COMMUNITY RELATED VARIABLES INFLUENCING SUSTAINABILITY OF

WATER PROJECTS IN NYANDO DISTRICT: A CASE OF UNICEF FUNDED

PROJECTS UNDER UNICEF WASH PROGRAMME

BY

MARTIN SHIKUKU ODIE

A Research Proposal Submitted in Partial Fulfillment of the Requirements of the Award of

Degree of Master of Arts in Project Planning and Management of the University of Nairobi

2012

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DECLARATION

This research project proposal is my original work and has not been presented for a ward in any

other university.

________________________ _______________________

Martin Shikuku Odie DATE

L50/66030/2010

This research project proposal has been submitted for examination with our approval as

university supervisor.

_________________________ _______________________

Dr. Raphael Nyonje DATE

Department of Extra Mural Studies

University of Nairobi

_________________________ ________________________

Dr. Vincent Michuki DATE

Department of Extra Mural Studies

University of Nairobi

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DEDICATION

This research work is dedicated to my late mum who even though never attended any formal

education, encouraged me to work hard in class. Mum you are my source of inspiration wherever

you are.

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ACKNOWLEDGEMENT

Am sincerely and heartily grateful to my supervisor, Dr.Raphael Nyonje, for the support and

guidance he provided throughout my proposal writing. I am sure it would have not been possible

without his help. Besides I would like to thank my classmates who boosted me morally and

provided me with great information resources.

I would also like to thank my wife, Agnes for her love, encouragement, support and patience

during this proposal development.

I do also acknowledge my colleague at work Mr. Elisha Jack Oraro who tirelessly encouraged

me to continue with this work even though we had a lot of work to execute

 

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TABLE OF CONTENTS

DECLARATION...........................................................................................................................ii

DEDICATION..............................................................................................................................iii

ACKNOWLEDGEMENT...........................................................................................................iv

TABLE OF CONTENTS..............................................................................................................v

LIST OF TABLES.......................................................................................................................vii

LIST OF FIGURES....................................................................................................................viii

ABREVIATIONS AND ACRONYMS.......................................................................................ix

ABSTRACT....................................................................................................................................x

CHAPTER ONE: INTRODUCTION..........................................................................................1

1.1 Background to the Study...........................................................................................................1

1.2 Statement of the Problem...........................................................................................................3

1.3 Purpose of the Study..................................................................................................................4

1.4 Objectives of the Study..............................................................................................................4

1.5 Research Questions....................................................................................................................5

1.6 Significance of the Study...........................................................................................................5

1.7 Limitations of the Study............................................................................................................6

1.8 Delimitation of the Study...........................................................................................................6

1.9 Basic Assumptions of the Study................................................................................................6

1.10 Operational Definition of Terms.............................................................................................7

1.11 Organisation of the Study........................................................................................................7

CHAPTER TWO: LITERATURE REVIEW.............................................................................9

2.1 Introduction................................................................................................................................9

2.2 Community Contribution and Community Project Sustainability.............................................9

2.3 Project Management Committee.............................................................................................11

2.4 Capacity Building of Project Management Committee...........................................................12

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2.5 Project Sustainability...............................................................................................................14

2.6 Theoretical Framework............................................................................................................16

2.7 Conceptual Framework............................................................................................................18

CHAPTER THREE: RESEARCH METHODOLOGY..........................................................20

3.1 Introduction..............................................................................................................................20

3.2 Research Design......................................................................................................................20

3.3 Target Population.....................................................................................................................20

3.4. Sample Size and Sampling Procedures...................................................................................21

3.4.1Sample Size........................................................................................................................21

3.4.2 Sampling Procedure...........................................................................................................21

3.5 Data Collection Instruments....................................................................................................23

3.5.1Pilot testing of the instruments...........................................................................................23

3.5.2 Validity of the instrument..................................................................................................24

3.5.3 Reliability of the instrument..............................................................................................24

3.6 Data Collection procedures......................................................................................................24

3.7 Data Analysis Techniques.......................................................................................................25

3.8 Ethical considerations..............................................................................................................25

REFERENCES............................................................................................................................27

APPENDICES..............................................................................................................................33

Appendix 1: Questionnaire for Project Beneficiaries...............................................................33

Appendix II: Interview schedule for Key informants..............................................................37

Appendix III: Krejcie and Morgan (1970) Table.....................................................................38

Appendix IV: Letter of Transmittal..........................................................................................39

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LIST OF TABLES

Table 3.1: Sampled UNICEF funded projects, target population and proportionate sample sizes……………………………………………………………………………22

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LIST OF FIGURES

Figure 1: Conceptual Framework of the Study.............................................................................18

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ABREVIATIONS AND ACRONYMS

FAO - Food and Agriculture Organization

GoK - Government of Kenya

KIHBS - Kenya Integrated Household Budget Survey

LVSWSB - Lake Victoria Water Services Board

M & E - Monitoring and Evaluation.

