CICLO DI PROGETTO Prof. Luca Brusati Lezione 06 Lunedì 31 marzo 2008 Anno accademico Università degli Studi di Trieste Facoltà di Scienze Politiche Corso di Laurea Specialistica in Scienze Politiche e Internazionali

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 062 Programming Formulation Evaluation & audit Implementation Project development Identification The cycle of operations: programming

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 063 Phase One: programming (1)  The programming phase is meant to analyse 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 cooperation provide 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/ Lezione 064 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 account priorities of funding agencies and beneficiaries actions undertaken or in the pipeline by other players capacities of the players involved  Sectoral and thematic focus is agreed upon and ideas for project and programmes are broadly defined

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 065 Phase One: programming (3)  The programming document specifies policy objectives of partner country donor cooperation objectives overview of past and ongoing cooperation financial envelopes for each cooperation area specific objectives and expected results, including main performance and outcome indicators programmes 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/ Lezione 066 United Nations

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 067

8 World Bank

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 069

10

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0611

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0612

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0613 European Union

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0614 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)

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0615

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0616

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0617

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0618

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0619

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0620

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0621 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.)

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0622

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0623 Programming Formulation Evaluation & audit Implementation Project development Identification The cycle of operations: identification

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0624 Phase Two: identification (1)  The identification phase is meant to select project ideas that are consistent with partner and donor development priorities consult intended beneficiaries, analyse problems they face and options to address problems assess the relevance and likely feasibility of project ideas prepare preliminary project description ( “ project fiche ” )

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0625 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, through analysis of problems, needs and interests of possible stakeholders identification of ideas for interventions sectoral, 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0626 Phase Two: identification (3)  The outcome of this phase is a preliminary project description indicating policy and programme context stakeholder analysis problem analysis, including scope of cross-cutting issues lessons learned and review of other ongoing or planned initiatives indicative objective hierarchy

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0627 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0628 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)

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0629 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0630 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/ Lezione 0631 Programming Formulation Evaluation & audit Implementation Project development Identification The cycle of operations: formulation (appraisal)

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0632 Phase Three: formulation (1)  The formulation phase is meant to confirm the relevance of project ideas assess 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0633 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0634 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0635 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0636 Duration  The duration of the formulation phase can vary greatly, depending on availability and accessibility of required information capacity of local stakeholders degree 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

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0637 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 studies provision of technical assistance and advisory inputs

Prof. Luca Brusati, Ciclo di progetto 2007/ Lezione 0638 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