Regional development plan

Transcription

1 UPU UNIE L PO TL UNION egional development plan Methodological approach January 2013 Development Cooperation Directorate

2 2 Table of contents Page. Background and definition of concepts 3 B. Process of formulating and implementing a regional development plan 4 1 Preparation of a regional development plan Preliminary discussions nalysis of the region Definition of objectives and priorities 5 2 alidation, dissemination and communication of regional development plan alidation Dissemination and communication 7 3 Formulation of projects 7 4 Implementation of projects programming cycle pproach to implementation 8 5 eporting 8 6 Evaluation and review 9 C. Financing and allocation of resources 9 D. egional development plan performance indicators 9 nnexes nnex 1 Programming and deployment of regional development plan nnex 2 Distribution of responsibilities in formulating the regional development plan nnex 3 eporting system diagrams nnex 4 Timetable for implementation of regional development plan nnex 5 tructure of a regional development plan nnex 6 esponsibilities in the preparation and management of priority projects

3 egional Development Plan Methodological approach 3. Background and definition of concepts The regional development plan (DP) forms part of the vision for development cooperation adopted by the bodies of the Union, and of the Doha Postal trategy (DP), which provides for implementation of the global strategy at regional level. It is designed to support the tools used by the Development Cooperation Directorate (DCDE) to guarantee uniform implementation of UPU activities in the field by means of a new approach based on two key principles: integration, i.e. the integration of all International Bureau cooperation activities based on the DCDE's new role as an interface between the various International Bureau directorates and developing countries (DCs) in need of assistance. This integration also means ensuring the coherence of DCDE activities carried out in the field (regional programmes) and the various players involved in cooperation (UPU regional project coordinators (PCs), restricted unions, consultants, etc.); and regionalization, an approach designed to respond optimally to each region's specific needs by creating synergies with regional players and strengthening and diversifying cooperative mechanisms in the field (PCs, restricted unions, economic institutions, leading countries within the framework of certain projects, etc.). The aim of this document is to present a methodological approach for the DP that can clearly define the role of the various players: DCDE programmes, PCs, other International Bureau programmes and restricted unions. The DP is a reference system grouping together all the development activities carried out in favour of the countries of a region by the various players, both within the International Bureau and at regional level. It is a common platform for all cooperation players, enabling them to pursue the same objectives and share the same priorities, while avoiding duplication of effort as regards both the allocation of resources and the deployment of activities (same activities deployed in a country by the International Bureau and by the restricted union). The DP is also a tool designed to provide a coherent framework for all activities and the regional strategy by taking account of the objectives and priorities which are set according to objective criteria based on the particular situation and level of development of each country in the region. egional development plan partners the players involved in implementing and financing the DP: DCDE: directorate responsible for coordinating and consolidating the DP; Other International Bureau directorates (involvement based on their particular area of expertise); estricted unions (act as regional partners); Other partners: industrialized or developing countries (contributing in cash or in kind), the United Nations Development Programme (UNDP), etc.; Beneficiaries: the DCs of the region. The part which defines the priorities sets out the mechanisms for establishing the priority actions. Positioning of DP in the cooperation system It is worthwhile placing the DP in the context of the various projects and activities carried out within the framework of development cooperation. The DP encompasses all the activities relating to development cooperation, which are being carried by means of existing tools and projects, particularly multi-year integrated projects (MIPs), Quality of ervice Fund (QF) projects or actions undertaken for developing countries by the different International Bureau directorates.

4 The following diagram shows the position of the DP within the cooperation system: 4 D P MIPs IPDP QF projects Other projects MIPs, QF and other regional, subregional and national projects C O U N T Y IPDP: integrated postal reform and development plan For the sake of efficiency and coherence, it is important to note that no UPU action is possible outside the framework of the DP. B. Process of formulating and implementing a regional development plan The DP is based on the regional prioritization process (PP), which is a mechanism adopted by the UPU to define regional priorities corresponding to the goals of the Doha Postal trategy. These regional priorities are set out in order of importance and provide a basis for developing DPs and related projects. The following timeline was established for the formulation and launch of the projects:

