Problem Analysis

• Problem analysis is central to many forms of project

planning. It uncovers the situation and the extent to
which the problem affects the target group.
• Problem analysis visually shows the causes and
effects of existing problems in the project area, in the
form of a problem tree. It clarifies the relationships
among the identified problems.
• Defining problem is often difficult!
Is there really a problem?
Whose problem is it anyway?
Who wants to solve it? 1
What do you see?
Declining yields or Soil erosion?
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 Problem Analysis…

• In addition to PRA techniques, the most

common tool used for problem analysis is the
problem tree.
• The process of problem analysis using
problem tree is called problem tree analysis.
• A problem is assumed to be like a tree: roots =
causes of the problem, trunk = a core problem,
branches = the effects of a problem.

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 Problem Tree

Effects

Problem

Causes

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 Problem Tree...
• Problem tree is a tool used to identify the range of
problems and determine the focal (root) problem.

• The principle of the problem tree is that a cause of a

problem itself constitutes a problem at a lower level
and again has its cause or causes, which in their turn
may constitute problems.

• The problem tree is completed at the level where

problems become basic, i.e. their causes can no
longer be defined as problems themselves.
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Steps for Preparing Problem Tree

1. Identifying stakeholders to involve

2. Agreeing on the main problem
3. Identifying the causes of the main problem
4. Identifying the effects of the main problem
5. Complete the problem tree

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Step 1: Identifying stakeholders

• Bring together the major stakeholders

in a workshop for constructing a
problem tree.

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 Step 2: Agreeing on the main
problem
• The first step in the project cycle is to identify an
issue that a project could address.
• Through individual brainstorming by different
major stakeholders, list on flip chart all the
problems that come to mind of each stakeholder.
• Once problems have been identified, community
members should be given the opportunity to say
which problems they feel are a priority.
• Tools include: transect walk, interviews, FGD.

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 Step 2: Agreeing on the main
problem…
• It is important to carry out capacity assessment so
as to identify strengths that the community could
use to address the problems they identified earlier.
• Communities should be encouraged to use their
own capacities and resources to address the
problems they face. It is therefore important to
carry out a capacity assessment after needs
assessment.
• By doing this, we are facilitating the community to
address their problems rather than addressing their
problems for them.
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A large window can also be used to organize cards
for a problem causal diagram

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 Step 3: Identifying the causes

• Identify the causes of the main problem by

asking the question “but why?” until we can
go no further.

Write each cause on a separate card and

proceed to place other cards below or to the
side of the first card, depending on whether
the second card is a cause, or unrelated to the
problem on the first card. In this way, a tree is
constructed downwards.
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 Step 4: Identifying the effects
• Identify the effects of the main problem by
asking the question “so what?” until we can
go no further.

Write each effect on a separate card and

proceed to place other cards above or to the
side of the first card, depending on whether
the second card is an effect, or unrelated to
the problem on the first card. In this way, a
tree is constructed upwards.
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Step 5: Complete the problem tree

• Complete the problem tree by drawing

vertical lines indicating relationships
between the causes and effects. Horizontal
lines will show where there are joint causes
and combined effects.

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 Problem Tree …

• Developing a problem tree maintains a vertical

logic: Lower down are the causes of the
problem, and higher up are the effects. This
helps think through the logic of each causal
linkage, and when the diagram is later
translated into an “objective tree”.

• Diagrams which do not keep the vertical logic

may still be an aid to thinking, but are more
difficult to follow.
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 Example of a problem tree – Soil
erosion as the main problem
Reduction in Siltation of
crop yield reservoirs

Loss of soil Increase in

nutrients sediments
.
HIGH RATE
OF SOIL
EROSION

Use of steep Conservation

practices not Tree felling &
land by
farmers used deforestation

Lack of other No knowledge Demand for

land for of improved timber
agriculture land husbandry

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 Non-sustainable forestry & Food insecurity &

Problem tree..
poor agricultural practices reduced productivity

Effect
No long term investment Distrust of ‘outsiders’ Social disorder &
in forest/farming systems (agencies/NGO’s out-migration

Example 2: Lamu stakeholders workshop report (1989)

Vulnerability &
Main Problem and Causes
Insecurity

Land tenure,
Focal Problem ownership and
Use Rights

No political/agency ability/capacity
Marginalisation
to address land tenure issues

Lack of Poor health Lack of Poor Weak civil

extension care HIV/AIDS Education infrastructure & society &
Cause input awareness communications advocacy Unclear messages from gov’t
agencies regarding
participatory resource
management
Lack of NGO/Gov’t support to
forest dependent communities

