1.

THE PROBLEM TREE: CAUSES - EFFECTS

What is the problem tree?

It is a participatory technique that helps to develop creative ideas for

identify the problem and organize the collected information, generating a
model of causal relationships that explain it.
This technique facilitates the identification and organization of the causes and
consequences of a problem. Therefore it is complementary, and does not replace, the
basic information. The trunk of the tree is the central problem, the roots are the
causes and the cup of effects. The logic is that each problem is a consequence of
those that appear beneath it and, in turn, causes those that are above.
reflecting the interrelationship between causes and effects.

How to build the problem tree?

A cause-effect scheme should be configured following the next
steps:
1. Identification of the Central Problem. Among the problems considered
important in a community:
• Select a CENTRAL PROBLEM taking into account the following:
⇒ It is defined as a lack or deficit
⇒ It presents itself as a negative state.
⇒ It is a real situation, not theoretical.
⇒ It is located in a well-defined target population.
⇒ It should not be confused with the lack of a specific service.

2. Exploration and verification of the effects/consequences of the Problem

Central (the cup of the tree)

The effects are a sequence that goes from the most immediate or direct.
related to the Central Problem, up to more general levels.
 The sequence stops at the moment effects have been identified.
sufficiently important to justify the intervention that the program or
project impose. Each block must contain only one effect.

3. Identification of relationships between the different effects it produces

Central Problem

If the detected effects are significant, the Central Problem requires a

SOLUTION, which demands the identification of its CAUSES.
 4. Identification of the causes and their interrelations (the roots)

The sequence of causes should begin with those most directly related.
with the Central Problem, which is located immediately below it.
preference should identify a few major causes, which are then addressed
disaggregating and interrelating.
A good technique is to ask oneself why what is pointed out is happening.
each block?
The answer should be found at the immediately lower level.

All causes must be identified, even if some of them are not.

modifiable, stopping at the level where it is possible to modify them. It is necessary to
remember that the goal is to develop a causal model for formulation
of a project and not an exhaustive theoretical framework.
Each block must contain only one cause.

5. Diagram the Problem Tree, verifying the causal structure

 In summary, the Problem Tree must be developed by following the steps that, to
continuation, the following are listed:

1. Formulate the Central Problem

2. Identify the EFFECTS (verify the importance of the problem)
3. Analyze the interrelationships of the effects
4. Identify the CAUSES of the problem and their interrelations
5. Diagram the Problem Tree and verify the causal structure

⇒ It is important to remember that the components of the Problem Tree must

introduce yourself in the following way:

Only one problem per block

• Existing (real) problems
As a negative situation
They must be clear and understandable.

⇒ The project should focus on the roots (causes). The idea is that if we...
find a solution for these, the negative effects they produce are resolved.

Below is a schematic example of the problem tree.

 2. THE TREE OF OBJECTIVES: MEANS - ENDS

The Objectives Tree is the positive version of the Problems Tree. It allows
determine the areas of intervention proposed by the project. To develop it, we
part of the Problem Tree and the diagnosis. It is necessary to review each problem
(negative) and turn it into a realistic and desirable (positive) objective. Thus, the
causes become means and effects become ends.
 The steps to follow are:
1. Translate the Central Problem of the Problem Tree into the Central Objective
of the project. (A positive state that is desired to be accessed). The conversion of
The problem in the objective must take its viability into account. It is posed in terms of
qualitative to generate an equivalent structure (qualitative). This does not imply
disregard that the degree of modification of reality is, by definition,
quantitative.

2. Change all negative conditions (causes and effects) of the Tree of

Problems in positive states (means and ends). This activity involves analyzing
each of the blocks and ask oneself: What means are possible
reach this end? The answer must be the opposite of the identified causes.

The obtained result must present the same structure as the Tree of
Problems. Change the content of the blocks but not their quantity or shape.
that are related. If doubts about the relationships arise during this process
existing ones, first the Problem Tree must be reviewed before proceeding
with the Objectives.
 3. Identify the parameters, which are those causes of the problem that are not
modifiable by the project, either because they are natural conditions (climate,
intelligence coefficient,) or because they are outside the scope of action of
project (legislative power, another administrative dependency).

These parameters are indicated in the Objectives Tree without modifying the text of the
of Problems. By locating a parameter, it is possible to extract from both trees all
its causes, since even if some are modifiable, nothing will be produced
effect on the central problem.