MDGs - Millennium Development Goals.

MWI - Ministry of Water and Irrigation

ODF - Open Defecation Free.

RWSS - Rural Water and Sanitation Services

UN - United Nations

UNDP - United Nations Development Program.

UNICEF - United Nations Children Fund.

WASH - Water Sanitation and Hygiene.

WHO - World Health Organization.

WTP - Willingness to Pay

WUCs - Water Use Committees

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ABSTRACT

Development assistance is often offered on a temporary basis and projects typically have finite timeframes. Yet, the impacts of the assistance and projects are intended to be lasting. As a result, a challenge for international development is to achieve long-term sustainability of projects. One key factor is the manner in which projects are planned and executed. It is critical to the success of a project that various elements of sustainability be considered throughout each stage of the project process. This is particularly true where outside involvement is discontinued after project closure, as is the case for much international development work. This study purposes to assess the influence of community related variables on the sustainability of water projects, with special focus on the UNICEF funded communal water projects in Nyando district, Kisumu County. The study will seek to determine the extent to which community contribution, project management committee and capacity building of project management committee influence the sustainability of the projects as well as establish the community’s perception of the UNICEF funded projects and how this influences the sustainability of the projects. Utilizing the descriptive survey method the target population will be identified through purposive sampling. Stratified random sampling will then be employed to select the study sample from this population. Data collection instruments will include questionnaires and interview schedules. The questionnaire will be reviewed by peers and later the supervisor to ascertain its face and construct validity. The questionnaire will be pilot-tested using a sample of 20 respondents who will not be part of the actual sample and its reliability determined using a Cronbach alpha coefficient. Questionnaire items with a reliability coefficient of α ≥ 0.7 will be acceptable for the survey. The data will then be coded and analyzed with the aid of Statistical Package for Social Scientists (SPSS) computer software and the results presented in tabular summaries and charts. The findings of the study may The findings would be critical in informing and advising the various donors on sustainability issues of projects meant to solve community projects, which may influence planning, designing, implementation, management, operation and maintenance of communal water projects

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CHAPTER ONE

INTRODUCTION1.1 Background to the Study

A number of diversified and multipurpose national as well as international efforts have been

exerted to ensure an improved and sustainable provision of potable water supply service in both

rural and urban areas of the developing countries (Source Bulletin, 2000). In spite of this

recognition and effort, however, the gap between the standard requirement and the actual

delivery of the service is getting wider and wider (New, W.W.W. WSSCC.Org.).

Consequently, an overwhelming majority of the rural poor are suffering from the abysmal lack

of adequate and quality potable water supply. In relation to the global situation, recent

publications reveal that about 1.1 billion people of the planet are without access to safe water

(Source Bulletin, 2003; Klawitter & Qazzaz, 2005), the majorities living in developing nations,

particularly in sub-Saharan Africa (Prokopy, 2005). In short, albeit the world wide recognition

given to the importance of potable water supply, more failure than success stories have been

witnessed in the efforts exerted so far.

The administrative structures and institutional support levels to rural areas in most parts of the

world are often too weak to address advocacy, encourage citizen engagement, and facilitate

finance and management initiatives for the community (Aschalew D., 2009). Consequently,

water sources become nonfunctional after a few years of functional service (Lockwood, 2002).

A Water Supply and Sanitation Programme (WSP) -South Asia survey, concluded that a range

of issues were likely to adversely affect the sustainability of Rural Water Supply and Sanitation

(RWSS) services. These included: technical (unstable electrical supply affecting pump

operations and reliability of service); Institutional: (water committees not able to take full

charge of system management and the need to clarify legal mandates vis a vis the village level

government structures (gram panchayats)); Financial: (the full costs to cover O & M are not

recovered from users); and Social: women and socially disadvantaged groups not being fully

empowered) (Sara J., & Katz T., 1998)

An early case study of Water and Sanitation for Health (WASH) project sustainability,

including survey data from Lesotho and Indonesia, carried out under the USAID-financed

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WASH project concluded that for both country case studies, project benefits were continuing at

“a reduced but acceptable level” (Hodgkin J., 1994). In Lesotho, the main focus of the project

was on improving the national water supply agency; this resulted in a highly centralized

system, in which communities looked to the national agency to resolve post-project problems

and repairs. In Indonesia the project was carried out with minimal involvement from the

government and resulted in much better developed community management structures.

