

s par

tner

s on

supp

ort t

he A

SF z

Evid

ence

of c

oord

inat

ed m

issio

n su

ppor

t re

quire

men

ts b

etw

een

the

AU a

nd m

ulti-

late

ral/b

ilate

ral p

artn

ers

z

Cond

uct j

oint

ass

essm

ents

with

the

AU

to a

sses

s PSO

requ

irem

ents

z

Cons

ulta

tions

with

UN

to a

gree

on

and

deve

lop

MoU

on

use

of E

nteb

be lo

gist

ics

depo

t for

ess

entia

l equ

ipm

ent a

nd

stoc

ks e

tc. f

or th

e AS

F an

d es

peci

ally

for

miss

ion

star

t up

purp

oses

z

Mee

tings

and

form

al a

gree

men

ts w

ith

othe

r cor

e de

velo

pmen

tal p

artn

ers t

o di

scus

s ASF

miss

ion

supp

ort a

nd lo

gist

ics

appr

oach

and

are

as fo

r sup

port

z

Part

ners

hip

agre

emen

ts

z

Lett

ers o

f exc

hang

e by

AU

and

par

tner

s z

Deci

sions

by

auth

oriti

es in

AU

and

par

t-ne

r org

anisa

tions

/bila

tera

l don

ors

z

Repo

rts a

nd/o

r min

utes

of m

eetin

gs

z

Pres

s rel

ease

s

z

Will

ingn

ess o

f par

tner

s to

corp

orat

e w

ith

the

AU z

Deci

sions

by

the

polic

y or

gans

or

deci

sion-

mak

ing

bodi

es o

f par

tner

s to

prov

ide

the

requ

ired

supp

ort n

eede

d by

th

e AU

Prob

lem

def

initi

on 4

Unc

erta

inty

abo

ut th

e pr

edic

tabi

lity

of th

e pl

edge

s mad

e by

Mem

ber S

tate

s for

mili

tary

and

pol

ice

pers

onne

l as w

ell a

s coo

pera

tion

in p

opul

atin

g th

e AS

C Ro

ster

with

the

requ

ired

civi

lian

pers

on-

nel,

incl

udin

g th

e ch

alle

nge

to v

erify

and

adj

ust t

rain

ing

of th

ese

capa

bilit

ies t

o be

tter

mee

t ope

ratio

nal r

equi

rem

ents

Spec

ific

Obj

ectiv

e 4:

To e

nsur

e th

e ef

ficie

ncy

of th

e AS

F hu

man

reso

urce

man

age-

men

t

Spec

ific

Obj

ectiv

e 4

Indi

cato

rs z

Exist

ence

of h

arm

onise

d tr

aini

ng st

and-

ards

and

dire

ctiv

es z

Exist

ence

of t

rain

ing

eval

uatio

n, a

sses

s-m

ent,

cert

ifica

tion,

ver

ifica

tion

syst

ems

z

Evid

ence

of a

dequ

ate

capa

city

by

trai

n-in

g ce

ntre

s and

inst

itutio

ns to

supp

ort

AU in

faci

litat

ing

requ

ired

and

targ

eted

tr

aini

ng p

roce

sses

usin

g AU

har

mon

ised

trai

ning

stan

dard

s in

line

with

Ann

ual

ASF

Trai

ning

dire

ctiv

es z

Cont

inua

tion

of th

e Tr

aini

ng C

entr

es

Prog

ram

me

to fa

cilit

ate

supp

ort t

o tr

ain-

ing

inst

itutio

ns to

del

iver

and

con

duct

tr

aini

ng fo

r the

AU

and

ASF

z

Evid

ence

that

the

ASF

has s

uffic

ient

ly

qual

ified

and

skill

ed c

apac

ities

and

ca

pabi

litie

s (m

ilita

ry, p

olic

e an

d ci

vilia

n)

pled

ged/

on st

andb

y an

d on

the

ASC

Rost

er z

Evid

ence

of t

he p

rom

otio

n an

d ut

ilisa

-tio

n of

the

ASC

rost

er a

s a re

crui

tmen

t to

ol a

nd a

ppro

ved

hum

an re

sour

ce p

oli-

cy fr

amew

orks

and

fiel

d op

erat

ions

pro

-ce

dure

s tha

t fac

ilita

te ra

pid

depl

oym

ent

and

man

agem

ent o

f fie

ld p

erso

nnel

z

Evid

ence

and

util

isatio

n of

ade

quat

e (c

i-vi

lian)

recr

uitm

ent/

depl

oym

ent p

olic

ies

and

proc

esse

s for

fiel

d m

issio

ns z

Evid

ence

of t

rain

ing

and

rost

erin

g lin

kage

s to

faci

litat

e ra

pid

depl

oym

ent o

f qu

alifi

ed, e

xper

ienc

ed a

nd w

ell-t

rain

ed

pers

onne

l ple

dged

for A

SF o

pera

tions

Sour

ces o

f ver

ifica

tion

z

Trai

ning

Dire

ctiv

es a

nd st

anda

rds

z

Repo

rts o

f mee

tings

z

Trai

ning

cer

tific

atio

n st

rate

gy z

Mon

itorin

g re

port

s z

Trai

ning

stat

istic

s z

Trai

ning

ver

ifica

tion

syst

em z

Repo

rts f

rom

sim

ulat

ion

and

verif

icat

ion

exer

cise

s z

Rost

er st

atist

ics

z

Repo

rts o

f exe

rcise

s z

Recr

uitm

ent s

tatis

tics a

nd a

naly

sis z

Repo

rts o

f rec

ruitm

ent a

fter a

ctio

n re

view

s

Assu

mpt

ions

z

High

deg

ree

of c

oope

ratio

n be

twee

n AU

Co

mm

issio

n, R

ECs/

RMs,

Mem

ber S

tate

s,

trai

ning

cen

tres

and

trai

ning

pro

vide

rs

can

be a

ttai

ned

z

Will

by

trai

ning

stak

ehol

ders

to a

dher

e to

trai

ning

cer

tific

atio

n z

Will

by

trai

ning

stak

ehol

ders

to su

ppor

t tr

aini

ng v

erifi

catio

n z

ASC

Rost

er is

fully

ow

ned

and

deem

ed

usef

ul b

y th

e AU

Com

miss

ion

and

RECs

/RM

s z

Rost

erin

g sy

stem

s and

pro

cedu

res a

re

impl

emen

ted

and

utili

sed

z

Suffi

cien

t hum

an re

sour

ces a

t the

re

quire

d po

ints

with

in th

e Ro

ster

syst

em

to e

nabl

e it

to fu

nctio

n ap

prop

riate

ly

89

Stra

tegi

c Pr

iorit

y 2


90


utpu

tsO

utpu

ts In

dica

tors

Stra

tegi

es/A

ctiv

ities

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 4

.1

Trai

ning

dire

c-tiv

es, s

tand

ards

an

d re

quire

-m

ents

whi

ch

mee

t ope

ratio

n-al

requ

irem

ents

ar

e de

velo

ped

by th

e AU

z

Issu

ance

of T

rain

ing

Dire

ctiv

es a

nd

exist

ence

of t

rain

ing

stan

dard

s tha

t are

al

igne

d to

ope

ratio

nal r

equi

rem

ents

z

Evid

ence

that

thes

e st

anda

rds a

re re

gu-

larly

revi

ewed

, adj

uste

d an

d di

ssem

inat

-ed

to re

leva

nt st

akeh

olde

rs z

Agre

emen

t bet

wee

n AU

, REC

s/RM

s,

trai

ning

cen

tres

, tra

inin

g pr

ovid

ers a

nd

part

ners

on

thei

r rol

es in

line

with

thei

r le

vels

of re

spon

sibili

ties a

s per

the

cont

i-ne

ntal

trai

ning

arc

hite

ctur

e z

Exist

ence

of a

syst

em fo

r tra

inin

g ev

al-

uatio

n, a

sses

smen

t, ce

rtifi

catio

n an

d ve

rific

atio

n z

Evid

ence

that

trai

ning

nee

ds a

nd

requ

irem

ents

are

regu

larly

revi

ewed

as

agai

nst e

xper

ienc

es a

nd le

sson

s z

Cont

inua

tion

of th

e Tr

aini

ng C

entr

es

Prog

ram

me

to fa

cilit

ate

supp

ort t

o tr

ain-

ing

inst

itutio

ns to

del

iver

and

con

duct

tr

aini

ng fo

r the

AU

and

ASF

z

Draf

ting

of tr

aini

ng st

anda

rds b

ased

on

less

ons l

earn

ed fr

om c

urre

nt o

pera

tions

z

Dial

ogue

foru

ms o

n tr

aini

ng st

anda

rds

with

stak

ehol

ders

z

Supp

ort t

o tr

aini

ng c

entr

es to

ena

ble

them

faci

litat

e AS

F tr

aini

ng in

line

with

AU

stra

tegi

c di

rect

ion

and

guid

ance

z

Deve

lop

trai

ning

mod

ule

with

supp

ort

from

Afr

ican

trai

ning

pro

vide

rs a

nd o

ther

ex

pert

s as r

elev

ant

z

Cond

uct t

rain

ing

for a

ll re

leva

nt st

ake-

hold

ers a

t the

AU,

REC

s/RM

s and

fiel

d op

erat

ions

z

Trai

ning

dire

ctiv

es a

nd st

anda

rds

z

Repo

rts o

f mee

tings

z

Real

ignm

ent o

f the

trai

ning

cen

tres

pr

ogra

mm

e to

mee

t spe

cific

trai

ning

re

quire

men

ts

z

Abili

ty to

tran

slate

ope

ratio

nal l

esso

ns

lear

ned

into

trai

ning

gui

danc

e w

hich

is

suite

d to

ope

ratio

nal r

equi

rem

ents

z

Abili

ty to

tran

slate

trai

ning

gui

danc

e in

to

trai

ning

out

puts

at a

rapi

d pa

ce z

Buy-

in to

, and

ow

ners

hip

of, t

rain

ing

stan

dard

s by

all s

take

hold

ers

z

Will

and

ava

ilabl

e fu

ndin

g fo

r the

co

ntin

uatio

n of

the

Trai

ning

Cen

tres

Pr

ogra

mm

e to

supp

ort T

rain

ing

Cen-

tres

in fa

cilit

atin

g AU

spec

ific

trai

ning

pr

ogra

mm

es

Out

put 4

.2Th

e AU

has

de

velo

ped

a tr

aini

ng c

ertif

ica-

tion

syst

em

z

Exist

ence

of a

trai

ning

cer

tific

atio

n sy

stem

z

Acce

ptan

ce o

f, an

d bu

y-in

to, t

he tr

ain-

ing

cert

ifica

tion

syst

em z

Adhe

renc

e to

the

trai

ning

cer

tific

atio

n sy

stem

z

Acce

ssib

le c

ertif

ied

trai

ning

stat

istic

s on

a re

gula

rly u

pdat

ed b

asis

z

Desig

n an

d de

velo

pmen

t of a

trai

ning

ce

rtifi

catio

n sy

stem

z

Dial

ogue

foru

m w

ith st

akeh

olde

rs o

n de

velo

pmen

t of t

he c

ertif

icat

ion

syst

em z

Roll-

out o

f tra

inin

g ce

rtifi

catio

n sy

stem

z

Mon

itorin

g of

, and

repo

rtin

g on

, com

pli-

ance

with

cer

tific

atio

n sy

stem

z

Gath

erin

g, c

ompi

ling,

ana

lysin

g an

d di

ssem

inat

ing

trai

ning

stat

istic

s

z

Trai

ning

cer

tific

atio

n st

rate

gy z

Repo

rts o

f mee

tings

z

Mon

itorin

g re

port

s z

Trai

ning

stat

istic

s

z

Will

by

all s

take

hold

ers t

o pa

rtic

ipat

e in

the

deve

lopm

ent o

f, an

d be

hel

d ac

coun

tabl

e to

, a tr

aini

ng c

ertif

icat

ion

syst

em z

Suita

bilit

y of

the

syst

em, a

nd th

e ab

ility

to

impl

emen

t it a

t the

requ

ired

leve

ls

Out

put 4

.3Th

e AU

has

de

velo

ped

a tr

aini

ng v

erifi

ca-

tion

syst

em

z

Exist

ence

of a

trai

ning

ver

ifica

tion

syst

em z

Acce

ptan

ce o

f, an

d bu

y-in

to, t

he tr

ain-

ing

verif

icat

ion

syst

em z

Cond

uct o

f tra

inin

g ve

rific

atio

n ex

erci

s-es

/act

iviti

es o

n a

regu

lar b

asis

z

Desig

n an

d de

velo

pmen

t of a

trai

ning

ve

rific

atio

n sy

stem

z

Dial

ogue

foru

m w

ith st

akeh

olde

rs o

n de

velo

pmen

t of t

he v

erifi

catio

n sy

stem

z

Cond

uct o

f tra

inin

g ve

rific

atio

n ex

erci

ses

z

Trai

ning

ver

ifica

tion

syst

em z

Repo

rts o

f mee

tings

z

Repo

rts f

rom

ver

ifica

tion

exer

cise

s

z

Will

by

all s

take

hold

ers t

o pa

rtic

ipat

e in

the

deve

lopm

ent o

f, an

d be

hel

d ac

coun

tabl

e to

, a tr

aini

ng v

erifi

catio

n sy

stem

z

Suita

bilit

y of

the

syst

em, a

nd th

e ab

ility

to

impl

emen

t it a

t the

requ

ired

leve

ls z

Abili

ty to

und

erta

ke v

erifi

catio

n ex

erci

ses

91

Stra

tegi

c Pr

iorit

y 2


Out

put 4

.4Th

e AS

C Ro

ster

is

pop

ulat

ed

with

can

dida

tes

as p

er th

e re

-qu

ired

stan

dard

s co

ntai

ned

in

the

Sele

ctio

n G

uide

lines

M

anua

l and

ot

her s

imila

r/re

leva

nt p

olic

y do

cum

ents

z

Popu

latio

n of

the

data

base

with

suita

ble

cand

idat

es z

Adhe

renc

e to

the

sele

ctio

n st

anda

rds

and

crite

ria z

Avai

labi

lity

of a

pro

port

ion

of th

e ca

ndi-

date

s for

dep

loym

ent i

f req

uire

d z

Trai

ning

and

skill

s enh

ance

men

t pro

cess

-es

faci

litat

ed to

pre

pare

per

sonn

el fo

r ra

pid

depl

oym

ent

z

Awar

enes

s-ra

ising

by

AU, R

ECs/

RMs a

nd

Mem

ber S

tate

s of t

he A

SC R

oste

r z

Rost

er re

crui

tmen

t driv

es z

Cond

uct o

f ass

essm

ents

of m

embe

rs o

f th

e ro

ster

to se

t sta

ndar

ds z

Recr

uitm

ent s

imul

atio

n ex

erci

ses

z

Cond

uct o

f tra

inin

g co

urse

s on

the

AU

PSO

cou

rse

cate

gorie

s to

faci

litat

e sk

ills

enha

ncem

ent o

f ASC

per

sonn

el

z

Repo

rts o

f mee

tings

z

Repo

rts o

f ass

essm

ents

z

Rost

er st

atist

ics

z

Repo

rts o

f sim

ulat

ion

exer

cise

s z

Repo

rts o

n le

vel o

f ade

quac

y of

trai

ning

an

d sk

ills e

nhan

cem

ent p

rogr

amm

es

z

Suffi

cien

t num

ber o

f can

dida

tes a

re

inte

rest

ed in

bec

omin

g m

embe

rs o

f the

ro

ster

, and

app

ly z

Appl

icat

ion

proc

edur

es a

re tr

ansp

aren

t an

d op

en to

thos

e w

ho a

re in

tere

sted

z

The

rost

er d

atab

ase

whi

ch u

nder

pins

the

syst

em w

orks

to th

e de

gree

requ

ired

z

Scre

enin

g an

d se

lect

ion

stan

dard

s are

im

plem

ente

d z

Trai

ning

and

skill

s enh

ance

men

t pro

-gr

amm

es a

re ta

rget

ed a

t ASC

per

sonn

el

acco

rdin

g to

thei

r are

as o

f exp

ertis

e an

d ex

pect

ed d

eplo

ymen

t rol

es a

nd re

spon

-sib

ilitie

s

Out

put 4

.5Th

e AS

C Ro

ster

is

util

ised

as t

he

recr

uitm

ent t

ool

for d

eplo

ymen

ts

into

fiel

d op

er-

atio

ns

z

Coop

erat

ion

betw

een

user

dep

artm

ents

an

d HR

dep

artm

ents

on

recr

uitm

ent f

or

oper

atio

ns z

Util

isatio

n of

ASC

Ros

ter p

roce

dure

s for

re

crui

tmen

t for

ope

ratio

ns z

A pr

e-de

term

ined

per

cent

age

of p

erso

n-ne

l are

recr

uite

d fr

om th

e ro

ster

z

Dial

ogue

foru

ms w

ithin

AU

and

REC

s/RM

s bet

wee

n re

leva

nt d

epar

tmen

ts o

n re

crui

tmen

t for

fiel

d op

erat

ions

z

Util

isatio

n of

rost

er sy

stem

s and

pro

ce-

dure

s for

full

recr

uitm

ent c

ycle

z

Asse

ssm

ent o

f rec

ruitm

ent p

roce

sses

for

oper

atio

ns, a

nd g

ener

atio

n of

less

ons

lear

ned

z

Util

isatio

n of

less

ons l

earn

ed in

furt

her

recr

uitm

ent c

ycle

s

z

Repo

rts o

f mee

tings

z

Recr

uitm

ent s

tatis

tics a

nd a

naly

sis z

Repo

rts o

f rec

ruitm

ent a

fter a

ctio

n re

view

s

z

Buy-

in to

, and

ow

ners

hip

of, t

he ro

ster

as

a us

eful

tool

for r

ecru

itmen

t by

stak

e-ho

lder

s z

Coop

erat

ion

betw

een

the

AU a

nd R

ECs/

RMs t

o en

able

effi

cien

t rec

ruitm

ent

z

Util

isatio

n of

rost

er re

crui

tmen

t sys

tem

s an

d pr

oced

ures

z

Suita

ble

num

ber o

f qua

lifie

d pe

rson

nel

avai

labl

e in

the

rost

er w

hen

requ

ired

92


Med

iatio

n

Stra

tegi

c Pr

iorit

y O

bjec

tive

To c

ontr

ibut

e to

the

effe

ctiv

e an

d co

ordi

nate

d m

anag

emen

t and

reso

lutio

n of

con

flict

s and

cr

ises

thro

ugh

med

iatio

n by

the

AU a

nd th

e RE

Cs

Stra

tegi

c O

bjec

tive

Indi

cato

rs z

Evid

ence

of t

imel

y an

d co

ordi

nate

d m

edia

-tio

n in

terv

entio

ns b

y th

e AU

, REC

s/RM

s z

Evid

ence

of e

nhan

ced

capa

city

at t

he A

U,

RECs

/RM

s to

plan

, dep

loy,

man

age

and

sup-

port

med

iatio

n in

terv

entio

ns

z

Evid

ence

of e

nhan

ced

capa

city

by

acto

rs a

t na

tiona

l lev

el to

pla

n an

d co

nduc

t med

iatio

n in

terv

entio

ns z

Evid

ence

of e

nhan

ced

coop

erat

ion

betw

een

the

AU, R

ECs/

RMs a

nd th

e U

N o

n m

edia

tion

inte

rven

tions

Sour

ces o

f ver

ifica

tion

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

Know

ledg

e M

anag

emen

t Fra

mew

ork

(AU

) Re

port

s of j

oint

miss

ions

by

AU a

nd R

ECs/

RMs

Repo

rts f

rom

REC

s/RM

s med

iatio

n st

ruct

ures

an

d ot

her a

ctiv

ity re

port

s M

edia

repo

rts

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

Assu

mpt

ions

z

Will

and

com

mitm

ent f

rom

all

stak

ehol

ders

to

rega

rd m

edia

tion

as a

key

tool

for t

he m

aint

e-na

nce

of p

eace

and

secu

rity

z

Will

and

com

mitm

ent b

y AU

and

REC

s to

colla

bora

te o

n m

edia

tion

inte

rven

tions

; z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

lder

s to

prof

essio

nalis

e m

edia

tion

in th

eir r

espe

ctiv

e or

gani

satio

ns

z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

lder

s to

putt

ing

into

pra

ctic

e w

hat t

hey

com

mitt

ed to

; z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Prob

lem

def

initi

on 5

Med

iatio

n is

incr

easin

gly

used

by

the

AU, R

ECs/

RMs a

nd a

t nat

iona

l lev

el a

s an

appr

oach

to th

e pe

acef

ul se

ttle

men

t of d

isput

es a

nd c

onfli

cts.

Med

iatio

n is

here

und

erst

ood

as a

stru

ctur

ed p

roce

ss,

invo

lvin

g a

third

par

ty w

ho is

not

a p

arty

to th

e co

nflic

t, th

e ac

cept

ance

of m

edia

tion

and

a pa

rtic

ular

med

iato

r by

part

ies t

o a

disp

ute,

and

the

volu

ntar

y na

ture

of a

gree

men

ts re

ache

d. W

ithin

the

cont

ext o

f the

AU,

the

Chai

rper

son

norm

ally

app

oint

s Spe

cial

Env

oys a

nd S

peci

al R

epre

sent

ativ

es to

con

duct

stru

ctur

ed m

edia

tion

proc

esse

s. T

here

are

a n

umbe

r of k

ey c

halle

nges

at p

rese

nt:

z

The

abse

nce

of a

pro

fess

iona

lised

app

roac

h to

med

iatio

n an

d su

stai

ned

prof

essio

nal s

uppo

rt to

med

iato

rs a

t the

AU

and

the

RECs

(Med

iatio

n Su

ppor

t Uni

ts) t

hat w

ould

con

stitu

te a

cen

tre

of

exce

llenc

e on

med

iatio

n w

ithin

the

AU a

nd th

e RE

Cs, c

oord

inat

e th

e de

velo

pmen

t of e

xper

tise

in m

edia

tion

and

prev

entiv

e di

plom

acy,

and

coor

dina

te su

ppor

t to

med

iato

rs z

Exist

ing

stru

ctur

es a

nd p

roce

sses

are

inad

equa

te fo

r rap

id d

eplo

ymen

t of m

edia

tion

and

prev

entiv

e di

plom

acy

inte

rven

tions

, inc

ludi

ng fl

exib

le fu

ndin

g.

Spec

ific

Obj

ectiv

e 5

Enha

nced

cap

acity

of t

he A

U a

nd th

e RE

Cs/R

Ms t

o pl

an,

depl

oy, m

anag

e, su

ppor

t and

mon

itor m

edia

tion

inte

rven

-tio

ns.

Spec

ific

Obj

ectiv

e 5

Indi

cato

rs z

Evid

ence

of e

ffici

ent m

edia

tion

inte

rven

-tio

ns

z

Evid

ence

of o

pera

tiona

lizat

ion

of M

edi-

atio

n Su

ppor

t Uni

ts a

t the

AU

and

the

RECs

/RM

s; z

Evid

ence

and

doc

umen

tatio

n of

the

use

of th

e gu

idan

ce c

onta

ined

in th

e 20

12

SOPs

for M

edia

tion

Supp

ort (

note

that

th

ese

have

cle

ar g

uida

nce

on: a

ppoi

ntin

g an

d hi

ring

proc

esse

s for

lead

med

iato

r; de

cisio

n to

dep

loy

a m

edia

tor;

crea

ting

a m

edia

tion

rost

er; d

evel

opin

g m

edia

tion

man

date

s; c

reat

ing

an A

U m

edia

tion

team

(nee

ded

expe

rtise

and

cap

acity

, co

re te

am m

embe

rs, r

esou

rce

pers

ons)

; m

edia

tor p

re-d

eplo

ymen

t brie

fings

; de

sign

of m

edia

tion

stra

tegi

es; f

undi

ng,

etc.

z

Evid

ence

and

doc

umen

tatio

n of

the

use

of th

e Kn

owle

dge

Man

agem

ent F

ram

e-w

ork

for M

edia

tion

(less

ons l

earn

ed, e

tc)

z

Evid

ence

of r

evie

ws a

nd e

valu

atio

ns o

f co

nclu

ded

AU a

nd R

ECs/

RMs m

edia

tions

Ev

iden

ce o

f har

mon

izatio

n of

nat

iona

l m

echa

nism

s with

REC

s

Sour

ces o

f ver

ifica

tion

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Pane

l of t

he W

ise S

ecre

taria

t rep

orts

; z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Repo

rts f

rom

REC

s/RM

s med

iatio

n st

ruct

ures

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts z

Repo

rts o

f con

sulta

tive

wor

ksho

ps/jo

int

miss

ions

bet

wee

n AU

and

REC

s/RM

s

Assu

mpt

ions

z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

lder

s to

stre

amlin

e a

prof

essio

nal a

ppro

ach

to

med

iatio

n in

thei

r res

pect

ive

orga

nisa

-tio

ns;

z

Polit

ical

will

and

com

mitm

ent b

y al

l re

leva

nt st

akeh

olde

rs to

col

labo

rate

and

co

ordi

nate

thei

r med

iatio

n in

terv

en-

tions

; z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Stra

tegi

c Pr

iorit

y 2


93

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 5

.1AU

, REC

s/RM

s an

d na

tiona

l le

vel a

ctor

s (in

-cl

udin

g pa

rtie

s to

a n

egot

ia-

tion/

med

iatio

n)

invo

lved

in m

e-di

atio

n m

issi

ons

are

equi

pped

an

d su

ppor

ted

with

rele

vant

ca

paci

ties f

or

effe

ctiv

e m

edi-

atio

n in

terv

en-

tions

z

Med

iatio

n Su

ppor

t Uni

ts a

t the

AU

and

the

RECs

/RM

s are

crea

ted

and

func

tioni

ng z

AU O

pera

tiona

l Sup

port

Team

is cr

eate

d an

d fu

nctio

ning

; z

Targ

eted

/tai

lore

d tr

aini

ng to

spec

ial

envo

ys, r

epre

sent

ativ

es a

nd th

eir t

eam

s co

nduc

ted;

(spe

cial e

nvoy

s and

repr

e-se

ntat

ives

hav

e st

reng

then

ed ca

pacit

y to

de

sign,

pla

n, d

eplo

y, m

anag

e an

d m

onito

r m

edia

tion

inte

rven

tions

); z

Supp

ort t

o m

edia

tors

in th

e fie

ld is

pr

ovid

ed;

z

PSD

Rost

er is

ope

ratio

nal (

as re

gard

s the

m

edia

tion

dim

ensio

n) a

nd u

sed;

z

CEW

S an

d PS

D De

sk O

ffice

rs a

re in

volv

ed

in m

edia

tion

plan

ning

and

pra

ctice

; z

Enha

nced

capa

city

of th

e RE

Cs to

initi

ate

and

carr

y ou

t med

iatio

ns in

thei

r res

pec-

tive

regi

ons

z

RECs

/RM

s est

ablis

h an

d op

erat

iona

lize

Med

iatio

n Su

ppor

t Uni

ts

z

RECs

/RM

s are

ade

quat

ely

prep

ared

to

depl

oy m

edia

tors

with

logi

stica

l and

fin

ancia

l sup

port

whe

n th

e ne

ed a

rises

z

Evid

ence

of A

U pr

ovisi

on o

f sup

port

to

RECs

/RM

s ong

oing

effo

rts t

o de

velo

p m

edia

tion

rost

ers;

z

The

Know

ledg

e M

anag

emen

t Fra

mew

ork

is be

ing

used

; z

The

AU a

nd th

e RE

Cs/R

Ms m

akes

mor

e us

e of

wom

en m

edia

tors

; z

Evid

ence

that

gen

der i

ssue

s are

syst

emat

-ica

lly in

clude

d in

the

med

iatio

n pr

oces

s;;

z

Cont

inen

tal N

etw

ork

of W

omen

med

ia-

tors

est

ablis

hed;

z

Linka

ges b

etw

een

natio

nal e

ffort

s/pe

ace

proc

esse

s reg

iona

l med

iatio

n ef

fort

s es

tabl

ished

z

Evid

ence

of s

tren

gthe

ned

colla

bora

tion

betw

een

AU a

nd R

ECs/

RMs m

edia

tion

stru

ctur

es/s

uppo

rt u

nits

z

Evid

ence

of e

nhan

ced

netw

orki

ng a

mon

g w

omen

bas

ed C

SOs e

ngag

ed in

Trac

k II

proc

esse

s z

RECs

to e

stab

lish

Regi

onal

Ass

ocia

tions

of

Wom

en M

edia

tors

; z

Part

ies t

o a

nego

tiatio

n/m

edia

tion

are

equi

pped

with

the

tech

nica

l kno

wle

dge

to

part

icipa

te in

neg

otia

tions

/med

iatio

n z

Fund

raisi

ng/f

inan

cial s

usta

inab

ility

stra

te-

gy a

gree

d

z

Fina

lise

cons

ulta

tions

and

stra

tegi

es fo

r im

plem

enta

tion

of M

edia

tion

Supp

ort

Uni

ts a

t AU

and

the

RECs

/RM

s; z

Impl

emen

tatio

n of

the

2012

SO

Ps fo

r M

edia

tion

Supp

ort (

incl

udin

g de

cisio

n on

app

oint

men

ts, p

re-d

eplo

ymen

t sta

rt-

up p

hase

, ope

ratio

nal p

lans

, etc

); z

Impl

emen

tatio

n of

the

Know

ledg

e M

anag

emen

t Fra

mew

ork

for M

edia

tion

Proc

esse

s is b

eing

use

d in

pre

vent

ive

dipl

omac

y m

issio

ns;

z

Cond

uct n

eeds

ass

essm

ent s

urve

y w

ith

Spec

ial E

nvoy

s, R

epre

sent

ativ

es, P

SC a

nd

Chai

rper

son’

s offi

ce;

z

Targ

eted

/tai

lore

d tr

aini

ng to

Spe

cial

En

voys

, Rep

rese

ntat

ives

and

also

AU

Li

aiso

n O

ffice

s; z

Deve

lopm

ent o

f con

cept

not

e fo

r “O

per-

atio

nal S

uppo

rt Te

am”;

z

Prom

ote

clos

er in

tera

ctio

n be

twee

n al

l sp

ecia

l env

oys a

nd re

pres

enta

tives

by,

amon

g ot

hers

, exp

andi

ng th

e on

e-da

y m

eetin

g at

the

High

Lev

el R

etre

at z

Clos

er in

tera

ctio

n w

ith C

EWS

and

PSD

desk

offi

cers

(inc

ludi

ng d

eplo

ying

them

m

ore

ofte

n in

med

iatio

n in

terv

entio

ns);

z

AU, U

N a

nd o

ther

par

tner

s pro

vide

su

ppor

t in

build

ing

the

capa

city

of n

ewly

es

tabl

ished

med

iatio

n su

ppor

t uni

ts a

t th

e RE

Cs/R

Ms;

z

Prom

otio

n of

wom

en a

s med

iato

rs a

nd

gend

er is

sues

in m

edia

tion

z

Esta

blish

men

t of a

Con

tinen

tal N

etw

ork

of W

omen

med

iato

rs;

z

RECs

/RM

s to

unde

rtak

e as

sess

men

ts o

f na

tiona

l med

iatio

n ca

paci

ties;

z

RECs

/RM

s to

deve

lop

capa

city

bui

ldin

g pr

ogra

mm

es o

n m

edia

tion

to n

atio

nal

acto

rs;

z

Trai

ning

of n

egot

iatio

n/m

edia

tion

dele

-ga

tions

; z

Deve

lop

a st

rate

gy fo

r fun

d ra

ising

and

su

stai

nabi

lity

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts z

Repo

rts o

f tra

inin

gs p

rovi

ded/

expe

rienc

e sh

arin

g w

orks

hops

bet

wee

n th

e AU

and

th

e RE

Cs/R

Ms

z

AU/R

ECs/

RMs n

atio

nal m

edia

tion

stru

c-tu

res c

apac

ity a

nd n

eeds

ass

essm

ent

repo

rts

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s;

94


oble

m d

efin

ition

6In

add

ition

, and

as r

egar

ds m

edia

tion:

z

The

abse

nce

of a

pre

vent

ive

dipl

omac

y/m

edia

tion

“sys

tem

” th

at p

rom

otes

, coo

rdin

ates

and

sync

hron

ises e

arly

pea

cem

akin

g ac

tions

by

the

PSC,

the

Chai

rper

son,

the

Pane

l of t

he W

ise/F

riend

s of

the

Pane

l/Pan

Wise

z

The

abse

nce

of m

echa

nism

s and

pro

cedu

res f

or e

nsur

ing

coor

dina

tion

and

coop

erat

ion

betw

een

the

AU, R

ECs/

RMs a

nd th

e U

N in

med

iatio

n an

d pr

even

tive

dipl

omac

y in

itiat

ives

.