5 guaranteeing the free circulation of postal items over a single postal territory encouraging the adoption of fair common standards and the use of technology ensuring cooperation and interaction among stakeholders promoting effective technical cooperation ensuring the satisfaction of customers' changing needs 5 The DCDE, in coordination with the other IB directorates/units, is responsible for formulating the DP. lthough the participation of other external partners in the formulation process will depend on the region, in principle, the formulation phase could also involve the restricted unions. / nnex 1 provides a diagram of the DP programming and deployment process. nnex 2 provides details of the various stages and tasks and the persons responsible for formulating and implementing an DP. The DP process comprises the following six stages. 1 Preparation of a regional development plan First stage of the process, during which the main elements are brought together. The first stage comprises three phases. 1.1 Preliminary discussions reference framework and a work methodology need to be defined in consultation with the restricted unions having expressed a wish to participate in the process. The discussion process can begin only when the restricted unions have agreed to enter into a partnership with the UPU to carry out joint projects. Without this commitment, the UPU will need to conduct its assistance programmes directly with the countries of the region. Both the International Bureau and the restricted unions participating in the DP process can, of course, formulate and implement projects in the region concerned individually, if consensus is not reached for the development of a joint project, or if either party has insufficient resources. 1.2 nalysis of the region n analysis of the postal sector situation should be conducted to identify the main characteristics of the region, based on information available from the competent International Bureau services and other outside sources (UNDP, World Bank, International Monetary Fund, United Nations Conference on Trade and Development, etc.). The restricted unions could also be asked to contribute to this analysis work. During this phase, observations and recommendations made may be used in the analysis, depending on the knowledge of the particular region and the experience gained during the previous cycle. 1.3 Definition of objectives and priorities matrix of priorities, based on the Doha Postal trategy, was established for each region at the regional round tables held prior to the Doha Congress. Doha Postal trategy Global table Interconnection Development Governance Goal 1 Improve the interoperability of the international postal networks Programme 1.1 Enhance Qo, reliability and efficiency of the postal networks Programme 1.2 Increase postal integrity and security Programme 1.3 Develop adequate standards and regulations Programme 1.4 timulate the use of ICT to improve access and performance Programme 1.5 Promote addressing in national postal systems Goal 2 Provide technical knowledge and expertise related to the postal sector Programme 2.1 Increase awareness of the role of the postal sector Programme 2.2 Develop statistical and analytical/cost accounting procedures Programme 2.3 Provide market and sectoral research in response to customer needs Programme 2.4 trengthen members' capacity to implement and manage their universal service Programme 2.5 Provide information and expertise to foster cooperation among stakeholders Goal 3 Promote innovative products and services (developing the 3-D network) Programme 3.1 Modernize and diversify postal products and services Programme 3.2 timulate market growth through the use of new technologies Programme 3.3 Continue development of postal networks along three dimensions Programme 3.4 Facilitate international e- commerce Physical Electronic Financial Global strategy implemented regionally upported by the Programme and Budget for 2013, 2014, 2015 and 2016 Goal 4 Foster sustainable development of the postal sector Programme 4.1 Improve remuneration systems between postal operators Programme 4.2 Promote environmental awareness and social responsibility Programme 4.3 trengthen the UPU's capacity to respond appropriately to changing needs in the market Programme 4.4 timulate the inclusion of all segments of the population through greater access to postal services

