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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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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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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
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SCF Accession
Country
OP Managing
Authority
Intermediate
body
Monitoring
Committee
European
Commission
Priority
Axis
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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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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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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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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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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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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