Spec

ific

Obj

ectiv

e 6

Enha

nced

coo

rdin

atio

n be

twee

n th

e AU

, the

REC

s/RM

s and

th

e U

N o

n m

edia

tion

inte

rven

tions

Spec

ific

Obj

ectiv

e 6

Indi

cato

rs z

Exam

ples

of c

oord

inat

ed m

edia

tion

inte

rven

tions

by

AU, R

ECs/

RMs a

nd U

N;

z

Evid

ence

of i

nfor

mat

ion-

shar

ing

and

join

t dec

ision

-mak

ing

betw

een

AU a

nd

RECs

/RM

s; z

Evid

ence

of j

oint

med

iatio

n en

deav

ours

; z

Evid

ence

of j

oint

ana

lysis

and

ass

ess-

men

t bet

wee

n AU

and

REC

s/RM

s z

Foru

m o

f AU

/REC

/RM

s med

iatio

n fo

cal

poin

ts

Sour

ces o

f ver

ifica

tion

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Repo

rts o

f med

iatio

n in

terv

entio

ns b

y RE

Cs/R

Ms

Assu

mpt

ions

z

Will

and

com

mitm

ent f

rom

all

stak

ehol

d-er

s to

rega

rd p

reve

ntiv

e di

plom

acy

and

med

iatio

n as

inte

r-lin

ked

tool

s for

the

mai

nten

ance

of p

eace

and

secu

rity

z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

lder

s to

stre

amlin

e a

prev

entiv

e ac

tion

and

med

iatio

n ap

proa

ch to

CPM

R; z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

ld-

ers t

o pu

ttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 6

.1Th

e m

odal

ities

of

coo

rdin

atio

n an

d co

llabo

ra-

tion

betw

een

the

AU a

nd R

ECs/

RMs o

n m

edi-

atio

n in

terv

en-

tions

are

cle

arly

de

fined

and

ag

reed

upo

n.

z

AU-R

ECs/

RMs m

edia

tion

guid

elin

es

adop

ted;

z

Evid

ence

of A

U/R

ECs/

RMs c

oord

inat

ion

and

colla

bora

tion

in th

eir m

edia

tion

inte

rven

tions

z

Evid

ence

of i

ncre

ased

freq

uenc

y of

join

t m

edia

tions

; z

Evid

ence

of i

ncre

ased

use

of I

nter

natio

n-al

Con

tact

Gro

ups;

z

Foru

m o

f AU

/REC

/RM

s med

iatio

n fo

cal

poin

ts la

unch

ed a

nd fu

nctio

ning

; z

Evid

ence

of e

nhan

ced

desk

to d

esk

cons

ulta

tions

z

AU/R

EC sy

stem

of c

omm

unic

atio

n,

info

rmat

ion,

kno

wle

dge

and

reso

urce

s sh

arin

g an

d de

cisio

n-m

akin

g on

med

ia-

tion

are

enha

nced

z

Sim

ulat

ion

exer

cise

s con

duct

ed;

z

Join

t tra

inin

gs c

ondu

cted

;

z

Incr

ease

freq

uenc

y of

join

t med

iatio

n m

issio

ns (f

ollo

win

g th

e ex

ampl

e of

Pa

nWise

); z

Incr

ease

d us

e of

Inte

rnat

iona

l Con

tact

Gr

oups

; z

Cont

inue

to st

reng

then

regi

onal

/sub

-re-

gion

al c

olla

bora

tion

thro

ugh

tech

nica

l su

ppor

t to

the

RECs

; z

Deve

lopi

ng th

e AU

-REC

/RM

par

tner

ship

on

med

iatio

n th

roug

h ag

reem

ent o

n jo

int m

edia

tion

guid

elin

es, i

nclu

ding

st

ream

linin

g ag

reed

upo

n no

rmat

ive

prin

cipl

es o

f con

flict

pre

vent

ion

and

me-

diat

ion;

stre

ngth

enin

g al

ignm

ent o

f AU

/RE

Cs m

edia

tion

guid

elin

es; i

nter

pret

ing

the

subs

idia

rity

prin

cipl

e; d

ecen

tral

ising

m

edia

tion

by fo

cusin

g m

ore

on th

e RE

Cs

and

natio

nal l

evel

; add

ress

a m

odus

op

eran

di (w

ho g

oes f

irst)

z

RECs

/RM

s inc

orpo

rate

the

Know

ledg

e M

anag

emen

t Fra

mew

ork

to th

eir m

edia

-tio

n ac

tiviti

es;

z

Deve

lop

conc

ept f

or F

orum

of A

U/R

EC/

RMs m

edia

tion

foca

l poi

nts (

syst

em o

f co

mm

unic

atio

n, in

form

atio

n sh

arin

g an

d de

cisio

n-m

akin

g on

med

iatio

n);

z

Cond

uct s

imul

atio

n ex

erci

ses w

ith th

e pu

rpos

e of

trai

ning

wor

king

toge

ther

;

z

Guid

elin

es a

dopt

ed;

z

Pane

l of t

he W

ise S

ecre

taria

t rep

orts

; z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

s-m

ents

z

Polit

ical

will

and

com

mitm

ent f

rom

all

stak

ehol

ders

to c

olla

bora

te a

nd c

oord

i-na

te th

eir m

edia

tion

inte

rven

tions

; z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

ld-

ers t

o pu

ttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

95

Stra

tegi

c Pr

iorit

y 2


Prob

lem

def

initi

on 6

In a

dditi

on, a

nd a

s reg

ards

med

iatio

n: z

The

abse

nce

of a

pre

vent

ive

dipl

omac

y/m

edia

tion

“sys

tem

” th

at p

rom

otes

, coo

rdin

ates

and

sync

hron

ises e

arly

pea

cem

akin

g ac

tions

by

the

PSC,

the

Chai

rper

son,

the

Pane

l of t

he W

ise/F

riend

s of

the

Pane

l/Pan

Wise

z

The

abse

nce

of m

echa

nism

s and

pro

cedu

res f

or e

nsur

ing

coor

dina

tion

and

coop

erat

ion

betw

een

the

AU, R

ECs/

RMs a

nd th

e U

N in

med

iatio

n an

d pr

even

tive

dipl

omac

y in

itiat

ives

.

Spec

ific

Obj

ectiv

e 6

Enha

nced

coo

rdin

atio

n be

twee

n th

e AU

, the

REC

s/RM

s and

th

e U

N o

n m

edia

tion

inte

rven

tions

Spec

ific

Obj

ectiv

e 6

Indi

cato

rs z

Exam

ples

of c

oord

inat

ed m

edia

tion

inte

rven

tions

by

AU, R

ECs/

RMs a

nd U

N;

z

Evid

ence

of i

nfor

mat

ion-

shar

ing

and

join

t dec

ision

-mak

ing

betw

een

AU a

nd

RECs

/RM

s; z

Evid

ence

of j

oint

med

iatio

n en

deav

ours

; z

Evid

ence

of j

oint

ana

lysis

and

ass

ess-

men

t bet

wee

n AU

and

REC

s/RM

s z

Foru

m o

f AU

/REC

/RM

s med

iatio

n fo

cal

poin

ts

Sour

ces o

f ver

ifica

tion

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Repo

rts o

f med

iatio

n in

terv

entio

ns b

y RE

Cs/R

Ms

Assu

mpt

ions

z

Will

and

com

mitm

ent f

rom

all

stak

ehol

d-er

s to

rega

rd p

reve

ntiv

e di

plom

acy

and

med

iatio

n as

inte

r-lin

ked

tool

s for

the

mai

nten

ance

of p

eace

and

secu

rity

z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

lder

s to

stre

amlin

e a

prev

entiv

e ac

tion

and

med

iatio

n ap

proa

ch to

CPM

R; z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

ld-

ers t

o pu

ttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 6

.1Th

e m

odal

ities

of

coo

rdin

atio

n an

d co

llabo

ra-

tion

betw

een

the

AU a

nd R

ECs/

RMs o

n m

edi-

atio

n in

terv

en-

tions

are

cle

arly

de

fined

and

ag

reed

upo

n.

z

AU-R

ECs/

RMs m

edia

tion

guid

elin

es

adop

ted;

z

Evid

ence

of A

U/R

ECs/

RMs c

oord

inat

ion

and

colla

bora

tion

in th

eir m

edia

tion

inte

rven

tions

z

Evid

ence

of i

ncre

ased

freq

uenc

y of

join

t m

edia

tions

; z

Evid

ence

of i

ncre

ased

use

of I

nter

natio

n-al

Con

tact

Gro

ups;

z

Foru

m o

f AU

/REC

/RM

s med

iatio

n fo

cal

poin

ts la

unch

ed a

nd fu

nctio

ning

; z

Evid

ence

of e

nhan

ced

desk

to d

esk

cons

ulta

tions

z

AU/R

EC sy

stem

of c

omm

unic

atio

n,

info

rmat

ion,

kno

wle

dge

and

reso

urce

s sh

arin

g an

d de

cisio

n-m

akin

g on

med

ia-

tion

are

enha

nced

z

Sim

ulat

ion

exer

cise

s con

duct

ed;

z

Join

t tra

inin

gs c

ondu

cted

;

z

Incr

ease

freq

uenc

y of

join

t med

iatio

n m

issio

ns (f

ollo

win

g th

e ex

ampl

e of

Pa

nWise

); z

Incr

ease

d us

e of

Inte

rnat

iona

l Con

tact

Gr

oups

; z

Cont

inue

to st

reng

then

regi

onal

/sub

-re-

gion

al c

olla

bora

tion

thro

ugh

tech

nica

l su

ppor

t to

the

RECs

; z

Deve

lopi

ng th

e AU

-REC

/RM

par

tner

ship

on

med

iatio

n th

roug

h ag

reem

ent o

n jo

int m

edia

tion

guid

elin

es, i

nclu

ding

st

ream

linin

g ag

reed

upo

n no

rmat

ive

prin

cipl

es o

f con

flict

pre

vent

ion

and

me-

diat

ion;

stre

ngth

enin

g al

ignm

ent o

f AU

/RE

Cs m

edia

tion

guid

elin

es; i

nter

pret

ing

the

subs

idia

rity

prin

cipl

e; d

ecen

tral

ising

m

edia

tion

by fo

cusin

g m

ore

on th

e RE

Cs

and

natio

nal l

evel

; add

ress

a m

odus

op

eran

di (w

ho g

oes f

irst)

z

RECs

/RM

s inc

orpo

rate

the

Know

ledg

e M

anag

emen

t Fra

mew

ork

to th

eir m

edia

-tio

n ac

tiviti

es;

z

Deve

lop

conc

ept f

or F

orum

of A

U/R

EC/

RMs m

edia

tion

foca

l poi

nts (

syst

em o

f co

mm

unic

atio

n, in

form

atio

n sh

arin

g an

d de

cisio

n-m

akin

g on

med

iatio

n);

z

Cond

uct s

imul

atio

n ex

erci

ses w

ith th

e pu

rpos

e of

trai

ning

wor

king

toge

ther

;

z

Guid

elin

es a

dopt

ed;

z

Pane

l of t

he W

ise S

ecre

taria

t rep

orts

; z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica

z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

s-m

ents

z

Polit

ical

will

and

com

mitm

ent f

rom

all

stak

ehol

ders

to c

olla

bora

te a

nd c

oord

i-na

te th

eir m

edia

tion

inte

rven

tions

; z

Com

mitm

ent b

y al

l rel

evan

t sta

keho

ld-

ers t

o pu

ttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Avai

labi

lity

of re

sour

ces a

nd c

apab

ilitie

s

Out

put 6

.2Th

e m

odal

ities

of

coo

rdin

atio

n an

d co

llabo

ra-

tion

betw

een

the

AU, t

he

RECs

/RM

s and

th

e U

N o

n m

edi-

atio

n in

terv

en-

tions

are

cle

arly

de

fined

and

ag

reed

upo

n.

z

AU-U

N m

edia

tion

guid

elin

es a

dopt

ed;

z

Evid

ence

of A

U/U

N c

oord

inat

ion

and

colla

bora

tion

in th

eir m

edia

tion

inte

r-ve

ntio

ns z

Evid

ence

of i

ncre

ased

freq

uenc

y of

join

t m

edia

tions

; z

Evid

ence

of i

ncre

ased

use

of I

nter

natio

n-al

Con

tact

Gro

ups;

z

Evid

ence

of e

nhan

ced

desk

to d

esk

cons

ulta

tions

z

AU/U

N sy

stem

of c

omm

unic

atio

n, in

for-

mat

ion

shar

ing

and

deci

sion-

mak

ing

on

med

iatio

n ar

e en

hanc

ed z

Sim

ulat

ion

exer

cise

s con

duct

ed;

z

Join

t tra

inin

gs c

ondu

cted

;

z

Incr

ease

freq

uenc

y of

join

t med

iatio

n m

issio

ns;

z

Incr

ease

d us

e of

Inte

rnat

iona

l Con

tact

Gr

oups

; z

Cont

inue

to st

reng

then

UN

/AU

/REC

s co

llabo

ratio

n th

roug

h te

chni

cal s

uppo

rt,

exch

ange

of e

xper

ienc

es, b

est p

ract

ices

an

d le

sson

s lea

rned

; z

Deve

lopi

ng th

e AU

-UN

par

tner

ship

on

med

iatio

n th

roug

h ad

optio

n of

join

t m

edia

tion

guid

elin

es, i

nclu

ding

stre

am-

linin

g ag

reed

upo

n no

rmat

ive

prin

cipl

es

of c

onfli

ct p

reve

ntio

n an

d m

edia

tion;

st

reng

then

ing

alig

nmen

t of U

N/A

U

med

iatio

n gu

idel

ines

; int

erpr

etin

g th

e su

bsid

iarit

y pr

inci

ple;

dec

entr

alisi

ng

med

iatio

n by

focu

sing

mor

e on

the

AU/

RECs

and

nat

iona

l lev

el; a

ddre

ss a

mod

us

oper

andi

(who

goe

s firs

t) z

Cond

uct s

imul

atio

n ex

erci

ses w

ith th

e pu

rpos

e of

trai

ning

wor

king

toge

ther

;

z

Guid

elin

es a

dopt

ed;

z

Uni

ted

Nat

ions

Sec

reta

ry G

ener

al

Repo

rts;

z

Chai

rper

son’

s rep

ort t

o th

e PS

C on

the

stat

e of

pea

ce a

nd se

curit

y in

Afr

ica;

z

Pane

l of t

he W

ise S

ecre

taria

t rep

orts

; z

Know

ledg

e M

anag

emen

t Fra

mew

ork

z

Med

ia re

port

s z

REC

activ

ity re

port

s z

Prog

ram

me

eval

uatio

ns a

nd a

sses

smen

ts

z

Sam

e as

abo

ve

96


3Re

sults

Fra

mew

ork

Stra

tegi

c Pr

iorit

y 3:

Po

st-C

onfli

ct R

econ

stru

ction

and

Pea

ce B

uild

ing

Stra

tegi

c Pr

iorit

y O

bjec

tive

To c

ontr

ibut

e to

effe

ctiv

e, c

oord

inat

ed a

nd ti

mel

y su

ppor

t to

pos

t-con

flict

Mem

ber S

tate

s and

com

mun

ities

em

ergi

ng

from

con

flict

Stra

tegi

c O

bjec

tive

Indi

cato

rs z

PCRD

inte

rven

tions

and

supp

ort t

o M

embe

r St

ates

are

tim

ely

and

base

d on

a sy

stem

atic

as

sess

men

t of p

ost-c

onfli

ct n

eeds

z

Evid

ence

of j

oint

PCR

D pr

ogra

mm

ing,

in-

clud

ing

form

ulat

ion

of c

omm

on o

bjec

tives

, be

twee

n AU

C de

part

men

ts, b

etw

een

AUC

and

RECs

/RM

s, b

etw

een

RECs

/RM

s and

REC

s/RM

s and

bet

wee

n AU

C an

d M

embe

r Sta

tes a

s w

ell a

s REC

s/RM

s and

Mem

ber S

tate

s; z

Evid

ence

of P

CRD

initi

ativ

es in

pos

t-con

flict

M

embe

r Sta

tes t

hat a

re b

ased

on

cont

inen

tal

or re

gion

al P

CRD

polic

ies a

nd/o

r str

ateg

ies

z

Evid

ence

of e

nhan

ced

capa

citie

s of A

U a

nd

RECs

to p

rovi

de a

nd c

oord

inat

e su

ppor

t to

post

-con

flict

Mem

ber S

tate

s, b

ased

on

poli-

cies

and

stra

tegi

es z

Evid

ence

of f

inan

cial

and

in-k

ind

supp

ort

mob

ilise

d by

AU

/REC

s and

cha

nnel

led

to

post

-con

flict

Mem

ber S

tate

s z

Evid

ence

of A

U a

nd R

ECs P

CRD/

DDR/

SSR

expe

rtise

dep

loye

d w

ithin

pea

ce su

ppor

t op

erat

ions

Sour

ces o

f ver

ifica

tion

z

Prog

ram

me

docu

men

ts.

z

Anal

ysis

of d

ata

by m

onito

ring

syst

em;

z

Nar

rativ

e re

port

s.

Assu

mpt

ions

z

Polit

ical

will

from

all

stak

e-ho

lder

s inv

olve

d in

PCR

D to

tr

ansla

te c

omm

itmen

ts in

to

actio

ns;

z

Pres

ence

of i

ndiv

idua

l, or

-ga

niza

tiona

l and

inst

itutio

nal

capa

citie

s am

ongs

t APS

A st

akeh

olde

rs to

impl

emen

t the

va

rious

com

pone

nts o

f the

PC

RD p

olic

y an

d to

mon

itor

resu

lts

Prob

lem

def

initi

on 1

In

stitu

tiona

l mec

hani

sms a

nd p

olic

ies i

dent

ified

by

polic

y or

gans

are

not

ope

ratio

nal d

ue to

the

thre

e fo

llow

ing

reas

ons:

z

Lack

of c

lear

def

initi

on a

nd o

pera

tiona

l gui

delin

es o

f the

six

pilla

rs (i

ndic

ativ

e el

emen

ts) o

f the

PCR

D po

licy

Mec

hani

sms f

or P

CRD

are

not i

n pl

ace

or n

ot o

pera

tiona

l z

PCRD

pol

icie

s on

regi

onal

leve

l are

ofte

n m

issin

g, o

r not

har

mon

ised

with

con

tinen

tal a

ppro

ach

Spec

ific

Obj

ectiv

e 1

PCRD

mec

hani

sms a

t the

leve

l of A

UC,

REC

/RM

and

po

st-c

onfli

ct c

ount

ries a

s wel

l as P

CRD

polic

ies a

re in

pla

ce

and

oper

atio

nal,

in li

ne w

ith th

e si

x pi

llars

of t

he P

CRD

polic

y fr

amew

ork

Spec

ific

Obj

ectiv

e 1

Indi

cato

rs z

Evid

ence

that

AU

C an

d RE

Cs/R

Ms h

ave

the

mec

hani

sms i

n pl

ace

acco

rdin

g to

thei

r man

-da

te g

iven

by

thei

r res

pect

ive

polic

y or

gans

z

Evid

ence

of r

egio

nal P

CRD

polic

ies i

n pl

ace

in

all r

egio

ns, a

nd h

arm

onise

d w

ith th

e co

nti-

nent

al P

CRD

polic

y fr

amew

ork

Sour

ces o

f ver

ifica

tion

z

PCRD

cou

ntry

spec

ific

impl

emen

tatio

n st

rat-

egie

s z

Mem

ber s

tate

s str

ateg

ic p

lans

z

AUC/

REC

man

date

s and

M&

E re

port

s

Assu

mpt

ions

z

All s

take

hold

ers (

AUC,

REC

s/RM

s, c

ount

ries)

are

rece

ptiv

e an

d su

ppor

t the

ope

ratio

n-al

izatio

n of

con

sulta

tion

and

colla

bora

tion

mec

hani

sms

Stra

tegi

c Pr

iorit

y 3

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 1

.1Th

e si

x pi

llars

(in

dica

tive

elem

ents

) of

the

PCRD

pol

icy

fram

ewor

k ar

e cl

early

def

ined

z

Ope

ratio

nal g

uide

lines

or o

ther

stra

tegi

c do

cum

ents

for t

he o

pera

tiona

lizat

ion

of

each

pill

ar a

re in

pla

ce

z

Deve

lop

oper

atio

nal g

uide

lines

or o

ther

st

rate

gic

docu

men

ts o

n ea

ch o

f the

pi

llars

of P

CRD,

in c

lose

coo

pera

tion

with

re

leva

nt a

ctor

s in

AUC

and

RECs

z

Stra

tegi

es/g

uide

lines

z

Will

ingn

ess o

f rel

evan

t dep

artm

ents

and

di

visio

ns to

col

labo

rate

Out

put 1

.1M

echa

nism

s fo

r PCR

D ar

e es

tabl

ishe

d an

d fu

nctio

ning

, as

defin

ed b

y AU

/RE

C de

cisi

on

mak

ers

z

The

Afric

an U

nion

Sta

ndin

g M

ultid

imen

-sio

nal C

omm

ittee

on

PCRD

est

ablis

hed

z

The

PSC

Stan

ding

Com

mitt

ee o

n PC

RD is

es

tabl

ished

z

Min

ister

ial c

omm

ittee

s on

PCRD

re-

cons

truc

tion

in p

ost-c

onfli

ct c

ount

ries

esta

blish

ed

z

Esta

blish

the

AU st

andi

ng m

ultid

imen

-sio

nal c

omm

ittee

on

PCRD

for i

nter

ac-

tion

with

inte

rnat

iona

l act

ors o

n PC

RD z

Enga

ge w

ith P

SC in

ord

er to

est

ablis

h a

PSC

Stan

ding

Com

mitt

ee o

n PC

RD to

m

onito

r act

ors a

nd p

rovi

de su

ppor

t to

affe

cted

cou

ntrie

s, a

nd to

revi

ew st

ate

of re

cons

truc

tion

on th

e co

ntin

ent o

n re

gula

r bas

is z

Conv

ene

PSC

repo

rtin

g se

ssio

n on

PCR

D co

untr

ies b

ased

on

the

impl

emen

tatio

n of

the

6 pi

llars

of t

he P

CRD

polic

y hi

gh-

light

ing

prog

ress

and

cha

lleng

es. R

ECs

to p

rovi

de re

gula

r rep

ortin

g to

such

PSC

se

ssio

ns.

z

Assis

t pos

t-con

flict

Mem

ber S

tate

s in

the

esta

blish

men

t of m

inist

eria

l com

mitt

ees

on n

atio

nal l

evel

z

at A

UC

leve

l, es

tabl

ish a

n in

ter-d

epar

t-m

enta

l tas

k fo

rce

on P

CRD

whi

ch m

eets

re

gula

rly, w

ith p

artic

ipat

ion

of R

ECs/

RMs

z

Prog

ram

me

of P

SC m

eetin

gs z

Min

utes

of P

SC m

eetin

gs z

PCRD

cou

ntry

repo

rts

z

Polit

ical

will

of a

ll re

leva

nt st

akeh

olde

rs

(AU

C, R

ECs/

RMs,

Mem

ber S

tate

s) a

nd

deci

sion

mak

ers (

PSC)

Out

put 1

.2PC

RD p

olic

ies

and

impl

emen

-ta

tion

stra

tegi

es

for a

ll re

gion

s ar

e de

velo

ped

and

harm

onis

ed

z

Regi

onal

(REC

) PCR

D po

licie

s/st

rate

gies

ex

ist a

nd a

re b

ased

on

the

cont

inen

tal

PCRD

pol

icy

fram

ewor

k z

AUC

and

RECs

/RM

s hav

e jo

int i

mpl

emen

-ta

tion

stra

tegi

es fo

r PCR

D z

Mem

ber s

tate

s are

invo

lved

in th

e de

vel-

opm

ent o

f reg

iona

l PCR

D po

licie

s z

Regi

onal

pol

icie

s gui

de th

e de

velo

pmen

t of

sele

cted

nat

iona

l PCR

D po

licie

s/pl

ans

and

impl

emen

tatio

n st

rate

gies

z

Adap

t PCR

D po

licy

fram

ewor

k to

regi

on

spec

ific

situa

tion

and

deve

lop

polic

ies/

stra

tegi

es/g

uide

lines

at t

he le

vel o

f REC

s z

Assu

re in

volv

emen

t of M

embe

r Sta

tes a

s w

ell a

s clo

se c

oope

ratio

n w

ith A

U in

the

deve

lopm

ent o

f reg

iona

l pol

icie

s

z

Stak

ehol

ders

eng

agem

ent r

epor

ts

z

Stra

tegy

doc

umen

ts

z

Join

t wor

k pl

ans

z

Polit

ical

will

of a

ll re

leva

nt st

akeh

olde

rs

(AU

C, R

ECs/

RMs,

Mem

ber S

tate

s) a

nd

deci

sion

mak

ers (

PSC)

Prob

lem

def

initi

on 2

PCRD

supp

ort i

s not

alw

ays r

espo

ndin

g to

spec

ific

need

s in

diffe

rent

con

flict

pha

ses.

