Problem and Situation Analysis Public Sector Improvement Facility Project Resources.

Problem and Problem and Situation AnalysisSituation Analysis

Public Sector Improvement FacilityPublic Sector Improvement Facility

Project ResourcesProject Resources

PSIF Project Resources Problem and Situation Analysis 2

Why conduct a Why conduct a problem/situation analysis?problem/situation analysis?Define clearly:Define clearly:Who it is for:Who it is for:

• Project management staff and partners?Project management staff and partners?• People who will be affected by the initiative?People who will be affected by the initiative?• Donors?Donors?

How the results will be used:How the results will be used:• As a basis for project planning?As a basis for project planning?• By project managers, staff, partners and By project managers, staff, partners and

stakeholders affected by the initiative?stakeholders affected by the initiative?• As a funding proposal?As a funding proposal?• As a baseline analysis for impact evaluation?As a baseline analysis for impact evaluation?


Purpose of the Problem Purpose of the Problem AnalysisAnalysis

• Understand how different problems affect Understand how different problems affect different stakeholders and their priorities in different stakeholders and their priorities in addressing themaddressing them

• Analyse the situation in which the agency will Analyse the situation in which the agency will be workingbe working

• Identify a suitable area or sector to work inIdentify a suitable area or sector to work in• Understand the complexities of a problem, its Understand the complexities of a problem, its

causes and how it is already being handledcauses and how it is already being handled• Analyse the constraints and opportunities for Analyse the constraints and opportunities for

development workdevelopment work


Formulate the ProblemFormulate the Problem

• Brainstorm suggestions to identify a Brainstorm suggestions to identify a focal problem i.e. the central point of focal problem i.e. the central point of the overall problemthe overall problem

• Record suggestions and present to Record suggestions and present to group e.g. on butchers paper or post-group e.g. on butchers paper or post-it notesit notes

• Discuss each suggestion and agree on Discuss each suggestion and agree on a single focal problem to be a single focal problem to be addressedaddressed


Identify Cause & Effect: The Identify Cause & Effect: The Problem TreeProblem Tree

Focal Problem

Effects of the Focal Problem

Causes of the Focal Problem

Direct Effects

Higher-level Effects

Immediate and Direct

Causes

Root Causes


Develop the Problem TreeDevelop the Problem Tree

1.1. Identify immediate and direct Identify immediate and direct causescauses of the focal problem of the focal problem

2.2. Identify immediate and direct Identify immediate and direct effectseffects of the focal problem of the focal problem

3.3. Construct a problem tree showing Construct a problem tree showing the cause and effect relationships for the cause and effect relationships for the problemthe problem

4.4. Review the problem tree and verify Review the problem tree and verify that it is complete and valid.that it is complete and valid.


Case Study Part 1: Samoa Case Study Part 1: Samoa ImmigrationImmigration

Problem Tree AnalysisProblem Tree Analysis

Difficulty in processing travel documentation

Poor communication of requirements

Manual record systems

Poor priority setting

Poor supervision practices

Poor customer service

Staff shortages

Direct Effects


Immediate and Direct

Causes

Root Causes

Focal Problem

Lack of respect for GoS travel documents

Preferential treatment of clients

Slow operating procedures

Delayed or inaccurate GoS travel documents

Inappropriate role of immigration staff (e.g. policing exit permits)

Transit of illegal immigrants/emigrants

Backlog of applications for

permits


Develop the Objective TreeDevelop the Objective Tree

1.1. Reformulate the elements in the Reformulate the elements in the problem tree into positive desirable problem tree into positive desirable conditionsconditions

2.2. Review the resulting means-ends Review the resulting means-ends relationships to assure the validity and relationships to assure the validity and completeness of the Objective Treecompleteness of the Objective Tree

3.3. If necessary:If necessary:• Revise statementsRevise statements• Delete unrealistic or unnecessary objectivesDelete unrealistic or unnecessary objectives• Add new objectives if requiredAdd new objectives if required


Introduce efficient processing of travel

documentation

Timely & accurate GoS travel documents

Introduce clear communication of

requirements

Introduce electronic processing of applications

Improved operating procedures

Appropriate use of Immigration staff

Improved respect for GoS travel

documents

Reduced transit of illegal immigrants/

emigrants

Establish clear principles for priority setting

Introduce clear guidelines for

treatment of clients

Reduced backlog of applications for

permits

Improved supervision practices

Improved customer service

practices

Review organisation

structure & staffing

Direct Effects


Focal Objective


Objective Tree AnalysisObjective Tree Analysis


Identify Cause & Effect:Identify Cause & Effect:The Fishbone (Ishikawa) The Fishbone (Ishikawa)

