USAF Development Framework (CRC Dar11)

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David Townsend explains the nin stages of development for Universal Service/Access Funds in developing countries.

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USAF Development Framework (CRC Dar11)

  1. 1. Stages of USAF Development and Operations<br />David N. Townsend <br />USAID/GBi Program on Universal Service and Access Fund Development<br />CTO Connecting Rural Communities Africa Forum 2011<br />August 26, 2011 Dar Es Salaam<br />
  2. 2. Stages of USAF Development and Operations<br />Enabling Legislation<br />Institutional Framework<br />Collections and Accounting<br />Market Assessment, Gap Analysis<br />Strategic Plan<br />Organizational and Business Plan<br />Operating Procedures and Plans<br />Project Design, Award, Implementation<br />2<br />Monitoring and Evaluation<br />
  3. 3. Stages of USAF Development and Operations<br />1. Enabling Legislation:<br /><ul><li>USAF should be established according to clear legislative mandate, which defines legal authorization, objectives, etc.
  4. 4. Key provisions should include:
  5. 5. Formal establishment and authorization of the Fund
  6. 6. Definition of Fund contribution obligations (not necessarily exact amounts, which may be determined by later rulings)
  7. 7. General objectives, targets, priorities for Fund support
  8. 8. Institutional framework, authorization, governance
  9. 9. Implementation steps, milestones, time frames</li></ul>Enabling Legislation<br />3<br />
  10. 10. Stages of USAF Development and Operations<br />Institutional Framework:<br /><ul><li>Fund must be established under aninstitutional framework that determines basic structure, control, management, and oversight.
  11. 11. Key features include:
  12. 12. Organizational setting (e.g., within Regulator, Ministry, or separate institution)
  13. 13. Source and amounts of administrative budget (distinct from Fund Project budget)
  14. 14. Assignment of top management (e.g., Director General), as well as governance structure (Board of Directors)
  15. 15. Authorization for hiring staff, commencing operations</li></ul>Enabling Legislation<br />Institutional Framework<br />4<br />
  16. 16. Stages of USAF Development and Operations<br />Collections and Accounting:<br /><ul><li>USAF administrations must establish mechanisms and procedures for collecting income as well as adequateaccounting and financial controls.
  17. 17. Collections procedures include:
  18. 18. Defining precise amount, formula for required contributions
  19. 19. Timing and method of contributions
  20. 20. Verification and enforcement procedures</li></ul>• Accounting requirements include:<br /><ul><li>Establishment, maintenance of financial accounts
  21. 21. Transparent accounting of all income, expenditures, including public (on-line) access to information
  22. 22. Independent audits of accounts</li></ul>Institutional Framework<br />Collections and Accounting<br />5<br />
  23. 23. Stages of USAF Development and Operations<br />4. Market Assessment, Gap Analysis:<br /><ul><li>USAF must initially evaluate the current status of target markets to determine priority needs, goals, options.
  24. 24. Identify scope of current service access, usage
  25. 25. Obtain data from operators on coverage, plans, costs, etc.
  26. 26. A Gap Analysis can help determine costs, priorities
  27. 27. Distinction between Market and Access gap
  28. 28. Estimates Fund support requirements for different locations, services</li></ul>• Fund should maintain a comprehensive Database of market conditions, regularly updated.<br />Institutional Framework<br />Market Assessment, Gap Analysis<br />6<br />
  29. 29. Stages of USAF Development and Operations<br />5. Strategic Plan:<br /><ul><li>Defines the near-term targets,priorities, and Fund allocations to guide operations based on objectives, resources
  30. 30. Identifies broad Programs for Fund support, and anticipated Projects to be undertaken within each:
  31. 31. Programs focus on a category of objectives, e.g., voice telephone coverage, public telecenters, ICT in schools.
  32. 32. Projects are individual initiatives within a Program, targeting specific geographic areas, for example.