However, one common obstacle to achieving high levels of sustained project benefits was the

lack of clearly defined roles and responsibilities amongst institutions working in the RWSS

sector (Harold L., Alex B., & Wendy W., 2003).

Scholars have given emphasis to addressing institutional and administrative issues, along with

community water education initiatives, to enhance the sustainability of water supply sources

(Bhandari et al., 2007). Gleitsmann (2005) suggested that sustainability of water supply

systems is dependent upon the degree to which the technology corresponds to the needs of the

users and the users’ ability and willingness to maintain and protect it over time. According to

Harvey and Reed (2006), low sustainability rates are related to community issues such as

limited demand, perceived lack of ownership, limited community education, and limited

sustainability of community management structures, such as water use committees (WUCs).

In Kenya, the WSS situation is poor for majority of people; approximately 57% of households

using water from sources considered safe (Ministry of Water and Irrigation (MWI), 2007).

Sustainable access to safe water is around 60% in the urban setting with as low as 20%

coverage in the urban poor settlements where half of the urban population lives. In the rural

setting, sustainable access to safe water is estimated at 40%. Due to inadequate sanitation

services (only 50% countrywide), uncontrolled disposal of excreta pollutes water sources from

which most of poor urban dwellers draw (Kenya Integrated Household Budget Survey

(KIHBS), 2005).

The Government of Netherlands is funding water and sanitation activities in Kenya through

UNICEF towards MDG target in Water and sanitation. An integrated Water, Sanitation and

Hygiene (WASH) project designed within the context of the Government of Kenya and

UNICEF programme of cooperation in support of water, education and sanitation and health

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sector policies. The goal is improved child survival rates and development through using

sustainable safe water and sanitation facilities and practicing good hygiene. The project adopts

a demand-based approach whereby communities are enabled to take lead responsibility for

planning, implementation and post-installation maintenance of their water and sanitation

facilities. Thus, the key to sustainability is to meaningfully involve the users in the planning,

implementation, operation, protection and maintenance of water supply systems according to

their needs and potentials (Davis and Liyer, 2002).

1.2 Statement of the Problem

In most developing and transition countries, the stage for focusing on capital financing of new

projects has now passed. In most cases, what is now most needed is the rehabilitation,

modernization and extension of the first or second generation of utilities. More so than the

initial lack of financing capacity, it is the lack of proper O&M that creates a vicious circle of

project failure (Binder, 2008). Water supply projects have been strongly criticized for their

planning approaches, which have focused excessively on physical construction and increasing

coverage targets, but largely ignored what happens at the water sources after construction

(Lockwood, 2002). In many cases, water supply systems are not maintained properly, either

because of weak management or technical incapacity. This lack of maintenance exposes the

operator, the asset-holder and the users to a high risk of general system breakdown or of a spare

part malfunctioning.

In Kenya, both governmental and non-governmental development agents have been involved in

order to enhance the coverage of potable water supply in different parts of the country. But, the

coverage of the service in the country still lags behind and it is estimated that only 57% of

households have access to water from sources considered safe. Sustainable access to safe water

is estimated at 40% in rural areas (Ministry of Water and Irrigation (MWI), 2007). Even this

low figure is not reliable as it presupposes a situation in which projects that had been

constructed so far are 100% functional, a presupposition that doesn’t reflect the reality on the

ground. The existing poor coverage of sustainable safe water has been mostly aggravated by

the lack of sustainability of the water supply systems. For instance, in Siaya district from the

total number of eighty water projects constructed by various development agencies 90% were

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non-functional by the year 2006 (LVSWSB Inventory Report, No.25. This scenario is a mirror

reflection of Nyando District where UNICEF has rehabilitated a number of failed projects and

initiated new ones. Meanwhile, only a few of the water projects in the districts have currently

attained their financial status needed to run the projects effectively through the collection of

service charges from community members.

Sustainability of a rural water system is a function of a number of factors. It depends not only

on factors controlled by the project such as technology, the cost of the system, and construction

quality, but also on factors beyond the control of the project such as the community’s poverty

level and their access to technical assistance and spare parts (Mbithi, P.M. & Rasmuson,

R.,1977) as well as their perceptions. Generally, a multitude of factors have been identified as

determinants of sustainable rural water projects. Nevertheless, there is no adequate knowledge

over the underlying causes and the empirical relationships of the community-related variables

of water project sustainability in the Kenyan context, especially in Nyando District. This

threatens the sustainability of any new initiatives to improve access to safe water if lessons are

not drawn from prior initiatives and appropriate mitigation measures adopted to avert possible

failure. Owing to the above and other related facts, this study is meant to serve the purpose of

mapping community-related variables of sustainable water supply projects in Nyando District,

Kisumu County-Kenya.

