PPM

Problem Analysis
Salome misana
Problem Analysis
• Problem analysis is one tool which you can use as part of
a participatory process to clarify the key issues or
problems being addressed by your project idea. This in
turn helps to focus the problem into clear and agreed
objectives for action
• Objective oriented planning means that the point of
departure of the planning process is the problem analysis,
which leads to the objectives and finally makes it possible
to choose activities.

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A Problem
• A problem is an existing negative situation and
should be stated as negative condition, e.g.
“Crops infested with pests” rather than “lack of
pesticides”.
• Problems should also not be confined to one
statement, e.g. “Inadequate size and quality of
health care” are two problems: Size and Quality.
This level of detail is necessary, because there
may be different causes and solution for each of
the two problems
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Why do Problem Analysis?
• In the project cycle, situation assessment and
analysis are crucial steps that move us from
reflection into planning.
• Planning involves understanding the core problem
and it’s causes if the project will effectively
address the
• effects of that problem on the community
• Problem tree is one method of mapping out core
problems along with their causes and effects
The Problem Tree
• A problem tree assists in analyzing an existing situation
by identifying the major problems and their main causal
relationships
• Like a tree, the problem tree has 3 parts:
A trunk, roots, and branches..
• The trunk is the core problem, while the roots represent
the causes of the core problem and the branches
represent it’s effects
• A problem tree is more effective if undertaken with the
project beneficiaries and with the involvement of all
stakeholders who can contribute relevant technical and
local knowledge
A problem tree contd.
• A problem tree helps in identifying all the major
problems faced by the project beneficiaries and
agreeing to which one needs highest priority
• The community as beneficiaries are the ones in
charge of developing the tree, not the facilitator
 Steps in conducting the
problem tree analysis
• Identifying and listing the main problems
 Done either in a community forum; case study, or
organizational brainstorming
• Identifying Core problems
 Involves identifying a core problem through group
consensus
• Identifying cause effect
-Asking the question what leads to the main problem? What
effect does this problem have on the community?
 Steps contd.
• Checking the logic
 Ensure that all the causes of the problem are covered
before moving to the effects
 Always ask the question what leads to, or causes that?
In order to check the logic or completeness of your
cause-effect structure
• Drafting the problem tree
• This is done after identifying all the problems causes to
the problems, and the effects
PROBLEM TREE Design
Effect
Effect Effect Effect

Main
Problem

Cause Cause Cause Cause

Sub Sub Sub Sub

cause cause cause cause
Example of a Problem
High rates of High rates of
illiteracy Insecurity
unemployment

Poor Performance at secondary schools

Bureaucratic Lack of equipments

administration Low wages
Problem Analysis (III)
The problem tree helps to establish the cause/effect
relation between problems
Income of artisanal EFFECTS
fishermen in decline

Reduction of the Low selling prices for

fish resources fishermen in the
villages

Destruction of the Illegal fishing Poor quality of Limited access to

natural habitat and practices the catch market
CAUSES
mangroves

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Problem Analysis – The Process
1. Collect relevant background
information
2. Ensure lessons learned from previous
similar projects are considered
3. Identify key stakeholders and ensure
the ‘right’ people participate
4. Prepare a problem tree which provides
a simplified but robust version of reality
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 Problem Analysis
The basic questions are:
• What is the main/focal/core problem that shall be solved
with the aid of the project?
• What are the causes of this problem? (why does it exist)
• What effects does the problem have? (why is it important
to solve the problem?)
• Who is affected by the problem and who owns the
problem?

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 Constructing a problem
tree
• Step 1: Identify the problem sector or discipline

• Step 2: Agree on the main problem/focal problem

• Step 3 Identify the causes of the main problem by asking “but

why?” until we can go no further.

• Step4: Identify the effects of the main problem by asking “so

what” until we can go no further.
Constructing a problem
tree

• Step 5: Draw vertical links too show the

relationship between the causes or effects.

