Problem Analysis and

Objective Setting
By
Alphonse Kasange
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0777765877
 Session Objectives
• To understand the importance of problem analysis in project design
• To explain the approaches to problem analysis
• To understand how to use the problem analysis tool in project
planning and management
• To develop a problem tree
• To understand how to use the objective analysis tool in project
planning and management
• To develop an objective tree

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 Introduction
• Problem analysis is a process of identifying the dilemma at hand and
how possible it can be addressed.
• Related to needs and needs assessment that streamlines the process
of problem analysis.
• Needs are defined as the discrepancy between what is and what
should be.
• Needs are got from the needs assessment exercise.

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 Introduction
• Needs assessment is the process of systematically appraising the
development needs of the beneficiaries in order to design an
appropriate intervention/project to meet the identified needs.
• The needs are prioritised and this gives rise to focusing on a highly
ranked need, upon which a problem analysis can be done.

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 Problem Tree Analysis
• Is the process of identifying the problems and establishing the causes
and effects.
• It involves drawing a problem tree, from which project objectives can
be identified.
• During the exercise, stakeholders must think through all the causes
and effects i.e. PESTLE, SWOT.
• Stakeholders should get to the root cause of their priority need.

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 Approaches to Problem Analysis
Doctor-Patient method
• Here the doctor listens while the patient elaborates the problem. The
doctor asks probing questions, thereafter prescribes the solution/drug
to the problem.

Expert method
• Here, the expert states and delivers what he/she thinks is the problem
of the community. He/she quotes books and tries to convince people
that those are their needs. The problem is pointed out by the expert.

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 Approaches to Problem Analysis
Participatory Diagnosis
• This approach involves the community members and the one
assessing the problem (the facilitator).

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Importance of Problem Tree Analysis
• Helps primary stakeholders to identify the causes and effects of the
problems they face.
• Helps to Structure/analyze problems and relations between them.
• Develop a shared perception of problems.
• Develop options for the problems to concentrate on.

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Importance of Problem Tree Analysis
• Identify problems and “problem owners”
• Helps find solutions by mapping out the anatomy/makeup of the
problem.
• To determine whether there may be new problems/needs created by
the selected solution.
• Helps to identify the bottlenecks which constitute real blockings with
the improvement.
• The problem analysis defines the image of current reality of the
situation as it prevails.

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 Problem Tree Structure
• Problem tree analysis is a tool for problem analysis usually used in
workshops to identify and define a problem that a project should
address in its life span.
• It requires participatory approaches.
• Each line of the tree structure indicates a relation of cause and effect
between two problems connected by this line.
• Structured with negative statements.

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Problem Tree
Structure

Branches = Effects
Stem = Problem
Roots = Causes

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 Steps in drawing a Problem Tree
• Identify and list the stakeholders/community members.
• Identify the need (s)
• Identify the major problem
• Identify cause and effect
• Check the logic linkage
• Draft the problem tree diagram

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 Steps in drawing a Problem Tree
1) Start with a brainstorming session on all the major problems
existing within the framework of the situation analysis. With the
group, decide which is to be the starter problem. This does not
meaning discarding others but simply selecting one as a core
problem. This often formulated in general terms, e.g. deforestation,
decreasing food security, water shortage etc.
2) Draw a tree and write the starter problem on the trunk. If you want
to look at more then one problem, then you will need to draw one
tree per problem. Each tree requires considerable time.

