OUTLINE
I. INTRODUCTION
II. CONCEPTS
III. COMPONENTS
IV. METHODOLOGY
V. CONCLUSION
I. INTRODUCTION
To accelerate and sharpen one’s own individual
reasoning and in-dept analysis employing his critical
thinking in the selection and choice of his strategies
anchored on a scholarly, universally accepted body of
knowledge to arrive at the best socially favored decision
that establish the CAUSE AND EFFECT relationships
between the problems that exist or problem analysis
and/or the objective Tree (means-end relationship) of
which the ‘negative situations’ of the problems are
converted into solutions, expressed as ‘positive
achievements.’
II . CONCEPTS
First, Focal Problems are broken down into
manageable and definable part. This enables a clearer
prioritization of factors and helps focus objectives;
Second, contradictory causes of the problems are
interconnected and clarified to find win-win solutions;
Third, Present issues-rather than apparent, future or
past issues-are identified and are dealt with collaboratively
and passionately by all actors; and
Finally, the process of analysis often helps build a
shared sense of mutual trust and understanding (MTU),
purpose and action.
Problem Analysis
A problem is description of an existing negative condition. It is a
current negative condition that falls below the standard or normative
objective. It can be a deficiency or constraint
Problem analysis identifies the negative aspects of an existing situation and
establishes the ‘cause and effect’ relationship between the problems that exist. It
involves three steps:
1. Precise definition of the framework and subject of analysis
2. Identification of the major problems faced by target groups and beneficiaries
(What is/are problem/s?)
3. Visualization of the problems in forms of a diagram, called “problem tree” or
“hierarchy of problems” to establish cause – effect relationships.
The analysis is presented in diagram form showing the effects of a
problem on top and its causes underneath. The analysis is aimed at
identifying the real bottlenecks to which the stakeholders attach priority
and seek to overcome.
This approach can be combined with others such as technical,
economic or social studies, the results of which may complement the
analyses of the group.
Example of Problem Solutions masquerading
Statements: as problem statements
(a) Harvests are eaten by plant pests. (a) Pesticides are not available
(b) Hilots use bamboo sticks to cut (b) Lack of medical equipment
umblical cord. used by hilots.
(a) High moisture content of palay (c) Lack of post harvest facility
Provincial road is use as drying
pavement (d) Lack of training
(d) Competencies of staff not (e) Lack of potable water
appropriate to
existing requirements
(e) 70% of community walks an
average of 2
kilometers just to get potable
water
Problem Analysis
A problem is a deviation between a targeted and actual situation.
There are two types of problems
Deficiencies. Refer to problem related to the people’s living
conditions which are unsatisfactory
Examples: High incidence of skin diseases, low income, life expectancy
is 29 years old.
Constraints. Problems that cause deficiencies. These are problems related
to people’s resources, to their actions and to the results of their
actions.
Examples: low production, few babies and infants were vaccinated, use of
traditional methods, poor road condition.
Guiding Principle
Problem-focused analysis
Analyze only those issues that are identified to be problematic
Narrow the focus
Problem and its causes
System’s understanding
Understand how the system, in which the problem and it’s causes, operates
Widen the new
Components of a system Inter-linkages mechanism between
III. COMPONENTS
1. Causes of the Problem
2. Focal of the Problem
3. Effects of the Problem
DIAGRAM
EFFECTS OF THE PROBLEM
FOCAL PROBLEM
CAUSES OF THE PROBLEM
IV. METHODOLOGY
Problem and Need Analysis is best carried out in a small focus
group discussion ( 6 to 8 pax):
First, the group write down the actual issue/s which becomes the
focal problem and discuss, brainstorm, agree and passionately
analyzed it;
Secondly, the group identify the CAUSES of the focal problem and
then identify the EFFECTS (consequences) or project purpose and
over-all objectives.
Thirdly, the heart of the exercise is the discussion, debate and
dialogue that is generated as factors are arranged and re-
arranged.
Fourthly, take time to allow participants to explain their feelings
and reasoning, and record related ideas and points such as
solutions, concerns and decisions.
Finally, review the problem tree, verify its validity and
completeness, and make necessary adjustments
THE PROBLEM TREE
(Main Problem and Its Causes)
INCREASED DEMAND REDUCED
ON HEALTH SERVICES PRODUCTIVITY
INCREASED MORBIDITY
AND MORTALITY
OUTBREAK OF
FOCAL PROBLEM CHOLERA
POOR SANITARY CONTAMINATED UNHYGEINIC HEALTH RACTICES/
CONDITION WATER SUPPLY FOOD PREPARATION
OPEN PIT FLOODING POOR LOW LEVEL LACK OF
LITTER MAINTENANCE OF INCOME KNOWLEDGE
Problem Analysis Tools
Effect
Problem Tree Analysis
Cause
Fishbone Analysis
Effect
Cause
Fishbone Analysis
(Main Problem and Its Causes)
Harvest
Losses
Post
Small Land
Lo
Low Productivity w
Pr
od
uc
tio
n
Low Farmers Income
y
a la
P
High Moisture of
High Transport
ice
Pr
w
Lo
Contract Harvest
Suggested Steps in
Problem Analysis
1. List all problems
2. Prioritize list based on criteria
3. Focus on the top priority problem
4. Make a cause and effect analysis of each of the priority
problem/s identified
5. Transpose the cause and effect statements into means – end
relationship
6. Prioritize the means that will have significant contribution to the
desired end.
