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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
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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?
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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
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7. The Structure of a Programme
Global
Impacts Objective Programme
Specific Priority Axes
Results Objectives
Operational Group
Outputs Objectives Operations
Inputs Programme
Operations
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11. Programming Logic
Analysis
Strategy
Politics
Priority Axis
Bottom up
• Project ideas Group of
• Lobbying Operations
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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.
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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
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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
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16. OP Policy Life Cycle
Detailed
programming
Planning &
programming
Programme
implementation
Monitoring,
financial control, evaluation,
corrective actions
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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
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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
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19. Programming Tools
• Focus on two main tools:
Analysing:
– SWOT analyses
Structuring:
– Logical Framework Approach (LFA)
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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
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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
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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).
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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
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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
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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
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33. Problem Tree Objective Tree
• From problem tree to objective tree
• Cause-Effect becomes Means-End
• Goal hierarchy
• Logic verified
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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
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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
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