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Sustainable Economic Development of the Sudurnes
                 region, Iceland

 OP Preparation: Programming Concepts & Tools


            JOSE MATEOS MORENO

               Ásbrú, January 2012
Content

1. Principles of programming

2. The programming logic

3. Programming tools – SWOT &
   LFA




                     2
1. Programming Principles




            3
What is Programming ?

   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?


                           4
The Programme Context

         Policy


        Programme


         Projects


                    5
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 of

Operations    Operations   Operations   Operations   Operations     Operations   Operations




                                              6
The Structure of a Programme
                           Global
          Impacts         Objective   Programme



                          Specific    Priority Axes
          Results        Objectives



                       Operational    Group
          Outputs      Objectives     Operations



Inputs    Programme
          Operations



                          7
Who’s Responsible For What?


  Programme                  Projects

 Managing Authorities
  Certifying Authority
    Audit authority          Beneficiaries
 Intermediate Bodies
Monitoring Committees




                         8
Management Structure
                     European
                   Commission

  SCF       Accession
               Country     ?


          OP              Managing      Monitoring
                          Authority     Committee

        Priority         Intermediate
         Axis                  body
                           9
2. The Programming Logic




            10
Programming Logic
                   Analysis


                   Strategy
                                   Politics
                  Priority Axis

Bottom up
• Project ideas    Group of
  • Lobbying      Operations

                              11
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.



                        12
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
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
3. Programming Tools




          15
OP Policy Life Cycle

                          Detailed
                        programming
 Planning &
programming

                                      Programme
                                      implementation

  Monitoring,
  financial control, evaluation,
  corrective actions
                               16
Main Stages of OP Preparation
Organisation 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
17
Programming Tools
  Analytical tools          Creative tools        Structuring tools
  Entity formulation        Brainstorming          Problem trees
Stakeholder analysis        Matching and           Objective trees
                             conversion
 Analysis of trends       Robust strategies           Clustering
                             approach
  SWOT analysis           Vision formulation           Scoping
Problem identification   Objective formulation     LFA approach
   Benchmarking                                    Synergy check
    Forecasting                                  Indicator formulation
 Scenario analysis
    Risk analysis


                                   18
Programming Tools
• Focus on two main tools:

   Analysing:
   – SWOT analyses

   Structuring:
   – Logical Framework Approach (LFA)




                        19
Main Stages of OP Preparation
Organisation 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
Main stages of OP-preparation
Organisation 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
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
Typical structure of a Logframe




                 23
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
Programme and Project Level:
Vertical Logic
Intervention Logic        Intervention Logic
Overall objectives        SCF
Project purpose           Overall Objective
Results                   Priorities
Activities                Measures
                          Projects



    Project level          Programme level
                     25
The Logframe: Diagonal Logic




                26
Building a Logframe


        Analysis Phase                                              Planning Phase


Stakeholder analysis – identifying stakeholders        Developing Logframe matrix - project
                                                       structure, testing internal logic & risks,
Problem analysis - key problems, constraints &         formulating measurable indicators
opportunities; cause & effect relationships
                                                       Activity scheduling – determining
Objective analysis – developing solutions;             sequence and dependency of activities;
means to end relationships                             estimating duration, assigning responsibility
Strategy analysis – identifying strategies to          Resource scheduling – from activity
achieve solutions; selection                           schedule, developing input schedules and
                                                       budget



                                                  27
Logframe Matrix: Logical
Sequence of Completion




                   +



                       28
Activities Schedule & Budgeting




See example Montenegro




                    29
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
Risk Management




          31
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
                                                                     villages



Destruction of the         Illegal fishing           Poor quality of        Limited access to
natural habitats              practices              the processed               market
                                                                                                CAUSES
                                                          catch

                                                        32
Problem Tree  Objective Tree

  • From problem tree to objective tree
  • Cause-Effect becomes Means-End
  • Goal hierarchy
  • Logic verified




                           33
Example 2: Objective Tree
Analysis of Objectives: convert the problems into positive
achievements 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
Strategy
                                     In the project
Out 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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2.2 programming and tools swot & lfa

  • 1. Sustainable Economic Development of the Sudurnes region, Iceland OP Preparation: Programming Concepts & Tools JOSE MATEOS MORENO Ásbrú, January 2012
  • 2. Content 1. Principles of programming 2. The programming logic 3. Programming tools – SWOT & LFA 2
  • 4. What is Programming ? 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? 4
  • 5. The Programme Context Policy Programme Projects 5
  • 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 of Operations Operations Operations Operations Operations Operations Operations 6
  • 7. The Structure of a Programme Global Impacts Objective Programme Specific Priority Axes Results Objectives Operational Group Outputs Objectives Operations Inputs Programme Operations 7
  • 8. Who’s Responsible For What? Programme Projects Managing Authorities Certifying Authority Audit authority Beneficiaries Intermediate Bodies Monitoring Committees 8
  • 9. Management Structure European Commission SCF Accession Country ? OP Managing Monitoring Authority Committee Priority Intermediate Axis body 9
  • 10. 2. The Programming Logic 10
  • 11. Programming Logic Analysis Strategy Politics Priority Axis Bottom up • Project ideas Group of • Lobbying Operations 11
  • 12. 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. 12
  • 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. 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
  • 16. OP Policy Life Cycle Detailed programming Planning & programming Programme implementation Monitoring, financial control, evaluation, corrective actions 16
  • 17. Main Stages of OP Preparation Organisation 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 17
  • 18. Programming Tools Analytical tools Creative tools Structuring tools Entity formulation Brainstorming Problem trees Stakeholder analysis Matching and Objective trees conversion Analysis of trends Robust strategies Clustering approach SWOT analysis Vision formulation Scoping Problem identification Objective formulation LFA approach Benchmarking Synergy check Forecasting Indicator formulation Scenario analysis Risk analysis 18
  • 19. Programming Tools • Focus on two main tools: Analysing: – SWOT analyses Structuring: – Logical Framework Approach (LFA) 19
  • 20. Main Stages of OP Preparation Organisation 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. Main stages of OP-preparation Organisation 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. 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. Typical structure of a Logframe 23
  • 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. Programme and Project Level: Vertical Logic Intervention Logic Intervention Logic Overall objectives SCF Project purpose Overall Objective Results Priorities Activities Measures Projects Project level Programme level 25
  • 27. Building a Logframe Analysis Phase Planning Phase Stakeholder analysis – identifying stakeholders Developing Logframe matrix - project structure, testing internal logic & risks, Problem analysis - key problems, constraints & formulating measurable indicators opportunities; cause & effect relationships Activity scheduling – determining Objective analysis – developing solutions; sequence and dependency of activities; means to end relationships estimating duration, assigning responsibility Strategy analysis – identifying strategies to Resource scheduling – from activity achieve solutions; selection schedule, developing input schedules and budget 27
  • 28. Logframe Matrix: Logical Sequence of Completion + 28
  • 29. Activities Schedule & Budgeting See example Montenegro 29
  • 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
  • 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 villages Destruction of the Illegal fishing Poor quality of Limited access to natural habitats practices the processed market CAUSES catch 32
  • 33. Problem Tree  Objective Tree • From problem tree to objective tree • Cause-Effect becomes Means-End • Goal hierarchy • Logic verified 33
  • 34. Example 2: Objective Tree Analysis of Objectives: convert the problems into positive achievements 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. Strategy In the project Out 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