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 Steps in drawing a Problem Tree
3) Encourage participants to brainstorm on the causes of the starter
problem.
• Ask for major problems that cause the starter problem.
• Alternatively, you may hand out blank cards and ask participants to
write down one idea per card, present the cards and use them as
the basis for the discussion on prioritising the problem.
4) To focus on the root causes of the problem, discuss the factors that
are possibly contributing to it.
• Examine each factor in relation to each of the other factors and
ask “is it caused by or a cause of the other factor” If it is caused by
the other factor, draw a line with an inward arrow between the
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 Steps in drawing a Problem Tree
• Draw the arrow only in the direction of the strongest effect. Do not
use two-way arrows.
• If there is no interrelationship do not draw a line between them at
all. When you are finished, the factors with the most outward
arrows will generally be the factors that will drive change – the
root causes.
5) Focus attention on these root causes and write onto the roots of
the “tree”
6) For each root cause, write down its causes on roots lower down.
Use the brainstormed ideas for this.
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 Steps in drawing a Problem Tree
7) Following the same procedures as in steps 2) and 3), look at what
the effects/impacts of the problem are and write down the primary
effects on the branches of the tree.
8) For each effect, write down its secondary effects on secondary
branches higher up to obtain cause-effect chains.
9) Follow this exercise with an “objectives tree” to identify what
actions are needed to tackle the causes of the problems as
expressed in the problem tree.

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Problem Tree Example

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 Checking the logic of the Tree
• Review the structure to ensure that related streams of cause and
effect are close to each other on the problem diagram.
• What leads to what?
• Do the identified causes lead to the problem?

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 Setting the Objectives
• Fine statements that show what is to be achieved by the project.
• Objectives refer to the intermediate changes desired among the focus
population.
• Comprehensively describe the intended outcomes of the intervention
• Objectives NEED to be achievable and measurable within the scope of
the project (SMART).
• Must come from the problem.

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 Critical Reflections in Objective
Setting
• Resources
• Mandate
• Sustainability
• Likelihood of achieving the objectives
• Assumption formulation

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 Structuring the Objective Tree
• The problem tree is converted into an objective tree by rephrasing
each of the problems into Positive and ideal conditions (positive
desirable statements/changes desired) as if the problem has already
been solved.
• For example:
o ‘Shortage of water supply’ becomes ‘improved water supply’ or
water supply improved.
o ‘Poor yields’ would become ‘Yields increased’

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 The Objective Tree
• These objectives then streamline a basis for project and program
definition.
• In this way, root causes and effects are turned into means and ends
respectively.
• Will one layer of objectives achieve the next?
• Add, delete or change objectives if necessary.

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 Critical Reflection on Objectives
• After rewording the negative statements, you should then check the
following;
Are the statements clear and unambiguous?
Are the links between each statement logical and reasonable?
Will the achievement of one help support the attainment of
another that is above it in the hierarchy?
Are the positive actions at one level sufficient to lead to the result
above?
Do the risks to achieving the objectives appear to be manageable?

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 Focusing the Project
• Addressing all of the causes/objectives identified, may result in a very
expensive and lengthy project.
• It is, therefore, necessary to focus on one or a few areas of the
objective tree.
• Ask the following questions:
o Which objectives should be addressed?
o Which combination of objectives are most likely to bring about the
most positive change?

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Focusing the Project

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 Major issues to consider in focusing
the Project
• Total Cost implications
• Benefits to primary stakeholders
• Likelihood of achieving the objective
• Risks
• Whether other organizations are already addressing the problem
• Sustainability of the benefits

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 Major issues to consider…
• Environmental impact of the project.
• Contribution to institutional strengthening and management capacity
building.
• Compatibility of activity with sector or program priorities.
• The 20% objectives to produce 80% of the impact.

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 Purpose of Objective Tree Analysis
• To identify possible alternative options.
• Assess their (alternative options) feasibility and agree upon one
strategy for action.
• Recognize the fact that there is always more than one way to solve a
development problem.

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 Revision Exercise
• For the last five years, Swazi Development Initiatives (SDI) has been
implementing a water and sanitation project that is in its final stages
of implementation. SDI’s vision is “A world free of Diseases” SDI has,
however, secured funds for a project to improve on the income levels
of the community members.
• Task: As a consultant in PPM, come up with a problem analysis and an
objective analysis for the project.

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 End

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