6 The regional matrices validated in the various stages of the process provide for three levels of priority: 6 Level one (P1): Priorities that the member countries in each region regard as the most important areas for the cycle. These will therefore concern the key regional projects comprising the most important activities in terms of impact, results and resources. Projects with this priority level will receive funding from the development cooperation budget. Level two (P2): reas that the member countries in each region regard as less of a priority than those of level one, but that are nevertheless important. These will concern projects of more limited scope than those at level one, geared towards shorter term results. Projects with this priority level will also receive funding from the development cooperation budget. Level three (P3): ctions that the member countries in each region see as also being of importance. Projects with this priority level will need to be funded from resources other than the development cooperation budget. In order to be activated by the DCDE, the following conditions will need to be met by these projects: a b c n initiating party will be required to lead the project. Funding will need to be available. project document will need to be drawn up. For projects of this type and on request, the DCDE will provide methodological, logistical and administrative support to enable realization. Priority countries In resolution C 63/2012, the 25th Congress decided to continue to provide assistance to the least developed countries (LDCs) and countries in special situations, in the form of national multi-year integrated projects (MIPs), and also to take into account the priority needs of other developing countries. s such, all LDCs should benefit from a national project, whereas the other DCs will benefit from regional and sub-regional projects. In view of the limited resources for development cooperation, other criteria will be used for selecting the countries to receive assistance as a matter of priority: Countries that have prepared an integrated postal reform and development plan The formulation of an IPDP is the second criterion to be considered in selecting priority countries. country with an IPDP not only has real data to be used for formulating projects, but also the government's support for postal reform and development. Motivation of countries country's motivation can be measured on the basis of: its commitment when implementing earlier projects (last cycle); its willingness to help finance activities; and its ability to carry out the activities provided for in the projects. Financial situation with the UPU Countries which are not under sanctions as a result of debts to the UPU and which satisfy the conditions indicated above will be considered first. Countries under automatic sanctions will not be considered for national projects.

7 2 alidation, dissemination and communication of regional development plan 2.1 alidation 7 alidation of the DP is a process involving consultation, consolidation and discussion of the various recommendations and actions proposed. In this phase, the role of the International Bureau's specialist directorates and units is crucial, since their opinions and recommendations should make it possible to both validate the strategy and identify with the DCDE the common resources needed to carry out the actions proposed. The specialist directorates and units are invited to incorporate their expert knowledge into the various DPs by means of a sheet created for that purpose (available at share\dcdev\lancement PD 2013_2016). This validation by the various directorates therefore indicates their commitment in the formulation of projects concerning them and in the use of budgets under their responsibility. s regards the key regional projects, thematic seminars involving the specialist directorates and units and the DCDE will be organized to examine the results of actions carried out in the areas concerned during the previous cycle and define the strategy for implementing the new DPs. The restricted unions concerned by the DP process also have an important role to play in this validation phase as active partners in carrying out joint projects and financing activities. 2.2 Dissemination and communication This phase consists in promoting the DP among the regional players and the authorities of each country in the region to obtain the support (particularly financial) needed for its implementation. fter its validation, the plan is sent to the national authorities, including supervisory ministries, regulators, operators and other bodies able to lend their support (UNDP, international and regional financial institutions, diplomatic representations, etc.). 3 Formulation of projects This stage, which is also described in the PP, is carried out by the DCDE regional programmes, with the assistance of the International Bureau's specialist directorates and units, either by their own experts or by external consultants (in the case of large-scale projects). The project documents must meet with development cooperation standards and clearly indicate the activities involved in achieving the objectives and the indicators for evaluating the results. Besides their participation in the sectoral analysis and the setting of DP objectives, the restricted unions will also help to prepare jointly financed projects and provide the resources needed for executing them. The implementation of projects is conditional on the signing of projects by all participating partners. 4 Implementation of projects Implementation entails launching the activities provided for in the various projects, in line with the work plan and the procedures described. esponsibility for managing the implementation of projects arising from the DP will depend on the source of financing. In this connection, the DCDE regional programmes will be responsible for level-one priority (P1) key strategic projects, the DCDE and the specialist programmes will be jointly responsible for leveltwo priority (P2) regional projects with limited intervention, and the directorates/units will be responsible for level-three priority (P3) projects requiring funding from sources other than the development cooperation budget.