Thi

s is d

ue to

the

follo

win

g m

ain

caus

es:

z

Lack

of c

once

ptua

l cla

rity

on th

e ph

ase

of st

abili

zatio

n &

ear

ly re

cove

ry a

t AU

and

REC

s/RM

z

Lack

of c

once

ptua

l cla

rity

on th

e co

nflic

t pre

vent

ive

elem

ent i

n pe

ace

build

ing

(PCR

D no

t con

cept

ualis

ed in

a h

olist

ic m

anne

r) z

Lack

of c

oope

ratio

n be

twee

n ac

tors

resp

onsib

le fo

r diff

eren

t int

erve

ntio

ns in

pos

t-con

flict

Mem

ber S

tate

s

Results Framework Strategic Priority 3: Post-Conflict Reconstruction and Peace Building

97

98


ecifi

c O

bjec

tive

2

PCRD

inte

rven

tions

are

resp

ondi

ng to

spec

ific

need

s in

diffe

rent

con

flict

pha

ses

Spec

ific

Obj

ectiv

e 2

Indi

cato

rs z

Evid

ence

that

PCR

D pr

ogra

mm

es a

nd

stra

tegi

es a

re in

form

ed b

y jo

int a

naly

sis

on th

e st

ruct

ural

cau

ses o

f con

flict

and

in

clud

e st

rate

gies

and

act

iviti

es fo

r con

-fli

ct p

reve

ntio

n z

Evid

ence

of (

appr

oved

) str

ateg

ic

docu

men

ts w

hich

poi

nt o

ut ro

les a

nd

resp

onsib

ilitie

s of A

U a

nd R

EC a

ctor

s in

the

stab

iliza

tion

phas

e z

Evid

ence

of i

ncre

ased

join

t pla

nnin

g an

d cl

ose

coop

erat

ion

and

coor

dina

tion

of a

ll ac

tors

/div

ision

s with

in A

U/R

ECs w

hich

ar

e en

gage

d in

pos

t-con

flict

cou

ntrie

s an

d sit

uatio

ns z

Evid

ence

that

the

PCRD

pol

icy

is le

ver-

aged

in su

ppor

t of s

tabi

lizat

ion

and

early

re

cove

ry e

ffort

s z

Evid

ence

of e

arly

reco

very

inst

rum

ents

su

ch a

s Qui

ck Im

pact

Pro

ject

s and

pea

ce

stre

ngth

enin

g pr

ojec

ts b

eing

util

ised

in P

SOs o

r its

imm

edia

te a

fterm

ath

as

inst

rum

ents

in su

ppor

t of s

tabi

lizat

ion

and

early

reco

very

effo

rts

Sour

ces o

f ver

ifica

tion

z

Proj

ect d

ocum

ents

z

Repo

rts f

rom

Lia

ison

Offi

ces a

nd fi

eld

offic

es

z

ConO

ps z

Impl

emen

tatio

n pl

an

Assu

mpt

ions

z

Will

of A

UC

man

agem

ent f

or In

crea

sed

colla

bora

tion

betw

een

in-h

ouse

uni

ts

z

Will

of M

embe

r Sta

tes t

o de

velo

p na

-tio

nal P

CRD

stra

tegy

doc

umen

ts u

nder

th

e gu

idan

ce o

f the

REC

(s) t

hey

belo

ng

to

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 2

.1AU

and

REC

s/RM

s hav

e de

vel-

oped

a h

olis

tic

stra

tegy

of i

nter

-ve

ntio

ns in

the

stab

iliza

tion

and

early

reco

very

ph

ase

z

Stra

tegy

/pol

icy

on st

abili

zatio

n/ea

rly

reco

very

is in

pla

ce z

QIP

s are

bei

ng im

plem

ente

d in

“sta

bi-

lized

are

as”

acco

rdin

g to

stab

iliza

tion

stra

tegy

and

with

in a

def

ined

tim

e fr

ame

z

Evid

ence

of e

nhan

ced

PCRD

cap

aciti

es/

expe

rtise

in P

SOs (

incl

udin

g DD

R SS

R)

z

Deve

lop

AUC

stra

tegy

/and

pol

icy

on

stab

iliza

tion

and

early

reco

very

in c

lose

co

ordi

natio

n w

ith P

SOD,

Dep

artm

ent

of P

oliti

cal A

ffairs

, Dep

artm

ent o

f Soc

ial

Affa

irs a

nd R

ECs/

RMs

z

Liai

se w

ith P

SOs/

miss

ions

to im

plem

ent

QIP

s and

PSP

s in

conf

lict i

n cr

isis o

r em

ergi

ng fr

om c

risis.

z

Assis

t PSO

s/m

issio

ns in

the

deve

lop-

men

t of c

apac

ities

in o

rder

to ti

mel

y im

plem

ent P

CRD/

early

reco

very

/SSR

/st

abili

zatio

n/Q

IPs b

ased

on

the

need

s of

targ

eted

com

mun

ities

z

Join

t Wor

k pl

ans h

ighl

ight

ing

role

and

re

spon

sibili

ty o

f eac

h ac

tor

z

Mon

itorin

g re

port

s

z

AUC

and

RECs

/RM

s hav

e a

com

mon

un-

ders

tand

ing

of w

hat P

CDR

prog

ram

mes

en

tail

99

Spec

ific

Obj

ectiv

e 2

PC

RD in

terv

entio

ns a

re re

spon

ding

to sp

ecifi

c ne

eds i

n di

ffere

nt c

onfli

ct p

hase

s

Spec

ific

Obj

ectiv

e 2

Indi

cato

rs z

Evid

ence

that

PCR

D pr

ogra

mm

es a

nd

stra

tegi

es a

re in

form

ed b

y jo

int a

naly

sis

on th

e st

ruct

ural

cau

ses o

f con

flict

and

in

clud

e st

rate

gies

and

act

iviti

es fo

r con

-fli

ct p

reve

ntio

n z

Evid

ence

of (

appr

oved

) str

ateg

ic

docu

men

ts w

hich

poi

nt o

ut ro

les a

nd

resp

onsib

ilitie

s of A

U a

nd R

EC a

ctor

s in

the

stab

iliza

tion

phas

e z

Evid

ence

of i

ncre

ased

join

t pla

nnin

g an

d cl

ose

coop

erat

ion

and

coor

dina

tion

of a

ll ac

tors

/div

ision

s with

in A

U/R

ECs w

hich

ar

e en

gage

d in

pos

t-con

flict

cou

ntrie

s an

d sit

uatio

ns z

Evid

ence

that

the

PCRD

pol

icy

is le

ver-

aged

in su

ppor

t of s

tabi

lizat

ion

and

early

re

cove

ry e

ffort

s z

Evid

ence

of e

arly

reco

very

inst

rum

ents

su

ch a

s Qui

ck Im

pact

Pro

ject

s and

pea

ce

stre

ngth

enin

g pr

ojec

ts b

eing

util

ised

in P

SOs o

r its

imm

edia

te a

fterm

ath

as

inst

rum

ents

in su

ppor

t of s

tabi

lizat

ion

and

early

reco

very

effo

rts

Sour

ces o

f ver

ifica

tion

z

Proj

ect d

ocum

ents

z

Repo

rts f

rom

Lia

ison

Offi

ces a

nd fi

eld

offic

es

z

ConO

ps z

Impl

emen

tatio

n pl

an

Assu

mpt

ions

z

Will

of A

UC

man

agem

ent f

or In

crea

sed

colla

bora

tion

betw

een

in-h

ouse

uni

ts

z

Will

of M

embe

r Sta

tes t

o de

velo

p na

-tio

nal P

CRD

stra

tegy

doc

umen

ts u

nder

th

e gu

idan

ce o

f the

REC

(s) t

hey

belo

ng

to

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 2

.1AU

and

REC

s/RM

s hav

e de

vel-

oped

a h

olis

tic

stra

tegy

of i

nter

-ve

ntio

ns in

the

stab

iliza

tion

and

early

reco

very

ph

ase

z

Stra

tegy

/pol

icy

on st

abili

zatio

n/ea

rly

reco

very

is in

pla

ce z

QIP

s are

bei

ng im

plem

ente

d in

“sta

bi-

lized

are

as”

acco

rdin

g to

stab

iliza

tion

stra

tegy

and

with

in a

def

ined

tim

e fr

ame

z

Evid

ence

of e

nhan

ced

PCRD

cap

aciti

es/

expe

rtise

in P

SOs (

incl

udin

g DD

R SS

R)

z

Deve

lop

AUC

stra

tegy

/and

pol

icy

on

stab

iliza

tion

and

early

reco

very

in c

lose

co

ordi

natio

n w

ith P

SOD,

Dep

artm

ent

of P

oliti

cal A

ffairs

, Dep

artm

ent o

f Soc

ial

Affa

irs a

nd R

ECs/

RMs

z

Liai

se w

ith P

SOs/

miss

ions

to im

plem

ent

QIP

s and

PSP

s in

conf

lict i

n cr

isis o

r em

ergi

ng fr

om c

risis.

z

Assis

t PSO

s/m

issio

ns in

the

deve

lop-

men

t of c

apac

ities

in o

rder

to ti

mel

y im

plem

ent P

CRD/

early

reco

very

/SSR

/st

abili

zatio

n/Q

IPs b

ased

on

the

need

s of

targ

eted

com

mun

ities

z

Join

t Wor

k pl

ans h

ighl

ight

ing

role

and

re

spon

sibili

ty o

f eac

h ac

tor

z

Mon

itorin

g re

port

s

z

AUC

and

RECs

/RM

s hav

e a

com

mon

un-

ders

tand

ing

of w

hat P

CDR

prog

ram

mes

en

tail

Out

put 2

.2AU

and

REC

s ha

ve d

evel

-op

ed a

hol

istic

co

ncep

t on

the

inte

ract

ion

betw

een

peac

e bu

ildin

g an

d co

nflic

t pre

ven-

tion

as w

ell a

s go

vern

ance

/st

ate

build

ing

aspe

cts

z

Evid

ence

that

PCR

D pl

anne

d in

terv

entio

n ta

ke in

to a

ccou

nt re

com

men

datio

n of

Pr

e-El

ectio

n As

sess

men

t Rep

orts

; Ear

ly

War

ning

Rep

orts

; str

uctu

ral c

onfli

ct

prev

entio

n an

d vu

lner

abili

ty a

sses

smen

t re

port

s, a

s wel

l as o

ther

ear

ly w

arni

ng

data

z

Map

out

all

proc

esse

s AU

& R

ECs e

ngag

e in

in p

eace

bui

ldin

g/st

ate

build

ing

situa

tions

, inc

ludi

ng m

onito

ring

of p

eace

ag

reem

ents

, pre

vent

ive

dipl

omac

y, hu

man

righ

ts, t

rans

ition

al ju

stic

e an

d re

conc

iliat

ion,

ele

ctio

n su

ppor

t, DD

R/SS

R et

c. z

Enga

ge w

ith a

ll AU

/REC

act

ors i

nvol

ved

in p

ost-c

onfli

ct si

tuat

ions

(as p

er th

e m

appi

ng) i

n or

der t

o de

velo

p a

stra

t-eg

y on

how

to c

oope

rate

and

cre

ate

syne

rgie

s z

Deve

lop

guid

elin

es w

here

nec

essa

ry

in o

rder

to m

ake

sure

that

do

no h

arm

ap

proa

ch a

nd c

onfli

ct se

nsiti

vity

is a

s-su

red;

that

inte

rven

tions

add

ress

or t

ake

into

acc

ount

long

term

stru

ctur

al c

ause

s of

con

flict

and

are

in a

ccor

danc

e w

ith

post

-con

flict

nee

ds

z

Join

t Wor

k pl

ans h

ighl

ight

ing

role

and

re

spon

sibili

ty o

f eac

h ac

tor

z

Mon

itorin

g re

port

s

z

Will

and

cap

aciti

es o

f act

ors w

orki

ng o

n th

e AG

A an

d ot

her g

over

nanc

e as

pect

s to

col

labo

rate

z

Will

from

Mem

ber S

tate

s to

be in

volv

ed

in c

onfli

ct a

naly

ses h

ighl

ight

ing

the

long

-te

rm st

ruct

ural

cau

ses o

f con

flict

s

Out

put 2

.3M

echa

nism

s for

co

ordi

natio

n,

join

t pla

nnin

g an

d re

gula

r ex

chan

ge o

n in

terv

entio

ns

in p

ost-c

onfli

ct

Mem

ber S

tate

s es

tabl

ishe

d an

d fu

nctio

ning

z

The

inte

rdep

artm

enta

l tas

k fo

rce

on

PCRD

fully

func

tiona

l z

RECs

take

regu

larly

and

act

ivel

y pa

rt

in th

e in

terd

epar

tmen

tal T

askf

orce

M

eetin

gs

z

Esta

blish

inte

rdep

artm

enta

l tas

kfor

ce

with

all

acto

rs a

t AU

C as

wel

l as R

EC

Liai

son

Offi

ces o

n PC

RD z

Poss

ible

est

ablis

hmen

t of i

ntra

depa

rt-

men

tal t

askf

orce

s at R

EC le

vel,

whi

ch

inte

ract

with

REC

Lia

ison

Offi

ces a

nd

prov

ide

inpu

t int

o ta

sk fo

rce

at A

U le

vel

z

Clar

ify ro

les a

nd re

spon

sibili

ties a

nd

deve

lop

ToR

for i

nter

depa

rtm

enta

l ta

skfo

rce

z

Disc

uss t

hem

atic

as w

ell a

s reg

ions

/co

untr

ies a

nd m

ap o

ut a

s wel

l as c

oord

i-na

te a

nd h

arm

onize

all

inte

rven

tions

in

the

resp

ectiv

e re

gion

/cou

ntry

z

Cond

uct j

oint

stak

ehol

der m

onito

ring

and

eval

uatio

n ac

tiviti

es

z

ToR

of ta

sk fo

rces

on

AU a

nd R

EC le

vel

z

Min

utes

of T

ask

Forc

e M

eetin

gs z

Will

and

cap

aciti

es o

f act

ors w

orki

ng o

n th

e AG

A an

d ot

her g

over

nanc

e as

pect

s to

col

labo

rate

Prob

lem

def

initi

on 3

AU a

nd R

ECs a

re ta

sked

with

exe

rcisi

ng a

coo

rdin

atio

n fu

nctio

n w

hen

it co

mes

to P

CRD/

peac

e bu

ildin

g on

the

cont

inen

t. Th

ey d

o no

t ful

ly fu

lfil t

heir

coor

dina

tion

func

tion

due

to th

e fo

llow

ing

reas

ons:

z

Lack

of c

lear

def

initi

on o

f rol

es a

nd re

spon

sibili

ties b

etw

een

AU a

nd R

ECs,

as w

ell a

s har

mon

ised

appr

oach

es &

regu

lar e

xcha

nge

z

Lack

of r

egul

ar a

nd sy

stem

atic

exc

hang

e/co

oper

atio

n an

d pa

rtne

rshi

p ag

reem

ents

with

rele

vant

act

ors i

n th

e fie

ld o

f PCR

D z

Lack

of p

artic

ipat

ion

of A

U a

nd R

ECs i

n ot

her c

oord

inat

ion

mec

hani

sm o

n th

e co

ntin

ent,

and

lack

of h

arm

onizi

ng a

ppro

ache

s to

thos

e m

echa

nism

s

Stra

tegi

c Pr

iorit

y 3


100


ecifi

c O

bjec

tive

3 Th

e AU

and

the

RECs

exe

rcis

e th

eir c

oord

inat

ion

func

tion

effe

ctiv

ely

and

com

preh

ensi

vely

Spec

ific

Obj

ectiv

e 3

Indi

cato

rs z

Plan

ning

, mon

itorin

g an

d re

port

ing

pro-

cess

es o

n PC

RD b

etw

een

AUC

and

RECs

/RM

s are

har

mon

ized

z

AUC

and

RECs

/RM

s tak

e up

a re

leva

nt

role

in in

tern

atio

nal P

CRD

proc

esse

s,

such

as t

he N

ew D

eal a

nd P

ost-C

onfli

ct

reco

nstr

uctio

n fr

amew

orks

in M

embe

r St

ates

z

Impl

emen

tatio

n st

rate

gy fo

r PCR

D po

licy

fram

ewor

k cl

early

hig

hlig

hts d

iffer

ent

role

s and

resp

onsib

ilitie

s of t

he v

ario

us

stak

ehol

ders

Sour

ces o

f ver

ifica

tion

z

Repo

rtin

g an

d ev

alua

tion

as w

ell a

s mon

-ito

ring

with

in A

UC

and

betw

een

AUC

and

RECs

/RM

s and

oth

er re

leva

nt st

akeh

old-

ers h

arm

onize

d

Assu

mpt

ions

z

Will

ingn

ess o

f con

tinen

tal,

regi

onal

, na

tiona

l and

inte

rnat

iona

l act

ors i

n PC

RD

to c

olla

bora

te w

ith A

U a

nd R

ECs,

and

ac

cept

coo

rdin

atio

n fu

nctio

n of

AU

C

Out

put 3

.1

Regu

lar s

yste

m-

atic

exc

hang

e be

twee

n AU

and

RE

Cs o

n PC

RD

stra

tegi

es a

nd

inte

rven

tions

es

tabl

ishe

d

z

AUC

and

RECs

/RM

s hav

e jo

int i

mpl

emen

-ta

tion

stra

tegi

es fo

r PCR

D z

AU a

nd R

ECs e

ngag

e re

gula

rly o

n PC

RD

z

Dial

ogue

sess

ions

bet

wee

n AU

C an

d RE

Cs/R

Ms o

n th

e ty

pes o

f pol

icie

s and

st

rate

gies

that

nee

d to

be

harm

onize

d; z

Assu

re re

gula

r int

erac

tion

betw

een

AUC

and

RECs

/RM

s thr

ough

coo

rdin

atio

n m

echa

nism

as w

ell a

s joi

nt st

akeh

olde

r w

ork

plan

s z

Harm

onisa

tion

of p

olic

ies a

nd st

rate

gies

in

indi

cativ

e el

emen

ts o

f PCR

D/pe

ace

build

ing

betw

een

AU a

nd R

ECs

z

Repo

rt o

n St

akeh

olde

rs e

ngag

emen

t m

eetin

gs

z

Join

t str

ateg

y an

d w

orkp

lan

z

Join

t mon

itorin

g m

issio

n

z

All s

take

hold

ers a

re w

illin

g to

col

labo

rate

on

sust

aine

d im

plem

enta

tion

of P

CRD

inte

rven

tions

Out

put 3

.2Re

gula

r sys

tem

-at

ic e

xcha

nge

betw

een

AU/

RECs

and

ext

er-

nal a

ctor

s in

the

field

of P

CRD

esta

blis

hed

z

Evid

ence

of c

oope

ratio

n ag

reem

ent

betw

een

AUC-

RECs

/RM

s and

AfD

B z

Evid

ence

of e

stab

lishe

d co

oper

atio

n ag

reem

ent w

ith re

leva

nt U

N o

rgan

i-sa

tions

as w

ell a

s oth

er in

tern

atio

nal

orga

nisa

tions

z

Evid

ence

of c

oope

ratio

n ag

reem

ents

w

ith in

tern

atio

nal a

nd A

fric

an N

GOs o

n pe

aceb

uild

ing,

reco

ncili

atio

n an

d re

con-

stru

ctio

n ac

tiviti

es

z

Esta

blish

and

ope

ratio

naliz

e co

ordi

natin

g m

echa

nism

s bet

wee

n AU

C an

d U

N P

eace

Bu

ildin

g Co

mm

issio

n z

Iden

tify

rele

vant

CSO

s in

the

area

of

PCRD

z

Cond

uct j

oint

stak

ehol

der m

onito

ring

and

eval

uatio

n ac

tiviti

es z

Prom

ote

and

enha

nce

part

ners

hips

am

ong

AUC,

REC

s/RM

s and

oth

er st

ake-

hold

ers

z

Hold

qua

rter

ly jo

int s

take

hold

er m

eet-

ings

to e

nhan

ce p

artn

ersh

ips

z

Hold

join

t AU

C/RE

Cs/R

Ms a

nd o

ther

st

akeh

olde

r ann

ual p

lann

ing

mee

tings

to

enha

nce

part

ners

hips

in P

CRD

inte

rven

-tio

n im

plem

enta

tion

z

Stre

ngth

enin

g w

omen

and

you

th e

n-ga

gem

ent i

n PC

RD c

ount

ries;

z

Trai

ning

of C

SOs t

o en

gage

in p

oliti

cal

dial

ogue

and

pea

ce b

uild

ing

z

Min

utes

from

join

t sta

keho

lder

mon

itor-

ing

activ

ities

z

Min

utes

of m

eetin

gs z

Coop

erat

ion

agre

emen

ts w

ith in

tern

a-tio

nal p

artn

ers,

NGO

s etc

. z

Eval

uatio

n re

port

z

All s

take

hold

ers a

re c

omm

itted

to c

ol-

labo

rate

on

sust

aine

d im

plem

enta

tion

of

PCRD

inte

rven

tions

z

AUC,

REC

s/RM

s, n

atio

nal,

loca

l and

oth

er

rele

vant

stak

ehol

ders

are

will

ing

to ta

ke

owne

rshi

p of

the

PCRD

inte

rven

tions

101

Stra

tegi

c Pr

iorit

y 3


Out

put 3

.3

AUC

and

RECs

pl

ay a

n ac

tive

role

in in

ter-

natio

nal a

nd

regi

onal

fora

an

d pr

oces

ses

on P

CRD

(New

De

al, D

onor

fo

rum

s, G

roup

s of

Frie

nds e

tc.)

z

Evid

ence

of A

UC

and

RECs

/RM

s tak

e up

a

rele

vant

role

in in

tern

atio

nal P

CRD

proc

esse

s, su

ch a

s the

New

Dea

l and

Po

st-c

onfli

ct re

cons

truc

tion

fram

ewor

ks

in M

embe

r Sta

tes

z

Evid

ence

of A

U a

nd R

EC e

ngag

emen

t in

New

Dea

l Com

pact

s for

Afr

ican

Mem

ber

Stat

es, o

r sim

ilar f

orum

s

z

Iden

tify

and

part

icip

ate

in re

leva

nt fo

ra

and

exch

ange

mee

tings

in th

e fie

ld o

f PC

RD a

nd p

eace

bui

ldin

g z

Enga

ge in

the

New

Dea

l pro

cess

and

pa

rtic

ipat

e in

New

Dea

l Com

pact

s for

Af

rican

Mem

ber S

tate

s z

Part

icip

ate

in N

eeds

Ass

essm

ents

and

ot

her a

sses

smen

ts o

f pos

t-con

flict

cou

n-tr

ies o

n th

e co

ntin

ent b

y in

tern

atio

nal

acto

rs

z

Coop

erat

ion

fram

ewor

k be

twee

n th

e AU

C-RE

Cs/R

Ms a

nd o

ther

stak

ehol

ders

z

Join

t wor

k pl

an

z

Mon

itorin

g m

issio

n

z

All s

take

hold

ers a

re w

illin

g to

col

labo

rate

on

sust

aine

d im

plem

enta

tion

of P

CRD

inte

rven

tions

Prob

lem

def

initi

on 4

Th

e PC

RD p

olic

y se

es a

maj

or ro

le fo

r AU

in th

e ge

nera

tion

of a

ltern

ativ

e re

sour

ces f

or p

ost-c

onfli

ct M

embe

r Sta

tes.

The

AU

(and

REC

s) so

far w

ere

not a

ble

to g

ener

ate

reso

urce

s des

pite

laun

chin

g of

the

so c

alle

d Af

rican

Sol

idar

ity In

itiat

ive

due

to th

e fo

llow

ing

reas

ons:

z

The

ASI m

echa

nism

for m

obili

zing

addi

tiona

l res

ourc

es to

supp

ort P

CRD

effo

rts i

n co

untr

ies e

mer

ging

from

con

flict

is n

ot fu

lly c

once

ptua

lised

and

ope

ratio

nal;

z

Ther

e is

no c

lear

ly d

efin

ed P

CRD

fund

ing

win

dow

s for

impl

emen

tatio

n of

regi

onal

and

nat

iona

l PCR

D pr

ogra

mm

es (t

hrou

gh w

hich

AU

wou

ld c

hann

el fu

nds t

o RE

Cs o

r MS)

z

Fund

ing

need

s of p

ost-c

onfli

ct M

embe

r Sta

tes a

re n

ot re

gula

rly a

nd sy

stem

atic

ally

ass

esse

d, P

CRD

inte

rven

tions

ofte

n no

t bas

ed o

n m

embe

r sta

te n

eeds

z

Cont

ribut

ions

(fin

anci

al a

nd in

kin

d) fo

r sup

port

to p

ost-c

onfli

ct M

S an

d co

mm

uniti

es a

re n

ot g

ener

ated

/ple

dged

syst

emat

ical

ly a

nd re

gula

rly

Spec

ific

Obj

ectiv

e 4

Capa

citie

s of A

U a

nd R

ECs t

o ge

nera

te (f

inan

cial

and

in-k

ind)

re

sour

ces f

or p

ost-c

onfli

ct c

ount

ries a

nd c

omm

uniti

es a

re

enha

nced

Spec

ific

Obj

ectiv

e 4

Indi

cato

rs z

Reso

urce

s bei

ng p

ledg

ed a

nd d

eliv

ered

by

AU

Mem

ber s

tate

s in

supp

ort t

o PC

RD

coun

trie

s z

In k

ind

and

finan

cial

supp

ort g

iven

to

Mem

ber S

tate

s, C

SOs e

tc. t

hrou

gh A

UC

and

RECs

/RM

s z

Amou

nt o

f fun

ds b

eing

cha

nnel

led

thro

ugh

the

PCRD

fund

ing

win

dow

s z

Num

ber o

f Mem

ber S

tate

s/AU

C/RE

Cs/

RMs c

o-fin

anci

ng a

rran

gem

ents

in

supp

ort o

f PCR

D ef

fort

s in

coun

trie

s em

ergi

ng fr

om c

onfli

ct

Sour

ces o

f ver

ifica

tion

z

Fina

ncia

l Sta

tem

ents

z

Fina

ncia

l rep

orts

Assu

mpt

ions

z

AUC,

Mem

bers

stat

es R

ECs/

RMs,

and

ot

her r

elev

ant s

take

hold

ers a

re w

illin

g to

ta

ke o

wne

rshi

p of

PCR

D in

terv

entio

ns z

AUC

mem

bers

stat

es, p

artn

ers a

nd

dono

rs a

re w

illin

g to

allo

cate

reso

urce

s fo

r the

pos

tcon

flict

reco

nstr

uctio

n an

d de

velo

pmen

t of c

ount

ries e

mer

ging

from

co

nflic

t

102


utpu

tsO

utpu

ts In

dica

tors

Stra

tegi

es/A

ctiv

ities

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 4

.1Th

e Af

rican

Sol

-id

arity

Initi

ativ

e is

fully

con

cep-

tual

ised

and

op

erat

iona

l

z

A re

sour

ce m

obili

zatio

n st

rate

gy is

for-

mul

ated

and

impl

emen

ted

z

Cont

ribut

ions

mad

e by

AU

mem

bers

St

ates

, priv

ate

sect

or, p

hila

nthr

opist

and

fo

unda

tions

in su

ppor

t of P

CRD

z

A m

echa

nism

for m

atch

ing

supp

ort a

nd

need

s of M

embe

r Sta

tes i

s in

plac

e an

d fu

nctio

ning

z

Deve

lopm

ent a

nd im

plem

enta

tion

of A

SI

reso

urce

mob

iliza

tion

stra

tegy

z

Deve

lopm

ent o

f str

ateg

ies a

nd m

echa

-ni

sms t

o op

erat

iona

lise

the

ASI w

ith a

ll as

pect

s (id

entif

ying

pos

t-con

flict

nee

ds,

mat

chin

g of

nee

ds w

ith su

ppor

t ple

dged

by

Mem

ber S

tate

s or o

ther

act

ors;

cha

n-ne

lling

of f

unds

or d

eplo

ying

of t

echn

ical

su

ppor

t etc

.) z

Deve

lopm

ent o

f a m

echa

nism

to su

ppor

t M

embe

r Sta

tes t

o en

gage

with

eac

h ot

h-er

and

impl

emen

t sup

port

(e.g

. sec

ond-

men

t of s

taff

from

one

mem

ber s

tate

to

anot

her)

to p

ost-c

onfli

ct c

ount

ries

z

Esta

blish

the

nece

ssar

y (s

taffi

ng) c

apac

-iti

es to

trac

k ap

peal

s, d

onor

ple

dges

, co

mm

itmen

ts, d

isbur

sem

ent o

f fun

ds

and

ensu

re re

port

ing

on u

se o

f the

sa

me.

z

Pled

ges

z

In k

ind

supp

ort p

rovi

ded

z

Fina

ncia

l sta

tem

ents

z

AU m

embe

rs st

ates

are

will

ing

to

allo

cate

reso

urce

s for

the

post

-con

flict

re

cons

truc

tion

and

deve

lopm

ent o

f co

untr

ies e

mer

ging

from

con

flict

alo

ng-

side

trad

ition

al d

evel

opm

ent p

artn

ers

Out

put 4

.2Fu

ndin

g w

in-

dow

s to

chan

nel

fund

s fro

m A

U

to R

ECs a

nd M

S fo

r PCR

D in

ter-

vent

ions

are

cl

early

def

ined

an

d es

tabl

ishe

d

z

PCRD

act

iviti

es o

f REC

s/RM

s are

impl

e-m

ente

d th

roug

h an

AU

C/RE

C fu

ndin

g w

indo

w z

Fund

ing

is pr

ovid

ed to

Lia

ison

Offi

ces

and

field

miss

ions

in a

ccor

danc

e w

ith

Peac

e St

reng

then

ing

Proj

ects

(PSP

) ha

ndbo

ok a

nd g

uide

lines

z

Esta

blish

men

t of f

undi

ng w

indo

w fo

r AU

C an

d RE

Cs/R

Ms t

o im

plem

ent r

egio

n-al

and

cro

ss-b

orde

r PCR

D in

terv

entio

ns z

Defin

e fin

anci

al a

nd te

chni

cal r

equi

re-

men

ts fo

r the

fund

ing

win

dow

at A

U

leve

l z

Defin

e fin

anci

al a

nd te

chni

cal r

equi

re-

men

ts fo

r the

reci

pien

ts z

Defin

e re

port

ing

mec

hani

sm e

tc.

z

Coop

erat

ion

fram

ewor

k be

twee

n th

e AU

C-RE

Cs/R

Ms a

nd o

ther

stak

ehol

ders

z

Join

t wor

k pl

an

z

Mon

itorin

g m

issio

n

z

Adeq

uate

fund

ing

allo

cate

d in

the

PCRD

fu

nd w

indo

ws t

o ad

dres

s PCR

D ne

eds

Out

put 4

.3N

eeds

of

post

-con

flict

M

embe

r Sta

tes

are

regu

larly

an

d sy

stem

at-

ical

ly a

sses

sed

and

linke

d to

re

sour

ce m

obi-

lizat

ion

effo

rts

(fina

ncia

l and

in

-kin

d)

z

Post

-con

flict

nee

ds a

sses

smen

t (PC

NA)

m

etho

dolo

gy d

efin

ed e

tc.

