CICLO DI PROGETTO Prof. Luca Brusati Lezione 06 Lunedì 31 marzo 2008 Anno accademico 2007-2008...

CICLO DI PROGETTO

Prof. Luca Brusati

Lezione 06Lunedì 31 marzo 2008

Anno accademico 2007-2008

Università degli Studi di TriesteFacoltà di Scienze Politiche

Corso di Laurea Specialistica in Scienze Politiche e Internazionali

Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 2

Programming

Formulation

Evaluation & audit

Implementation

Project development

Identification

The cycle of operations: programming


Phase One: programming (1)

The programming phase is meant toanalyse the situation at national and sectoral level identify problems, constraints and opportunities for

intervention in a medium-term perspective identify key objectives and sectoral priorities for

development cooperationprovide a relevant and feasible framework with which

projects can be identified and prepared

The outcome of this phase is a multi-annual programming document which forms part of the strategic framework vis-à-vis the partner country



In other words, programming sets the guidelines for co-operation, based on an analysis of problems and opportunities, and taking into accountpriorities of funding agencies and beneficiariesactions undertaken or in the pipeline by other playerscapacities of the players involved

Sectoral and thematic focus is agreed upon and ideas for project and programmes are broadly defined



The programming document specifiespolicy objectives of partner countrydonor cooperation objectives overview of past and ongoing cooperation financial envelopes for each cooperation areaspecific objectives and expected results, including main

performance and outcome indicatorsprogrammes to be implemented in pursuit of the defined

objectives, beneficiaries and type of assistance provided (e.g. macroeconomic support, technical assistance, training, investment, supply of equipment etc.), project ideas and main criteria for their formulation


United Nations


World Bank


European Union


Country strategy papers (“CSP’s”)

Description of the co-operation objectives Policy framework Political, economic and social situation, including

the sustainability of current policies and medium-term challenges

Lessons of past and ongoing co-operation, information on programmes of other players

Response strategy (limited number of target sectors complementary to interventions by other players)


Multi-annual indicative programmes (“MIP’s”)

Specific objectives, expected results and key outcome indicators for each co-operation area

Financial ceilings for each co-operation area Programmes to be implemented in pursuit of

these objectives, intended beneficiaries and type of assistance

Project ideas and general criteria for their realisation

Crosscutting issues (gender, environment, etc.)


Programming

Formulation

Evaluation & audit

Implementation

Project development

Identification

The cycle of operations: identification


Phase Two: identification (1)

The identification phase is meant toselect project ideas that are consistent with partner

and donor development prioritiesconsult intended beneficiaries, analyse problems they

face and options to address problemsassess the relevance and likely feasibility of project

ideasprepare preliminary project description (“project

fiche”)



In other words, identification is the phase where the general directions of work outlined in the programming phase are fleshed out, throughanalysis of problems, needs and interests of possible

stakeholders identification of ideas for interventionssectoral, thematic and “pre-feasibility” project studies,

meant to define what additional information may be needed to formulate a fully-fledged project proposal

No financing decision for individual projects at this stage



The outcome of this phase is a preliminary project description indicatingpolicy and programme contextstakeholder analysisproblem analysis, including scope of cross-cutting

issues lessons learned and review of other ongoing or

planned initiatives indicative objective hierarchy



indicative resource and cost implications indicative coordination, management (including

financial management and control) and financing arrangements

preliminary assessment of economic/ financial, environmental, technical and social sustainability

follow-up work plan for the Formulation phase


Pre-feasibility study

A pre-feasibility study is the key assessment for ensuring the relevance and feasibility of a project idea

It is meant to provide decision makers in the Government and the donor with sufficient information to justify the acceptance, modification or rejection of

the proposed project idea,and to determine the scope of follow-up planning work

(i.e., a feasibility/design study)


Content of a pre-feasibility study

Policy and programming framework Stakeholder analysis, including institutional capacity Problem analysis, including scoping of cross-cutting

issues (e.g., gender, governance, environment) Other ongoing and planned initiatives and lessons learnt Preliminary objectives and strategy analysis Preliminary assessment of resource and cost parameters Preliminary assessment of project management,

coordination and financing arrangements Preliminary assessment of economic/financial,

environmental, technical and social sustainability


Rationale for the identification phase

If, based on an assessment of the documentation and discussions with stakeholders, the project idea meets the quality assessment criteria, then the project is considered for progression to the formulation phase

If the project idea is unsatisfactory in relation to one or more criteria, the decision options can be: to collect additional information and clarify information gaps

with the partner government and/or other key stakeholders to commission ad-hoc studies to help fill information gaps to reject the project idea altogether


Programming

Formulation

Evaluation & audit

Implementation

Project development

Identification

The cycle of operations: formulation (appraisal)


Phase Three: formulation (1)

The formulation phase is meant toconfirm the relevance of project ideasassess feasibility (including technical, social,

environmental and economic dimensions)prepare a detailed project, including management and

coordination arrangements, financing plan, cost-benefit analysis, risk management, evaluation and audit arrangements

The outcome of this phase is a project document (financing proposal), formulated utilizing the logical framework


Phase Three: formulation (2)

In other words, formulation is the phase when:all significant aspects of the project idea are

analyzed in depth, in close co-ordination with all key stakeholders and beneficiaries (feasibility study), and

in case a decision is taken to propose the project for financing, a logical framework is agreed upon, including

• indicators of expected results and impact• detailed implementation schedules


Key areas for assessment (1)

Consistency with the policy and programming framework

Stakeholder analysis, including institutional capacity assessment

Problem analysis, including cross-cutting issues (e.g., gender, governance, environment)

Complementarity with other ongoing and planned initiatives, incorporating lessons learnt

Strategy


Key areas for assessment (2)

Objective hierarchy (objective, purpose, results and indicative activities)

Resource and cost requirements Management, coordination and financing

arrangements (including financial management, internal control and reporting)

Monitoring, evaluation and audit arrangements Sustainability and risk assessment, including

economic/financial, environmental, technical and social dimensions


Duration

The duration of the formulation phase can vary greatly, depending onavailability and accessibility of required informationcapacity of local stakeholdersdegree of political and administrative support ensured

by local partners

Smaller, less complex or very urgent projects (e.g., for emergency relief) may be formulated in a few weeks or months; large, complex projects which are not critically urgent may take many months or even years to formulate


Players

The formulation phase must ensure that both donors and recipients agree on the relevance, timeliness and content of the project

National governments and local stakeholders are expected to play a lead role, to help ensure ownership and commitment

Donors are expected to play a supporting role: financing and management of feasibility/design

studiesprovision of technical assistance and advisory inputs


Phase Four: financing

The financing proposal is completed and considered by the appropriate internal and/or external committee

A formal decision is taken whether to fund the project or not

A formal agreement with the partner Government or another entity is then signed by both, including essential financing implementation arrangements

CICLO DI PROGETTO Prof. Luca Brusati Lezione 06 Lunedì 31 marzo 2008 Anno accademico 2007-2008...

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