8 8 Nevertheless, the successful execution of projects will depend on the human and financial resources available (payment of contributions and availability of experts from the directorates/units and partners, etc.). Consequently, the responsibility of the regional programmes depends on whether or not this condition is satisfied. / The respective responsibilities are set out in nnex 6 to this methodology. During the project implementation stage and under the direct supervision of the regional programme manager, the PC is responsible for coordinating the operational implementation of projects in the field by specialists charged with their execution. s such, the PC is called upon to: act as key project manager in the field; coordinate specialists' work in the field; monitor and evaluate the projects, in coordination with the restricted unions concerned; and prepare periodic project progress reports programming cycle Three types of projects will be prepared as part of the cycle: national projects, which may cover several areas; the title of the project must refer to the main area. They should be based on an in-depth analysis of the beneficiary country's postal situation, taking into account the evaluation results of projects from the previous cycle. For countries that already have an IPDP, the national project will be responsible for carrying out the actions contained in it. regional projects, which are thematic projects aimed at developing a particular area common to several countries in the region, in accordance with the matrix of priorities established at the regional round tables and adopted by Congress; and inter-regional projects, which are also thematic projects formulated when action is required for more than one region (training in postal reform, design of a guide, etc.). percentage of each region's budget should be set aside for inter-regional projects. 4.2 pproach to implementation The DP will provide for three types of projects as follows: level-one priority (P1) key strategic projects dealing with all aspects necessary for the development of an important area, in line with the two main priorities established for the region at its regional round table. The budget allocated to key strategic projects will account for to up to 70% of the resources allocated to development cooperation in the region; level-two priority (P2) regional projects with limited intervention will concern one activity identified as a priority by the DP, with short-term objectives; and level-three priority (P3) projects, funded from sources other than the development cooperation budget. 5 eporting / The players involved in preparing reports are the specialists in the various areas of expertise, the PCs and the International Bureau programmes and units. The procedure for preparing reports (see nnex 3) should be the following: The specialist on mission in the field sends his/her mission report to the PC. The PC gives an opinion and, where appropriate, discusses with the specialist any changes to be made to the report. The PC submits the final report to the appropriate DCDE regional programme and International Bureau expert programme.

9 9 6 Evaluation and review This stage involves systematic monitoring of the activities carried out as part of the project, making it possible to check the different indicators corresponding to the DP and to each individual project. For operational activities relating to the modernization of operators, the operator's figures and targets for quality, volumes, turnover, operating costs, etc. should be indicated in the project to be implemented. These targets and figures can be compared with those of the operator at the completion of the national project, in order to measure the impact of the actions taken. C. Financing and allocation of resources There are six possible sources of funding: Union budget. pecial Fund. Quality of ervice Fund (QF). National contributions. Contributions from partners (restricted unions, etc.). Other funds available. Training activities are financed from the pecial Fund, while measures to improve quality are funded, where possible, from the QF. D. egional development plan performance indicators These indicators should make it possible to check the degree to which the aims and objectives contained in the plan have been achieved. imilarly, it is necessary to measure the various degrees of implementation against the actions taken, the results expected and the deadlines set. The DP indicators are defined at three different levels: i ii First level formulation and launch of regional development plan a b c d Formulation of projects: Number of projects formulated by area of activity needed to carry out specific, measurable and well-defined actions. Financing of activities using International Bureau shared resources: Number of co-financed projects. Financing of regional development plan by other external partners: Number of projects receiving external funding. egional launch of regional development plan: Number of projects for which at least one action has been initiated. econd level These indicators show the degree of implementation. For the needs of periodic reports, the programmes are required to report on the degree to which the activities programmed have been carried out: number of missions programmed/number actually conducted; number of individual fellowships programmed/number actually awarded; number of group activities programmed/number actually carried out; number of equipment purchases programmed/number actually made.

10 10 iii Third level The third level of indicators is defined within the framework of each individual project, by specialized area and in relation to the following elements: specific aims and objectives; conditions for implementation; compliance with the deadlines provided for in the project; use of budgetary credits based on forecasts.

