2.2 programming and tools swot & lfa

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2.2 programming and tools swot & lfa

  1. 1. Sustainable Economic Development of the Sudurnes region, Iceland OP Preparation: Programming Concepts & Tools JOSE MATEOS MORENO Ásbrú, January 2012
  2. 2. Content1. Principles of programming2. The programming logic3. Programming tools – SWOT & LFA 2
  3. 3. 1. Programming Principles 3
  4. 4. What is Programming ? Grouping a number of temporary, goal-oriented and unique activities, each contributing to reach objectives agreed upon beforehandQuestions: Where are we? Where do we want to go? How should we get there? How will we know when we are there? 4
  5. 5. The Programme Context Policy Programme Projects 5
  6. 6. What Does a Programme Look Like? (example OP Regional Development) OP Global Objective Priority Priority Priority Axis 1 Axis 2 Axis 3 Group of Group of Group of Group of Group of Group of Group ofOperations Operations Operations Operations Operations Operations Operations 6
  7. 7. The Structure of a Programme Global Impacts Objective Programme Specific Priority Axes Results Objectives Operational Group Outputs Objectives OperationsInputs Programme Operations 7
  8. 8. Who’s Responsible For What? Programme Projects Managing Authorities Certifying Authority Audit authority Beneficiaries Intermediate BodiesMonitoring Committees 8
  9. 9. Management Structure European Commission SCF Accession Country ? OP Managing Monitoring Authority Committee Priority Intermediate Axis body 9
  10. 10. 2. The Programming Logic 10
  11. 11. Programming Logic Analysis Strategy Politics Priority AxisBottom up• Project ideas Group of • Lobbying Operations 11
  12. 12. Groups of operations (measures)The basic unit of programme management, consisting of a set of similar projects and disposing of a precisely defined budgetThe means by which a priority is implemented over several years which enable operations (projects) to be financed. 12
  13. 13. 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 13
  14. 14. 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 14
  15. 15. 3. Programming Tools 15
  16. 16. OP Policy Life Cycle Detailed programming Planning &programming Programme implementation Monitoring, financial control, evaluation, corrective actions 16
  17. 17. Main Stages of OP PreparationOrganisation of OP process SWOT Analysis Strategic Goals and Priorities Budget Allocation and Impacts Implementing Arrangements Ex-ante Evaluation Negotiations with EU 1 to 2 years17
  18. 18. Programming Tools Analytical tools Creative tools Structuring tools Entity formulation Brainstorming Problem treesStakeholder analysis Matching and Objective trees conversion Analysis of trends Robust strategies Clustering approach SWOT analysis Vision formulation ScopingProblem identification Objective formulation LFA approach Benchmarking Synergy check Forecasting Indicator formulation Scenario analysis Risk analysis 18
  19. 19. Programming Tools• Focus on two main tools: Analysing: – SWOT analyses Structuring: – Logical Framework Approach (LFA) 19
  20. 20. Main Stages of OP PreparationOrganisation of OP process SWOT Analysis Strategic Goals and Priorities Budget Allocation and Impacts Implementing Arrangements Ex-ante Evaluation Negotiations with EU 1 to 2 years 20
  21. 21. Main stages of OP-preparationOrganisation of OP process SWOT Analysis Strategic Goals and Priorities Budget Allocation and Impacts Implementing Arrangements Ex-ante Evaluation Negotiations with EU 1 to 2 years 21
  22. 22. 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). 22
  23. 23. Typical structure of a Logframe 23
  24. 24. 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 24
  25. 25. Programme and Project Level:Vertical LogicIntervention Logic Intervention LogicOverall objectives SCFProject purpose Overall ObjectiveResults PrioritiesActivities Measures Projects Project level Programme level 25
  26. 26. The Logframe: Diagonal Logic 26
  27. 27. Building a Logframe Analysis Phase Planning PhaseStakeholder analysis – identifying stakeholders Developing Logframe matrix - project structure, testing internal logic & risks,Problem analysis - key problems, constraints & formulating measurable indicatorsopportunities; cause & effect relationships Activity scheduling – determiningObjective analysis – developing solutions; sequence and dependency of activities;means to end relationships estimating duration, assigning responsibilityStrategy analysis – identifying strategies to Resource scheduling – from activityachieve solutions; selection schedule, developing input schedules and budget 27
  28. 28. Logframe Matrix: LogicalSequence of Completion + 28
  29. 29. Activities Schedule & BudgetingSee example Montenegro 29
  30. 30. 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 30
  31. 31. Risk Management 31
  32. 32. Example 2: Problem Tree Problem analysis: the problem tree helps to establish the cause/effect relation between problems Income of artisanal EFFECTS fishers in decline Reduction of the Low selling prices for fish resources fishers in the villagesDestruction of the Illegal fishing Poor quality of Limited access tonatural habitats practices the processed market CAUSES catch 32
  33. 33. Problem Tree  Objective Tree • From problem tree to objective tree • Cause-Effect becomes Means-End • Goal hierarchy • Logic verified 33
  34. 34. Example 2: Objective TreeAnalysis of Objectives: convert the problems into positiveachievements through establishing means/ends relationships ENDS Income of artisinal fishers increased Depletion of the natural Selling price for fish stock reduced or fishers stopped increased Natural habitats of Illegal fishing Processing of the Access to MEANS fish resources practices significantly catch improved markets improved protected reduced 34
  35. 35. Strategy In the projectOut of the project These excluded Income of the OVERALL statements should artisanalfishers artisan fishers OBJECTIVE increased be considered in the analysis of assumptions/risks Depletion of the Selling price for the natural fish stock fishers increased PURPOSE reduced or stopped Natural habitats of Illegal fishing fish resources practices significantly Processing of the catch improved Access to the markets improved RESULTS protected reduced Fish stock control strategy Market orientation strategy Strategy based on policy priorities, cost-benefit, ongoing programmes, budget etc 35

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