  33. 33. Most Programs will consist of multiple Projects over several years to achieve universal goals.</li></ul>• Budget Forecasts: Plan estimates expected Fund resources and allocates budget acrossprospective programs and projects.<br />Strategic Plan<br />7<br />
  34. 34. Stages of USAF Development and Operations<br />Organizational and Business Plan:<br /><ul><li>Provides internal structure and planning framework for administration of the Fund.
  35. 35. Organizational Plan defines the structure and scope of the Fund administration:
  36. 36. Organizational chart, lines of authority
  37. 37. Personnel positions, job descriptions
  38. 38. Provisions for public relations, transparency (e.g., website)</li></ul>• Business Plan defines internal budget and resource requirements:<br /><ul><li>Personnel salaries, benefits
  39. 39. Equipment, technical, logistical resources
  40. 40. Outside support, contracting</li></ul>Strategic Plan<br />Organizational and Business Plan<br />8<br />
  41. 41. Stages of USAF Development and Operations<br />7. Operating Procedures and Plans:<br /><ul><li>Operating Procedures define rolesand functions for implementingStrategic Plan, by means of detailedOperating Plans
  42. 42. Operating Procedures include:
  43. 43. Data collection, market analysis
  44. 44. Strategic and operational planning, including criteria and methods for choosing priority projects
  45. 45. Project design, award, and implementation
  46. 46. Requirements for public consultation, transparency, competitive fairness, etc.</li></ul>Strategic Plan<br />Operating Procedures and Plans<br />9<br />
  47. 47. Stages of USAF Development and Operations<br />Operating Procedures and Plans (cont.):<br /><ul><li>Operating Plans define specifictargets and projects over a given period (1-2 years):
  48. 48. Parameters of projects to be undertaken (scope, locations, budgets, time frames)
  49. 49. Quantifiable targets to be achieved
  50. 50. Staff assignments
  51. 51. Review and reconciliation of budgets, ongoing projects, in context of Strategic Plan</li></ul>Strategic Plan<br />Operating Procedures and Plans<br />10<br />
  52. 52. Stages of USAF Development and Operations<br />Project Design, Award,Implementation:<br /><ul><li>Fund-supported projects should be consistent with overall objectivesand parameters of Strategic and Operating Plans.
  53. 53. Project Design determines the precise scope, targets, and mandatory specifications of a project.
  54. 54. Should be developed in consultation with both community and industry stakeholders
  55. 55. Requires needs assessment, local market analysis, and business case
  56. 56. Spec’s should be largely technology-neutral, based on end-services or facilities to be delivered</li></ul>• Project Award should typically involve an open, competitive process<br /><ul><li>“Reverse auctions” or a combination of price and qualitative measures, subject to minimum compliance</li></ul>Project Design, Award, Implementation<br />11<br />
  57. 57. Stages of USAF Development and Operations<br />Project Design, Award,Implementation (cont):<br /><ul><li>Project Implementation requires execution of clear contract terms andconditions for Fund disbursements
  58. 58. Selected contractor must be capable of implementing required services according to schedule
  59. 59. USAF project team works with contractor to ensure timely and adequate deployment, resolve uncertainties
  60. 60. Disbursements over time, based upon achieving verifiable milestones</li></ul>Project Design, Award, Implementation<br />12<br />
  61. 61. Stages of USAF Development and Operations<br />Monitoring and Evaluation:<br /><ul><li>USAF admins must ensure that funds are properly utilized and operators comply contractual agreements. They should also monitor effectiveness and impacts of projects.
  62. 62. Monitoring of project implementation to verify compliance
  63. 63. On-site inspections, plus surveys of local users
  64. 64. Subsidy payments tied to verified service delivery
  65. 65. Sanctions and procedures for non-compliance</li></ul>• Evaluation of impacts should feed into revisions to project and strategic plans<br /><ul><li>Cost-effectiveness of projects
  66. 66. Socio-economic impacts, user responses
  67. 67. Fund Annual Report</li></ul>Project Design, Award, Implementation<br />Monitoring and Evaluation<br />13<br />

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