ciclo di progetto prof. luca brusati lezione 06 lunedì 31 marzo 2008 anno accademico 2007-2008...
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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
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 3
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
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 4
Phase One: programming (2)
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
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Phase One: programming (3)
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
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 6
United Nations
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Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 8
World Bank
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Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 10
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 11
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 12
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 13
European Union
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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)
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Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 16
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 17
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 18
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 19
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Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 21
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.)
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Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 23
Programming
Formulation
Evaluation & audit
Implementation
Project development
Identification
The cycle of operations: identification
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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”)
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Phase Two: identification (2)
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
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Phase Two: identification (3)
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
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Phase Two: identification (4)
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
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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)
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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
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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
Prof. Luca Brusati, Ciclo di progetto 2007/2008 - Lezione 06 31
Programming
Formulation
Evaluation & audit
Implementation
Project development
Identification
The cycle of operations: formulation (appraisal)
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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
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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
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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
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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
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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
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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
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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