z

PCN

As c

ondu

cted

in p

ost-c

onfli

ct M

em-

ber S

tate

s z

Reso

urce

s ple

dged

thro

ugh

ASI/c

han-

nelle

d th

roug

h fu

ndin

g w

indo

w a

re

base

d on

ass

esse

d po

st-c

onfli

ct n

eeds

z

Asse

ssm

ent o

f PCN

A m

etho

dolo

gy &

st

ockt

akin

g of

pas

t PCN

A m

issio

ns z

Deve

lop

harm

onize

d PC

NA

z

Cond

uct P

CNA

miss

ions

in p

ost-c

onfli

ct

coun

trie

s z

Plan

inte

rven

tions

of A

UC,

REC

s/RM

s,

AULO

s, re

gion

al m

issio

ns e

tc. b

ased

on

PCN

As z

Ensu

re th

at A

UC

and

REC

prog

ram

mes

(e

.g. C

ompr

ehen

sive

Afric

a Ag

ricul

ture

De

velo

pmen

t Pro

gram

me,

Pro

gram

me

for I

nfra

stru

ctur

e De

velo

pmen

t in

Afric

a et

c.) i

n po

st-c

onfli

ct c

ount

ries a

re b

ased

on

PCN

A

z

PCN

A m

etho

dolo

gy d

ocum

ents

z

PCN

A re

port

s z

Miss

ion

repo

rts

z

Prog

ram

me

docu

men

ts (p

ropo

sals,

pro

-gr

amm

e an

d ev

alua

tion

repo

rts)

z

Adeq

uate

fund

ing

and

hum

an re

sour

ces

avai

labl

e

103

Out

put 4

.4Fi

nanc

ial a

nd

in-k

ind

reso

urc-

es a

re re

gula

rly

mob

ilise

d in

pl

edgi

ng c

onfe

r-en

ces a

nd o

ther

oc

casi

ons,

bas

ed

on p

ost-c

onfli

ct

need

s

z

Pled

ges m

ade

durin

g pl

edgi

ng c

onfe

r-en

ces

z

Conv

ene

roun

d ta

ble

reso

urce

mob

i-liz

atio

n fo

r cou

ntrie

s em

ergi

ng fr

om

conf

lict;

z

Ensu

re te

chni

cal c

apac

ities

of A

U/R

ECs

to re

ceiv

e pl

edge

s in

a tim

ely

man

ner,

and

to fo

rwar

d th

em to

reci

pien

t in

acco

rdan

ce w

ith ru

les a

nd re

gula

tions

of

AU

z

Base

reso

urce

mob

iliza

tion

on re

cent

ly

asse

ssed

pos

t-con

flict

nee

ds z

Ensu

re m

atch

ing

of p

ledg

es a

nd n

eeds

th

roug

h es

tabl

ished

mec

hani

sm

z

Min

utes

from

reso

urce

mob

iliza

tion

mee

tings

z

Pled

ge d

ocum

ents

z

AUC

mem

bers

stat

es, p

artn

ers a

nd

dono

rs a

re w

illin

g to

allo

cate

reso

urce

s fo

r the

pos

t- co

nflic

t rec

onst

ruct

ion

and

deve

lopm

ent o

f cou

ntrie

s em

ergi

ng fr

om

conf

lict

Prob

lem

def

initi

on 5

The

AU &

REC

s hav

e lim

ited

capa

citie

s to

resp

ond

to p

ost-c

onfli

ct M

embe

r Sta

tes n

eeds

by

deve

lopi

ng a

nd im

plem

entin

g co

untr

y su

itabl

e, ti

mel

y su

ppor

t mea

sure

s, d

ue to

the

follo

win

g re

ason

s:

z

AULO

s and

REC

LOs i

n M

embe

r Sta

tes h

ave

limite

d ca

paci

ties &

unc

lear

man

date

to c

lose

ly in

tera

ct w

ith M

embe

r Sta

tes o

n th

eir n

eeds

z

AU a

nd R

ECs h

ave

limite

d ca

paci

ties t

o as

sist M

embe

r Sta

tes t

hrou

gh d

evel

opm

ent &

mon

itorin

g of

tailo

r mad

e in

terv

entio

ns a

ccor

ding

to M

embe

r Sta

tes n

eeds

z

AU a

nd R

ECs h

ave

limite

d ac

cess

to e

xper

tise

in a

ll fie

lds o

f PCR

D w

hich

can

be

depl

oyed

to su

ppor

t Mem

ber S

tate

s (on

shor

t ter

m b

asis)

Spec

ific

Obj

ectiv

e 5

Capa

citie

s of A

U a

nd R

ECs t

o re

spon

d to

pos

t-con

flict

M

embe

r Sta

tes n

eeds

thro

ugh

effe

ctiv

e co

ordi

natio

n an

d de

velo

pmen

t of P

CRD

inte

rven

tions

/Mem

ber S

tate

s sup

port

ar

e en

hanc

ed

Spec

ific

Obj

ectiv

e 5

Indi

cato

r z

Num

ber o

f Mem

ber S

tate

s whi

ch a

re

supp

orte

d in

the

impl

emen

ting

of p

ol-

icie

s or s

trat

egie

s whi

ch a

re re

late

d to

PC

RD (s

ecur

ity, t

rans

ition

al ju

stic

e an

d hu

man

righ

ts, s

ocio

-eco

nom

ic re

con-

stru

ctio

n an

d de

velo

pmen

t, hu

man

itar-

ian/

emer

genc

y ai

d, g

ende

r as w

ell a

s go

vern

ance

and

dem

ocra

cy a

spec

ts)

z

Num

ber o

f PCR

D As

sista

nce

requ

ests

ad

dres

sed

by A

U a

nd R

EC z

Evid

ence

that

supp

ort t

o m

embe

r sta

te

is ba

sed

on p

ost-c

onfli

ct n

eeds

ass

ess-

men

t

Sour

ces o

f ver

ifica

tion

z

PCRD

stra

tegi

es

z

Impl

emen

tatio

n pl

ans

z

Mon

itorin

g pl

ans

Assu

mpt

ions

z

All s

take

hold

ers a

re w

illin

g to

col

labo

rate

on

sust

aine

d im

plem

enta

tion

of P

CRD

inte

rven

tions

z

Post

-con

flict

Mem

ber S

tate

s req

uest

su

ppor

t fro

m A

U/R

ECs

z

Fund

s for

PCR

D in

terv

entio

ns a

re a

vaila

-bl

e an

d m

obili

sed

in d

ue ti

me

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 5

.1AU

and

REC

’s Li

aiso

n O

ffic

es

and

field

off

ices

ar

e eq

uipp

ed

with

rele

vant

PC

RD c

apac

ities

an

d cl

ear m

an-

date

s

z

AUC

PCRD

has

ade

quat

e ca

paci

ties i

n pl

ace

in li

ne w

ith th

e 6

pilla

rs o

f the

PC

RD P

olic

y z

Liai

son

Offi

ces a

nd fi

eld

offic

es in

po

st-c

onfli

ct c

ount

ries h

ave

adeq

uate

ca

paci

ties t

o w

ork

with

Mem

ber S

tate

s on

iden

tific

atio

n of

pos

t-con

flict

nee

ds

and

to g

ener

ate

mat

chin

g su

ppor

t via

AU

/REC

s/AS

I PCR

D ro

ster

func

tioni

ng z

Man

date

s of l

iaiso

n of

fices

and

regi

onal

m

issio

ns a

re re

gula

rly re

vise

d an

d re

flect

po

st-c

onfli

ct n

eeds

of t

he M

embe

r St

ates

z

Liai

son

Offi

ces a

nd fi

eld

offic

es a

nd

regi

onal

miss

ions

hav

e im

plem

enta

tion

stra

tegi

es in

pla

ce to

fulfi

l the

ir m

anda

te

z

Asse

ss A

UC,

REC

s/RM

s and

Lia

ison

Offi

c-es

and

fiel

d of

fices

cap

aciti

es re

quire

d fo

r add

ress

ing

PCRD

gap

s in

polic

y im

plem

enta

tion

z

Deve

lop

stra

tegi

es to

add

ress

the

capa

c-ity

gap

s ide

ntifi

ed fo

r AU

C, R

ECs/

RMs

Liai

son

Offi

ces a

nd fi

eld

offic

es z

Prov

ide

trai

ning

and

cap

acity

dev

elop

-m

ent t

o AU

LOs,

as w

ell a

s cla

rific

atio

n on

th

eir r

ole

in re

gard

s to

the

PCRD

pol

icy

impl

emen

tatio

n z

Mak

e su

re th

at P

CRD

need

s of p

ost-c

on-

flict

Mem

ber S

tate

s are

con

sider

ed in

th

e re

view

of A

ULO

s man

date

s z

Ensu

re c

oher

ence

bet

wee

n Li

aiso

ns

Offi

ces/

field

offi

ces p

rogr

amm

es a

nd

activ

ities

and

AU

C-RE

Cs/R

Ms s

trat

egie

s fo

r cou

ntry

em

ergi

ng fr

om c

onfli

ct

z

Asse

ssm

ent r

epor

t z

Recr

uitm

ent r

epor

ts z

Staf

fing

lists

z

Adeq

uate

fund

ing

is av

aila

ble

to su

ppor

t ca

paci

ty g

ap

Stra

tegi

c Pr

iorit

y 3


104


utpu

t 5.2

Ca

paci

ties o

f AU

and

REC

s to

assi

st M

embe

r St

ates

in th

e de

velo

pmen

t an

d m

onito

r-in

g of

tailo

r m

ade

natio

nal,

regi

onal

, and

cr

oss-

bord

er

inte

rven

tions

ac

cord

ing

to

Mem

ber S

tate

s ne

eds e

nhan

ced

z

Tech

nica

l ass

istan

ce to

pos

t-con

flict

M

embe

r Sta

tes p

rovi

ded

thro

ugh

the

iden

tific

atio

n of

rele

vant

exp

ertis

e m

akin

g us

e of

the

PCRD

rost

er o

f exp

erts

Li

aiso

n O

ffice

s and

fiel

d of

fices

con

trib

-ut

e to

the

enha

ncem

ent o

f MS

capa

citie

s th

roug

h pe

ace

stre

ngth

enin

g pr

ojec

ts z

Sele

cted

Mem

ber S

tate

s are

supp

orte

d in

the

impl

emen

tatio

n of

PCR

D pr

o-ce

sses

(sec

urity

, Tra

nsiti

onal

Just

ice,

G

over

nanc

e, G

ende

r, Hu

man

itaria

n,

soci

o-ec

onom

ic d

evel

opm

ent)

z

Nat

iona

l and

loca

l sta

keho

lder

s are

en

gage

d in

the

deve

lopm

ent o

f PCR

D po

licie

s and

stra

tegi

es z

Evid

ence

of P

CRD

Assis

tanc

e re

ques

ts

addr

esse

d by

AU

and

REC

z

Deve

lop

impl

emen

tatio

n st

rate

gies

for

all i

ndic

ativ

e el

emen

t of t

he P

CRD

polic

y fr

amew

ork

z

Assis

t Mem

ber S

tate

s upo

n re

ques

t to

deve

lop

or h

arm

onise

and

impl

emen

t na

tiona

l pol

icie

s in

the

field

of P

CRD/

peac

e bu

ildin

g, a

ligne

d w

ith re

gion

al/

cont

inen

tal p

olic

ies

z

Assis

t Mem

ber S

tate

s in

the

impl

emen

-ta

tion

of p

olic

ies a

nd p

rogr

amm

es in

the

indi

cativ

e el

emen

ts o

f PCR

D z

Enga

ge n

atio

nal,

loca

l and

oth

er st

ake-

hold

ers i

n de

velo

pmen

t of P

CRD

polic

ies

z

and

prom

ote

the

impl

emen

tatio

n of

su

ch p

olic

ies

z

Enha

nce

capa

citie

s at l

evel

of A

U a

nd

RECs

as w

ell a

s Lia

ison

Offi

ces i

n in

dica

-tiv

e el

emen

ts o

f PCR

D th

roug

h tr

aini

ng

etc.

z

Deve

lopm

ent o

f bes

t pra

ctic

es in

the

6 PC

RD p

illar

s

z

Impl

emen

tatio

n st

rate

gies

and

pla

ns

z

Repo

rts o

n im

plem

enta

tion

z

Eval

uatio

n/as

sess

men

t rep

orts

z

Repo

rts o

n co

untr

ies i

mpl

emen

ting

PCRD

in li

ne w

ith th

e 6

pilla

rs o

f the

co

ntin

enta

l PCR

D po

licy

z

Adeq

uate

fund

ing

is av

aila

ble

to su

ppor

t ca

paci

ty g

ap

Out

put 5

.3AU

and

REC

s ha

ve a

cces

s to

expe

rts i

n al

l in

dica

tive

ele-

men

ts o

f PCR

D an

d a

mec

ha-

nism

to d

eplo

y th

e ex

pert

ise

to p

ost-c

onfli

ct

Mem

ber S

tate

s ac

cord

ing

to

thei

r nee

ds

z

ToR

for e

xper

tise

in P

CRD

exist

ing

z

Rost

er d

evel

oped

and

fille

d w

ith q

uali-

fied

staf

f z

Num

ber o

f exp

erts

dep

loye

d vi

a th

e ro

ster

z

Expe

rtise

nee

ded

for P

CRD

and

peac

e bu

ildin

g pr

oces

ses d

efin

ed a

nd To

R de

velo

ped

z

Deve

lopm

ent o

f PCR

D ro

ster

to re

spon

d to

the

6 pi

llars

of t

he P

CRD

polic

y (in

-cl

udin

g CS

Os)

z

Mec

hani

sms i

n pl

ace

to d

eplo

y ex

pert

s to

pos

t-con

flict

Mem

ber S

tate

s or A

U-

LOs/

miss

ions

z

Data

base

in p

lace

at A

UC

leve

l z

Freq

uenc

y of

pos

itive

feed

back

to

requ

ests

for d

eplo

ymen

t in

AU p

eace

su

ppor

t ope

ratio

ns

z

Tech

nica

l ass

istan

ce in

requ

este

d in

AU

pea

ce su

ppor

t ope

ratio

ns /

by A

U

Mem

ber S

tate

s

Prob

lem

def

initi

on 6

The

AU &

REC

s hav

e lim

ited

capa

citie

s to

effe

ctiv

ely

fill o

ut th

e ro

le g

iven

to th

em in

the

SSR

polic

y fr

amew

ork

due

to th

e fo

llow

ing

five

mai

n re

ason

s:

z

Regi

onal

SSR

pol

icie

s are

not

dev

elop

ed a

nd/o

r not

use

d to

stan

dard

ize a

nd h

arm

onise

nat

iona

l SSR

pol

icie

s z

AU a

nd R

ECs h

ave

limite

d ca

paci

ties t

o as

sist M

embe

r Sta

tes i

n th

e de

velo

pmen

t and

impl

emen

tatio

n of

nat

iona

l SSR

pol

icie

s and

stra

tegi

es z

AU a

nd R

ECs h

ave

limite

d ca

paci

ties t

o en

gage

with

and

brin

g to

geth

er re

leva

nt st

akeh

olde

rs o

n al

l lev

els o

n SS

R on

the

cont

inen

t z

Stra

tegi

c do

cum

ents

& p

olic

y do

cum

ent w

hich

gui

de th

e co

nduc

t of a

rmed

forc

es in

the

field

of S

SR a

re n

ot d

evel

oped

or n

ot in

pla

ce z

AU a

nd R

ECs h

ave

limite

d ac

cess

to e

xper

tise

in a

ll fie

lds o

f SSR

whi

ch c

an b

e de

ploy

ed to

supp

ort M

embe

r Sta

tes o

r Afr

ican

led

PSO

s

105

Spec

ific

Obj

ectiv

e 6

AU a

nd R

ECs h

ave

the

capa

citie

s to

effe

ctiv

ely

fulfi

l the

ir ro

le a

s de

fined

in th

e SS

R po

licy

fram

ewor

k

Spec

ific

Obj

ectiv

e 6

Indi

cato

r z

Num

ber o

f Mem

ber S

tate

s sup

port

ed in

impl

e-m

entin

g SS

R po

licy

z

Evid

ence

of S

SR a

ssist

ance

requ

ests

add

ress

ed

by A

U a

nd R

ECs

z

SSR

proc

esse

s sup

port

ed b

y AU

/REC

s are

gen

der

sens

itive

z

Num

ber o

f req

uire

d ci

vilia

n SS

R ex

pert

s pro

vid-

ed in

supp

ort o

f AU

pea

ce su

ppor

t ope

ratio

ns

Sour

ces o

f ver

ifica

tion

z

Repo

rts

z

SSR

Proj

ect/

Prog

ram

me

docu

men

ts

Assu

mpt

ions

z

Will

and

capa

citie

s am

ong

Mem

ber

Stat

es to

em

bark

on

SSR

pro

cess

es z

Avai

labi

lity

of

fund

s and

of

qual

ified

hum

an

reso

urce

s (m

ilita

ry

and

civi

lian)

Out

puts

Out

put I

ndic

ator

sSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 6

.1Re

gion

al S

SR

polic

ies a

re

deve

lope

d an

d se

rve

as

inst

rum

ents

for

stan

dard

izat

ion

and

harm

onis

a-tio

n of

nat

iona

l SS

R po

licie

s

z

Regi

onal

SSR

pol

icie

s are

in p

lace

and

bas

ed o

n co

ntin

enta

l pol

icy

z

Num

ber o

f Mem

ber S

tate

s tha

t alig

ned

thei

r po

licie

s to

AU/R

EC S

SR p

olic

ies

z

Deve

lop

regi

onal

SSR

and

gov

erna

nce

fram

e-w

orks

to a

ssist

MS

to c

ompl

y w

ith c

ontin

enta

l po

licy

fram

ewor

k (S

SR P

olic

y) z

AU in

col

labo

ratio

n w

ith R

ECs,

RM

s fac

ilita

te a

nd

supp

ort M

S al

ign

natio

nal p

olic

ies w

ith A

U a

nd

regi

onal

pol

icy

fram

ewor

k on

SSR

z

RECs

, RM

s, in

col

labo

ratio

n w

ith M

S de

velo

p m

echa

nism

s for

mon

itorin

g an

d re

port

ing

on

the

impl

emen

tatio

n of

AU

SSR

gui

delin

es a

nd

guid

ance

not

es

z

Repo

rts o

n M

S al

igne

d na

tiona

l pol

icie

s with

AU

SS

R z

Repo

rts o

n de

velo

ped

mec

hani

sm fo

r mon

itor-

ing

and

repo

rtin

g th

e im

plem

enta

tion

of A

U S

SR

guid

elin

es a

nd g

uida

nce

note

s

z

Will

ingn

ess o

f MS

to a

lign

thei

r pol

-ic

ies t

o re

gion

al

and

natio

nal p

oli-

cy fr

amew

orks

Out

put 6

.2Ca

paci

ties o

f AU

and

REC

s to

assi

st M

embe

r St

ates

in th

e de

-ve

lopm

ent a

nd

impl

emen

tatio

n of

nat

iona

l SS

R po

licie

s,

stra

tegi

es a

nd

prog

ram

mes

are

en

hanc

ed

z

SSR

asse

ssm

ent t

ools

and

guid

ance

not

es in

pl

ace

z

Best

pra

ctic

es g

ener

ated

and

diss

emin

ated

for

SSR

z

Evid

ence

of t

rans

fer o

f rel

evan

t ski

lls d

urin

g th

e SS

R tr

aini

ng w

orks

hops

and

oth

er c

apac

ity

build

ing

exer

cise

s

z

Deve

lop

and

oper

atio

nalis

e SS

R po

licy

and

best

pr

actic

e do

cum

ents

z

Deve

lop

SSR

asse

ssm

ent t

ools,

gui

danc

e no

tes,

be

st p

ract

ices

, eva

luat

ion

tem

plat

es, t

rain

ing

mod

ules

and

oth

er S

SR im

plem

enta

tion

tool

s (S

SR P

olic

y) z

Assis

t in

the

mob

iliza

tion

of fu

ndin

g an

d ot

her

reso

urce

s for

impl

emen

tatio

n of

SSR

pro

cess

in

MS

(SSR

Pol

icy)

z

Assis

t in

asse

ssm

ent,

impl

emen

tatio

n, m

oni-

torin

g an

d ev

alua

ting

SSR

proc

esse

s in

MS

(SSR

Po

licy)

z

Assis

t MS

in h

oldi

ng n

atio

nal,

loca

l, an

d ot

her

stak

ehol

der m

eetin

gs to

bui

ld c

onse

nsus

on

impl

emen

tatio

n of

SSR

pol

icie

s z

prom

ote

impl

emen

tatio

n of

regi

onal

and

na-

tiona

l sec

urity

pol

icie

s and

stra

tegi

es b

ased

on

dem

ocra

tic p

rinci

ples

, hum

an se

curit

y ne

eds,

re

spec

t for

hum

an ri

ghts

and

inte

rnat

iona

l hu

man

itaria

n la

w (b

y na

tiona

l and

regi

onal

st

akeh

olde

rs)

z

Cond

uct S

SR tr

aini

ng w

orks

hops

with

REC

s, M

S,

and

othe

r rel

evan

t sta

keho

lder

s (SS

R Po

licy)

z

RECs

to p

rovi

de fi

nanc

ial s

uppo

rt fo

r ins

titut

ion-

al c

apac

ity b

uild

ing,

inte

grat

ed M

&E

syst

ems

whi

ch c

an b

e lin

ked

to e

arly

war

ning

and

situ

a-tio

nal a

naly

sis (S

SR P

olic

y)

z

Repo

rts o

n SS

R re

ques

t add

ress

ed z

Repo

rts o

n SS

R as

sista

nce

deliv

ered

with

in th

e fr

amew

ork

of P

SOs

z

Mem

ber s

tate

s re

ques

t for

or

agre

e to

the

sup-

port

of A

U/R

ECs

for n

atio

nal S

SR

proc

esse

s

Stra

tegi

c Pr

iorit

y 3


106


utpu

t 6.3

AU a

nd R

ECs

brin

g to

geth

er

rele

vant

SSR

st

akeh

olde

rs o

n th

e co

ntin

ent

z

Evid

ence

of e

xper

ienc

e sh

ared

rele

vant

to

AU

C an

d RE

Cs/R

Ms

z

Evid

ence

of a

gree

men

ts w

ith U

N a

nd

othe

r int

erna

tiona

l act

ors o

n co

mm

on

enga

gem

ent i

n SS

R pr

oces

ses

z

RECs

to d

esig

nate

an

SSR

foca

l poi

nt to

co

ordi

nate

SSR

act

iviti

es in

MS

and

with

AU

& in

tern

atio

nal c

omm

uniti

es (S

SR

Polic

y) z

Prov

ide

a co

ntin

enta

l dia

logu

e fo

rum

for

exch

ange

of n

atio

nal S

SR e

xper

ienc

es

(SSR

Pol

icy)

z

AU a

nd R

ECs t

o co

llabo

rate

with

UN

and

ot

her i

nter

natio

nal p

artn

ers a

nd st

ake-

hold

ers i

n al

l asp

ects

of s

ecur

ity se

ctor

re

form

and

esp

ecia

lly th

ose

aspe

cts o

f SS

R th

at a

ffect

the

Afric

an c

ontin

ent (

SSR

Polic

y) z

Enga

ge in

tern

atio

nal p

artn

ers w

ith th

e vi

ew to

enc

oura

ge th

em to

be

acco

unt-

able

to th

eir a

gree

d co

mm

itmen

ts in

su

ppor

t of t

he S

SR a

ctiv

ities

of M

S (S

SR

Polic

y)

z

Min

utes

/doc

umen

tatio

n fr

om c

ontin

en-

tal d

ialo

gue

foru

m z

Min

utes

/doc

umen

tatio

n fr

om e

ngag

e-m

ent w

ith U

N a

nd o

ther

inte

rnat

iona

l st

akeh

olde

rs

z

Will

ingn

ess o

f oth

er st

akeh

olde

rs to

en

gage

mea

ning

ful o

n SS

R w

ith A

U a

nd

RECs

Out

put 6

.4St

rate

gies

and

po

licy

docu

-m

ents

that

gu

ide

the

con-

duct

of a

rmed

fo

rces

in th

e fie

ld o

f SSR

are

de

velo

ped

z

Cont

inen

tal c

ode

of c

ondu

ct fo

r arm

ed

forc

es in

pla

ce z

Deve

lop

a co

ntin

enta

l cod

e of

con

duct

fo

r Afr

ican

arm

ed fo

rces

, sec

urity

inst

itu-

tions

and

AU

miss

ions

, a m

anua

l on

SSR

best

pra

ctic

es in

Afr

ica,

and

gui

danc

e on

ha

rmon

izatio

n of

nat

iona

l sec

urity

, in

part

ners

hip

with

the

UN

(SSR

Pol

icy)

z

Code

of c

ondu

ct z

Man

ual o

n SS

R be

st p

ract

ices

on

the

cont

inen

t

z

Will

from

stak

ehol

ders

to e

ngag

e in

the

deve

lopm

ent o

f the

cod

e of

con

duct

z

Adeq

uate

hum

an a

nd fi

nanc

ial r

esou

rces

ar

e av

aila

ble

Out

put 6

.5Ro

ster

of A

fric

an

expe

rts o

n SS

R is

in p

lace

and

fu

nctio

nal

z

SSR

expe

rts a

re a

vaila

ble

and

read

y fo

r de

ploy

men

t to

Mem

ber S

tate

s or A

fri-

can-

led

PSO

s

z

Crea

te, m

aint

ain

and

upda

te a

rost

er o

f Af

rican

exp

erts

on

SSR

incl

udin

g on

pill

ar

expe

rts (

Defe

nce,

Pol

ice,

etc

.)

z

Data

base

in p

lace

at A

UC

leve

l z

Freq

uenc

y of

pos

itive

feed

back

to re

-qu

ests

for d

eplo

ymen

t in

AU P

SOs

z

SSR

tech

nica

l ass

istan

ce is

requ

este

d in

AU

PSO

s

Prob

lem

def

initi

on 7

The

AUC,

REC

s/RM

s and

Mem

ber S

tate

s hav

e lim

ited

capa

citie

s to

resp

ond

to D

DR c

halle

nges

with

in th

e Af

rican

con

tinen

t due

to 3

mai

n re

ason

s: z

DDR

proc

esse

s are

not

suffi

cien

tly p

rom

oted

at n

atio

nal a

nd lo

cal l

evel

s; z

AU a

nd R

ECs/

RMs a

nd M

embe

r Sta

tes h

ave

limite

d ca

paci

ties i

n DD

R; z

Civi

lian

DDR

expe

rtise

is n

ot fu

lly in

stitu

tiona

lised

in A

U p

eace

supp

ort o

pera

tions

107

Stra

tegi

c Pr

iorit

y 3

Spec

ific

Obj

ectiv

e 7

Enha

nced

cap

aciti

es o

f AU

C, R

ECs/

RMs a

nd M

embe

r Sta

tes

to m

eet t

he D

DR c

halle

nges

in p

ost-c

onfli

ct A

fric

an c

ount

ries

Spec

ific

Obj

ectiv

e 7

Indi

cato

r z

Num

ber o

f DDR

Ass

istan

ce re

ques

ts

addr

esse

d by

AU

and

REC

s z

Num

ber o

f AU

and

REC

s DDR

exp

ertis

e de

ploy

ed w

ithin

pea

ce su

ppor

t ope

ra-

tions

z

Num

ber o

f DDR

doc

umen

ts d

evel

oped

an

d co

ntin

enta

l dia

logu

e pl

atfo

rms

faci

litat

ed z

Evid

ence

of r

equi

red

DDR

expe

rtise

pr

ovid

ed in

supp

ort t

o AU

pea

ce su

ppor

t op

erat

ions

Sour

ces o

f ver

ifica

tion

z

Repo

rts o

n ca

paci

ty e

nhan

cem

ent o

f AU,

RE

Cs a

nd M

embe

r Sta

tes i

n DD

R z

Repo

rts o

n DD

R re

ques

ts a

ddre

ssed

z

Repo

rts o

f DDR

ass

istan

ce d

eliv

ered

w

ithin

the

fram

ewor

k of

pea

ce su

ppor

t op

erat

ions

z

Repo

rts o

f for

ums a

nd d

evel

opm

ent o

f do

cum

ents

Assu

mpt

ions

z

AU a

nd R

ECs a

ddre

ss m

embe

r sta

te’s

requ

ests

in D

DR a

s wel

l as r

eque

sts

with

in th

e fr

amew

ork

of p

eace

supp

ort

oper

atio

ns

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 7

.1DD

R pr

oces

ses

prom

oted

at n

a-tio

nal a

nd lo

cal

leve

ls

z

Num

ber o

f cou

ntrie

s pro

mot

ing

and

impl

emen

ting

DDR

stra

tegi

es z

Supp

ort t

he p

lann

ing

and

impl

emen

t of

com

preh

ensiv

e an

d w

ell-b

lend

ed d

isar-

mam

ent,

dem

obili

zatio

n, re

habi

litat

ion

and

rein

tegr

atio

n pr

ogra

ms,

as a

bas

is fo

r con

solid

atin

g sa

fety

and

secu

rity

z

Supp

ortin

g th

e de

velo

pmen

t of g

ende

r aw

are

and

child

pro

tect

ion

mai

nstr

eam

in

DDR

am

ong

natio

nal,

loca

l and

oth

er

stak

ehol

ders

z

Prov

idin

g te

chni

cal s

taff

to su

ppor

t the

de

velo

pmen

t and

impl

emen

tatio

n of

DD

R pr

ogra

ms.

