Download - Lecture 03 - LFA - Problem Tree
LOGICAL FRAMEWORK APPROACH
Dr. İpek İmamoğlu
Dr. Barış Kaymak
Previously
• Stakeholder Analysis
– Interest, Importance and Influence
– Type of participation
Analysis
Stage
Planning
Stage
Stakeholder
Analysis
Development
of the LF
matrix
Problem
Analysis
Planning of
activities
Objective
Analysis
Planning of
Resources
Strategy
Analysis...
Fundamental Stages of LFA
Today…
• Problem Analysis / Problem Tree
• Objective Analysis / Objective Tree
Stakeholder Analysis and Problem Analysis
The two are very much related with each other
• The stakeholders need to be involved in the planning stage of a project in order to take into account their views, their look at the nature of the problems, & even their proposed solutions to the problems
This is one of the important factors affecting the success of any project
Interrelationship of Stakeholder Analysis with other LFA tools
Problem Analysis
What is the problem?
Objectives Analysis
What objectives need to be achieved to ‘solve’ the problem?
Options Analysis
Which option is most suitable to
achieve the objective?
Stakeholder Analysis
Strategy Analysis
What is a Problem?
Problem Analysis
On the basis of available information, the existing situation, in particular the major problems should be analyzed and the main cause-effect relationships between the major problems should be visualized in a problem tree.
This exercise of analyzing the existing situation is referred to as a problem analysis.
Problem Analysis
The problem as identified by the problem
analysis becomes the main focus of the
project that you propose. In other words,
the goal of your project is to mitigate the
problem you have analyzed in the problem
analysis.
Problem Analysis
• The aim of problem analysis is not only to
reveal apparent symptoms, but to identify
`root causes` of a problem and design the
project such that these are addressed
• A clear and comprehensive problem analysis,
provides the basis on which to develop a set
of relevant and focused objectives.
Problem Analysis • One main tool used in problem analysis is the ‘problem
tree’.
• An optimum way of the preparation of a problem tree is
via a workshop attended by all stakeholders which is lead
by an independent facilitator
Problem Tree
FOCAL
PROBLEM
Effects
Causes
Problem Analysis
IMPORTANT: Different stakeholders have
different perspectives of what constitutes a
“problem”, therefore stakeholders and their
interests should be considered in parallel to
problem analysis
Problem Analysis
• The problem tree should provide a simplified
but nevertheless robust version of reality. It
should not be too complicated, otherwise it
will not be used in providing direction for later
steps in the analysis
How to prepare a problem tree? • First step: Identify all relevant problems in a brainstorming
session
– “what are the problems of our municipality?” OR “what are the problems regarding solid waste in our municipality?” general OR specific
• 2nd step: Among the problems identified in 1st step, identify a `focal problem`
– the one which appear to be linked to most of the other problems
• 3rd step: Identify the direct causes of the focal problem (“what is causing this problem?” or “Why?”) and place them at the bottom of the focal problem
• 4th step: Identify direct effects of the focal problem, and place them on top of the focal problem (what does this problem lead to?)
How to prepare a problem tree?
• Based on available information
• No future potential problems
• For this purpose a problem should rather be
seen as a currently existing negative state
rather than as the absence of a solution.
How to prepare a problem tree? • 5th step: construct a tree showing these relationships
– If one “effect” is due to two “cause”s, then place them side by side
• 6th step: combine the problems using arrows to clearly
identify cause-effect relationships
• 7th step: make sure that no steps are skipped and the
logical sequence is clear (direct causes of the problem
should be identified)
• 8th step: Review the entire problem tree, verify its validity
and completeness, and make necessary adjustments (“are
there other important problems?”)
How to prepare a problem tree? During the construction of the problem tree:
• Problems that are very general in nature and which affect not only this
issue, but would apply to almost any development problem can be treated
as “overall constraints” and moved to the side of the problem tree.
– Examples: lack of government revenue, institutional corruption, low income of
residents, high population pressure, etc.
hence, the problem tree becomes more
focused & manageable
How to decide?
Can the problem be addressed by an activity based solution? YES:
keep it! NO: it’s a constraint!
How to prepare a problem tree?