4. Convert the effects of the Problem Tree into goals. Just like in the
causes, for each effect only one end should be considered.

5. Examine the structure following the means-end logic and carry out the
modifications that are necessary in both trees.

In summary, the Means-Ends Tree reflects an opposite situation.

of all the Problems, which allows to guide the areas of intervention that must
to propose the project, which must constitute the real and feasible solutions of the
problems that gave rise to it.

Below is a schematic example of the Objectives Tree.

 3. THE AREAS OF INTERVENTION

To identify the courses of action, the Objectives Tree is reviewed and

relevant are the means through which it is possible to intervene to achieve one or more
Project Impact Objectives (the Central Objective and, in some cases,
those that are located around this, either as a means or an end.

For this it is necessary:

1. Classify the media according to their viability and complementarity,

excluding the parameters.

2. Choose the courses of action that warrant a deeper evaluation,

using criteria such as:

Available resources
Institutional capacity
Comparative advantages

[Link] the possible areas of intervention

With this work, only the areas of intervention have been identified.
converting them into 'alternatives' must be developed in detail
(considering an area independently or complementing two or more).
This requires specifying the investments (if any), the human resources,
supplies and the activities necessary to achieve product goals
proposed, study their costs and estimate the impacts.

In some cases, the media can be directly associated with products.

For example, the medium "available vaccines" translates to the product vaccines). In
others, the medium does not lead to a single product ("trained health personnel" is
can be translated into different forms of training, ranging from the delivery of
information via media, up to a formal course).

Below is an example of this stage of the process.

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Unable to translate a URL.

Problem tree
On countless occasions, the first stage of planning seems obvious and easy to
to carry out. But to properly define a goal, it is necessary to have identified
correctly the problem we want to solve.
The problem tree is a tool that allows you to obtain information with a
simplified, concrete, and organized view of each cause (each root of the tree), its
impact (each branch of the tree) and weighting in the problem (visualize which root or
branch is the most important, the one with the most ramifications and whose effects are
determinants). It is a technique that can be performed individually or in groups.
Popular culture says that 'a bad weed should be uprooted from the root in order to
"eliminate it." Similarly, a problem can also be tackled from its
roots, for which it is necessary to know them in detail. For this reason, a tree of
problems are drawn or built from the bottom up. The tree remains, then,
represented in the following way:

In the drawing, it can be observed that the effects are the branches, the central problem is the
the trunk and the causes are the roots.
Therefore, when we design a tree of this type, we think about the activities that
they could eliminate the causes of the problem; in this way, the effects are being removed
automatically at the level of the graphic representation. In other words, if a root is cut from the
The problem is solved, implying that the effect produced by that root will no longer occur.
Let's see an example to work with the different tools: if the problem
there were complaints from students about delays at the registration desk to enroll,
analyzing this procedure with the tools of Unit No. 2, we found
that has timing issues. Delays are increasing every time it enters a
process until it is fully completed, and also the operational costs. Starting from
Problem, we must identify its causes or roots of the problem. So we
we asked why delays may exist.
Then, we can say that:
 The problem tree separates the causes and effects of a central problem.
The relationship between cause and effect is shown graphically: causes below;
above effects.
Usually, only two levels of causes and effects are worked on, to avoid
to get scattered in dealing with too many causes at the same time.
The two levels of effects culminate in a final effect.
Below is a series of questions to ask ourselves at the moment of
design a tree for a supposed problem of delays in the registration at the table
entries.

What is the main problem? Delays in table registration.

entries. (Write it on the trunk of a tree)
Why is a change necessary? For example: due to repeated complaints from the
students. (It's an effect, it can be the main branch of the tree)
What are the causes of this problem? They can be several: lack of staff,
the procedure is very bureaucratic, the forms are inadequate for it
new computer system, the system is very slow, the staff is not well
trained, among others. This is written in the roots of the tree. In this
opportunity can be used to mark the levels of importance of each root,
Graphically, they are drawn thicker, or numbers are placed in the text.
indicating the order of importance of each one.
Why does the problem exist? Because the procedure is applied over a period.
where a significant number of students enroll and large
bottlenecks. They can be written as derivations of the roots
identified.
What effects does the problem have? The delay in registrations and in the
preparation of lists for each subject, bad mood among students, others.
 Different branches are being graphed and an effect is placed on each one as well.
It is suggested to classify them in order of importance. And discover what the effect is.
Finally, the one that leads us to review the procedure, the most important effect.
Why is it important to resolve it? Because it is one of the most...
important sources of income and it is the main administrative procedure of
student support. Additionally, all university management depends on these
data.
Who is affected? Everyone, students, academic units, others.
Who is/are responsible for the problem? The person in charge at the table.
as an appetizer, for example.