z

Repo

rts o

n en

gage

men

t of s

take

hold

ers

on d

evel

opm

ent o

f DDR

stra

tegi

es z

Evid

ence

on

prov

ision

of a

ssist

ance

to

wom

en a

nd c

hild

ren

in D

DR p

rogr

ams

z

Num

ber o

f sta

ff de

ploy

ed

z

Nat

iona

l, lo

cal a

nd o

ther

stak

ehol

d-er

s pro

mot

e im

plem

enta

tion

of D

DR

proc

esse

s

Out

put 7

.2

AU,R

ECs/

RMs

and

Mem

ber

Stat

es c

apac

ities

en

hanc

ed in

DD

R

z

Num

ber o

f mem

ber s

tate

s sup

port

ed in

im

plem

entin

g DD

R po

licie

s z

Enga

ge N

atio

nal,

loca

l and

oth

er st

ake-

hold

ers o

n de

velo

pmen

t of D

DR p

olic

ies

z

Deve

lopm

ent a

nd o

pera

tiona

lizat

ion

of

DDR

polic

ies

z

Prom

ote

and

supp

ort p

roce

sses

on

impl

emen

tatio

n of

DDR

pol

icie

s

z

Repo

rts o

n co

untr

ies i

mpl

emen

ting

DDR

polic

ies

z

Repo

rts o

n de

velo

pmen

t and

ope

ratio

n-al

izatio

n of

DDR

pol

icie

s z

Repo

rts o

n im

plem

enta

tion

of D

DR

polic

ies

z

AU, R

Ms a

nd R

ECs u

se th

eir e

nhan

ced

capa

citie

s to

prom

ote

DDR

proc

esse

s

Out

put 7

.3Ci

vilia

n DD

R ex

-pe

rtis

e is

inst

itu-

tiona

lised

in A

U

peac

e su

ppor

t op

erat

ions

z

Evid

ence

of q

ualit

y hu

man

reso

urce

in

the

rost

er z

Crea

te, m

aint

ain

and

upda

te a

rost

er o

f Af

rican

exp

erts

on

DDR

z

Data

base

in p

lace

at A

UC

leve

l z

Freq

uenc

y of

pos

itive

feed

back

to

requ

ests

for d

eplo

ymen

t in

AU p

eace

su

ppor

t ope

ratio

ns

z

DDR

tech

nica

l ass

istan

ce in

requ

este

d in

AU

pea

ce su

ppor

t ope

ratio

ns


108


4Re

sults

Fra

mew

ork

Stra

tegi

c Pr

iorit

y 4:

St

rate

gic

Secu

rity

Issu

es

Stra

tegi

c O

bjec

tive

Stra

tegi

c O

bjec

tive

Indi

cato

rsSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

To c

ontr

ibut

e to

enh

anci

ng th

e tim

elin

ess a

nd e

ffect

ive-

ness

of t

he re

spon

se to

stra

tegi

c se

curit

y ch

alle

nges

by

all

stak

ehol

ders

z

Evid

ence

of e

ffect

ive

polic

ies,

pro

gram

s an

d ca

paci

ties b

eing

dev

elop

ed a

nd

impl

emen

ted

to a

ddre

ss tr

ansn

atio

nal

thre

ats

z

Evid

ence

of M

embe

r Sta

tes i

ncor

pora

t-in

g/im

plem

entin

g ge

nder

dim

ensio

ns

in S

ALW

con

trol

pro

gram

mes

incl

udin

g na

tiona

l pla

ns, n

atio

nal c

omm

issio

ns,

legi

slatio

n, d

ata

on a

rms a

nd v

iole

nce

agai

nst w

omen

and

vul

nera

ble

grou

ps.

z

Polic

y an

d pr

ogra

mm

e do

cum

ents

z

SALW

con

trol

pro

gram

me

docu

men

ts

(nat

iona

l pla

ns, c

omm

issio

n re

port

s) z

Law

s on

SALW

con

trol

z

Repo

rts o

n da

ta o

n ar

ms a

nd g

en-

der-b

ased

vio

lenc

e

Prob

lem

def

initi

on 1

Li

mite

d ef

fect

iven

ess i

n ad

dres

sing

illic

it flo

ws o

f SAL

W d

ue to

: z

Lega

l and

pol

icy

inst

rum

ents

to a

ddre

ss th

e ill

icit

flow

of w

eapo

ns a

re n

ot d

omes

ticat

ed;

z

Wea

k op

erat

iona

l cap

aciti

es o

f mem

bers

stat

es to

pre

vent

, det

ect a

nd re

spon

d to

illic

it SA

LW tr

affic

king

and

circ

ulat

ion;

z

Insu

ffici

ent u

pdat

ed re

sear

ch, d

ata

and

anal

ysis

on tr

affic

king

and

circ

ulat

ion

of il

licit

SALW

to su

ppor

t evi

denc

e-ba

sed

prog

ram

min

g; z

Lack

of a

com

preh

ensiv

e m

onito

ring

and

eval

uatio

n ca

paci

ty w

ith re

gard

s to

illic

it SA

LW c

ontr

ol in

terv

entio

ns;

z

Abse

nce

of a

n ef

fect

ive

law

enf

orce

men

t coo

pera

tion

and

coor

dina

tion

mec

hani

sm w

ith a

con

tinen

tal a

nd su

b-re

gion

al (R

ECs)

scop

e to

faci

litat

e in

ter-s

tate

coo

pera

tion;

z

Lim

ited

capa

citie

s of P

SOs i

n m

anag

ing

and

acco

untin

g fo

r wea

pons

and

impl

emen

ting

illic

it SA

LW c

ontr

ol in

terv

entio

ns;

Spec

ific

Obj

ectiv

e 1

Inte

grat

ed, c

ompr

ehen

sive

and

sust

aina

ble

polic

ies a

nd

mea

sure

s to

addr

ess t

he il

licit

flow

of S

ALW

are

effe

ctiv

ely

impl

emen

ted

in li

ne w

ith in

tern

atio

nal i

nstr

umen

ts a

nd b

est

prac

tices

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of M

embe

r Sta

tes m

arki

ng

arm

s and

mai

ntai

ning

reco

rds;

z

Evid

ence

of M

embe

r Sta

tes c

oope

ratin

g in

arm

s tra

cing

and

seizu

re;

z

Evid

ence

of M

embe

r Sta

tes s

ecur

ing

arm

s sto

ckpi

les;

z

Evid

ence

of M

embe

r Sta

tes a

dopt

ing

leg-

islat

ion

and

mea

sure

s to

regu

late

arm

s ow

ners

hip

and

tran

sfer

s, a

nd c

rimin

aliz

-in

g ill

icit

activ

ities

; z

Evid

ence

of M

embe

r Sta

tes’

ow

ners

hip

and

finan

cial

con

trib

utio

n to

nat

iona

l po

licie

s and

pro

gram

mes

Sour

ces o

f ver

ifica

tion

z

Bian

nual

PSC

Rep

ort t

o th

e AU

Ass

embl

y on

the

stat

e of

pea

ce a

nd se

curit

y in

Af

rica

z

Them

atic

AU

C Ch

airp

erso

n re

port

s to

the

PSC

z

Repo

rts b

y RE

Cs a

nd R

egio

nal B

odie

s

Assu

mpt

ions

z

Mem

ber S

tate

s hav

e th

e w

ill a

nd th

e ca

paci

ty to

mar

k ar

ms,

mai

ntai

n re

cord

s an

d se

cure

stoc

kpile

s z

Mem

ber S

tate

s hav

e th

e ca

paci

ty a

nd

the

will

to m

ake

fund

s ava

ilabl

e fo

r na

tiona

l pol

icie

s and

pro

gram

mes

on

SALW

con

trol

109

Stra

tegi

c Pr

iorit

y 4

Results Framework Strategic Priority 4: Strategic Security Issues

Out

puts

Out

puts

Indi

cato

rsAc

tiviti

es/s

trat

egie

sSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 1

.1Le

gal i

nstr

u-m

ents

to a

d-dr

ess t

he il

licit

flow

of w

eapo

ns

are

effe

ctiv

ely

dom

estic

ated

z

Fina

ncia

l, te

chni

cal a

nd o

pera

tiona

l ga

ps a

t nat

iona

l and

regi

onal

leve

ls ar

e id

entif

ied

z

Resp

onse

mea

sure

s to

addr

ess t

he g

aps

agre

ed u

pon

z

Lega

l and

regu

lato

ry in

stru

men

ts d

evel

-op

ed z

Invo

lvem

ent/

cons

ulta

tion

of w

omen

gr

oups

in d

evel

opm

ent o

f leg

islat

ion

and

prov

ision

s for

the

prev

entio

n/pe

naliz

a-tio

n of

Gen

der-b

ased

vio

lenc

e (G

BV) i

n na

tiona

l leg

islat

ion

z

Stre

ngth

ened

coo

rdin

atio

n in

itiat

ives

: bi

-ann

ual S

teer

ing

Com

mitt

ee m

eetin

gs z

Mob

iliza

tion

of fi

nanc

ial a

nd te

chni

cal

reso

urce

s for

Mem

ber S

tate

s z

Dire

ct te

chni

cal s

uppo

rt to

mem

bers

st

ates

z

Repo

rts o

f the

Ste

erin

g Co

mm

ittee

on

SALW

/DDR

z

AUC/

RECs

hav

ing

the

requ

ired

hum

an

and

finan

cial

reso

urce

s to

assu

me

an

effe

ctiv

e co

ordi

natio

n ro

le

z

Dono

r int

eres

t and

com

mitm

ent

Out

put 1

.2O

pera

tiona

l ca

paci

ties a

re

built

z

Mem

ber s

tate

s hav

e te

chni

cal a

nd

oper

atio

nal s

kills

to m

ark

arm

s, m

aint

ain

reco

rds,

secu

re a

rms s

tock

pile

s, re

gula

te

arm

s ow

ners

hip,

coo

pera

te in

arm

s tr

acin

g, e

tc.

z

Mem

ber s

tate

s hav

e ac

quire

d th

e sk

ill

nece

ssar

y to

evi

denc

e-ba

sed

prog

ram

-m

ing

z

Perc

enta

ge o

f wom

en tr

aine

d on

SAL

W

cont

rol i

ssue

s and

wom

en w

orki

ng in

su

ppor

ted

natio

nal p

rogr

amm

es

z

Prov

idin

g op

erat

iona

l sup

port

to p

riorit

y in

terv

entio

ns in

SAL

W c

ontr

ol (t

rain

ing,

pu

rcha

se o

f equ

ipm

ent,

deve

lopm

ent o

f gu

idel

ines

, etc

.)

z

Trai

ning

cur

ricul

a an

d re

port

s z

Repo

rts t

o th

e As

sem

bly

and

PSC

z

Mem

ber s

tate

s abi

lity

to c

apita

lize

on

supp

ort p

rovi

ded

Out

put 1

.3Co

mpr

ehen

sive

kn

owle

dge

on th

e flo

w o

f ill

icit

SALW

on

the

cont

inen

t is

avai

labl

e

z

Info

rmat

ion

on il

licit

SALW

supp

liers

, fi-

nanc

iers

and

faci

litat

ors a

s wel

l as t

rans

it po

ints

and

reci

pien

ts is

com

pile

d z

Stud

ies h

ighl

ight

gap

s and

cha

lleng

es

that

und

erm

ine

stat

es c

apac

ities

to

addr

ess t

he il

licit

SALW

flow

z

Data

gat

here

d/re

port

s pro

duce

d on

GBV

an

d im

pact

of i

llici

t/m

isuse

of S

ALW

on

wom

en, g

irls,

chi

ldre

n an

d vu

lner

able

gr

oups

z

Com

miss

ioni

ng o

f exp

ert s

tudi

es in

col

-la

bora

tion

with

REC

s/RM

s and

rese

arch

gr

oups

z

Com

pila

tion

of re

port

s and

dat

a fr

om

RECs

, RM

s and

rese

arch

gro

ups

z

Valid

atio

n of

find

ings

z

Draf

ting

sugg

este

d st

rate

gic

resp

onse

s z

Evid

ence

bas

ed p

lann

ing

z

Publ

icat

ion

of A

UC

stud

y z

Avai

labi

lity

of d

onor

or M

embe

r Sta

te

fund

ing

z

Rele

vant

exp

ertis

e is

loca

ted

in A

fric

a z

Colla

bora

tion

with

Afr

ican

and

inte

r-na

tiona

l illi

cit a

rms t

rack

ing

CSO

s and

re

sear

ch in

stitu

tes

z

Colla

bora

tion

with

Uni

ted

Nat

ions

z

Coop

erat

ion

of M

embe

r Sta

tes i

n re

-se

arch

and

dat

a ga

ther

ing

Out

put 1

.4

Mon

itorin

g ca

paci

ty in

SA

LW c

ontr

ol

esta

blis

hed

z

Basic

gui

delin

es d

evel

oped

, agr

eed

upon

and

inte

grat

ed in

to p

roje

ct d

esig

n,

incl

udin

g as

sess

men

t and

eva

luat

ion

of

gend

er d

imen

sions

z

Cons

olid

ated

info

rmat

ion

on S

ALW

con

-tr

ol a

ctiv

ities

com

pile

d

z

Deve

lopm

ent o

f bas

ic g

uide

lines

for t

he

inte

grat

ion

of e

valu

atio

n an

d as

sess

men

t in

pro

ject

des

ign

by A

U/R

ECs/

RMs

z

Bien

nial

repo

rts o

n SA

LW c

ontr

ol su

p-po

rt b

y AU

/REC

s/RM

s and

par

tner

s

z

Publ

icat

ion

of g

uide

lines

z

Publ

icat

ion

of re

port

s z

Coop

erat

ion

of M

embe

r Sta

tes a

nd

impl

emen

ting

agen

cies

in e

valu

atio

n an

d as

sess

men

ts z

Hum

an a

nd fi

nanc

ial c

apac

ities

at t

he

AUC/

RECs

leve

l to

man

age

know

ledg

e

110


utpu

t 1.5

PSO

s cap

acity

to

man

age

wea

p-on

s hol

ding

an

d st

ockp

iles

and

impl

emen

t SA

LW c

ontr

ol

inte

rven

tions

bu

ilt

z

SOPs

/gui

delin

es d

evel

oped

, val

idat

ed

and

adop

ted

z

PSO

s man

date

s inc

lusiv

e of

arm

s man

-ag

emen

t com

pone

nts

z

PSO

s acq

uirin

g th

e sk

ills n

eces

sary

to

impl

emen

t SAL

W c

ontr

ol in

terv

entio

ns

incl

udin

g re

spon

se to

SAL

W/G

BV

z

Tech

nica

l sup

port

to P

SOs i

n de

velo

ping

SO

Ps a

nd g

uide

lines

to m

anag

e an

d ac

coun

t for

wea

pons

z

Tech

nica

l sup

port

to P

SOs i

n st

ream

linin

g SA

LW c

ontr

ol in

to C

onO

ps a

nd m

issio

n m

anda

te

z

Trai

ning

and

ope

ratio

nal s

uppo

rt to

PSO

s in

impl

emen

ting

man

date

d SA

LW c

ontr

ol

inte

rven

tions

z

Regu

lar P

SOs r

epor

ts to

the

PSC

z

Publ

icat

ion

of g

uide

lines

z

PSO

man

date

and

Con

Ops

z

Com

mitm

ent o

f PSO

s/TC

C/PS

C to

ac-

coun

tabi

lity

in a

rms m

anag

emen

t z

Com

mitm

ent b

y do

nors

to su

ppor

t ar

ms m

anag

emen

t com

pone

nts o

f PSO

m

anda

tes

Prob

lem

def

initi

on 2

Inab

ility

of M

embe

r Sta

tes t

o fu

lly m

eet t

heir

oblig

atio

ns u

nder

the

Anti-

Pers

onne

l lan

dmin

es C

onve

ntio

n an

d th

e Co

nven

tion

on C

lust

er M

uniti

ons d

ue to

: z

Lim

ited

tech

nica

l and

ope

ratio

nal c

apac

ities

of M

embe

r Sta

tes t

o im

plem

ent m

ine

actio

n pr

ogra

mm

es;

z

Lack

of i

nteg

rate

d an

d su

stai

nabl

e po

licie

s and

pro

gram

mes

to su

ppor

t vic

tims o

f lan

dmin

es a

nd U

XO;

z

Abse

nce

of in

ter-s

tate

mod

aliti

es a

nd a

gree

men

ts to

cle

ar m

ines

in b

orde

r are

as;

z

Abse

nce

of re

gion

al m

echa

nism

s/pl

atfo

rms t

o m

obili

ze re

sour

ces a

nd fo

ster

sout

h-so

uth

coop

erat

ion;

z

Lim

ited

expe

rtise

, fin

anci

al a

nd o

pera

tiona

l res

ourc

es a

t the

leve

l of P

SOs t

o de

al w

ith th

e th

reat

of I

ED a

nd U

XO;

Spec

ific

Obj

ectiv

e 2

Min

e ac

tion

and

coun

ter-

IED/

expl

osiv

es m

anag

emen

t pro

-gr

amm

es a

re im

plem

ente

d by

affe

cted

Mem

ber S

tate

s and

PS

Os i

n an

inte

grat

ed a

nd su

stai

nabl

e m

anne

r

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of M

embe

r Sta

tes p

rogr

ess t

o-w

ards

thei

r cle

aran

ce d

eadl

ines

/tar

gets

z

Evid

ence

of v

ictim

s’ a

ssist

ance

pol

icie

s an

d pr

ogra

mm

es z

Evid

ence

of p

artic

ipat

ion

of w

omen

in

natio

nal m

ine

actio

n z

Conc

lusio

n of

agr

eem

ents

and

dev

elop

-m

ent o

f cro

ss-b

orde

r dem

inin

g pr

ojec

ts

z

Reso

urce

s mob

ilize

d th

roug

h th

e So

uth-

Sout

h co

oper

atio

n pl

atfo

rm

z

Perc

enta

ge o

f IED

s det

ecte

d an

d di

s-po

sed

by A

U-P

SOs

Sour

ces o

f ver

ifica

tion

z

Prog

ress

repo

rts s

ubm

itted

by

Mem

ber

Stat

es to

the

resp

onsib

le in

tern

atio

nal

bodi

es z

Repo

rts b

y U

NM

AS a

nd im

plem

entin

g ag

enci

es z

PSO

s inc

iden

t rep

orts

Assu

mpt

ions

z

Com

mitm

ent a

nd c

apac

ity o

f Mem

ber

Stat

es to

impl

emen

t effe

ctiv

e m

ine

actio

n pr

ogra

ms

Out

puts

Out

puts

Indi

cato

rsAc

tiviti

es/s

trat

egie

sSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 2

.1Te

chni

cal a

nd

oper

atio

nal

capa

citie

s of

Mem

ber S

tate

s to

impl

emen

t m

ine

actio

n pr

o-gr

ams a

re b

uilt

z

Mem

ber s

tate

s pra

ctiti

oner

s hav

e ac

-qu

ired

the

skill

s and

reso

urce

s nec

essa

ry

to im

plem

ent m

ine

actio

n pr

ogra

mm

es

z

Colla

bora

tion

with

Min

e Ac

tion

cent

res

to d

eliv

er tr

aini

ng to

mem

ber s

tate

pr

actit

ione

rs z

Prov

ision

of d

emin

ing

and

trai

ning

eq

uipm

ent t

o af

fect

ed M

embe

r Sta

tes

z

Deliv

ery

of tr

aini

ng o

n va

rious

Min

e Ac

tion

com

pone

nts (

awar

enes

s, p

rogr

am

man

agem

ent,

land

min

e im

pact

surv

eys,

ge

nder

mai

nstr

eam

ing,

etc

.)

z

Trai

ning

repo

rts (

incl

udin

g as

sess

men

t of

effe

ctiv

e tr

ansf

er o

f ski

lls)

z

Capa

city

of m

ine

actio

n ce

ntre

s to

trai

n pr

actit

ione

rs z

Abili

ty o

f Mem

ber S

tate

s to

utili

ze a

nd

capi

taliz

e on

tech

nica

l and

ope

ratio

nal

supp

ort p

rovi

ded

111

Stra

tegi

c Pr

iorit

y 4


Out

put 2

.2Vi

ctim

ass

is-

tanc

e pr

o-gr

amm

es a

re

inte

grat

ed in

to

natio

nal p

olic

ies

z

Mem

ber s

tate

s acq

uirin

g th

e ne

cess

ary

know

ledg

e to

dev

elop

vic

tims a

ssist

ance

po

licie

s, le

gisla

tion

and

prog

ram

mes

z

Mem

ber s

tate

s dev

elop

ing

vict

ims a

ssis-

tanc

e co

mpo

nent

s tai

lore

d sp

ecifi

cally

fo

r wom

en a

nd c

hild

ren

z

Tech

nica

l sup

port

and

trai

ning

to M

em-

ber S

tate

s on

deve

lopi

ng a

nd su

stai

ning

vi

ctim

s ass

istan

ce p

rogr

amm

es

z

Deve

lopm

ent a

nd d

issem

inat

ion

of

guid

elin

es a

nd b

est p

ract

ices

on

vict

ims

assis

tanc

e

z

Curr

icul

a an

d re

port

s of t

rain

ing

sess

ions

z

Publ

icat

ion

of g

uide

lines

z

Activ

e en

gage

men

t and

col

labo

ratio

n of

the

rele

vant

AU

dep

artm

ents

(Soc

ial

Affa

irs) a

nd A

U a

genc

ies (

Afric

an re

habi

l-ita

tion

Inst

itute

) z

Com

mitm

ent o

f Mem

ber S

tate

s to

ad-

dres

sing

need

s of m

ine

vict

ims

Out

put 2

.3

Agre

emen

t re

ache

d an

d pr

ojec

ts d

evel

-op

ed to

dem

ine

bord

er a

reas

z

Cros

s-bo

rder

coo

pera

tion

agre

emen

t co

nclu

ded

z

Faci

litat

e th

e co

nclu

sion

of in

ters

tate

ag

reem

ents

to su

rvey

and

dem

ine

bor-

der r

egio

ns u

nder

the

ausp

ices

of t

he A

U

Bord

er P

rogr

am

z

Docu

men

tatio

n of

the

agre

emen

ts z

Proj

ect d

ocum

ents

(pro

posa

ls, re

port

s an

d ev

alua

tions

)

z

Com

mitm

ent,

coop

erat

ion

and

tran

s-pa

renc

y of

con

cern

ed st

ates

to b

orde

r de

min

ing

initi

ativ

es z

Capa

city

of t

he A

U, R

ECs a

nd p

artn

ers i

n de

velo

ping

, man

agin

g an

d co

ordi

natin

g bo

rder

are

as d

emin

ing

prog

ram

s

Out

put 2

.4

Sout

h-So

uth

Coop

erat

ion

plat

form

and

co

ntin

enta

l re-

sour

ce m

obili

za-

tion

mod

aliti

es

esta

blis

hed

z

Stra

tegy

and

impl

emen

tatio

n m

odal

ities

va

lidat

ed b

y ex

pert

s z

Pled

ges m

ade

by d

onor

s and

inte

rna-

tiona

l par

tner

s

z

Deve

lopm

ent o

f the

sout

h-so

uth

coop

-er

atio

n st

rate

gy a

nd im

plem

enta

tion

mod

aliti

es

z

Conv

enin

g of

bie

nnia

l don

or c

onfe

renc

es

and

sout

h-so

uth

coop

erat

ion

plat

form

s

z

Stra

tegy

doc

umen

ts z

Pled

ge d

ocum

enta

tion

z

Hum

an a

nd fi

nanc

ial c

apac

ity o

f the

AU

/RE

Cs to

man

age

the

plat

form

z

Inte

rest

and

com

mitm

ent o

f Mem

ber

Stat

es a

nd d

onor

s to

enha

nce

sout

h-so

uth

coop

erat

ion

Out

put 2

.5Co

unte

r-IE

D ex

pert

ise

and

equi

pmen

t in

tegr

ated

into

PS

O m

anda

tes

and

supp

ort

pack

ages

z

PSO

s man

date

s inc

lusiv

e of

arm

s man

-ag

emen

t and

cou

nter

-IED

com

pone

nts

z

% o

f wom

en w

ho a

cqui

red

know

ledg

e on

cou

nter

-IED

and

expl

osiv

e m

anag

e-m

ent a

nd %

of w

omen

serv

ing

in th

e re

leva

nt u

nits

z

Tech

nica

l sup

port

to P

SOs i

n st

ream

linin

g co

unte

r-IED

and

exp

losiv

es m

anag

emen

t in

the

deve

lopm

ent o

f Con

Ops

z

Mob

iliza

tion

of te

chni

cal a

nd o

pera

tiona

l su

ppor

t to

capa

cita

te P

SOs i

n th

e ar

ea o

f co

unte

r-IED

and

exp

losiv

es m

anag

emen

t

z

PSO

s man

date

s z

Trai

ning

repo

rts (

incl

udin

g as

sess

men

t of

effe

ctiv

e tr

ansf

er o

f ski

lls)

z

Com

mitm

ent o

f PSO

s/TC

C/PS

C to

en

hanc

ing

PSO

s cap

acity

in e

xplo

sives

m

anag

emen

t and

cou

nter

-IED

z

Com

mitm

ent b

y do

nors

to su

ppor

t ex-

plos

ives

man

agem

ent a

nd c

ount

er-IE

D

Prob

lem

def

initi

on 3

Lim

ited

effe

ctiv

enes

s in

impl

emen

ting

the

inte

rnat

iona

l reg

imes

on

WM

D di

sarm

amen

t and

non

-pro

lifer

atio

n du

e to

: z

Lega

l and

pol

icy

inst

rum

ents

aga

inst

WM

D ar

e no

t dom

estic

ated

; z

Wea

k op

erat

iona

l and

inst

itutio

nal c

apac

ities

of m

embe

rs st

ates

; z

Insu

ffici

ent r

esea

rch

and

data

on

the

thre

at a

nd ri

sks o

f illi

cit c

hem

ical

, bio

logi

cal a

nd n

ucle

ar p

rolif

erat

ion

and

traf

ficki

ng;

Spec

ific

Obj

ectiv

e 3

Inst

rum

ents

and

pol

icie

s to

addr

ess W

MD

disa

rmam

ent a

nd

non-

prol

ifera

tion

are

effe

ctiv

ely

impl

emen

ted

Spec

ific

Obj

ectiv

e In

dica

tors

z

Tech

nica

l ass

istan

ce a

nd tr

aini

ng p

ro-

vide

d to

Mem

ber S

tate

s to

dom

estic

ate

lega

l and

ope

ratio

nal a

spec

ts o

f the

in

tern

atio

nal i

nstr

umen

ts a

gain

st W

MD

z

Mem

ber S

tate

s est

ablis

hing

/des

igna

ting

the

requ

ired

impl

emen

tatio

n m

echa

-ni

sms/

bodi

es

Sour

ces o

f ver

ifica

tion

z

Mem

ber s

tate

s rep

orts

to th

e bo

dies

ad

min

ister

ing

the

regi

mes

Assu

mpt

ions

z

Inte

rest

and

com

mitm

ent o

f Mem

ber

Stat

es in

impl

emen

ting

inte

rnat

iona

l re

gim

es a

gain

st W

MDs

112


utpu

tsO

utpu

ts In

dica

tors

Activ

ities

/str

ateg

ies

Sour

ces o

f ver

ifica

tion

Assu

mpt

ions

Out

put 3

.1Le

gal i

nstr

u-m

ents

to

addr

ess W

MD

disa

rmam

ent

and

non-

pro-

lifer

atio

n ar

e ef

fect

ivel

y do

mes

ticat

ed

z

Tech

nica

l and

ope

ratio

nal g

aps a

t nat

ion-

al a

nd re

gion

al le

vels

are

iden

tifie

d z

Lega

l and

regu

lato

ry in

stru

men

ts d

evel

-op

ed

z

Colla

bora

tion

with

the

inte

rnat

iona

l bod

-ie

s to

sens

itize

stat

es, i

dent

ify g

aps a

nd

chan

nel a

ssist

ance

to M

embe

r Sta

tes

z

Mob

iliza

tion

of te

chni

cal a

nd o

pera

tion-

al re

sour

ces f

or M

embe

r Sta

tes f

rom

do

nors

and

inte

rnat

iona

l par

tner

s

z

Repo

rts o

f wor

ksho

ps a

nd a

sses

smen

t m

issio

ns to

stat

es z

Mem

ber s

tate

s rep

orts

to th

e bo

dies

ad

min

ister

ing

the

regi

mes

z

Annu

al re

port

s of b

odie

s adm

inist

erin

g th

e re

gim

es

z

Mem

ber s

tate

s allo

catin

g th

e re

quire

d hu

man

and

fina

ncia

l cap

aciti

es to

impl

e-m

ent W

MD

rela

ted

regi

mes

Out

put 3

.2Co

mpr

ehen

sive

kn

owle

dge

on

the

risks

and

th

reat

s of c

hem

-ic

al, b

iolo

gica

l an

d nu

clea

r pr

olife

ratio

n an

d tr

affic

king

is

avai

labl

e

z

Info

rmat

ion

and

data

on

illic

it tr

affic

king

ne

twor

ks, i

ncid

ents

and

secu

rity

gaps

is

com

pile

d z

Stud

ies h

ighl

ight

gap

s and

cha

lleng

es

that

und

erm

ine

stat

es c

apac

ities

to

dom

estic

ate

regi

mes

aga

inst

WM

D

z

Com

miss

ioni

ng o

f exp

ert s

tudi

es z

Com

pila

tion

of re

port

s and

dat

a av

aila

-bl

e w

ith th

e in

tern

atio

nal b

odie

s

z

Publ

icat

ion

of st

udie

s z

Avai

labi

lity

of d

ata

and

coop

erat

ion

of

Mem

ber S

tate

s in

rese

arch

and

evi

denc

e ga

ther

ing

Prob

lem

def

initi

on 4

Inef

fect

ive

and

unsu

stai

nabl

e co

unte

r-ter

roris

m e

ffort

s due

to:

z

Abse

nce

of a

n ef

fect

ive

rule

of l

aw-b

ased

crim

inal

just

ice

resp

onse

to te

rror

ism;

z

Poor

cap

aciti

es a

nd tr

aini

ng o

f law

enf

orce

men

t age

ncie

s to

impl

emen

t pre

vent

ive

and

resp

onse

mea

sure

s to

terr

orist

act

s;

z

Lack

of i

nteg

rate

d ap

proa

ches

to p

reve

nt ra

dica

lizat

ion,

add

ress

the

cond

ition

s con

duci

ve to

the

spre

ad o

f ter

roris

m a

nd e

ngag

e ci

vil s

ocie

ty;

z

Poor

coo

rdin

atio

n an

d co

llabo

ratio

n am

ong

stat

es in

pol

icy,

legi

slativ

e an

d op

erat

iona

l cou

nter

-terr

orism

mea

sure

s;

z

Abse

nce

of ri

goro

us a

nd u

pdat

ed o

pera

tiona

l res

earc

h an

d an

alys

is th

at in

form

s pol

icy

deve

lopm

ent a

nd re

spon

se m

easu

res ;

z

Abse

nce

of a

n in

clus

ive

cont

inen

tal p

latfo

rm to

coo

rdin

ate

Coun

ter T

erro

rism

act

ion

amon

g M

embe

r Sta

tes,

REC

s, d

onor

s and

ass

istan

ce p

rovi

ders

;