Remote & Inadequate forest policy/

historically insecure implementation of policy

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 Problem tree...
Problem Tree Analysis for Forest Dependent
Main Problem and Effects
Communities, Lamu District

Environmental Increased conflict Lowered economic activity Lack of enabling Loss of community
degradation with authorities & potential environment sustainability

Non-sustainable forestry & Food insecurity &

poor agricultural practices reduced productivity

Effect
No long term investment Distrust of ‘outsiders’ Social disorder &
in forest/farming systems (agencies/NGO’s out-migration

Vulnerability &
Insecurity

Land tenure,
Focal Problem ownership and
Use Rights

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No political/agency ability/capacity
Marginalisation
 Advantages of a Problem Tree
• The problem can be broken down into manageable
and definable chunks. This enables a clearer
prioritisation of factors and helps focus objectives.
• There is more understanding of the problem and its
often interconnected and even contradictory
causes.
• It identifies the constituent issues and arguments,
and can help establish who and what the political
actors and processes are at each stage.
• The process of analysis often helps build a shared
sense of understanding, purpose and action.
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 In situation analysis, problem
analysis is supposed to come before
stakeholders analysis. Argue for or
against.

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 Objective Analysis
• The aim of objective analysis is to identify and
describe the situation which we would like to
prevail in future once the problems have been
solved.
• The problem tree is closely linked to the
objective tree, another key tool for project
planners.
• The problem tree can be converted into an
objective tree by rephrasing each of the
problems into positive desirable outcomes.
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 Objective Analysis…

• Removal of the effects are turned into the

overall objective of the project.
• The focal problem becomes the specific
objective or purpose.
• Solutions to the causes become the
results/outputs to achieve objectives.
• Means to achieve the objectives become
the project activities.
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 Developing the objective tree

• Once complete, the objective tree provides a

comprehensive picture of the future desired
situation, including activities necessary to
achieve it.

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Example of an objective tree – Soil
erosion was the main problem
Crop yields Siltation of
increased reservoirs
reduced

Soil nutrient Sediment

levels load reduced
maintained

. REDUCTION
IN SOIL
EROSION

Reduced use of Conservation

Sustainable
steep land by practices used forestry practices
farmers introduced

Increased
More suitable knowledge on Alternative
land for agric land husbandry sources for timber
found
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 When to Stop?
• Any problem/objective tree can become too large and
difficult to follow. Groups may need to re-focus on one
aspect of the tree.
• More general problem areas for instance “low income”
will have many more contributing factors, involve more
stakeholders and be more difficult to analyze than
specific concrete problems, e.g. “low maize yields”.
• Linkages can be followed almost indefinitely. When the
type of problem being expressed is clearly outside of the
capability of the stakeholders and client institutions to
address, following the linkages further is of little use.
• It is important to remember that problem/objective trees
are just an aid to thinking and planning.
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 Strategy Analysis
• The final stage of the analysis phase involves selection of the
strategy (ies) which will be used to achieve the desired objectives
• Strategy analysis involves deciding what objectives will be
included in the project, and what objectives will remain out, and
what the project purpose and overall objective will be

• In the hierarchy of objectives, the different clusters of objectives

of the same type are called strategies.

Ask the following questions:

• Which objectives should we address?
• Which combination of objectives are most likely to bring about
the most positive change?
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 Strategy Analysis…
.
Poverty
Reduction

Crop yields Siltation of

reservoirs
increased reduced

Soil nutrient Sediment

levels load
maintained
reduced

REDUCTION
IN SOIL
EROSION

Reduced use Conservation Sustainable

of steep land practices used forestry practices
by farmers introduced

More suitable Increased Alternative

land for agric knowledge on sources for timber
found land husbandry

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 Strategy Analysis...
Relevant and feasible strategy is selected on the
basis of criteria to be agreed upon. Possible criteria are:
• Resource availability: Funds, expertise
• Benefits to primary stakeholders
• Social acceptability
• Existing potentials and capacities of target group
• Likelihood of achieving the objectives
• Risks
• Whether other organizations are already addressing the problem
• Sustainability
• Environmental impact
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 Strategy Analysis...
• In addition to examining the logic, strategy analysis
looks at the feasibility of different interventions

• Depending on the scope and amount of work entailed,

the selected clusters or strategy may form a ‘project-
sized’ intervention, or

• A programme consisting of a number of projects.

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 €, $,
Project analysis… Tsh