• Step 6: Draw horizontal lines to show the levels of

either the causes or the effects
 Problem Analysis (II)
Why? The problem tree establishes cause and effect to ensure
that root problems are identified and addressed.
Main steps are:
1. Identify one or two (initial) major problem(s) affecting the target
group(s) in terms of their livelihood and/or access to services
2. Identify related problems/constraints
3. Analyse and identify cause and effect relationships
4. Check the logic
5. Draft the problem tree diagram
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 Problem Analysis
• When establishing relationships between causes and effects,
avoid using “lack of ----” as a problem.
• It is not “lack of --- a problem but rather what the lack of --leads to
that is the problem.
• Be careful with inadequate problem specification – describe the
true nature of the problem
• The problem analysis has to be made by the relevant stakeholders
including the owners of the problem, the people who know the
situation, not by consultants or financing agencies.

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OBJECTIVE ANALYSIS

S.B. MISANA

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Objective tree

• A problem tree is similar with objective tree except

that it looks at objectives rather than problems.
• The problems are reformulated as positive
statements.
• E.g Problem----- Poor yields, Objective ----
increased yields.
What is an Objective
• Fine statement that show what is to be achieved by the
project.

• Objectives Comprehensively describe the intended

outcomes of the problem.
Characteristics of good objectives

• Focused - to the problem

• Realistic – useful and relevant.

• Measurable- standards of achievement

 Issues to consider in choosing
objectives to focus on.
• Aim at 20% objectives that will have 80% impact in
relation to the focal problem
• Cost
• Benefit to primary stakeholders
• Likelihood of achieving the objectives
 Issues to consider contd.

• Risks involved in not handling or handling it

• Whether other organizations are already
handling it
• Sustainability of the project
• Environmental impact
DEVELOPING THE OBJECTIVES
TREE
• STEPS
1. Reformulate all elements in the problem
tree into positive, desirable conditions.

2. Review the resulting means-ends

relationships to assure validity and
completeness of the objective tree.
DEVELOPING THE OBJECTIVES TREE
• STEPS
•If necessary:
1. Revise statements
2. Delete objectives which appear
unrealistic or unnecessary
3. Draw connecting lines to indicate
the means-ends relationships
4. Draw connecting lines to indicate
the means-ends relationships
 Analysis of Objectives
To convert the problems into positive achievements through
means/ends relationships
Income of ENDS
artisanal fishermen
increased

Depletion of the natural Selling price for

fish stock reduced or fishermen
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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Strategy Analysis (I)
It aims to:
 Analyse the identified (potential)
objectives in relation to a set of
‘feasibility’ criteria;
 Select an appropriate strategy
for project implementation

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Strategy Analysis (II)
SOME POSSIBLE CRITERIA
Availability of
Complementaritie financial
s with projects resources,
financed by other expertise, etc.
donors
Importance given
Contribution to the by the target
group Existing potentials
reduction of
and capacities (of
inequalities (e.g.
target group)
gender)

Relevance for the Urgency

EC/partner
Social
country agreed
acceptability
strategy
(CSP/NIP)

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 Strategy Analysis (III)
In the project
Out of the project
These excluded OVERALL
Income of the
statements should be artisanal
artisan fishers
fishers OBJECTIVE
considered in the increased
analysis of
assumptions/risks

Depletion of the Selling price for the

natural fish stock PURPOSE
fishers increased
reduced or stopped

Natural habitats of Illegal fishing Processing of the Access to the RESULTS

halieutic resources practices significantly catch improved markets improved
protected reduced

Fish stock control strategy Market orientation strategy

Decision based on policy priorities, budget, human resources,
urgency, social acceptability, etc 29
ALTERNATIVE ANALYSIS

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Purpose
• The purpose is to identify possible alternative
options, assess the feasibility of these and agree
upon one or more project strategies

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SELECTING THE MOST
VIABLE ALTERNATIVE

• The alternative should be considered in

relation to the following criteria:
1. Total cost
2. Benefits to priority groups
3. Probability of achieving objectives
4. Social risks

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5. Technical: Appropriateness, use of local resources
etc
6. Financial: Financial sustainability, foreign exchange
needs etc
7. Institutional: capacity – technical & resources
8. Environmental: Environmental effects, environmental
costs versus benefits

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