Spec

ific

Obj

ectiv

e 4

Nat

iona

l and

regi

onal

cou

nter

-ter

roris

m m

easu

res a

re e

ffec-

tive

in p

reve

ntin

g an

d re

spon

ding

to te

rror

ist a

cts

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of M

S au

thor

ities

foili

ng te

rror

-ist

act

s z

Evid

ence

of t

erro

rism

cas

es in

vest

igat

ed

and

trie

d in

cou

rts

z

Evid

ence

of C

SO in

volv

emen

t in/

supp

ort

for n

atio

nal c

ount

er-te

rror

ism e

ffort

s z

Evid

ence

of i

nter

-sta

te c

oope

ratio

n in

te

rror

ism in

vest

igat

ions

and

tria

ls z

Evid

ence

of M

embe

r Sta

tes s

harin

g an

d ut

ilizin

g in

telli

genc

e, re

port

s and

stud

ies

on te

rror

ism a

nd c

ount

er-te

rror

ism z

Evid

ence

of e

ffect

ive

supp

ort a

nd c

oor-

dina

tion

prov

ided

to M

embe

r Sta

tes b

y do

nors

, par

tner

s and

REC

s z

Evid

ence

of d

e-ra

dica

lizat

ion

initi

ativ

es

by R

ECs

z

Evid

ence

of p

rogr

amm

es im

plem

ente

d by

cou

nter

vio

lent

ext

rem

ism (C

VE)

initi

ativ

es

Sour

ces o

f ver

ifica

tion

z

Deba

tes a

nd re

port

s on

terr

orism

at

Nat

iona

l Par

liam

ents

z

Tria

l doc

umen

tatio

n z

Repo

rts f

rom

CSO

s z

Dono

rs’ r

epor

ts

Assu

mpt

ions

z

Com

mitm

ent o

f Mem

ber S

tate

s to

coun

ter-t

erro

rism

bas

ed o

n a

rule

-of-l

aw

appr

oach

z

Com

mitm

ent o

f Mem

ber S

tate

s to

effe

c-tiv

ely

shar

e in

telli

genc

e

113

Stra

tegi

c Pr

iorit

y 4


Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 4

.1Le

gal i

nstr

u-m

ents

to

addr

ess c

oun-

ter-

terr

oris

m

are

effe

ctiv

ely

dom

estic

ated

an

d cr

imin

al

just

ice

syst

ems

stre

ngth

ened

z

Stat

us o

f rat

ifica

tion

of th

e in

tern

atio

nal

inst

rum

ents

z

Mem

ber s

tate

s pra

ctiti

oner

s hav

e ac

-qu

ired

the

know

ledg

e an

d sk

ill n

eces

sary

to

impl

emen

t goo

d pr

actic

es o

n cr

imin

al

just

ice

Repo

nses

to te

rror

ism

z

Mem

ber s

tate

s dev

elop

and

impl

emen

t st

rate

gies

/pra

ctic

es ta

king

into

con

sider

-at

ion

wom

en’s

role

in C

ount

er Te

rror

ism

z

Legi

slativ

e su

ppor

t to

Mem

ber S

tate

s in

ratif

ying

and

dom

estic

atin

g re

gion

al a

nd

inte

rnat

iona

l ant

i-crim

e an

d co

unte

r-ter

-ro

rism

inst

rum

ents

z

Trai

ning

and

cap

acity

bui

ldin

g su

ppor

t to

judg

es, p

rose

cuto

rs a

nd la

w e

nfor

ce-

men

t age

nts i

n in

tegr

atin

g an

d im

ple-

men

ting

esse

ntia

l com

pone

nts a

nd b

est

prac

tices

on

crim

inal

just

ice

resp

onse

s to

terr

orism

, rul

e of

law

and

hum

an ri

ghts

(c

rimin

aliza

tion,

inve

stig

atio

ns, c

oope

ra-

tion,

det

entio

n, tr

ials,

cor

rect

ions

, etc

.)

z

Repo

rts o

f leg

islat

ive

assis

tanc

e m

issio

ns

and

prog

ram

mes

z

Repo

rts a

nd re

cord

s of t

rain

ing

pro-

gram

mes

z

Com

mitm

ent o

f Mem

ber S

tate

s to

coun

ter-t

erro

rism

bas

ed o

n a

rule

-of-l

aw

appr

oach

Out

put 4

.2Ca

paci

ties o

f la

w e

nfor

ce-

men

t age

ncie

s to

impl

emen

t pr

even

tive

and

resp

onse

mea

s-ur

es to

terr

oris

t ac

ts a

re b

uilt

z

Mem

ber s

tate

s pra

ctiti

oner

s hav

e ac

quire

d th

e kn

owle

dge

and

skill

to p

re-

vent

and

resp

ond

to te

rror

ist a

cts

z

% o

f wom

en c

apac

itate

d

z

Trai

ning

and

supp

ort t

o la

w e

nfor

cem

ent

agen

cies

in p

reve

ntin

g an

d re

spon

ding

to

terr

orist

act

s (in

form

atio

n an

d in

telli

-ge

nce

gath

erin

g an

d an

alys

is, p

rote

ctio

n of

sens

itive

site

s, in

vest

igat

ions

and

ev

iden

ce g

athe

ring

and

prot

ectio

n,

coun

terin

g IE

Ds, a

nti-m

oney

laun

derin

g an

d co

unte

ring

the

finan

cing

of t

erro

r-ism

, rec

ruitm

ent a

nd in

tern

et a

buse

, em

erge

ncy

resp

onse

, hum

an ri

ghts

sa

fegu

ards

, etc

.)

z

Trai

ning

cur

ricul

a an

d re

port

s z

Abili

ty o

f Mem

ber S

tate

s to

utili

ze a

nd

capi

taliz

e on

the

supp

ort p

rovi

ded

Out

put 4

.3N

atio

nal a

nd re

-gi

onal

inte

grat

-ed

stra

tegi

es to

pr

even

t rad

ical

-iz

atio

n, a

ddre

ss

the

cond

ition

s co

nduc

ive

to

the

spre

ad o

f te

rror

ism

and

ci

vil s

ocie

ty

enga

gem

ent a

re

deve

lope

d

z

Cond

ition

s con

duci

ve to

the

spre

ad o

f te

rror

ism h

arm

onize

d in

to n

atio

nal a

nd

regi

onal

cou

nter

terr

orism

stra

tegi

es a

nd

wor

kpla

ns z

Man

date

s of r

egio

nal c

oope

rativ

e co

unte

r-ter

roris

m o

pera

tions

und

er th

e AU

and

REC

s aus

pice

s are

inte

grat

ed a

nd

holis

tic

z

Cons

ulta

tive

and

incl

usiv

e pl

atfo

rms t

o de

velo

p co

ntex

t-spe

cific

app

roac

hes a

nd

prog

ram

mes

to p

reve

nt ra

dica

lizat

ion

and

recr

uitm

ent a

nd a

ddre

ss c

ondi

tions

co

nduc

ive

to th

e sp

read

of t

erro

rism

and

pr

even

ting

radi

caliz

atio

n z

Early

reco

very

, cou

nter

-rad

ical

izatio

n an

d co

mm

unity

eng

agem

ent c

ompo

nent

s st

ream

lined

into

regi

onal

coo

pera

tive

coun

ter-t

erro

rism

ope

ratio

ns

z

Min

utes

from

mee

tings

z

Stra

tegy

doc

umen

ts z

Abili

ty a

nd c

omm

itmen

t of t

he A

UC

and

RECs

to c

oord

inat

e th

eir a

ctio

n

114


utpu

t 4.4

Enha

nced

ju

dici

al a

nd o

p-er

atio

nal c

oop-

erat

ion

amon

g M

embe

r Sta

tes

and

regi

ons

z

Info

rmat

ion

shar

ed, p

riorit

ies a

nd g

aps

iden

tifie

d an

d co

oper

ativ

e re

spon

se

mea

sure

s agr

eed

upon

z

ConO

ps o

f reg

iona

l sec

urity

ope

ratio

ns

and

endo

rsem

ent b

y th

e PS

C z

Deci

sions

and

dire

ctiv

es is

sued

by

the

PSC

in re

spon

se to

ann

ual r

epor

ts o

f M

embe

r Sta

tes

z

Agre

emen

t rea

ched

rega

rdin

g ex

trad

i-tio

n an

d ju

dici

al c

oope

ratio

n z

Endo

rsem

ent b

y th

e AU

Com

miss

ion

on

Inte

rnat

iona

l Law

and

the

AU C

onfe

r-en

ce o

f Min

ister

s of J

ustic

e an

d At

tor-

neys

Gen

eral

z

Stre

ngth

enin

g an

d su

stai

ning

con

sul-

tatio

n an

d co

oper

atio

n pl

atfo

rms f

or

inte

llige

nce

shar

ing

and

coor

dina

tion

and

harm

oniza

tion

of c

ount

er-te

rror

ism

effo

rts

z

z

Polit

ical

and

ope

ratio

nal s

uppo

rt to

the

deve

lopm

ent o

f coo

pera

tive

regi

onal

co

unte

r-ter

roris

m o

pera

tions

and

inte

l-lig

ence

shar

ing

mec

hani

sms i

nclu

ding

w

ithin

the

fram

ewor

k of

CIS

SA, A

CSRT

Fo

cal P

oint

s and

the

Nou

akch

ott a

nd

Djib

outi

Proc

esse

s z

Ope

ratio

naliz

atio

n of

the

role

of t

he P

SC

purs

uant

to th

e 20

04 P

roto

col a

nd th

e re

leva

nt c

omm

uniq

ués

z

Supp

ort t

o th

e ha

rmon

izatio

n of

legi

s-la

tion

and

othe

r int

er-s

tate

mod

aliti

es

rega

rdin

g ex

trad

ition

and

arr

est w

arra

nts

z

Ope

ratio

naliz

atio

n an

d im

plem

enta

tion

of a

n Af

rican

Arr

est W

arra

nt a

gain

st

indi

vidu

als a

ccus

ed o

f ter

roris

t act

s;

z

Cons

ulta

tion

min

utes

and

repo

rts

z

PSC

deci

sions

and

repo

rts

z

Docu

men

tatio

n re

late

d to

the

extr

adi-

tion

and

judi

cial

coo

pera

tion

agre

emen

t z

AUC

deci

sions

and

repo

rts (

AU C

omm

is-sio

n on

Inte

rnat

iona

l Law

and

AU

Con

fer-

ence

of M

inist

ers)

z

Will

ingn

ess o

f Mem

ber S

tate

s and

trus

t am

ongs

t the

m to

coo

pera

te o

n co

unte

r te

rror

ism is

sues

Out

put 4

.5Co

mpr

ehen

sive

kn

owle

dge

and

anal

ysis

av

aila

ble

on

terr

oris

t gro

ups

mod

us-o

per-

andi

, age

ndas

an

d st

ruct

ures

; re

crui

tmen

t and

fin

anci

ng m

eth-

ods,

and

ana

ly-

sis o

f tre

nds

z

Info

rmat

ion

on te

rror

ist g

roup

s, fi

nanc

i-er

s and

col

labo

rato

rs a

nd in

terli

nkag

es

with

org

anize

d cr

ime

is co

mpi

led

z

Stud

ies h

ighl

ight

gap

s and

cha

lleng

es

that

und

erm

ine

stat

es c

apac

ities

to

prev

ent t

erro

rist a

cts

z

Und

erta

king

of s

tudi

es fo

cusin

g on

the

role

of w

omen

and

con

cept

s of g

ende

r in

terr

orism

and

cou

nter

-terr

orism

z

Com

miss

ioni

ng o

f per

iodi

c an

d th

emat

ic

expe

rt re

sear

ch a

nd st

udie

s z

Foca

l Poi

nts d

esig

nate

d by

Mem

ber

Stat

es to

the

ACSR

T an

d in

form

atio

n sh

ared

regu

larly

z

Subm

issio

n by

Mem

ber S

tate

s of t

heir

annu

al re

port

s pur

suan

t to

the

2004

Pr

otoc

ol

z

Coun

ter-t

erro

rism

har

mon

ized

and

inte

-gr

ated

into

CEW

S z

ACSR

T co

unte

r ter

roris

m S

ituat

ion

Room

op

erat

iona

lized

z

Asse

ssm

ent a

nd e

valu

atio

n m

issio

n to

M

embe

r Sta

tes

z

Publ

icat

ion

of A

UC

stud

y z

Capa

city

of t

he A

UC/

RECs

to d

evel

op

know

ledg

e an

d w

illin

gnes

s of M

embe

r St

ates

to c

oope

ratio

n on

dat

a ga

ther

ing

Out

put 4

.6Ef

fect

ive

coor

di-

natio

n m

echa

-ni

sm e

stab

lishe

d am

ong

stat

es,

RECs

, don

ors

and

assi

stan

ce

prov

ider

s in

iden

tifyi

ng

and

alig

ning

pr

iorit

ies a

nd

allo

catio

n of

re

sour

ces

z

Prio

ritie

s and

gap

s ide

ntifi

ed a

nd re

-sp

onse

mea

sure

d ag

reed

upo

n z

Stee

ring

Com

mitt

ee p

ropo

sal e

ndor

sed

and

ToR

of th

e st

eerin

g co

mm

ittee

ad

opte

d

z

Conv

enin

g of

the

annu

al C

onsu

ltativ

e Co

unte

r-Ter

roris

m F

orum

z

Esta

blish

men

t of t

he A

U-R

ECs S

teer

ing

Com

mitt

ee o

n Co

unte

r-ter

roris

m a

nd

TOC

z

Supp

ortin

g RE

Cs to

repl

icat

e th

e ef

fort

s at

AU

leve

ls z

Esta

blish

ing

sub-

regi

on c

oope

ratio

n/co

-or

dina

tion

cent

res a

t REC

s lev

els

z

Repo

rt o

f the

CT

foru

m

z

ToR

of th

e St

eerin

g Co

mm

ittee

z

PSC

com

mun

iqué

end

orsin

g th

e es

tab-

lishm

ent o

f the

Ste

erin

g Co

mm

ittee

z

Will

ingn

ess o

f reg

iona

l and

inte

rnat

iona

l ac

tors

to jo

in a

nd a

ctiv

ely

part

icip

ate

in th

e co

ordi

natio

n pl

atfo

rm u

nder

the

AUC

umbr

ella

115

Stra

tegi

c Pr

iorit

y 4


Prob

lem

def

initi

on 5

In

effe

ctiv

e an

d in

com

plet

e im

plem

enta

tion

of th

e in

tern

atio

nal i

nstr

umen

ts o

n an

ti-m

oney

laun

derin

g an

d co

unte

ring

the

finan

cing

of t

erro

rism

due

to:

z

Fina

ncia

l Int

ellig

ence

Uni

t (FI

Us)

are

abs

ent,

unde

rtra

ined

, und

erst

affe

d or

lack

a c

lear

man

date

and

pow

ers t

o en

forc

e AM

L/CF

T m

easu

res;

z

Inad

equa

te in

ter-s

tate

coo

pera

tion

on A

ML/

CFT

issue

s inc

ludi

ng o

n ju

dici

al, i

nstit

utio

nal a

nd o

pera

tiona

l mat

ters

; z

Regu

lato

ry a

nd o

pera

tiona

l cha

lleng

es to

add

ress

AM

L/CF

T in

the

info

rmal

sect

or a

nd c

ash-

base

d ec

onom

y; z

Inad

equa

te re

gula

tory

mea

sure

s to

addr

ess t

he v

ulne

rabi

lity

of n

on-p

rofit

org

aniza

tions

to a

buse

by

terr

orist

s; z

Poor

cap

aciti

es a

nd in

tegr

ated

app

roac

hes t

o ad

dres

s pro

ceed

s of c

rimin

al a

ctiv

ities

such

as e

nviro

nmen

tal c

rimes

, tra

ffick

ing

and

smug

glin

g;

Spec

ific

Obj

ectiv

e 5

Inte

rnat

iona

l leg

al in

stru

men

ts a

nd re

com

men

datio

ns o

f th

e FA

TF a

nd th

e H

igh

Leve

l Pan

el o

n Ill

icit

Fina

ncia

l Flo

ws

reco

mm

enda

tions

are

fully

and

effe

ctiv

ely

impl

emen

ted

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of M

embe

r Sta

tes d

evel

opin

g an

d en

forc

ing

natio

nal l

egisl

atio

n an

d pr

actic

es o

n AM

L/CF

T z

Evid

ence

of F

IU a

nd L

EAs a

dequ

atel

y ca

paci

tate

d to

fulfi

l the

ir m

anda

te

z

Evid

ence

of p

reve

ntiv

e an

d re

spon

se

mea

sure

s to

deal

with

AM

L/CF

T in

the

info

rmal

eco

nom

y an

d ch

arity

est

ablis

h-m

ents

and

oth

er d

esig

nate

d no

n-fin

an-

cial

bus

ines

ses a

nd p

rofe

ssio

ns (D

NFB

Ps)

z

Evid

ence

of e

ffect

ive

polic

ies a

nd p

rac-

tices

link

ing

anti-

envi

ronm

enta

l crim

e ef

fort

s to

AML/

CFT

z

Evid

ence

of i

ncre

ased

susp

icio

us tr

ansa

c-tio

n re

port

s rec

eive

d by

FIU

s z

Evid

ence

of i

ncre

ased

aw

aren

ess o

f AM

L/CF

T am

ong

repo

rtin

g en

titie

s

Sour

ces o

f ver

ifica

tion

z

Annu

al re

port

by

MS

purs

uant

to th

e 20

04 P

roto

col o

n te

rror

ism z

Mut

ual E

valu

atio

ns o

f the

FATF

z

Repo

rts b

y U

N a

genc

ies a

nd S

ecur

ity

Coun

cil b

odie

s z

Repo

rts c

omm

issio

ned

by th

e AU

Con

fer-

ence

of F

inan

ce M

inist

ers a

nd re

leva

nt

AU S

TC

Assu

mpt

ions

Out

puts

Out

puts

Indi

cato

rsAc

tiviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 5

.1

Fina

ncia

l Int

ellig

ence

Uni

t (F

IUs)

are

est

ablis

hed,

ca

paci

ty b

uilt

and

effe

ctiv

e m

anda

tes p

rovi

ded

z

Mem

ber s

tate

s rec

eive

as-

sista

nce

requ

ired

to d

evel

op

legi

slatio

n an

d re

gula

tions

z

Mem

ber S

tate

s acq

uire

kn

owle

dge

and

skill

s nec

es-

sary

to im

plem

ent i

nter

na-

tiona

l sta

ndar

ds a

nd b

est

prac

tices

z

Faci

litat

e th

e de

liver

y of

tech

nica

l and

le

gisla

tive

supp

ort t

o M

embe

r Sta

tes

in e

stab

lishi

ng F

IUs a

nd d

evel

opin

g/st

reng

then

ing

thei

r man

date

and

ope

ra-

tiona

l mod

aliti

es

z

Trai

ning

to F

IUs a

nd fi

nanc

ial e

stab

lish-

men

ts in

impl

emen

ting

FATF

reco

m-

men

datio

ns, r

ecom

men

datio

ns o

f the

Hi

gh L

evel

Pan

el o

n Ill

icit

Fina

ncia

l Flo

ws

and

the

Inte

rnat

iona

l Con

vent

ion

for

the

Supp

ress

ion

of th

e Fi

nanc

ing

of

Terr

orism

z

Legi

slativ

e su

ppor

t miss

ions

repo

rts

z

Chai

rper

son

repo

rt to

the

PSC

on c

oun-

ter-t

erro

rism

z

Trai

ning

cur

ricul

a an

d re

port

s

z

Inte

rest

of M

embe

r Sta

tes i

n de

velo

ping

ac

tive

FIU

s

116


utpu

t 5.2

Effe

ctiv

e in

ter-

stat

e co

op-

erat

ion

on A

ML/

CFT

issu

es in

-cl

udin

g on

judi

-ci

al, i

nstit

utio

nal

and

oper

atio

nal

mat

ters

z

Agre

emen

ts re

ache

d an

d m

easu

res

adop

ted

z

Mem

ber S

tate

s acq

uire

kno

wle

dge

and

skill

s to

enha

nce

coop

erat

ion

z

Faci

litat

e re

gula

r for

ums/

sess

ions

to fo

s-te

r exc

hang

es, c

omm

on u

nder

stan

ding

an

d ap

proa

ches

to e

nhan

ce in

ter-s

tate

co

oper

atio

n z

Join

t tra

inin

g fo

r Mem

ber S

tate

s on

inte

rnat

iona

l coo

pera

tion

in ju

dici

al

mat

ters

rega

rdin

g AM

L/CF

T

z

Wor

ksho

p re

port

s z

mee

tings

con

clus

ions

/dec

lara

tions

z

Trai

ning

cur

ricul

a an

d re

port

s

z

Will

ingn

ess o

f Mem

ber S

tate

s and

trus

t am

ongs

t the

m to

coo

pera

tion

on is

sues

of

AM

L/CF

T

Out

put 5

.3Ef

fect

ive

regu

la-

tory

and

ope

ra-

tiona

l mea

sure

s im

plem

ente

d to

add

ress

AM

L/CF

T in

the

info

rmal

sect

or

and

cash

-bas

ed

econ

omy

z

Mem

ber s

tate

s acq

uire

the

know

ledg

e an

d sk

ills n

eces

sary

to a

ddre

ss A

ML/

CFT

with

in th

e co

ntex

t of t

he in

form

al se

ctor

an

d ca

sh c

ourie

rs

z

Deve

lop

oper

atio

nal g

uida

nce

note

s and

co

mpi

le b

est p

ract

ices

to a

ssist

Mem

-be

r Sta

tes a

ddre

ss A

ML/

CFT

with

in th

e co

ntex

t of t

he in

form

al se

ctor

and

cro

ss

bord

er tr

ansp

orta

tions

of c

urre

ncy

z

Join

t tra

inin

gs to

add

ress

cas

h co

urie

rs

and

cros

s bor

der c

ross

-bor

der t

rans

por-

tatio

ns o

f cur

renc

y

z

Publ

icat

ion

of g

uide

lines

z

Trai

ning

cur

ricul

a an

d re

port

s z

Reco

gniti

on b

y M

embe

r Sta

tes o

f the

ne

ed to

hav

e ef

fect

ive

mea

sure

s to

deal

w

ith A

ML/

CFT

in th

e in

form

al se

ctor

Out

put 5

.4Ef

fect

ive

regu

lato

ry a

nd

tran

spar

ency

m

easu

res i

mpl

e-m

ente

d to

pre

-ve

nt th

e ab

use

of n

on-p

rofit

or

gani

zatio

ns

z

Mem

ber s

tate

s rec

eive

ass

istan

ce

requ

ired

to d

evel

op le

gisla

tion

and

regu

latio

ns z

Non

-Pro

fit O

rgan

izatio

ns a

nd C

SO a

c-qu

ire th

e sk

ills a

nd k

now

ledg

e ne

cess

ary

to p

reve

nt a

buse

z

Tech

nica

l and

legi

slativ

e su

ppor

t to

Mem

ber S

tate

s in

regu

latin

g op

erat

ions

of

non

-pro

fit o

rgan

izatio

ns z

Trai

ning

to n

on-p

rofit

org

aniza

tions

and

CS

Os o

n tr

ansp

aren

cy a

nd p

reve

ntin

g ab

use

for t

erro

rist f

inan

cing

pur

pose

s

z

Legi

slativ

e su

ppor

t miss

ions

repo

rts

z

Chai

rper

son

repo

rt to

the

PSC

on c

oun-

ter-t

erro

rism

z

Trai

ning

cur

ricul

a an

d re

port

s

z

Reco

gniti

on b

y M

embe

r Sta

tes o

f the

ne

ed to

hav

e ef

fect

ive

mea

sure

s to

deal

w

ith A

ML/

CFT

in th

e no

n-pr

ofit

sect

or

Out

put 5

.5La

w e

nfor

ce-

men

t age

ncie

s in

clud

ing

polic

e,

judi

ciar

y, p

ros-

ecut

ion

etc.

are

ca

paci

tate

d

z

LEAs

in M

embe

r Sta

tes a

cqui

re sk

ills t

o in

vest

igat

e an

d pr

osec

ute

mon

ey la

un-

derin

g cr

imes

z

Asse

ssm

ent o

f cap

aciti

es n

eede

d z

Map

ping

of r

elev

ant L

EAs o

n th

e AM

L/CF

T z

Sens

itisa

tion

exer

cise

s on

AML/

CFT

trai

n-in

g w

orks

hop

z

Asse

ssm

ent/

wor

ksho

p an

d tr

aini

ng

repo

rts

z

Polit

ical

will

to su

ppor

t ant

i-mon

ey la

un-

derin

g is

prov

ided

Out

put 5

.6

Effe

ctiv

e po

licie

s an

d gu

idel

ines

de

velo

ped

to

addr

ess t

erro

rist

finan

cing

from

en

viro

nmen

tal

crim

es, t

raf-

ficki

ng a

nd

smug

glin

g

z

Info

rmat

ion

avai

labl

e on

terr

orist

s spo

n-so

rs a

nd so

urce

s of f

inan

cing

z

Regi

onal

app

roac

hes/

initi

ativ

es d

evel

-op

ed a

nd a

dopt

ed

z

Com

miss

ion/

supp

ort s

tudi

es a

nd

rese

arch

to id

entif

y tr

ends

in te

rror

ism

finan

cing

and

gap

s in

resp

onse

mea

sure

s z

Faci

litat

e th

e de

velo

pmen

t of i

nteg

rate

d an

d co

mpr

ehen

sive

appr

oach

es a

nd

polic

ies t

o ad

dres

s ter

roris

m fi

nanc

ing

thro

ugh

envi

ronm

enta

l crim

es, t

raffi

ck-

ing

and

smug

glin

g

z

Publ

icat

ion

of re

sear

ch fi

ndin

gs

z

Mee

ting

repo

rts/

conc

lusio

ns/r

ecom

-m

enda

tions

z

Proj

ect d

ocum

ents

/con

cept

pap

ers

z

Capa

city

of t

he re

leva

nt n

atio

nal a

utho

r-iti

es to

coo

rdin

ate

thei

r act

ion

117

Stra

tegi

c Pr

iorit

y 4


Prob

lem

def

initi

on 6

Wea

k in

tegr

atio

n of

mar

itim

e se

curit

y po

licy

into

APS

A du

e to

3 m

ain

reas

ons:

z

Abse

nce

of a

Pla

n of

Act

ion

for t

he O

pera

tiona

lizat

ion

of th

e 20

50 A

IM S

trat

egy;

z

Mar

itim

e se

curit

y is

not e

ffect

ivel

y m

ains

trea

med

into

CEW

S; z

RECs

stra

tegi

es o

n m

ariti

me

secu

rity

are

not a

ligne

d to

AIM

S 20

50.

Spec

ific

Obj

ectiv

e 6

The

2050

Afr

ica’

s Int

egra

ted

Mar

itim

e St

rate

gy (A

IMS)

is

fully

inte

grat

ed in

to A

PSA

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of t

he A

UC

deve

lopi

ng a

n im

-pl

emen

tatio

n m

atrix

and

Mem

ber S

tate

s ad

optin

g a

Plan

for t

he O

pera

tiona

liza-

tion

of th

e 20

50 A

IMS

z

Evid

ence

of r

evise

d CE

WS

indi

cato

rs a

nd

guid

elin

es z

Evid

ence

of R

ECs d

evel

opin

g an

d ad

opt-

ing

harm

onize

d st

rate

gies

on

mar

itim

e se

curit

y

Sour

ces o

f ver

ifica

tion

z

AUC

Chai

rper

son

repo

rt to

AU

Ass

embl

y z

Revi

sed

CEW

S Ha

ndbo

ok a

nd S

OPs

z

REC

harm

oniza

tion

wor

ksho

p re

port

s an

d ef

fect

ive

harm

onize

d st

rate

gies

on

mar

itim

e se

curit

y

Assu

mpt

ions

z

Activ

e su

ppor

t of E

COW

AS, E

CCAS

and

th

e Gu

lf of

Gui

nea

Com

miss

ion

Out

puts

Out

puts

Indi

cato

rsAc

tiviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 6

.1Pl

an o

f Act

ion

for t

he O

per-

atio

naliz

atio

n of

the

2050

AI

M S

trat

egy

is e

ffect

ivel

y im

plem

ente

d

z

Impl

emen

tatio

n m

atrix

of A

IMS

is dr

afte

d z

Deve

lopi

ng a

nd a

dopt

ing

a Pl

an o

f Ac

tion

for t

he O

pera

tiona

lizat

ion

of th

e 20

50 A

IM S

trat

egy

in a

ccor

danc

e w

ith

AU A

ssem

bly

Dec.