11 11 nnex 1 Programming and deployment of regional development plan PHE INPUT PLYE OUTPUT PIOITIZTION Doha Postal trategy, regional round tables, cooperation strategy International Bureau + estricted unions Objectives, priority areas NLYI tatistics (UPU, World Bank, IMF), regional studies, International Bureau + estricted unions DP PEPTION egional matrices, analyses, IPDP egional projects by area IMPLEMENTTION Project area 1 Project area 2 International Bureau, specialists ctivities (expertise, training, equipment) EPOTING ND ELUTION Project activities implemented pecialists, PCs eporting, adjustments

12 12 nnex 2 Distribution of responsibilities in formulating the regional development plan DP process DCDE Other International Bureau directorates estricted unions 1 Preparation of DP Defines a reference framework and a work methodology nalyzes postal sector situation in region and prepares an assessment Consolidates International Bureau and regional activities in line with DCs' priorities Provide basic information at DCDE's request nalyze information by area of expertise Provide data showing background to situation and priorities by area of expertise Help to define reference framework and work methodology Transmit any information from PCs' research Formulates draft DP Identifies beneficiary countries 2 alidation, dissemination and communication of DP alidation by DCDE Committee Transmits DP to International Bureau expert programmes, national authorities and other international and regional bodies and institutions alidation by area of expertise (if concerned by specific area of action plan) ny feedback 3 Formulation of projects Cooperates with expert programmes and/or specialists to determine content of projects alidates project documents Prepare draft project documents and/or provide content relating to their area of expertise needed for formulating projects Participate in validation of final project documents Help to formulate and validate joint projects 4 Implementation of projects t regional programme level: Coordinates the strategy and implementation of the activities provided for in the various projects formulated esponsible for the content, activities and results of projects implemented in their area of expertise ssist in carrying out activities provided for as part of joint projects Cooperates with expert programmes in implementing projects concerning their areas of activity Coordinates with restricted unions participating in joint projects

13 13 DP process DCDE Other International Bureau directorates estricted unions 4 Implementation of projects (cont.) t PC level: Manages the implementation of projects in the field Coordinates joint projects with operational managers of restricted unions Manages logistical, administrative and financial aspects of implementation of projects 5 eporting pecific reports: The PC finalizes the mission reports, in cooperation with the specialists The PC sends mission reports to the regional programmes The regional programmes hold meetings with expert programmes to propose corrective and other measures Periodic reports: The regional programmes submit periodic reports to the Director of the DCDE The Director of the DCDE briefs the directorates concerned on the activities carried out The PC, in cooperation with the specialists, submits periodic DP progress reports to the regional programmes The regional programmes brief the regional players on any corrective measures taken Prepare reports on projects in which they have participated Participate in periodic coordination meetings with regional programmes to propose corrective and other measures in their area of expertise Prepare periodic progress reports on joint projects and participate in the implementation of any corrective measures deemed necessary 6 Evaluation and review Proposes adjustments to activities and to the allocation of resources Propose adjustments by programme and budget, in close cooperation with the DCDE Propose adjustments to activities and budgets on the basis of achievements and changes in priorities

14 Country level egional level IB level 14 nnex 3 eporting system diagrams Preparation of periodic report MNGEMENT COMMITTEE Expert Directorates DCDE Director DCDE egional Programme Manager trategy coordination estricted unions Operational coordination PC egional specialist egional specialist Evaluation and revision

15 Country level egional level IB level 15 Monitoring of implementation (by activity) DCDE egional Programme Joint analysis and corrective and other measures (quarterly) Expert programmes DCDE egional Programme egular review PC Operational coordination estricted unions Implementation of measures in the field egional specialists egional specialists ELUTION ND EIION

16 16 nnex 4 Timetable for implementation of regional development plan , taking account of regional prioritization process (PP) egional development plan process tart End 1 Preliminary discussions and definition of work methodology with restricted unions Discussions with IB expert directorates/units Integration of actions in DP by expert directorates/units Preparation of draft DP Discussions with regional players ny comments by restricted unions involved in DP process Thematic seminars on preparation of key projects Phase I Internal validation of DP by IB pproval of DP by C Thematic seminars on preparation of key projects Phase II Preparation of key project documents (level P1) Preparation of other regional project documents (levels P2 and P3) Progressively 13 Preparation of national project documents From 1 July Communication and promotion Following validation by C 15 Launch of DP implementation Following validation by C 16 Follow-up and evaluation Progressively 17 djustments Progressively