Suggested Steps in
Problem Analysis
Step 1. List all problems.
List all problems being experienced by the community or organization.
Focus on problem-deficiency, not constrains
Identification of problem – constraints will be done later.
Suggested Steps in
Problem Analysis
Step 2. Prioritize list based on criteria.
Short list the problems based on 2 or 3 criterion.
The criteria to be used should be agreed upon (by the team doing
the prioritization). Examples: (1) number of individuals affected, (2)
existing projects or efforts undertaken.
Avoid vague or loose criteria that may mean differently to different
individuals. Examples are sustainability, urgency and replicability.
Suggested Steps in
Problem Analysis
Step 3. Focus on the top priority problems.
“Separate the trivial many to the significant few”.
Top priority problems will be the focused of further investigation, and
data gathering.
Gather baseline information about the problem.
Quick and dirty method – rapid appraisal
Fairly quick and fairly clean method – participatory rapid appraisal
Long and clean method – research work.
Suggested Steps in
Problem Analysis
Step 4. Make a cause and effect analysis of the problem.
Starter Problem. Use the selected problem as the starting point of
analysis. This is also known as the main or core problem.
Immediate Causes. These are problems (can be deficiencies and
constraints) directly causing the starter problem. Solving these
immediate causes will solve the starter problem.
Underlying Causes. These are problems (constraints) and situations
(phenomenon) causing, affecting the Immediate Causes of Problem.
Root Clusters. Problems or phenomena affecting or causing the
underlying causes.
Suggested Steps in
Problem Analysis
Step 5. Transpose the cause and effect statements into means-end
relationship
Formulate means (to solve the problems-causes) and ends (desired
results to get rid of effects) relationship.
Ends. Ends are the positive equivalent (desired condition) of the
effect statements.
Means. Means are the interventions necessary to achieve the desired
end.
Suggested Steps in
Problem Analysis
Step 6. Prioritize the means that will have significant contribution
to the desired end
Identify the means or interventions that will generate the greatest
contribution to fulfilling the desired objectives.
Prepare a Pareto Analysis.
Objective Tree
Objective tree provides a comprehensive picture of the future desired
situation. Describe the situation in the future once problems are
remedied;
Negative situations in the problem tree are converted into solutions,
expressed as positive achievements;
Illustrate the means-end relationship in a digram.
Effect End
Cause Means
Problem Tree Objectives Tree
Objective Tree
1. Convert or restate the problem or negative statements of a cause and
effect tree into objective-type positive statements.
2. Examine the means-end relationships, and ensure the validity and
completeness of the diagram.
3. Revise the objectives-statements if necessary. Add new Objectives-
statements if these appear relevant and necessary to achieve the
stated objective at the next higher level.
Analysis of Objectives
Analysis of Objectives is a methodological approach employed to:
Describe the situation in the future once problems have been remedied, with
the participation of representative parties;
Verify the hierarchy of objectives;
Illustrate the means-end relationships in a diagram.
The ‘negative situations’ of the problems diagram are converted into solutions,
expressed as ‘positive achievements’. For example, ‘agricultural production is
low’ is converted into ‘agricultural production increased’. These positive
achievements are in fact objectives, and are presented in a diagram of
objectives showing a means/ end hierarchy. This diagram provides a clear
overview of the desired future situation.
Often such a diagram shows some objectives that cannot be achieved by the
project envisage, and so have to be addressed in other projects. Some
objectives may be realistic, so other solutions need to be found, or the attempt
to solve them abandoned.
Objective Tree
(means-end relationship)
Increase
Farmers Income
Increase Derive competitive
Production Price Palay
Increase Communal Reduce Post- Moisture Content Alternative Reduced
Productivity Landholding Harvest Losses at normal level Market Transport Cost
Use of new Organize Post Harvest Credit Upgrade farm
techniques farmers facilities To market road
Use Seed Establish
fertilizer dispersal Hauling service
Irrigate
landholding
Pareto Analysis
80/20 rule;
Is a method use for prioritizing events; activities, problems and
opportunities to their relative importance
It is used to separate the “trivial many” from the “significant few”.
Not all factors affecting a particular situation come about with the
same frequency.
Ensure the best use of limited resources.
Pareto Analysis – Nice to know
Vilfredo Pareto (1848 – 1932);
80% of wealth in Italy was held by 20% of the population;
20% of customers accounted for 80% of sales;
Pareto’s observations were confirmed by Juran M. Juran (1960)
Steps in Pareto Analysis
1. Use the ideas generated by the Objective Tree (means-end) and
SWOT Analysis (opportunities). Results from problem tree and
fishbone diagram may also be used as starting point of analysis.
2. Select criteria to measure the level of importance of each factor
identified. Use a common numeraire or measure.
3. Determine the value of each factor.
4. Add the total value of all the factors, and determine the percentage
that each factor represents.
5. Draw a bar chart.
Pareto Diagram
(Prioritizing Problems)
100% P 385 M
89% 385 Expense
345
76% 20/80 - Rule
295
54%
210
28%
110
110 100 100 50 40 385
A B C D E
VI. CONCLUSION
One should analyze the capacity and intention
of stakeholders and the wider institutional context,
so that relevant and realistic choices can be made
on who does what.
A successful outcome of using participatory
methods depends on the familiarity of the facilitator
and the implementers and the amount of time that is
reserved to do the identification and planning.
Particular efforts are made to involve all members
of a community into participatory action planning.