In summary, it can be said that the advantages of this method are related to the fact that
it allows observing real problems, distinguishing the problem from the effects, separating the
problem of its causes and effects. In addition, a greater understanding is achieved
of the problem, the causes and the effects that it may present; the problem can be
breaking down into more manageable and definable situations and, ultimately, represents a
simplified vision that will allow obtaining more concrete and organized information from each
cause, its impact and weighting in the problem.

Goal tree and Brainstorming

Objective Tree
Once the problem and its main causes have been identified, the tree can be defined
objectives. This is a complementary technique to the previous one, which can be carried out in
individual or group form.
The objectives tree brings together the means and alternatives to solve the problem.
Principal. Thanks to this, a positive view of negative situations is achieved.
They appeared in the previous tree, although I used the same structure. Thus, the aim is to go
solving the problem step by step.
In the following chart, you will be able to observe and compare the two types of trees. The one of
problems go from the roots (where the causes are) to the effects. The one of
objectives, from the end (that is, the goal of development) towards the actions, in
reverse direction.
If you look closely, you will see that, despite both trees having the same shape,
In the objectives section, possible actions or solutions are proposed. Although both
tools are complementary, one seeks the problem and its causes, and the other
tries to solve the problem with actions. If you compare each box, you will see that it reflects
the positive outlook on the effects and causes presented in the problem tree.

High on the road. Seventh stop

To graph and analyze
This stop on the road will allow you to see how problem trees can be designed.
in very diverse ways, with different analytical criteria, with causes and effects
related to the training and experience of the person performing it.
1. Search the internet for at least 3 different models of problem tree.
search for problem trees related to your work or any issue
known. Compare them, taking into account the theme, the design, the causes, and effects.
presented and write a brief conclusion.
2. Now, identify an academic or institutional problem in your work environment.
Develop the causes (and sub-causes if there are any)
final.
4. Highlight the most important or significant causes by listing them.
assigning number 1 to the most important.
5. Create the problem tree and the objectives tree. To do this, you can use the
Google Drive's 'Drawings' tool.
6. Share this analysis experience with your colleagues.

Brainstorming
It is generally a group technique, although it can also be worked on individually.
individual. The purpose of the brainstorming session is to identify a problem and find,
through a participatory intervention, the best group decision to outline a
action plan that solves it. It presents the following characteristics:
It is used to identify problems collectively.
Allows you to leverage the intellectual capital of a team.
It allows generating a list of ideas about problems or areas of opportunity.
Allows obtaining a diagnosis based on experience and creativity
those involved in the process.
It gives a sense of belonging and participation to the group.
It is a good motivational dynamic.
It challenges group creativity and adds experiences and perspectives.

How is it used?
A problem or procedure to improve is detected.
The meeting is called at a suitable time.
Directly relevant stakeholders are invited to participate.
The objective of the brainstorming session is presented and the purpose of it is explained.
the meeting.
The aim is to generate as many ideas as possible.
Each member mentions only one idea at a time.
All ideas are listed.
Members can build their ideas on the ideas of others.
Ideas are not discussed at this stage. They are only recorded for later.
debate them in the analysis.
Ideas are recorded in a place where everyone can see them.
Every idea is clarified so that it can be well interpreted.
The session concludes with the evaluation and joint synthesis of the key ideas.
Continuing with the previously mentioned example of delays in table registrations
from inputs, the brainstorming can be built with the contribution of the
sector officials.

High on the road. Eighth stop

To compare
Please enter the following links and observe some examples of brainstorming:
Example 1
Example 2
Then, in the forum discuss with your peers using the following axes
interrogantes: A su criterio, ¿cuál es más aplicable? ¿Cuál dará mejores resultados?
Are they exclusive? Share your opinion in the dedicated forum.