MODULE 3: PROBLEM ANALYSIS AND STAKEHOLDER ENGAGEMENT

Lesson Objectives

By the end of this lesson, learners should be able to:

Explain what a root problem is and why it is important in RBPM.
Conduct a simple Problem Tree Analysis.
Identify causes, effects, and the core problem of a project.
Use Problem Tree Analysis to guide project planning and stakeholder engagement.

Introduction

Every successful project begins by clearly understanding the real problem it aims to solve. Without this, projects may waste resources, deliver irrelevant activities, or fail to create impact.

One of the most practical and widely used tools for identifying root problems is the Problem Tree Analysis (PTA). This tool helps project teams visually map out the core problem, its causes, and its effects, making planning easier and more strategic.

In this lesson, we will explore how to use Problem Tree Analysis to find the real issues, rather than just the symptoms.

1. What Is a Root Problem?

A root problem is the underlying issue that causes other problems. It is often hidden beneath obvious symptoms.

Example:

Symptom: Children in a community are malnourished.
Root Problem: Families have limited access to nutritious food due to low income and poor farming practices.

Focusing on root problems ensures that your project addresses what really matters, not just what is visible on the surface.

2. What Is Problem Tree Analysis?

Problem Tree Analysis is a visual tool that shows:

The Core Problem – the main issue you want to solve.
Causes of the Problem – why the problem exists.
Effects of the Problem – what happens because of the problem.

The “tree” metaphor is simple:

Roots = causes
Trunk = core problem
Branches = effects

By building a problem tree, project managers can see the connections clearly and plan interventions that tackle the real issues.

3. Steps to Conduct a Problem Tree Analysis

Step 1: Identify the Core Problem

Ask:

“What is the main problem we want to address?”

Example:

Core Problem: Poor agricultural productivity in a community.

Step 2: Identify the Causes (Roots)

Ask:

“Why does this problem exist?”

Example causes:

Lack of access to quality seeds
Poor irrigation systems
Limited knowledge of modern farming practices
Low household income

These causes become the roots of the tree.

Step 3: Identify the Effects (Branches)

Ask:

“What happens because of this problem?”

Example effects:

Food insecurity
Low income for families
School absenteeism among children
Malnutrition

These effects become the branches of the tree.

Step 4: Draw the Problem Tree

Draw the trunk (core problem) in the center.
Draw roots below the trunk (causes).
Draw branches above the trunk (effects).

This visual representation helps stakeholders understand the problem quickly.

4. Practical Tips for Problem Tree Analysis

Involve Stakeholders:
Include community members, beneficiaries, and experts to ensure all causes and effects are captured.
Focus on Real Causes:
Ask “Why?” multiple times to move beyond symptoms.
Keep It Simple:
Limit the tree to key causes and effects to avoid overcomplication.
Use the Tree for Planning:
Each root (cause) can be turned into a project objective or intervention in your Results Chain.

5. Example in Malawi Context

Core Problem: Poor maize productivity in rural village

Causes (Roots):
- Low-quality seeds
- Insufficient rainfall / poor irrigation
- Lack of modern farming knowledge
- Limited access to fertilizers
Effects (Branches):
- Household food insecurity
- Low income from crop sales
- Children missing school
- Community poverty

From this tree, the project can design interventions like farmer training, seed distribution, irrigation support, and fertilizer provision — all directly addressing the root problem.

Conclusion

Problem Tree Analysis

Effects (Branches)
Food Insecurity	School Dropout	Poor Nutrition

Main Problem (Trunk)
Low Household Income Among Smallholder Farmers

Causes (Roots)
Low Crop Yields	Poor Market Access	Climate Shocks

Problem Tree Analysis is a practical and powerful tool for identifying root problems, causes, and effects. It ensures that projects target real issues, not just visible symptoms. Using this tool with stakeholders improves project relevance, planning, and long-term impact. In the next lesson, we will explore how to engage stakeholders effectively to validate the problem tree and strengthen project ownership.

Lesson Objectives

By the end of this lesson, learners should be able to:

Explain what an Objective Tree is and its purpose.
Transform a Problem Tree into an Objective Tree.
Identify objectives at different levels: outputs, outcomes, and impact.
Use the Objective Tree to guide project planning and results-based management.

Introduction

After identifying root problems using a Problem Tree, the next step in Result-Based Project Management (RBPM) is to transform problems into objectives. This is done through an Objective Tree.

An Objective Tree shows the positive results a project aims to achieve. While a Problem Tree focuses on negative conditions (what is wrong), an Objective Tree focuses on solutions and desired change.

Developing an Objective Tree helps project teams clarify goals, plan activities, and link them to measurable results. It is essential for designing interventions that produce real impact.

1. What Is an Objective Tree?

An Objective Tree is a visual representation of objectives arranged hierarchically:

Roots → Inputs and Activities (resources and actions)
Trunk → Core Objective (main outcome the project aims to achieve)
Branches → Effects / Impact (long-term results and benefits)

It is essentially the “mirror image” of the Problem Tree: problems are converted into solutions, causes become means, and effects become objectives.