DiagramDiagram

Focal Problem

Manpower Machine

Methods Materials


Constructing the Fishbone Constructing the Fishbone DiagramDiagram

• Prepare the basic fishbone frameworkPrepare the basic fishbone framework• List the problem or issue to be addressedList the problem or issue to be addressed• Label each “leg” of the diagram:Label each “leg” of the diagram:

– Manpower, Machines, Methods, MaterialsManpower, Machines, Methods, Materials

• Alternative labels may include:Alternative labels may include:– Place, Procedure, People, Policies; orPlace, Procedure, People, Policies; or– Surroundings, Suppliers, Systems, SkillsSurroundings, Suppliers, Systems, Skills

• Brainstorm the factors affecting the problem in Brainstorm the factors affecting the problem in each legeach leg

• Keep asking “Why is this happening” until Keep asking “Why is this happening” until participants agree there is sufficient detailparticipants agree there is sufficient detail

• Analyse the results to find the most likely causesAnalyse the results to find the most likely causes



Fishbone DiagramFishbone Diagram

Difficulty in processing travel

documentation

Manpower Machines

Methods Materials

Slow operatingprocedures

Poor communication of requirements

Manual record systems

Staff shortages

Poor customer service

Poorsupervision

Poor prioritysetting

Preferential treatment of

clients

Inadequatework stations

Poordocumentation


Alternative AnalysisAlternative Analysis

1.1. Identify alternative cause & effect ladders or Identify alternative cause & effect ladders or diagrams, as possible alternative options or diagrams, as possible alternative options or activity componentsactivity components

2.2. Eliminate objectives that are obviously not Eliminate objectives that are obviously not desirable or achievable (the “sore thumb”)desirable or achievable (the “sore thumb”)

3.3. Eliminate objectives being pursued by other Eliminate objectives being pursued by other projects or agenciesprojects or agencies

4.4. Discuss the implications for affected groupsDiscuss the implications for affected groups


Develop a Conceptual Develop a Conceptual ModelModel

A conceptual model explains how:A conceptual model explains how:• The project will achieve the desired The project will achieve the desired

results results in theoryin theory• The strategy will make the desired The strategy will make the desired

changechange• Clarify the relationship between Clarify the relationship between

the strategy, the expected results the strategy, the expected results and the goal (or outcome) of the and the goal (or outcome) of the projectproject


Example of a Conceptual Example of a Conceptual ModelModel

For example:For example:

Strategies /Interventions

IntermediateResults

Goal /Outcome

Increased Knowledge

Change in Attitudes

Change in practices


Developing the Conceptual Developing the Conceptual ModelModelStep 1Step 1 Identify the Identify the goalgoal (or (or

outcomeoutcome) of the project:) of the project:

• What are the specific problems What are the specific problems affecting the stakeholder population affecting the stakeholder population or client group?or client group?

• Which of these problems can we Which of these problems can we change?change?


Developing the Conceptual Developing the Conceptual ModelModelStep 2Step 2 Identify the Identify the intermediate intermediate

resultsresults of the project: of the project:

• What changes must occur in the What changes must occur in the human resources, equipment, work human resources, equipment, work methods or materials (see the 4Ms methods or materials (see the 4Ms in the Fishbone Diagram) to reduce in the Fishbone Diagram) to reduce the problem?the problem?


Developing the Conceptual Developing the Conceptual ModelModelStep 3Step 3 Identify the Identify the interventionsinterventions of of

the project:the project:

• What activities can be undertaken What activities can be undertaken that will achieve the changes that will achieve the changes identified in Step 2?identified in Step 2?

• Why will these activities accomplish Why will these activities accomplish these changes?these changes?


Evaluating the project Evaluating the project feasibilityfeasibility

A Project can be evaluated on:A Project can be evaluated on:• Technical feasibility-Technical feasibility- appropriateness, appropriateness,

use of resources, market suitability, etc.use of resources, market suitability, etc.• Financial (cost/benefit) feasibility-Financial (cost/benefit) feasibility- set- set-

up/ recurrent costs, financial up/ recurrent costs, financial sustainability;sustainability;

• Social implications-Social implications- distribution of distribution of benefits, gender issues, socio-cultural benefits, gender issues, socio-cultural constraints, local involvement;constraints, local involvement;

• Environmental issues-Environmental issues- impact, impact, environmental costs vs. benefits.environmental costs vs. benefits.


Selecting the Project StrategySelecting the Project Strategy

1.1. Make an assessment of the project Make an assessment of the project against the PSIF Eligibility Criteriaagainst the PSIF Eligibility Criteria

2.2. Select one of the alternatives as the Select one of the alternatives as the preferred strategypreferred strategy

3.3. Prepare the Project Identification Prepare the Project Identification Brief (PIB)Brief (PIB)

Problem and Situation Analysis Public Sector Improvement Facility Project Resources.

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