17 17 nnex 5 tructure of a regional development plan The DP document should be adapted to each region's situation and characteristics; however, for information, the main themes that could be provided for are presented in the following table: tructure Main components emarks Preface Congress decisions relating to cooperation Importance of the regionalization of activities ole of regional players in the process Implementation strategy (restricted unions, key projects, projects with limited intervention) ources of funding (key projects, projects with limited intervention and extrabudgetary activities not included among the eight priorities) Part I ituation of postal sector General situation of the region: key facts Not necessarily the postal situation, which will be dealt with in part II Postal sector framework (sectoral description) Main trends of postal activity eview of the activities implemented during the last cycle Table of indicators for last DP, including results Overview of situation in the region Postal reform, regulation, main characteristics of sector ummary of main results lready exists Part II reas for development Main observations and areas for improvement Priorities for egional matrix adopted Main areas for intervention (detailed description of situation in the region in areas of activity linked to top priorities) ctions of limited scope (with and without funding) Include analysis tables and data provided by the specialist directorates/units, etc. No need to include detailed analyses, but simply an indication of the intended outcome of these projects

18 18 tructure Main components emarks Part II reas for development (cont.) Part III Implementation of plan Non-priority actions: actions not included among the eight priorities in the matrix and requiring funding from sources other than the development cooperation budget Transversal actions (postal sector reform and training via Trainpost) Implementation stages Financing the plan Communication plan Depending on the information provided by the specialist directorates/units Interregional actions decided on by Congress (resolution 63/2012), particularly in the area of postal sector reform and training via Trainpost Part I DP indicators Explain the mechanisms for monitoring implementation of the DP at three levels: Level one (formulation and launch) Level two (performance indicators number of activities) Level three (indicators associated with each project) Table of DP indicators

19 19 Executive summary of DP The executive summary should summarize the main elements of the DP document in no more than seven pages, including annexes. tructure Main components emarks Introduction Brief description of region General cooperation strategy (regionalization, sectoral policy, etc.) ision of new DP 0.5 pages ituation of the postal sector in the region General situation of the region: key facts 1 page reas for intervention Measures taken in region during previous cycle New basis for regional development Description of main areas for intervention 3 pages Implementation of the plan Implementation strategy (with restricted unions, role of any external stakeholders), coordination with IB expert directorates/units, etc. 0.5 pages Financing of plan Brief description of the resources to be made available for the DP 0.5 pages ummary table of activities Table of indicators 1.5 pages

20 To be defined based on agreements with partners 20 nnex 6 tep 3 esponsibilities in the preparation and management of level-one priority projects (key projects) teps DCDE programme pecialist programmes Directors estricted Unions/ other potential partners Project background Project justification Project objectives and expected outcomes ctivities to be carried out Terms of reference of missions Content of training pecifications of equipment Calculation of costs by activity Preparation of budgets llocation of resources by activity Project implementation conditions Implementation timetable eporting Evaluation and fine-tuning Implementation of project dministrative, logistical and financial arrangements for implementation = alidation; = esponsible; = ssociated

21 To be defined based on agreements with partners 21 tep 3 esponsibilities in the preparation and management of level-two priority projects (projects with limited intervention) teps DCDE programme pecialist programmes Directors estricted unions/ other potential partners Project background Project justification Project objectives and expected outcomes ctivities to be carried out: Terms of reference of missions Content of training pecifications of equipment Calculation of costs by activity Preparation of budgets llocation of resources by activity Project implementation conditions: Implementation timetable eporting Evaluation and fine-tuning Implementation of project dministrative, logistical and financial arrangements for implementation = alidation; = esponsible; = ssociated

22 To be defined based on agreements with partners 22 tep 3 esponsibilities in the preparation and management of level-three priority projects (funding from sources other than the development cooperation budget) teps DCDE (on request) pecialist programmes Directors estricted Unions/ other potential partners Project background Project justification Project objectives and expected outcomes ctivities to be carried out Terms of reference of missions Content of training pecifications of equipment Calculation of costs by activity Preparation of budgets llocation of resources by activity Project implementation conditions Implementation timetable eporting Evaluation and fine-tuning Implementation of project dministrative, logistical and financial arrangements for implementation = alidation; = esponsible; = upport on request