2. Why Use an Objective Tree?

Practical Benefits

Clarity: Shows the logical flow from activities to results.
Focus: Helps avoid irrelevant activities that do not support objectives.
Planning: Serves as the basis for developing Results Chains, LogFrames, and RBPM indicators.
Communication: Easily explains project goals to donors, stakeholders, and communities.
Alignment: Ensures project interventions address real needs identified in the Problem Tree.

3. Steps to Develop an Objective Tree

Step 1: Start with the Core Problem

Identify the main problem from the Problem Tree.

Example:

Core Problem: Poor maize productivity in rural villages

Step 2: Convert the Core Problem into a Core Objective

Ask:

“What is the positive opposite of this problem?”

Example:

Core Objective: Improved maize productivity in rural villages

Step 3: Convert Root Causes into Means / Activities

Take each root cause and ask:

“What action or resource can solve this cause?”

Example causes → objectives:

Low-quality seeds → Provide high-quality seeds
Poor irrigation → Introduce irrigation systems
Lack of knowledge → Conduct farmer training

Step 4: Convert Effects into Positive Impacts

Transform the negative effects of the problem into desired results.

Example effects → objectives:

Household food insecurity → Ensure household food security
Low income → Increase household income
Children missing school → Improve school attendance

Step 5: Draw the Objective Tree

Place the core objective as the trunk.
Place means/objectives (converted root causes) as roots below.
Place impact/objectives (converted effects) as branches above.

4. Practical Tips

Keep It Simple: Focus on main objectives to avoid clutter.
Use Positive Language: Frame objectives as desired changes, not absence of problems.
Involve Stakeholders: Validate objectives with the community or beneficiaries to ensure relevance.
Check Logic: Each “root objective” should clearly lead to the core objective, and each branch should reflect the long-term impact.

5. Example in Malawi Context

Problem Tree Core Problem: Poor maize productivity

Objective Tree Core Objective: Improved maize productivity

Root Objectives / Means (below trunk):

Provide high-quality seeds
Introduce irrigation systems
Train farmers on modern techniques

Impact Objectives / Branches (above trunk):

Household food security improved
Household income increased
Children attend school regularly

This tree becomes the foundation for the Results Chain, linking activities to measurable outcomes and impact.

Conclusion

Objective Tree Analysis

Long-Term Benefits (Impact)
Improved Food Security	Increased School Retention	Better Nutrition

Core Objective
Increased Household Income Among Smallholder Farmers

Means (Solutions / Strategies)
Improved Crop Yields	Improved Market Access	Improved Climate Resilience

Developing an Objective Tree transforms problems into clear, positive objectives. It ensures that every project activity contributes to meaningful results and long-term impact. By linking root causes to actions and effects to desired outcomes, the Objective Tree becomes a powerful planning and monitoring tool in Result-Based Project Management.

Lesson Objectives

By the end of this lesson, learners should be able to:

Define who stakeholders are in a project.
Conduct stakeholder mapping to identify their influence and interest.
Develop strategies to engage stakeholders effectively.
Understand why stakeholder engagement is critical for project success.

Introduction

No project can succeed in isolation. Stakeholders—people, groups, or organizations affected by or affecting the project—play a critical role in planning, implementation, and sustainability.

Stakeholder engagement ensures that projects:

Address real community needs
Gain support and cooperation
Avoid conflicts and resistance
Maximize impact and sustainability

This lesson introduces stakeholder mapping and engagement, which helps project managers identify key actors and plan how to involve them effectively.

1. Who Are Stakeholders?

Stakeholders are individuals, groups, or institutions that:

Are affected by the project (positively or negatively)
Can influence the project’s success or failure
Provide resources, knowledge, or support

Examples of stakeholders:

Community members and beneficiaries
Local government authorities
NGOs and donor agencies
Religious or traditional leaders
Private sector partners

In Malawi, for example, a community irrigation project may involve: farmers (beneficiaries), district agricultural office (government support), NGOs providing technical assistance, and suppliers of irrigation equipment.

2. What Is Stakeholder Mapping?

Stakeholder mapping is the process of identifying, analyzing, and prioritizing stakeholders based on:

Influence / Power: Ability to affect project decisions or outcomes.
Interest: Level of concern or benefit from the project.

A simple stakeholder map divides stakeholders into four groups:

Influence / Power	High	Low
Interest
High	Key Players – Engage closely	Keep Informed
Low	Keep Satisfied	Monitor with minimal effort

3. Steps for Stakeholder Mapping

Step 1: Identify Stakeholders

List all people, groups, or organizations involved or affected.

Step 2: Analyze Influence and Interest

High influence + high interest = Key players (engage actively)
High influence + low interest = Keep satisfied (update occasionally)
Low influence + high interest = Keep informed (share progress)
Low influence + low interest = Monitor (minimal effort)

Step 3: Prioritize Stakeholders

Focus on key players first, because they can help or block the project.