496

(XXI

I)

z

AU C

hairp

erso

n re

port

to A

U A

ssem

bly

z

Coor

dina

tion

by A

UC

Out

put 6

.2M

ariti

me

secu

-rit

y is

effe

ctiv

ely

mai

nstr

eam

ed

into

CEW

S

z

CEW

S In

dica

tors

’ Mod

ule

is am

ende

d z

CEW

S Ha

ndbo

ok is

revi

sed

z

Amen

ding

the

CEW

S In

dica

tors

’ Mod

ule

(dat

a co

llect

ion

and

mon

itorin

g) z

Revi

sing

the

CEW

S Ha

ndbo

ok

z

Amen

ded

CEW

S In

dica

tors

’ Mod

ule

z

Revi

sed

CEW

S Ha

ndbo

ok

Out

put 6

.3RE

Cs st

rate

gies

on

mar

itim

e se

curit

y ar

e al

igne

d to

AIM

S 20

50

z

RECs

stra

tegi

es o

n m

ariti

me

secu

rity,

part

icul

arly

on

pira

cy, a

rmed

robb

ery

and

othe

r z

illeg

al a

ctiv

ities

com

mitt

ed a

t sea

, con

-sis

tent

with

the

2050

AIM

Str

ateg

y, ar

e de

signe

d

z

Harm

onizi

ng R

ECs s

trat

egie

s on

mar

itim

e se

curit

y th

roug

h re

gion

al w

orks

hops

z

RECs

stra

tegi

es o

n m

ariti

me

secu

rity

z

Will

and

cap

acity

from

REC

s to

alig

n th

eir

stra

tegi

es

118


oble

m d

efin

ition

7Po

or c

oord

inat

ion

in c

omba

ting

Tran

snat

iona

l Org

anize

d Cr

ime

(TO

C) a

nd a

nti-c

yber

crim

e po

licy

miss

ing

due

to 8

mai

n re

ason

s: z

Lega

l ins

trum

ents

to a

ddre

ss T

OC

are

not e

ffect

ivel

y do

mes

ticat

ed;

z

Lega

l cod

es to

add

ress

TO

C ar

e w

eak;

z

Ther

e is

a la

ck o

f inf

orm

atio

n, a

naly

sis a

nd re

spon

se o

ptio

ns fo

r mem

bers

stat

es a

nd R

ECs/

RMs w

ith re

gard

to T

OC;

z

The

nexu

s bet

wee

n TO

C, te

rror

ism a

nd v

iole

nt e

xtre

mism

is n

ot w

ell k

now

n; z

Lega

l ins

trum

ents

to a

ddre

ss c

yber

crim

e ar

e no

t effe

ctiv

ely

dom

estic

ated

; z

AUC

Chai

rper

son

repo

rt o

n cy

ber s

ecur

ity is

not

tabl

ed;

z

Abse

nce

of n

atio

nal c

yber

secu

rity

fram

ewor

ks;

z

Abse

nce

of R

EC a

nd R

EC-t

oREC

agr

eem

ents

on

mut

ual a

ssist

ance

in c

omba

ting

cybe

r crim

e.

Spec

ific

Obj

ectiv

e 7

Coop

erat

ion

and

coor

dina

tion

of c

omba

ting

Tran

snat

iona

l O

rgan

ised

Crim

e (T

OC)

is st

reng

then

ed a

nd a

con

tinen

tal

anti-

cybe

r crim

e po

licy

is a

ctiv

ely

prom

oted

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of r

atifi

catio

n an

d do

mes

ti-ca

tion

of le

gal i

nstr

umen

ts o

n TO

C an

d cy

ber c

rime

in M

embe

r Sta

tes

z

Evid

ence

of t

he e

stab

lishm

ent –

in c

ol-

labo

ratio

n w

ith A

FRIP

OL

– of

a re

gion

al

TOC

cent

re z

Evid

ence

of M

embe

r Sta

tes e

ffici

ently

ad

dres

sing

the

nexu

s bet

wee

n TO

C an

d te

rror

ism a

nd v

iole

nt e

xtre

mism

z

Evid

ence

of M

embe

r Sta

tes a

dopt

ing

cybe

r crim

e fr

amew

orks

z

Evid

ence

of i

ncre

ased

REC

-to-

REC

assis

-ta

nce

in c

omba

ting

cybe

r crim

e

Sour

ces o

f ver

ifica

tion

z

Mem

ber S

tate

repo

rts a

nd A

UC

ratif

ica-

tion

regi

ster

z

AUC

Chai

rper

son

repo

rts

Assu

mpt

ions

z

Coop

erat

ion

with

the

UN

Offi

ce o

n Dr

ugs

and

Crim

e (U

NO

DC)

Out

puts

Out

puts

Indi

cato

rsAc

tiviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 7

.1Le

gal i

nstr

u-m

ents

to

addr

ess T

OC

are

effe

ctiv

ely

dom

estic

ated

z

Ratif

icat

ion

regi

ster

is c

ompi

led

z

Annu

al re

port

ing

by M

embe

r Sta

tes t

o AU

C z

AUC

web

site

on st

atus

of l

egal

doc

u-m

ents

z

Coor

dina

tion

by A

UC

Out

put 7

.2Le

gal c

odes

are

st

reng

then

ed to

ad

dres

s TO

C

z

AU/R

ECs c

onfe

renc

e on

map

ping

of l

egal

co

des i

s org

anise

d z

Org

anise

map

ping

of s

tatu

s quo

and

id

entif

y ar

eas f

or fo

llow

-up

activ

ities

z

Conf

eren

ce d

ocum

enta

tion

Out

put 7

.3An

Afr

ican

TO

C Ce

ntre

und

er

the

aegi

s of

AFRI

POL

is

esta

blis

hed

z

Cent

re (s

imila

r to

ACSR

T in

the

field

of

coun

ter-t

erro

rism

) is e

stab

lishe

d z

AUC

esta

blish

ing

with

AFR

IPO

L an

d re

gion

al p

olic

e or

gani

satio

ns a

cen

tre

to

syst

emat

ical

ly p

rovi

de M

embe

r Sta

tes

and

RECS

with

info

rmat

ion,

ana

lysis

and

re

spon

se o

ptio

ns fo

r with

rega

rd to

TO

C z

Deve

lopi

ng g

uide

lines

for t

he e

stab

-lis

hmen

t of n

atio

nal s

peci

alise

d TO

C in

vest

igat

ion

units

z

Wor

king

pla

n of

a A

FRIP

OL

TOC

Cent

re

z

Coun

ter-T

OC

guid

elin

es z

Colla

bora

tion

with

UN

ODC

z

Clos

e co

oper

atio

n w

ith A

FRIP

OL

(und

er

cons

truc

tion)

, CAP

CCO

, SAR

PCCO

and

W

APCC

O

119

Stra

tegi

c Pr

iorit

y 4


Out

put 7

.4Th

e ne

xus b

e-tw

een

TOC

and

terr

oris

m a

nd v

i-ol

ent e

xtre

mis

m

is a

ddre

ssed

z

AU/R

ECs w

orks

hop

on T

OC

and

terr

orism

is

held

z

Org

anise

wor

ksho

p to

exp

lore

the

nexu

s be

twee

n TC

and

terr

orism

and

vio

lent

ex

trem

ism

z

Deta

il po

licy

reco

mm

enda

tions

on

the

basis

of t

he w

orks

hop

z

Wor

ksho

p do

cum

enta

tion

z

To b

e co

ordi

nate

d by

the

Afric

an C

entr

e fo

r the

Stu

dy a

nd R

esea

rch

on Te

rror

ism

(ACS

RT) a

nd th

e Ch

airp

erso

n’s S

peci

al

Repr

esen

tativ

e fo

r Cou

nter

-Ter

roris

m

Coop

erat

ion

Out

put 7

.5Le

gal i

nstr

u-m

ents

to

addr

ess c

yber

cr

ime

are

effe

c-tiv

ely

dom

esti-

cate

d

z

Regi

ster

of r

atifi

catio

n is

com

pile

d z

Ratif

icat

ion

and

dom

estic

atio

n of

the

AU

Conv

entio

n of

Cyb

er S

ecur

ity a

nd P

er-

sona

l Dat

a Pr

otec

tion

in a

ccor

danc

e w

ith

AU E

xecu

tive

Coun

cil D

ec. 8

46 (X

XV)

z

AUC

web

site

on st

atus

of l

egal

doc

u-m

ents

z

Coor

dina

tion

func

tion

of A

UC

Out

put 7

.6AU

C Ch

airp

er-

son

repo

rt o

n cy

ber s

ecur

ity is

ta

bled

z

AUC

Chai

rper

son

repo

rts t

o AU

Ass

embl

y z

AUC

Chai

rper

son

repo

rt o

n cy

ber s

ecur

i-ty

whi

ch (1

) des

crib

es th

e ex

tend

of t

he

thre

at to

pea

ce a

nd se

curit

y in

Afr

ica,

(2)

map

s nat

iona

l effo

rts o

f Mem

ber S

tate

s to

cou

nter

-act

IT-b

ased

thre

ats a

gain

st

peac

e an

d se

curit

y, (3

) doc

umen

ts so

me

best

pra

ctic

e an

d le

sson

s lea

rned

, (4)

fol-

low

s up

on th

e AU

Ass

embl

y de

cisio

n to

ha

rmon

ize n

atio

nal l

egisl

atio

ns th

roug

h a

conv

entio

n on

cyb

er se

curit

y, (5

) su

gges

ts c

oord

inat

ing

activ

ities

by

the

AUC

vis-

à-vi

s the

REC

s, a

nd (6

) det

ails

a st

rate

gy o

f how

to m

obili

ze th

e su

ppor

t of

inte

rnat

iona

l par

tner

s suc

h as

the

UN

or

the

EU in

thes

e ef

fort

s

z

AUC

Chai

rper

son

repo

rt

Out

put 7

.7N

atio

nal

cybe

r sec

urity

fr

amew

orks

are

fa

cilit

ated

z

AUC

Chai

rper

son

repo

rts t

o AU

Ass

embl

y z

Faci

litat

ing

regi

onal

wor

ksho

ps o

n th

e de

sign

of n

atio

nal c

yber

secu

rity

fram

e-w

orks

in a

ccor

danc

e w

ith A

U E

xecu

tive

Coun

cil D

ec. 8

46 (X

XV),

§24

z

AUC

Chai

rper

son

repo

rt o

n th

e ad

optio

n of

nat

iona

l cyb

er se

curit

y fr

amew

orks

Out

put 7

.8RE

C an

d RE

C-to

REC

agre

e-m

ents

on

mu-

tual

ass

ista

nce

in c

omba

ting

cybe

r crim

e ar

e in

pla

ce

z

Regi

ster

of m

ultil

ater

al a

gree

men

ts

betw

een

RECs

is c

ompl

ied

z

Draf

ting

mut

ual a

ssist

ance

in c

y-be

r-crim

e ag

reem

ents

in a

ccor

danc

e w

ith A

U E

xecu

tive

Coun

cil D

ec. 8

46 (X

XV)

z

Adop

ting

and

ratif

ying

mut

ual a

ssist

ance

in

cyb

er-c

rime

agre

emen

ts

z

REC

Pres

s Sta

tem

ents

on

conc

lusio

n of

m

utua

l ass

istan

ce in

cyb

er c

rime

agre

e-m

ents

120


utpu

t 7.9

AFRI

POL

is

effe

ctiv

e in

co

ordi

natin

g po

lice

and

law

en

forc

emen

t ag

enci

es to

co

mba

t Tra

nsna

-tio

nal O

rgan

ized

Crim

e

z

Evid

ence

of a

dequ

ate

staf

f in

plac

e at

AF

RIPO

L z

Evid

ence

of m

odal

ities

for c

olla

bora

tion

and

info

rmat

ion

shar

ing

betw

een

Mem

-be

r Sta

tes

z

Cond

uct t

rain

ing

for S

ecre

taria

t Sta

ff to

en

hanc

e ca

paci

ties f

or st

rate

gic

plan

-ni

ng, p

rogr

amm

ing,

coo

rdin

atio

n an

d co

oper

atio

n;

z

Supp

ort t

he d

evel

opm

ent a

nd a

dopt

ion

of m

odal

ities

for c

oope

ratio

n, c

olla

bo-

ratio

n an

d in

form

atio

n-sh

arin

g be

twee

n M

embe

r Sta

tes w

ithin

the

fram

ewor

k of

AF

RIPO

L;

z

Cond

uct c

apac

ity b

uild

ing,

at r

egio

nal

leve

l, fo

r pol

ice

for c

omba

ting

cybe

r-cr

ime

and

coun

ter t

erro

rism

; z

Cond

uct t

rain

ing

in c

ount

er-n

arco

tics;

z

Supp

ort i

mpl

emen

tatio

n of

act

iviti

es

to fi

ght o

rgan

ized

crim

e, in

clud

ing

illic

it tr

affic

king

of a

rms a

nd p

erso

ns, w

ildlif

e an

d en

viro

nmen

tal c

rimes

.

z

Trai

ning

doc

umen

ts a

nd tr

aini

ng e

valu

a-tio

n re

port

s z

Stra

tegy

/pol

icy

docu

men

ts re

late

d to

co

ordi

natio

n am

ong

Mem

ber S

tate

s

z

Will

from

diff

eren

t sta

keho

lder

s and

av

aila

bilit

y of

ade

quat

e fu

ndin

g

121

Stra

tegi

c Pr

iorit

y 5

5Re

sults

Fra

mew

ork

Stra

tegi

c Pr

iorit

y 5:

Co

ordi

natio

n an

d Pa

rtne

rshi

ps

Stra

tegi

c O

bjec

tive

To c

ontr

ibut

e to

enh

ance

d ef

fect

iven

ess o

f coo

rdin

atio

n an

d pa

rtne

rshi

p w

ithin

the

APSA

fram

ewor

k

Stra

tegi

c O

bjec

tive

Indi

cato

rs z

Evid

ence

of r

egio

nal p

eace

and

secu

rity

stra

tegi

es d

esig

ned

and

impl

emen

ted

in

line

with

the

AU p

olic

y fr

amew

ork

z

Evid

ence

of c

omm

on p

rogr

amm

ing,

in

clud

ing

form

ulat

ion

of c

omm

on o

b-je

ctiv

es, b

etw

een

AUC

depa

rtm

ents

and

be

twee

n AU

and

REC

s/RM

s; z

Evid

ence

of c

omm

on p

ositi

ons o

n AP

SA

fram

ewor

k be

twee

n AU

and

REC

s/RM

s; z

Evid

ence

, doc

umen

tatio

n an

d jo

int

anal

ysis

of th

e im

plem

enta

tion

of th

e su

bsid

iarit

y pr

inci

ple

in se

vera

l ope

ra-

tions

in th

e fie

ld;

z

Evid

ence

of l

esso

ns le

arne

d fr

om th

e im

plem

enta

tion

of th

e su

bsid

iarit

y pr

in-

cipl

e (r

esul

ts a

nd c

halle

nges

) tha

t are

fe

edin

g ne

w p

rogr

amm

ing;

z

Evid

ence

of i

mpl

emen

tatio

n an

d m

oni-

torin

g of

dec

ision

s the

AU

C ha

s com

mit-

ted

to;

z

Evid

ence

of e

ffici

ent u

se a

nd p

ossib

le

mut

ualis

atio

n of

hum

an re

sour

ces b

e-tw

een

the

AUC

and

RECs

/RM

s; z

Evid

ence

of t

imel

y de

ploy

men

t of t

he

Pane

l of t

he W

ise fr

om th

e AU

C;

Sour

ces o

f ver

ifica

tion

z

Prog

ram

me

docu

men

ts.

z

Amou

nt a

nd q

ualit

y of

com

mon

pos

i-tio

ns.

z

Exam

ples

of i

mpl

emen

tatio

n of

subs

idi-

arity

prin

cipl

e. z

Prog

ram

me

docu

men

ts z

Anal

ysis

of d

ata

by m

onito

ring

syst

em;

narr

ativ

e re

port

s.

Assu

mpt

ions

z

Will

from

all

stak

ehol

ders

invo

lved

in

APSA

to p

uttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Pres

ence

of i

ndiv

idua

l, or

gani

satio

nal

and

inst

itutio

nal c

apac

ities

with

in A

PSA

stak

ehol

ders

to im

plem

ent t

he d

iffer

ent

stra

tegi

es in

clud

ed in

the

road

map

and

to

mon

itor r

esul

ts

Results Framework Strategic Priority 5: Coordination and Partnerships

122


oble

m d

efin

ition

1Li

mite

d ef

fect

iven

ess o

f the

coo

rdin

atin

g fu

nctio

n of

the

PSC

with

the

RECs

/RM

s mec

hani

sms (

Prot

ocol

Rel

atin

g to

the

Esta

blish

men

t of t

he A

fric

an U

nion

Pea

ce a

nd S

ecur

ity C

ounc

il (P

SC),

2002

) du

e to

4 m

ain

reas

ons:

z

Lim

ited

inte

ract

ions

bet

wee

n th

e AU

-PSC

and

sim

ilar m

echa

nism

s with

in R

ECs/

RMs;

z

Lack

of c

omm

on u

nder

stan

ding

of t

he p

rinci

ples

of s

ubsid

iarit

y, co

mpl

emen

tarit

y an

d co

mpa

rativ

e ad

vant

age

(wha

t the

y m

ean

and

enta

il);

z

Lack

of c

lear

gui

delin

es to

mak

e th

e in

tera

ctio

ns b

etw

een

PSC

and

RECs

/RM

s mec

hani

sms f

ully

ope

ratio

nal;

Spec

ific

Obj

ectiv

e 1

The

coor

dina

ting

func

tion

of th

e PS

C is

effe

ctiv

eSp

ecifi

c O

bjec

tive

1 In

dica

tors

z

Evid

ence

of d

ecisi

ons f

rom

PSC

taki

ng

into

acc

ount

REC

s/RM

s inp

uts;

z

Evid

ence

of c

omm

on P

SC-R

ECs/

RMs

posit

ions

z

Ope

ratio

n of

join

t AU

-REC

s/RM

s Fie

ld

Miss

ions

/Lia

ison

Offi

ces

Sour

ces o

f ver

ifica

tion

z

Min

utes

from

PSC

mee

tings

, rep

orts

, co

mm

uniq

ués

z

Data

from

mon

itorin

g sy

stem

Assu

mpt

ions

z

Will

of P

SC to

ope

n its

sess

ions

to R

ECs/

RMs

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 1

.1In

tera

ctio

ns

betw

een

the

AU-P

SC a

nd

sim

ilar m

ech-

anis

ms w

ithin

RE

Cs/R

Ms a

re in

pl

ace

z

Evid

ence

of R

ECs/

RMs s

ubst

antiv

e in

puts

in

to P

SC m

eetin

gs;

z

Part

icip

atio

n of

REC

s/RM

s in

rele

vant

PS

C m

eetin

gs z

Min

utes

from

REC

s/RM

s – P

SC m

eetin

gs z

Will

of P

SC to

ope

n its

sess

ions

to R

ECs/

RMs

Out

put 1

.2

The

conc

epts

of

subs

idia

rity,

co

mpl

emen

tari-

ty a

nd c

ompa

r-at

ive

adva

ntag

e (a

nd/o

r par

tner

-sh

ip) a

re c

lear

ly

defin

ed a

nd

agre

ed u

pon

z

Exist

ence

of a

stra

tegy

doc

umen

t tha

t hi

ghlig

hts g

uidi

ng p

rinci

ples

and

exp

ect-

ed re

sults

from

usin

g th

e su

bsid

iarit

y pr

inci

ple;

z

Evid

ence

that

this

stra

tegy

doc

umen

t hi

ghlig

hts a

nd c

larif

ies k

ey su

bsid

iarit

y co

mpo

nent

s and

pro

cedu

res f

or a

ppli-

catio

n; z

Agre

emen

t bet

wee

n th

e AU

and

REC

s/RM

s to

use

this

stra

tegi

c do

cum

ent a

s a

basis

for f

utur

e im

plem

enta

tion

of A

PSA.

z

Dial

ogue

sess

ions

bet

wee

n AU

and

REC

s/RM

s on

the

defin

ition

of s

ubsid

iarit

y (a

nd/o

r of p

artn

ersh

ip);

z

Agre

emen

t to

deve

lop

a st

rate

gy d

ocu-

men

t mak

ing

the

subs

idia

rity

conc

ept

oper

atio

nal;

z

Draf

ting

of th

e st

rate

gy d

ocum

ent;

z

Min

utes

from

AU

-REC

s/RM

s mee

tings

; z

Stra

tegy

doc

umen

t; z

Will

to a

dopt

a c

lear

def

initi

on o

f the

se

term

s by

both

the

AU a

nd th

e RE

Cs/R

Ms

Out

put 1

.3Cl

ear g

uide

lines

to

mak

e th

e in

tera

ctio

ns

betw

een

PSC

and

RECs

/RM

s m

echa

nism

s op

erat

iona

l are

in

pla

ce

z

Exist

ence

of g

uide

lines

/pol

icy

docu

men

t hi

ghlig

htin

g pr

inci

ples

and

exp

ecte

d re

-su

lts fr

om P

SC –

REC

s/RM

s int

erac

tions

; z

Agre

emen

t bet

wee

n th

e PS

C an

d RE

Cs/

RMs t

o us

e th

is do

cum

ent a

s a b

asis

for

futu

re in

tera

ctio

ns.

z

Dial

ogue

sess

ions

bet

wee

n PS

C an

d RE

Cs/R

Ms o

n th

e na

ture

of R

ECs/

RMs

inte

ract

ions

with

PSC

; z

Deve

lopm

ent o

f gui

delin

es/p

olic

y do

cu-

men

t stip

ulat

ing

the

natu

re o

f REC

s/RM

s in

tera

ctio

ns w

ith P

SC.

z

Min

utes

from

PSC

-REC

s/RM

s mee

tings

; z

Guid

elin

es d

ocum

ent

z

Will

of P

SC to

eng

age

on re

gula

r bas

is w

ith R

ECs/

RMs

123

Stra

tegi

c Pr

iorit

y 5


Prob

lem

def

initi

on 2

Lim

ited

intr

a an

d in

ter-d

epar

tmen

tal c

olla

bora

tion/

coor

dina

tion

at A

UC/

RECs

/RM

s lev

els d

ue to

: z

Wea

k ho

rizon

tal l

inka

ges w

ithin

eac

h de

part

men

t; z

Wea

k ho

rizon

tal l

inka

ges b

etw

een

the

vario

us A

PSA

com

pone

nts;

Spec

ific

Obj

ectiv

e 2

Enha

nced

intr

a an

d in

ter-

depa

rtm

enta

l col

labo

ratio

n/co

or-

dina

tion

at th

e le

vel o

f the

AU

C an

d RE

Cs/R

Ms

Spec

ific

Obj

ectiv

e 2

Indi

cato

rs z

Evid

ence

of c

olla

bora

tion/

coor

dina

tion

betw

een

PSD

and

othe

r AU

C De

part

-m

ents

in d

iffer

ent c

onfli

ct p

hase

s (p

reve

ntio

n, m

anag

emen

t, re

solu

tion

and

PCRD

) z

Evid

ence

of d

eepe

ned

colla

bora

tion

and

linka

ges b

etw

een

the

vario

us A

PSA

com

pone

nts a

nd th

e Af

rican

Gov

erna

nce

Arch

itect

ure

(AGA

) bot

h at

AU

and

REC

le

vel

z

Evid

ence

of j

oint

APS

A ac

tiviti

es a

nd p

ro-

gram

min

g be

twee

n th

e PS

D an

d ot

her

rele

vant

Dep

artm

ents

with

in th

e AU

C

Sour

ces o

f ver

ifica

tion

z

Min

utes

from

mee

tings

z

Data

from

mon

itorin

g sy

stem

z

Miss

ion

repo

rts

Assu

mpt

ions

z

Man

agem

ent b

uy-in

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 2

.1

Coor

dina

tion

mec

hani

sms

with

in v

ario

us

PSD

divi

sion

s an

d un

its a

re in

pl

ace

z

Evid

ence

that

PSD

staf

f hav

e ac

cess

to

the

sam

e le

vel o

f inf

orm

atio

n re

gard

ing

PSD

activ

ities

; z

Evid

ence

of h

arm

oniza

tion

of p

lann

ed

activ

ities

;

z

Org

anisa

tion

of a

wee

kly

info

rmat

ion

shar

ing

(PSD

staf

f and

man

agem

ent

leve

l) z

Org

anisa

tion

of b

i-mon

thly

coo

rdin

atio

n m

eetin

gs z

Org

anisa

tion

of jo

int p

lann

ing

sess

ions

be

twee

n PS

D di

visio

ns/u

nits

z

Min

utes

from

coo

rdin

atio

n m

eetin

gs z

Will

from

PSD

to c

omm

it to

bui

ldin

g in

tern

al sy

nerg

ies

Out

put 2

.2Ho

rizon

tal l

ink-

ages

bet

wee

n th

e va

rious

de

part

men

ts a

re

func

tioni

ng

z

Evid

ence

of s

hare

d re

spon

sibili

ties b

e-tw

een

diffe

rent

dep

artm

ents

; z

Evid

ence

of j

oint

ana

lyse

s and

join

t act

iv-

ities

bet

wee

n va

rious

AU

C de

part

men

ts

and

betw

een

PSD

divi

sions

; z

Evid

ence

of i

nfor

mat

ion

shar

ing;

z

Inst

itutio

nalis

atio

n of

the

Inte

rdep

art-

men

tal T

ask

Forc

e on

Con

flict

Pre

vent

ion

at te

chni

cal a

nd p

olic

y le

vels;

z

Min

utes

from

Tas

k Fo

rce

mee

tings

; z

Join

t ana

lyse

s rep

orts

z

Will

from

AU

C De

part

men

ts to

com

mit

to b

uild

ing

syne

rgie

s; z

Hum

an re

sour

ces a

re m

ade

avai

labl

e fo

r pa

rtic

ipat

ing

in c

oord

inat

ion

mee

tings

.

Prob

lem

def

initi

on 3

Lim

ited

impl

emen

tatio

n of

the

MoU

bet

wee

n th

e AU

and

the

RECs

/RM

s in

the

real

izatio

n of

APS

A du

e to

4 m

ain

caus

es:

z

Lack

of a

cle

ar a

nd c

omm

only

shar

ed u

nder

stan

ding

of t

he c

once

pts o

f sub

sidia

rity,

com

plem

enta

rity

and

com

para

tive

adva

ntag

e (w

hat t

hey

mea

n an

d en

tail)

; z

Lack

of a

cle

ar a

nd c

omm

only

shar

ed u

nder

stan

ding

of t

he c

once

pt o

f coo

rdin

atio

n (w

hat i

t mea

ns a

nd e

ntai

ls);

z

Lack

of h

arm

onize

d po

licie

s/st

anda

rd o

pera

tion

proc

edur

es b

etw

een

the

AU a

nd th

e RE

Cs/R

Ms;

z

Lack

of a

dequ

ate

mon

itorin

g sy

stem

for t

he M

oU im

plem

enta

tion;

124


ecifi

c O

bjec

tive

3Th

e M

oU b

etw

een

the

AU a

nd th

e RE

Cs/R

Ms i

s im

plem

ent-

ed e

ffect

ivel

y

Spec

ific

Obj

ectiv

e 3

Indi

cato

rs z

Part

icip

atio

n of

AU

and

REC

s/RM

s Li

aiso

n O

ffice

rs in

all

rele

vant

stat

utor

y m

eetin

gs o

f the

AU

and

REC

s/RM

s; z

Evid

ence

of t

he fa

ct th

at R

ECs/

RMs

Liai

son

Offi

ces h

ave

acce

ss to

all

rele

vant

re

port

s req

uire

d to

fulfi

l the

ir m

anda

te

unde

r the

PSC

Pro

toco

l; z

The

Chai

rper

son

of th

e AU

Com

miss

ion

and

Chie

f Exe

cutiv

es o

f the

REC

s/RM

s m

eet a

t lea

st o

nce

a ye

ar;

z

Evid

ence

of i

nstit

utio

nalis

ed a

nd sy

s-te

mat

ic u

se o

f cha

nnel

s for

info

rmat

ion

shar

ing

at h

ighe

r pol

itica

l lev

el a

nd

tech

nica

l lev

el b

etw

een

the

AU a

nd th

e RE

Cs/R

Ms;

z

Evid

ence

of i

nstit

utio

nalis

atio

n an

d us

e of

com

mon

con

flict

ana

lyse

s; z

Exam

ples

of j

oint

fact

find

ing

and/

or

mon

itorin

g m

issio

ns b

etw

een

the

AU

and

the

RECs

/RM

s; z

Evid

ence

of c

omm

on re

port

s – R

ECs/

RMs c

ontr

ibut

ing

to A

UC

and

PSC

repo

rts

to th

e AU

Ass

embl

y of

Hea

ds o

f Sta

te

and

Gove

rnm

ent.