Check the logic:
• Move the pieces around and suggest other relationships
• Ensure that related streams of cause & effect are close to each
other on the problem tree
• Move from the very top to the bottom by asking:
“what leads to that?” or “what causes that?”
in order to check the completeness of the cause-effect structure
Exam
ple
Pro
ble
m T
ree
Example Problem Tree • The water supply company on the town of Lembang wishes to sell
more water to potential customers. Currently, in Lembang, there is an idle capacity for production of drinking water that they are not using. At the same time, the coverage rates are very low. If the water company could expand the service coverage, they could sell the water by using the full capacity of their system. Potential new customers seem unwilling to connect to the network, however. See below an overview of water service condition in Lembang:
Indicator Lembang
Total Population 128,175
Number of Connection 1823
Service Coverage 10%
Installed capacity of system 321 s-1
Idle capacity 61 s-1
Unaccounted for water 29%
Example Problem Tree A survey was conducted to investigate why the different households were unwilling or unable to obtain household connections. One of the main reasons for not connecting to the network was simply the unaffordability of the connection fees. A substantial portion of the respondents, however, had other reasons for not connecting to the network. Statements made by respondents illustrate these reasons:
• “We feel that water is simply a public good and should be provided either by government or the water supply company for free” (Endra Saleh Atm. 2000)
• “We think that quality of water provided by the water supply company is only good for the cattle but not for drinking, cooking, washing and other human activities. What we have now is […] better than piped water” (Endra Saleh Atm. 2000)
After identifying all the existing problems, a main problem is identified for Lembang case, namely the company has an idle capacity for the production of drinking water.
Example stakeholder matrix
Example stakeholder matrix
(one-way flow)
Causes
Effects
Objective Analysis • This analysis is done to:
– Define the desired situation in the future where all the previously identified problems are solved
– Verify the hierarchy of aims
– Schematically represent the relationship between the things to be done and the outcomes
• Similar to the problem tree, the objective tree is best prepared after a workshop with all involved parties
Objective Analysis • Objective trees should be prepared after the problem tree
has been completed and parallel to a stakeholder analysis.
• In its simplest form, the objective tree uses exactly the same structure as the problem tree, but with the problem statements (negatives) turned into objective statements (positives). (be careful here!)
• However, the results of the stakeholder analysis may have helped to give better focus to priority problems and not all of the original problem statements may therefore need to be translated into objective statements.
– Unrealistic objectives should be deleted!
Objective Analysis • While the problem tree shows the cause and effect
relationship between problems, the objective tree shows
the means - end relationship between objectives (i.e. the
means by which desired ends – or objectives – will be
achieved).
– Objectives are desired conditions & situations and
should not be formulated as activities
• The objective analysis leads directly into developing the
activity’s narrative description in the logical framework
matrix.
How to prepare an objective tree? • First step: Re-word all the negative statements in the problem
tree with desired and realistically achievable situations
• 2nd step: Make sure that the cause-effect relationship is
transformed into a means-ends relationship
• 3rd step: If needed,
– revise the statements,
– add new objectives if required to reach the upcoming objective
– Delete objectives that are inappropriate or unnecessary
Objective Analysis Once the negative statements from the problem tree have
been re-worded to positive statements, you should then check: – are the statements clear?
– 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?)
– is there a need to add any other positive actions and/or statements? More detail may be required. (check problem tree)
– are the positive actions at one level sufficient to lead to the result above?
– do the risks to achieving the objectives and also having sustainable outcomes appear to be manageable?
– is the overall structure simple and clear? Simplify if possible or necessary.
Can not be manipulated easily & left out because unrealistic objectives
Out of scope of project
New objective added
Revised objective tree - example
Example stakeholder matrix
Example stakeholder matrix
(one-way flow)
WHAT IS NEXT • Tuesday (18/10): RFP – Contents of
Report/Proposal • Thursday (20/10): LFA
What should you be doing! • Read RFP thoroughly, • Start sharing tasks • Start doing research for background
information, legislative framework, stakeholders…
Sources of Information
• Project Cycle Management Training Manual (in Turkish), Dr. Merih
Kerestecioğlu, 2005
• Improving Municipal Wastewater Management in Coastal Cities Training
Manual, Version 1, February 2004, www.gpa.unep.org.tr/training
• AusGuideline Activity Design 3.3 The Logical Framework Approach,
October 2005, www.ausaid.gov.au/ausguide/pdf/ausguideline3.3.pdf