Step 4: Plan Engagement Strategies

Inform: Share information, newsletters, or meetings
Consult: Seek opinions, surveys, community meetings
Involve: Include stakeholders in decisions and implementation
Collaborate: Partner with stakeholders for shared objectives
Empower: Give stakeholders full responsibility for certain project activities

4. Practical Tips for Stakeholder Engagement

Start Early: Engage stakeholders from project design to ensure ownership.
Be Transparent: Share project objectives, plans, and challenges.
Listen Actively: Understand their needs, concerns, and suggestions.
Use Multiple Channels: Meetings, WhatsApp groups, radio, community gatherings.
Monitor and Adjust: Update engagement plans as stakeholders’ influence and interest change.

5. Example in Malawi Context

A rural maize productivity project:

Key Players: District agricultural officer, community chiefs, local lead farmers
Keep Satisfied: Seed suppliers, NGOs funding training
Keep Informed: Women’s groups, youth groups
Monitor: National government departments not directly involved

Engagement Actions:

Weekly meetings with chiefs and lead farmers
Training workshops for farmers
SMS updates to women’s and youth groups
Progress reports to NGOs

This ensures everyone is involved appropriately and the project has support at all levels.

Conclusion

Stakeholder mapping and engagement are essential for any RBPM project. By identifying key actors, analyzing their influence and interest, and planning engagement strategies, project managers can maximize support, minimize risks, and ensure sustainability. A well-engaged stakeholder group also strengthens accountability and improves the quality and impact of project results.

Lesson Objectives

By the end of this lesson, learners should be able to:

Understand what project risks are and why they matter.
Identify risks coming from stakeholders.
Analyze how stakeholder behavior can affect project outcomes.
Develop strategies to manage risks linked to stakeholders.

Introduction

In any project, risks are events or conditions that can threaten project success. Risks can come from many sources—technical, financial, environmental, or social—but a major source is stakeholders themselves.

Stakeholders can influence, support, or hinder a project depending on their interest, power, and perception of the project. Identifying these risks early allows project managers to plan effectively and reduce negative impacts.

In this lesson, we focus on risk identification from stakeholders and practical ways to manage them.

1. What Are Stakeholder-Related Risks?

Stakeholder-related risks occur when the behavior, decisions, or interests of stakeholders may affect project success.

Examples:

Community leaders oppose a project due to misinformation.
Key government officials delay approvals.
Beneficiaries resist adopting new practices.
NGOs or partners disagree on project methods.
Suppliers fail to deliver on time.

Stakeholder risks are often social, political, or operational and can be hidden until the project is underway.

2. How Stakeholders Influence Risks

Stakeholders can positively or negatively affect projects:

High influence + high interest: Can block or support the project significantly.
High influence + low interest: May ignore the project but still have power to create delays.
Low influence + high interest: May spread misinformation or complaints.
Low influence + low interest: Minimal impact but should still be monitored.

Understanding stakeholder influence and interest helps prioritize which risks to address first.

3. Steps for Risk Identification from Stakeholders

Step 1: List All Stakeholders

Use your stakeholder map from the previous lesson. Include community members, local authorities, NGOs, suppliers, and partners.

Step 2: Identify Possible Risk Scenarios

Ask questions like:

“What could this stakeholder do that would harm the project?”
“What could prevent them from supporting us?”
“How could their inaction or disagreement affect results?”

Step 3: Analyze the Likelihood and Impact

Evaluate:

Likelihood: How likely is the risk to happen? (Low, Medium, High)
Impact: How much damage could it cause? (Minor, Moderate, Major)

Prioritize risks that are high likelihood + high impact.

Step 4: Document Risks

Create a simple risk register with:

Stakeholder	Risk	Likelihood	Impact	Mitigation Strategy

4. Examples of Stakeholder-Related Risks

Example 1 – Community Project:

Stakeholder: Local chief
Risk: Opposes project because he was not consulted
Likelihood: High
Impact: Major (can block community participation)
Mitigation: Hold early consultation meetings and involve him in planning

Example 2 – Supplier Risk:

Stakeholder: Seed supplier
Risk: Delays seed delivery
Likelihood: Medium
Impact: High (can delay planting)
Mitigation: Sign agreements, have backup suppliers

Example 3 – Beneficiaries Risk:

Stakeholder: Farmers
Risk: Refuse to adopt new farming techniques
Likelihood: Medium
Impact: Moderate
Mitigation: Conduct demonstration plots and follow-up support

5. Practical Tips for Managing Stakeholder Risks

Engage early: Early engagement reduces misunderstandings.
Communicate clearly: Provide regular updates and progress information.
Monitor stakeholders: Track changes in influence, interest, or attitude.
Prepare mitigation strategies: Have contingency plans for key risks.
Document and review: Update your risk register regularly.

Conclusion

Stakeholders can be a source of both support and risk for any project. By identifying risks related to stakeholders early, analyzing their likelihood and impact, and planning mitigation strategies, project managers increase the chances of project success. Stakeholder-related risk management ensures smoother implementation, better relationships, and higher sustainability of results.