Sour

ces o

f ver

ifica

tion

z

Min

utes

from

mee

tings

z

Data

from

mon

itorin

g sy

stem

z

Min

utes

from

mee

ting

z

Data

from

mon

itorin

g sy

stem

z

Conf

lict a

naly

ses

z

Miss

ion

repo

rts

Assu

mpt

ions

z

Will

from

all

stak

ehol

ders

invo

lved

in

APSA

to p

uttin

g in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Pres

ence

of i

ndiv

idua

l, or

gani

satio

nal

and

inst

itutio

nal c

apac

ities

with

in A

PSA

stak

ehol

ders

to im

plem

ent t

he d

iffer

ent

stra

tegi

es in

clud

ed in

the

road

map

and

to

mon

itor r

esul

ts

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 3

.1

The

conc

epts

of

subs

idia

rity,

co

mpl

emen

tari-

ty a

nd c

ompa

r-at

ive

adva

ntag

e (a

nd/o

r par

tner

-sh

ip) a

re c

lear

ly

defin

ed a

nd

agre

ed u

pon

z

Exist

ence

of a

stra

tegy

doc

umen

t tha

t hi

ghlig

hts g

uidi

ng p

rinci

ples

and

exp

ect-

ed re

sults

from

usin

g th

e su

bsid

iarit

y pr

inci

ple;

z

Evid

ence

that

this

stra

tegy

doc

umen

t hi

ghlig

hts a

nd c

larif

y ke

y su

bsid

iarit

y co

mpo

nent

s and

pro

cedu

res;

z

Agre

emen

t bet

wee

n th

e AU

and

REC

s/RM

s to

use

this

stra

tegi

c do

cum

ent a

s a

basis

for f

utur

e im

plem

enta

tion

of A

PSA.

z

Dial

ogue

sess

ions

bet

wee

n AU

and

REC

s/RM

s on

the

defin

ition

of s

ubsid

iarit

y (a

nd/o

r of p

artn

ersh

ip);

z

Agre

emen

t to

deve

lop

a st

rate

gy d

ocu-

men

t mak

ing

the

subs

idia

rity

conc

ept

oper

atio

nal;

z

Draf

ting

of th

e st

rate

gy d

ocum

ent;

z

Min

utes

from

AU

-REC

s/RM

s mee

tings

; z

Stra

tegy

doc

umen

t; z

Will

to a

dopt

a c

lear

def

initi

on o

f the

se

term

s by

both

the

AU a

nd th

e RE

Cs/R

Ms

125

Stra

tegi

c Pr

iorit

y 5


Out

put 3

.2Th

e co

ncep

t of

coor

dina

tion

is

clea

rly d

efin

ed

and

agre

ed

upon

z

Exist

ence

of a

stra

tegy

doc

umen

t th

at h

ighl

ight

s gui

ding

prin

cipl

es a

nd

expe

cted

resu

lts fr

om c

oord

inat

ing

and

harm

onizi

ng th

e ac

tiviti

es o

f the

REC

s/RM

s with

thos

e of

the

AU;

z

Evid

ence

that

this

stra

tegy

doc

umen

t hi

ghlig

hts a

nd c

larif

ies k

ey c

oord

inat

ion

com

pone

nts a

nd p

roce

dure

s; z

Agre

emen

t bet

wee

n th

e AU

and

REC

s/RM

s to

use

this

stra

tegi

c do

cum

ent a

s a

basis

for f

utur

e im

plem

enta

tion

of A

PSA.

z

Evid

ence

of s

hare

d re

spon

sibili

ties b

e-tw

een

AUC

and

RECs

/RM

s;

z

Dial

ogue

sess

ions

bet

wee

n AU

and

REC

s/RM

s on

the

defin

ition

of c

oord

inat

ion;

z

Agre

emen

t to

deve

lop

a st

rate

gy d

ocu-

men

t mak

ing

the

conc

ept o

f coo

rdin

a-tio

n op

erat

iona

l; z

Draf

ting

of th

e st

rate

gy d

ocum

ent;

z

Inst

itutio

nalis

atio

n of

the

AU-R

ECs/

RMs

Task

For

ce o

n st

reng

then

ing

the

rela

tions

be

twee

n th

e AU

C an

d RE

CS/R

Ms i

n th

e ar

ea o

f pea

ce a

nd se

curit

y.

z

Min

utes

from

AU

-REC

s/RM

s mee

tings

; z

Stra

tegy

doc

umen

t; z

Ther

e is

will

to d

efin

e th

e co

ncep

t of

coor

dina

tion

Out

put 3

.3Ha

rmon

ized

polic

ies a

nd

stan

dard

ope

ra-

tion

proc

edur

es

betw

een

the

AU

and

the

RECs

/RM

s put

in p

lace

z

Docu

men

t hig

hlig

htin

g st

anda

rd o

pera

-tio

n pr

oced

ures

dev

elop

ed z

Dial

ogue

sess

ions

bet

wee

n AU

and

REC

s/RM

s on

the

type

s of p

olic

ies a

nd st

and-

ard

oper

atio

n pr

oced

ures

that

nee

d to

be

har

mon

ised;

z

Min

utes

of m

eetin

gs z

SOPs

z

Will

to d

evel

op th

e st

anda

rd o

pera

tion

proc

edur

es b

y th

e AU

and

the

RECs

/RM

s

Out

put 3

.4Ex

iste

nce

of a

n ad

equa

te m

on-

itorin

g sy

stem

fo

r fol

low

ing-

up

on th

e M

oU im

-pl

emen

tatio

n

z

The

mon

itorin

g sy

stem

cle

arly

hig

hlig

hts

the

diffe

rent

type

s of i

nfor

mat

ion

that

ne

ed to

be

colle

cted

, doc

umen

ted

and

anal

ysed

; z

The

mon

itorin

g sy

stem

est

ablis

h cl

ear

resp

onsib

ilitie

s for

per

form

ing

mon

itor-

ing

task

s; z

The

mon

itorin

g sy

stem

is c

lose

ly li

nked

to

man

agem

ent d

ecisi

on p

roce

sses

.

z

Deve

lopm

ent o

f the

mon

itorin

g sy

stem

; z

Man

agem

ent d

ecisi

on to

allo

cate

staf

f to

spec

ific

mon

itorin

g fu

nctio

ns;

z

Com

mon

AU

and

REC

s/RM

s mon

itorin

g m

issio

ns (o

ne p

er y

ear i

n ea

ch R

EC/R

M)

z

Com

mon

AU

and

REC

/RM

s mon

itorin

g m

eetin

gs (o

ne p

er y

ear)

z

Mon

itorin

g do

cum

ent,

mon

itorin

g da

ta,

data

ana

lysis

; z

Man

agem

ent d

ecisi

on z

Min

utes

from

mon

itorin

g m

eetin

gs

z

Will

and

cap

acity

to d

evel

op a

n ad

e-qu

ate

mon

itorin

g sy

stem

Prob

lem

def

initi

on 4

Lim

ited

rele

vanc

e an

d ef

ficie

ncy

of A

U L

iaiso

n O

ffice

s est

ablis

hed

by th

e Pe

ace

and

Secu

rity

Coun

cil (

PSC)

and

of A

U L

iaiso

n O

ffice

s with

in th

e RE

Cs/R

Ms d

ue to

3 m

ain

reas

ons:

z

Lack

of r

evisi

on o

f AU

Lia

ison

Offi

ces/

Fiel

d M

issio

ns m

anda

te d

espi

te c

hang

es o

n th

e gr

ound

(No

clea

r exi

t str

ateg

ies f

or A

ULO

s; U

ncle

ar li

nes o

f com

mun

icat

ion

and

repo

rtin

g) z

Lim

ited

dire

ct li

nks b

etw

een

diffe

rent

Lia

ison

Offi

ces (

AULO

s/Fi

eld

Miss

ions

and

AU

LOs t

o th

e RE

Cs/R

Ms a

nd A

U R

egio

nal O

ffice

s);

z

Lim

ited

(in n

umbe

rs a

nd re

leva

nce)

tech

nica

l cap

aciti

es o

f the

Lia

ison

Offi

ces;

126


ecifi

c O

bjec

tive

4Th

e AU

Lia

ison

Off

ices

are

rele

vant

and

eff

icie

ntSp

ecifi

c O

bjec

tive

2 In

dica

tors

z

Part

icip

atio

n of

AU

Lia

ison

Offi

ces i

n al

l re

leva

nt st

atut

ory

mee

tings

of t

he A

U

and

RECs

/RM

s; z

Evid

ence

of i

nstit

utio

nalis

ed a

nd u

se o

f co

mm

on c

onfli

ct a

naly

ses;

z

Evid

ence

of c

lose

invo

lvem

ent o

f AU

Li-

aiso

n O

ffice

s in

the

orga

nisa

tion

of jo

int

fact

-find

ing

and/

or m

onito

ring

miss

ions

do

ne b

y th

e AU

, the

REC

s/RM

s and

/or

part

ners

; z

Evid

ence

of i

mpr

oved

qua

lity

of m

on-

itorin

g of

pea

ce a

gree

men

ts, p

oliti

cal

situa

tions

on

the

grou

nd, a

nd im

plem

en-

tatio

n of

PSC

dec

ision

s on

the

grou

nd;

Sour

ces o

f ver

ifica

tion

z

Min

utes

of m

eetin

gs;

z

Cont

ent o

f con

flict

ana

lyse

s; z

Miss

ion

repo

rts

z

Mon

itorin

g re

port

s

Assu

mpt

ions

z

Will

from

all

AU, R

ECs a

nd R

Ms t

o pu

t in

to p

ract

ice

wha

t the

y co

mm

itted

to;

z

Pres

ence

of i

ndiv

idua

l, or

gani

satio

nal

and

inst

itutio

nal c

apac

ities

with

in A

U

and

RECs

/RM

s to

impl

emen

t the

diff

er-

ent s

trat

egie

s inc

lude

d in

the

road

map

an

d to

mon

itor r

esul

ts

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 4

.1Li

aiso

n O

ffic

-es

’ man

date

s ar

e re

gula

rly

revi

ewed

and

re

flect

the

po-

litic

al/s

ecur

ity

situ

atio

ns o

n th

e gr

ound

z

Evid

ence

of g

aps b

etw

een

the

man

date

of

som

e AU

LOs a

nd th

e po

litic

al/s

ecur

ity

situa

tion

on th

e gr

ound

add

ress

ed;

z

Exist

ence

of a

cle

ar e

xit s

trat

egy

for e

ach

AULO

(in

post

-con

flict

cou

ntrie

s);

z

Line

s of c

omm

unic

atio

n an

d re

port

ing

are

clar

ified

z

Eval

uatio

n of

AU

LOs r

elev

ance

, effi

cien

cy

and

effe

ctiv

enes

s; z

Deve

lopm

ent o

f gui

delin

es fo

r for

mu-

latin

g re

leva

nt m

anda

tes f

or A

ULO

s de

pend

ing

on c

hang

es in

pol

itica

l/sec

uri-

ty si

tuat

ion

on th

e gr

ound

;

z

Eval

uatio

n re

port

z

Thos

e Li

aiso

n O

ffice

s who

se m

anda

tes

are

not c

lear

ly d

efin

ed sh

all b

e de

fined

Out

put 4

.2AU

Lia

ison

O

ffic

es a

re

equi

pped

with

re

leva

nt st

aff (

in

adeq

uacy

with

th

eir r

espe

ctiv

e m

anda

te)

z

Exist

ence

of c

lear

job

desc

riptio

ns b

ased

on

spec

ific

role

s and

func

tions

that

eac

h st

aff h

as to

pla

y in

ord

er to

impl

emen

t AP

SA;

z

Staf

f rec

ruite

d ac

cord

ing

to c

lear

gui

de-

lines

z

Anal

ysis

of n

eeds

in te

rms o

f hum

an

reso

urce

s spe

cific

to e

ach

Liai

son

Offi

ce

(dire

ctly

link

ed to

the

man

date

of t

he

Liai

son

Offi

ce)

z

Deve

lopm

ent o

f cle

ar g

uide

lines

for s

taff

recr

uitm

ent

z

Recr

uitm

ent o

f sta

ff

z

Adm

inist

rativ

e do

cum

ents

(gui

delin

es,

job

desc

riptio

ns, A

ULO

s man

date

, etc

.) z

Min

utes

recr

uitm

ent p

roce

ss

z

Part

ners

and

/or m

embe

rs st

ates

agr

ee to

su

ppor

t sta

ff re

crui

tmen

t

Out

put 4

.3Ex

iste

nce

of a

n ad

equa

te m

on-

itorin

g sy

stem

fo

r fol

low

ing-

up

on th

e pe

r-fo

rman

ce o

f Li

aiso

n O

ffic

es

z

The

mon

itorin

g sy

stem

cle

arly

hig

hlig

hts

the

diffe

rent

type

s of i

nfor

mat

ion

that

ne

ed to

be

colle

cted

, doc

umen

ted

and

anal

ysed

; z

The

mon

itorin

g sy

stem

est

ablis

hes c

lear

re

spon

sibili

ties f

or p

erfo

rmin

g m

onito

r-in

g ta

sks;

z

The

mon

itorin

g sy

stem

is c

lose

ly li

nked

to

man

agem

ent d

ecisi

on p

roce

sses

.

z

Deve

lopm

ent o

f the

mon

itorin

g sy

stem

; z

Man

agem

ent d

ecisi

on to

allo

cate

staf

f to

spec

ific

mon

itorin

g fu

nctio

ns;

z

Com

mon

AU

-REC

s/RM

s (an

d pa

rtne

rs)

resu

lts-m

onito

ring

mee

tings

z

Mon

itorin

g an

d ev

alua

tion

syst

em

z

Man

agem

ent g

uide

lines

and

dec

ision

s z

Min

utes

of t

he m

eetin

gs

z

The

AU w

ill d

evel

op a

mon

itorin

g sy

stem

fo

r fol

low

ing-

up o

f the

per

form

ance

of

the

Liai

son

Offi

ces

127

Stra

tegi

c Pr

iorit

y 5


Prob

lem

def

initi

on 5

Lim

ited

rele

vanc

e an

d ef

ficie

ncy

of p

artn

ersh

ip(s

) bet

wee

n th

e AU

and

its e

xter

nal p

artn

ers d

ue to

6 m

ain

reas

ons:

z

Lim

ited

com

mon

und

erst

andi

ng o

f the

con

cept

of p

artn

ersh

ip (w

hat i

t mea

ns a

nd e

ntai

ls);

z

Lim

ited

com

mon

und

erst

andi

ng o

f the

con

cept

of c

apac

ity b

uild

ing

(wha

t it m

eans

and

ent

ails)

; z

Lack

of c

apac

ity a

t the

AU

leve

l to

mon

itor t

he e

xten

t to

whi

ch it

com

plie

s with

the

diffe

rent

dec

ision

s it h

as c

omm

itted

to im

plem

ent;

z

Disc

onne

ct (n

o cl

ear s

trat

egic

and

resu

lts-b

ased

link

s) b

etw

een

the

AU-p

artn

ers d

ialo

gue

at h

ighe

r pol

itica

l lev

el a

nd it

s im

plem

enta

tion

at te

chni

cal l

evel

; z

Lack

of a

dequ

ate

coor

dina

tion

betw

een

part

ners

; z

Lack

of m

onito

ring

mec

hani

sms a

llow

ing

the

AU a

nd it

s par

tner

s to

regu

larly

ass

ess t

he re

leva

nce,

effi

cien

cy a

nd e

ffect

iven

ess o

f the

ir pa

rtne

rshi

p;

Spec

ific

Obj

ectiv

e 5

Polic

y an

d st

rate

gic

dial

ogue

with

in A

PSA

part

ners

hips

are

ef

fect

ive

Spec

ific

Obj

ectiv

e In

dica

tors

z

Evid

ence

of i

nstit

utio

n to

inst

itutio

n (A

U-R

ECs/

RMs-

EU-U

N) c

omm

on p

olic

y di

alog

ue;

z

Evid

ence

of j

oint

repo

rts b

ased

on

resu

lts;

z

Evid

ence

of A

U a

nd R

ECs/

RMs q

ualit

y/re

sults

-bas

ed a

nd ti

mel

y fin

anci

al a

nd

narr

ativ

e re

port

s to

thei

r par

tner

s; z

No/

limite

d ev

iden

ce o

f con

flict

s/te

nsio

ns

betw

een

AU a

nd p

artn

ers;

Sour

ces o

f ver

ifica

tion

z

Repo

rts o

n po

licy

dial

ogue

z

Nar

rativ

e re

port

s

Assu

mpt

ions

z

Part

ners

are

will

ing

to e

ngag

e in

co

nstr

uctiv

e as

sess

men

t of p

revi

ous

part

ners

hip

perio

ds;

z

Deci

sion

to e

mba

rk o

n su

ch a

pro

cess

is

supp

orte

d by

diff

eren

t dec

ision

-mak

ing

leve

ls w

ithin

eac

h in

stitu

tion;

Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 5

.1Th

e AU

and

its

part

ners

, as w

ell

as e

ach

REC/

RM

and

its p

artn

ers,

sh

are

a co

mm

on

unde

rsta

ndin

g of

the

conc

ept

of p

artn

ersh

ip

z

Exist

ence

of a

par

tner

ship

stra

tegy

doc

-um

ent t

hat h

ighl

ight

s gui

ding

prin

cipl

es

and

expe

cted

resu

lts fr

om e

ngag

ing

into

pa

rtne

rshi

p; z

Evid

ence

that

this

stra

tegy

doc

umen

t hi

ghlig

hts a

nd c

larif

ies k

ey p

artn

ersh

ip

com

pone

nts a

nd c

once

pts (

mut

ual

acco

unta

bilit

y, tr

ansp

aren

cy, e

tc.)

z

Agre

emen

t bet

wee

n th

e AU

and

its p

art-

ners

to u

se th

is st

rate

gic

docu

men

t as a

ba

sis fo

r fut

ure

part

ners

hip.

z

Dial

ogue

sess

ions

bet

wee

n AU

and

pa

rtne

rs o

n th

e co

nten

t of t

he st

rate

gy

docu

men

t and

on

the

mos

t app

ropr

iate

pr

oces

s lea

ding

to it

s con

cept

ion;

z

Dial

ogue

sess

ions

bet

wee

n RE

Cs/R

Ms

and

thei

r par

tner

s on

the

cont

ent o

f th

e st

rate

gy d

ocum

ent a

nd o

n th

e m

ost a

ppro

pria

te p

roce

ss le

adin

g to

its

conc

eptio

n z

Draf

ting

of th

e st

rate

gy d

ocum

ent

z

Min

utes

from

AU

-par

tner

s mee

tings

; z

Stra

tegy

doc

umen

t; z

Part

ners

are

will

ing

to e

ngag

e in

co

nstr

uctiv

e as

sess

men

t of p

revi

ous

part

ners

hip

perio

ds;

z

Deci

sion

to e

mba

rk o

n su

ch a

pro

cess

is

supp

orte

d by

diff

eren

t dec

ision

-mak

ing

leve

ls w

ithin

eac

h in

stitu

tion;

Out

put 5

.2Th

e AU

and

its

part

ners

, as w

ell

as e

ach

REC/

RM

and

its p

artn

ers,

sh

are

a co

mm

on

unde

rsta

ndin

g of

the

conc

ept

of c

apac

ity

build

ing

z

Exist

ence

of a

cap

acity

bui

ldin

g po

licy

docu

men

t com

mon

to th

e AU

and

all

part

ners

; z

Evid

ence

that

this

capa

city

bui

ldin

g do

c-um

ent c

lear

ly h

ighl

ight

s the

exp

ecte

d re

-su

lts a

nd th

e st

rate

gies

to b

e im

plem

ent-

ed in

ord

er to

incr

ease

the

prob

abili

ty o

f ac

hiev

ing

thes

e re

sults

; z

Exist

ence

of a

n ag

reem

ent b

etw

een

the

AU a

nd it

s par

tner

s to

use

this

stra

tegy

do

cum

ent a

s a b

asis

for c

apac

ity b

uild

ing

supp

ort.

z

Dial

ogue

sess

ions

bet

wee

n AU

and

pa

rtne

rs o

n th

e co

nten

t of t

he st

rate

gy

docu

men

t and

on

the

mos

t app

ropr

iate

pr

oces

s lea

ding

to it

s con

cept

ion;

z

Draf

ting

of th

e st

rate

gy d

ocum

ent

z

Min

utes

from

AU

-par

tner

s mee

tings

; z

Stra

tegy

doc

umen

t; z

Agre

emen

t doc

umen

t

z

Part

ners

are

ope

n to

use

a c

omm

on

capa

city

bui

ldin

g st

rate

gy d

ocum

ent.

Diffe

rent

dec

ision

-mak

ing

leve

ls w

ithin

ea

ch in

stitu

tion

supp

ort t

his d

ecisi

on.

z

Part

ners

are

will

ing

to e

ngag

e in

co

nstr

uctiv

e as

sess

men

t of p

revi

ous

part

ners

hips

;

128


utpu

t 5.3

The

AU h

as

put i

n pl

ace

an in

tern

al m

on-

itorin

g sy

stem

th

at a

llow

s for

fo

llow

ing-

up

on th

e di

ffere

nt

deci

sion

s it h

as

com

mitt

ed to

im

plem

ent

z

The

mon

itorin

g sy

stem

cle

arly

hig

hlig

hts

the

diffe

rent

type

s of i

nfor

mat

ion

that

ne

ed to

be

colle

cted

, doc

umen

ted

and

anal

ysed

; z

The

mon

itorin

g sy

stem

est

ablis

hes c

lear

re

spon

sibili

ties f

or p

erfo

rmin

g m

onito

r-in

g ta

sks;

z

The

mon

itorin

g sy

stem

is su

ppor

ted

by

man

agem

ent d

ecisi

on-m

akin

g pr

oces

ses

z

Deve

lopm

ent o

f the

mon

itorin

g sy

stem

; z

Man

agem

ent d

ecisi

on to

allo

cate

staf

f to

spec

ific

mon

itorin

g fu

nctio

ns;

z

Com

mon

AU

-par

tner

s res

ults

-mon

itorin

g m

eetin

gs (t

wic

e a

year

)

z

Mon

itorin

g do

cum

ent,

mon

itorin

g da

ta,

data

ana

lysis

; z

Man

agem

ent d

ecisi

on z

Min

utes

from

mon

itorin

g m

eetin

gs

z

Ther

e is

a cl

ear m

anag

emen

t sup

port

(a

t diff

eren

t org

anisa

tiona

l lev

els w

ithin

th

e AU

) for

the

syst

emat

ic u

se o

f the

m

onito

ring

syst

em;

z

Pres

ence

of i

ndiv

idua

l, or

gani

satio

nal

and

inst

itutio

nal c

apac

ities

with

in th

e AU

to sy

stem

atic

ally

use

the

mon

itorin

g sy

stem

;

Out

put 5

.4Di

scon

nect

be-

twee

n di

ffere

nt

AU-p

artn

ers

dial

ogue

leve

ls

addr

esse

d

z

Form

ulat

ion

of c

lear

stra

tegi

c an

d re

-su

lts-b

ased

link

s bet

wee

n th

e AU

-par

t-ne

rs d

ialo

gue

at h

ighe

r pol

itica

l lev

el a

nd

its im

plem

enta

tion

at te

chni

cal l

evel

z

Stra

tegi

c m

eetin

gs b

etw

een

AU a

nd p

art-

ners

gat

herin

g hi

gh le

vel r

epre

sent

ativ

es

and

tech

nica

l sta

ff;

z

Min

utes

from

dia

logu

e m

eetin

gs

betw

een

AU a

nd p

artn

ers a

t tec

hnic

al

leve

ls

z

Part

ners

are

will

ing

to e

ngag

e in

such

a

dial

ogue

Out

put 5

.5Th

e AU

and

pa

rtne

rs h

ave

join

tly d

e-ve

lope

d an

d ag

reed

on

harm

onis

ed a

nd

alig

ned

part

ner-

ship

tool

s

z

Evid

ence

of h

arm

onise

d an

d al

igne

d pa

rtne

rs’ f

inan

cial

and

tech

nica

l sup

port

on

AU

pro

gram

me

cale

ndar

s; z

Exist

ence

of a

n ag

reem

ent o

n on

e co

m-

mon

repo

rtin

g te

mpl

ate

amon

g pa

rtne

rs;

z

Dial

ogue

mee

tings

bet

wee

n AU

and

pa

rtne

rs;

z

Deve

lopm

ent o

f har

mon

ised

prog

ram

me

supp

ort p

lan

cove

ring

the

road

map

tim

efra

me;

z

Min

utes

from

mee

tings

z

Prog

ram

me

supp

ort p

lan

z

Part

ners

are

will

ing

to e

ngag

e in

such

a

dial

ogue

Prob

lem

def

initi

on 6

No

finan

cial

ow

ners

hip

of A

PSA,

hig

h de

pend

ency

on

dono

rs a

nd in

tern

atio

nal p

artn

ers d

ue to

2 m

ain

reas

ons:

z

Mem

ber S

tate

s’ c

ontr

ibut

ion

to P

eace

Fun

d is

low

; z

Lim

ited

addi

tiona

l fun

ding

from

alte

rnat

ive

sour

ces.

Spec

ific

Obj

ectiv

e 6

Fina

ncia

l ow

ners

hip

of A

PSA

incr

ease

d an

d de

pend

ency

on

dono

rs a

nd in

tern

atio

nal p

artn

ers d

ecre

ased

subs

tant

ially

Spec

ific

Obj

ectiv

e 6

Indi

cato

rs z

Evid

ence

of i

ncre

ased

reve

nues

into

the

Peac

e Fu

nd a

nd si

mila

r reg

iona

l fun

ding

m

echa

nism

s z

Evid

ence

of i

ncre

ased

AU

ope

ratio

nal

budg

et fr

om M

embe

r Sta

tes

z

Evid

ence

of i

ncre

ased

AU

pro

gram

me

budg

et fr

om M

embe

r Sta

tes

z

Evid

ence

of i

ncre

ased

AU

PSO

bud

ge

from

Mem

ber S

tate

s z

Evid

ence

of i

ncre

ased

fund

s em

anat

ing

from

priv

ate

sect

or

Sour

ces o

f ver

ifica

tion

z

AU o

pera

tiona

l bud

get

z

AU p

rogr

amm

e bu

dget

z

AU P

SO b

udge

t

Assu

mpt

ions

z

Mem

ber S

tate

s com

ply

with

AU

Ass

em-

bly

deci

sions

z

Prep

ared

ness

of M

embe

r Sta

tes t

o tr

ans-

fer t

hese

add

ition

al so

urce

s of f

undi

ng to

th

e U

nion

z

Capa

citie

s in

Mem

ber S

tate

s to

colle

ct

the

addi

tiona

l sou

rces

of f

undi

ng

129

Stra

tegi

c Pr

iorit

y 5


Out

puts

Out

puts

Indi

cato

rsSt

rate

gies

/Act

iviti

esSo

urce

s of v

erifi

catio

nAs

sum

ptio

ns

Out

put 6

.1Th

e Ar

ticle

21

(4) o

f the

PSC

Pr

otoc

ol o

n th

e es

tabl

ishm

ent

of a

Rev

olvi

ng

Trus

t Fun

d w

ith

the

Peac

e Fu

nd

is m

ade

oper

a-tio

nal

z

Evid

ence

of c

lear

gui

delin

es fo

r the

Re-

sour

ce M

obili

zatio

n Co

mm

ittee

z

Deci

sions

/str

ateg

ies s

ugge

sted

by

the

Com

mitt

ee z

Evid

ence

of r

evise

d re

gula

tions

of t

he

Peac

e Fu

nd z

Exist

ence

of r

elev

ant t

arge

ts

z

Faci

litat

ing

reso

urce

mob

iliza

tion

by

Mem

ber S

tate

s thr

ough

the

impl

emen

ta-

tion

of §

8(5)

of t

he P

SC P

roto

col a

nd th

e co

nclu

sions

of t

he re

trea

t of t

he P

SC o

n w

orki

ng m

etho

ds (5

-7 Ju

ly 2

007)

on

the

esta

blish

men

t of a

Res

ourc

e M

obili

za-

tion

Com

mitt

ee z

Impl

emen

ting

AU A

ssem

bly

Dec.

578

(X

XV) o

n ta

rget

s for

the

new

scal

e of

as

sess

men

t

z

Guid

elin

es z

Min

utes

from

Res

ourc

e M

obili

zatio

n Co

mm

ittee

z

Mem

ber S

tate

s com

ply

with

AU

Ass

em-

bly

deci

sions

Out

put 6

.2Th

e AU

Ass

em-

bly

Deci

sion

561

(X

XIV)

on

alte

r-na

tive

sour

ces

of fu

ndin

g is

m

ade

oper

a-tio

nal

z

Evid

ence

of d

etai

led

annu

al b

udge

t m

onito

ring

z

Evid

ence

of r

ecom

men

datio

ns to

adj

ust

the

budg

et w

hen

and

whe

re n

eces

sary

z

Evid

ence

of r

ecom

men

datio

ns a

nd st

rat-

egie

s to

acce

ss fu

nds f

rom

priv

ate

sect

or

and

extr

actio

n in

dust

ries

z

Publ

ishin

g a

deta

iled

AU b

udge

t (in

clud

-in

g re

vise

d or

am

ende

d ve

rsio

ns) a

s par

t of

the

AU A

ssem

bly

docu

men

tatio

n z

Deve

lopi

ng a

det

aile

d an

nual

act

ivity

pl

an o

f the

pro

gram

mes

/pro

ject

s to

be

fund

ed fr

om th

e Pe

ace

Fund

z

Intr

oduc

tion

of a

robu

st a

nnua

l rev

iew

m

echa

nism

z

Com

miss

ion

expe

rt st

udy

on fu

ndra

ising

fr

om p

rivat

e se

ctor

and

reso

urce

-bas

ed

extr

actio

n in

dust

ries

z

Budg

et p

ublic

atio

n z

Annu

al p

lans

z

Asse

ssm

ent r

epor

ts z

Conc

lusio

ns o

f the

exp

ert s

tudy

z

Stro

ng A

UC

lead

ersh

ip a

nd c

oord

inat

ion

z

Mem

ber S

tate

s com

plia

nce

with

AU

As

sem

bly

deci

sions

z

Cons

ulta

tion

with

Ad

Hoc

Min

ister

ial

Com

mitt

ee

130


African Peace and Security Architecture. APSA Roadmap 2016 ... · promoting “peace, security, and...

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Transcript of African Peace and Security Architecture. APSA Roadmap 2016 ... · promoting “peace, security, and...