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Sustainable Economic Development of the Sudurnes region, Iceland OP Preparation: Programming Concepts & Tools JOSE MATEOS MORENO Ásbrú, January 2012

2.2 programming and tools swot & lfa

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Page 1: 2.2 programming and tools swot & lfa

Sustainable Economic Development of the Sudurnes region, Iceland

OP Preparation: Programming Concepts & Tools

JOSE MATEOS MORENO

Ásbrú, January 2012

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1. Principles of programming

2. The programming logic

3. Programming tools – SWOT & LFA

Content

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1. Programming Principles

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Grouping a number of temporary, goal-oriented and unique activities, each contributing to reach objectives agreed upon beforehand

Questions:· Where are we?· Where do we want to go?· How should we get there?· How will we know when we are there?

What is Programming ?

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The Programme Context

Policy

Programme

Projects

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OP Global Objective

Priority

Axis 1

Priority

Axis 2

Priority

Axis 3

Group of

Operations

Group of

Operations

Group of

Operations

Group of

Operations

Group of

Operations

Group of

Operations

Group of

Operations

What Does a Programme Look Like?(example OP Regional Development)

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The Structure of a Programme

Inputs

Impacts

Programme Operations

Results

Outputs

Global Objective

Specific Objectives

Operational Objectives

Programme

Priority Axes

Group Operations

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Who’s Responsible For What?

Programme Projects

Managing AuthoritiesCertifying Authority

Audit authorityIntermediate Bodies

Monitoring Committees

Beneficiaries

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Management Structure

?

SCF Accession

Country

OP Managing

Authority

Intermediate

body

Monitoring

Committee

European

Commission

Priority

Axis

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2. The Programming Logic

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Programming Logic

Analysis

Strategy

Priority Axis

Group of Operations

Politics

Bottom up• Project

ideas

• Lobbying

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Groups of operations (measures)

The basic unit of programme management, consisting of a set of similar projects and disposing of a precisely defined budget

The means by which a priority is implemented over several years which enable operations (projects) to be financed.

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Groups of Operations (measures)

• Description and rationale• Objectives• Scope• Geographic coverage• Outputs, results – performance indicators• Timetable• Project selection criteria• Cost• Intermediary body implementing measure• Final beneficiaries• Operating parties

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Embedding in Existing Policy

• IPA is meant to cofinance existing policy, not other way round

• Keep it simple: look at existing national structural policies

• Start programming process with the analysis of existing policy: this will be your cofinancing table

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3. Programming Tools

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OP Policy Life Cycle

Detailed programming

Programme implementation

Monitoring, financial control, evaluation, corrective actions

Planning & programming

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Main Stages of OP Preparation

Organisation of OP process

Implementing Arrangements

Negotiations with EU

SWOT Analysis

Strategic Goals and Priorities

Budget Allocation and Impacts

Ex-ante Evaluation

1 to 2 years

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Programming Tools

Analytical tools Creative tools Structuring tools

Entity formulation Brainstorming Problem trees

Stakeholder analysis Matching and conversion

Objective trees

Analysis of trends Robust strategies approach

Clustering

SWOT analysis Vision formulation Scoping

Problem identification Objective formulation LFA approach

Benchmarking Synergy check

Forecasting Indicator formulation

Scenario analysis

Risk analysis

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Programming Tools• Focus on two main tools:

Analysing:– SWOT analyses

Structuring:– Logical Framework Approach (LFA)

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Main Stages of OP Preparation

Organisation of OP process

Implementing Arrangements

Negotiations with EU

SWOT Analysis

Strategic Goals and Priorities

Budget Allocation and Impacts

Ex-ante Evaluation

1 to 2 years

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Main stages of OP-preparation

Organisation of OP process

Implementing Arrangements

Negotiations with EU

Strategic Goals and Priorities

Budget Allocation and Impacts

Ex-ante Evaluation

1 to 2 years

SWOT Analysis

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LFA consist in...

… a matrix with four columns and four (or more) rows, which summarises the key elements of a project/programme:

• The project’s hierarchy of objectives (Project Description or Intervention Logic);

• The key external factors critical to the project’s success (Assumptions);

• How the project’s achievements will be monitored and evaluated (Indicators and Sources of Verification).

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Typical structure of a Logframe

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LFA Helps to Ensure That…

• the purposes of the priorities and measures are consistent with the overall objective

• indicators of achievement are quantified, verifiable and time bound

• risks and assumptions are adequately defined;• any actions required to ensure programme impact are

stated and time-bound (conditionality)• inputs and outputs needed to implement the project are

sufficiently well-defined

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Programme and Project Level: Vertical Logic

Intervention Logic

Overall objectives

Project purpose

Results

Activities

Project level

Intervention Logic

Projects

SCF

Overall Objective

Priorities

Measures

Programme level

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The Logframe: Diagonal Logic

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Building a Logframe

Analysis Phase Planning Phase

Stakeholder analysis – identifying stakeholders

Problem analysis - key problems, constraints &

opportunities; cause & effect relationships

Objective analysis – developing solutions;

means to end relationships

Strategy analysis – identifying strategies to

achieve solutions; selection

Developing Logframe matrix - project

structure, testing internal logic & risks,

formulating measurable indicators

Activity scheduling – determining

sequence and dependency of activities;

estimating duration, assigning responsibility

Resource scheduling – from activity

schedule, developing input schedules and

budget

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Logframe Matrix: Logical Sequence of Completion

+

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Activities Schedule & Budgeting

See example Montenegro

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Risk Management

• STEP 1 Identify the risks• STEP 2 Use an Impact/Probability matrix to evaluate the

risks

• STEP 3 Include the risk in the Log Frame

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Risk Management

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Example 2: Problem Tree

EFFECTS

CAUSES

Problem analysis: the problem tree helps to establish the cause/effect relation between problems

Reduction of the fish resources

Low selling prices for fishers in the

villages

Income of artisanal fishers in decline

Destruction of the natural habitats

Illegal fishing practices

Poor quality of the processed

catch

Limited access to market

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Problem Tree Objective Tree

• From problem tree to objective tree

• Cause-Effect becomes Means-End

• Goal hierarchy

• Logic verified

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Example 2: Objective Tree

ENDS

MEANS

Analysis of Objectives: convert the problems into positive achievements through establishing means/ends relationships

Depletion of the natural fish stock reduced or

stopped

Selling price for fishers

increased

Natural habitats of fish resources

protected

Illegal fishing practices significantly

reduced

Processing of the catch improved

Access tomarkets improved

Income of artisinal fishers increased

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Depletion of the natural fish stock

reduced or stopped

Selling price for the fishers increased

Income of the artisan fishers

increased

Income of the artisanal fishers

increased

Natural habitats offish resources

protected

Illegal fishing practices significantly

reduced

Processing of the catch improved

Processing of the catch improved

Access to the markets improved

Access to the markets improved

Strategy

Strategy based on policy priorities, cost-benefit, ongoing programmes, budget etc

Fish stock control strategy Market orientation strategy

PURPOSE

OVERALL OBJECTIVE

RESULTS

Out of the projectIn the project

These excluded statements should be considered in the analysis of

assumptions/risks