1.3 Purpose of the Study

The purpose of this study is to establish the influence of community related variables on the

sustainability of water projects, focusing on UNICEF funded communal water projects in

Nyando district Kisumu County.

1.4 Objectives of the Study

The following specific objectives will guide the study:

1. To determine the extent to which community contribution influences the sustainability of

community water projects in Nyando District.

2. To establish the extent to which project management committee influences the sustainability

of community water projects in Nyando District.

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3. To assess the extent to which capacity building of project management committee influences

the sustainability of community water projects in Nyando district.

4. To evaluate community’s perception of UNICEF funded water projects and how they

influence sustainability of the projects in Nyando district.

1.5 Research Questions

The following research questions will be pursued to help achieve the objectives of the study:

(i) To what extent does community contribution influence the sustainability of community

water projects in Nyando District?

(ii) To what extent does project management committee influence the sustainability of

community water projects in Nyando District?

(iii) To what extent does capacity building of project management committee influence the

sustainability of community water projects in Nyando district?

(iv) What is the community’s perception of UNICEF funded water projects and how do they

affect the sustainability of the projects in Nyando district?

1.6 Significance of the Study

The findings of the study may help all the stakeholders in the water sector including the Non-

governmental and government departments, especially the Ministry of Water and Irrigation in

understanding the sustainability of communal water projects thus may develop projects that

take into account these considerations for lasting impacts of the same. The findings would be

critical in informing and advising the various donors on sustainability issues of projects meant

to solve community projects, which may influence planning, designing, implementation,

management, operation and maintenance of communal water projects.

The study’s findings would also be useful to the communities whose these projects are intended

to benefit in informing them of their responsibilities as project beneficiaries to ensure their

sustainability hence long-term benefit from the projects. Finally, the study’s findings will

contribute to the body of knowledge that would provide basis for future studies on community

projects to draw references and fill the gaps in research on sustainability of communal water

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projects. This will help in coming up with new ideas that can help in proper and efficient

management of community water projects so as to achieve sustainability.

It is hoped that study’s findings would yield data and information that would be useful for

planning and decision making by UNICEF. Additionally it would help in institutionalization of

policy framework for proper and efficient project partnership and capacity building of the

beneficiaries so as to have prudent project management skill.

1.7 Limitations of the Study

The limitations that may impact on this study include the distance to be covered in reaching out

the respondents who are spread throughout Nyando district. Some respondents may be of low

literacy levels hence the likelihood to deviate from the issues under study during interview;

caution will be taken to avoid irrelevant information while upholding respect and exercising

patience The language barrier may be a limitation where by the respondents communicate in

their mother tongue which the interviewer does not understand and may require the services of

an interpreter. This limitation will also be overcome through use of research assistants fluent in

the local language.

1.8 Delimitation of the Study

The study will focus on the community related variables namely: community contribution;

project management committee; capacity building of project management committee and

community’s perception of UNICEF funded water projects and their influence on the

sustainability of the water projects. The study will be limited to Nyando district and only the

immediate targeted beneficiaries of the water projects will participate in the study.

1.9 Basic Assumptions of the Study

The study will assume that the study will take place as planned and correct and relevant

information shall be gathered. It is also assumed that the respondents will cooperate throughout

the study by responding positively and truthfully. Further assumptions will be that similar

approaches are employed in the implementation and management of the UNICEF projects in all

the project areas and that the study’s sample population will be representative of the entire

population benefitting from the UNICEF funded projects.

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1.10 Operational Definition of Terms

Community contribution: This is the participation of the beneficiaries of the water project

either in cash or kind.

Capacity building: This is training of the community/beneficiaries of the water the project on

management, financial, operation and maintenance and conflict resolution skills.

Management committee: This is the executive members of the CBO and it is composed of

chairperson, secretary, organizing secretary and the treasurer.

Sustained water projects: These are projects which meet the demands of the current

beneficiaries without jeopardizing the benefits the population to come; they stand alone without

external support after the withdrawal of the initiator.

Rural environment-A rural environment is small towns or villages, where sparse population

lives mainly from agricultural activity.

1.11 Organisation of the Study

This research proposal contains three chapters. Chapter one is the introduction and includes the

background information of the study, statement of the Problem, purpose of the study, the

research objectives and questions that will guide the study. Also included is the significance of

the study, delimitations and limitations of the study as well as the basic assumptions of the

study and finally definitions of significant terms used in the study.

Chapter two is the literature review of relevant works done related to determinants of

sustainable community development generally with a special focus on water projects. This

section will seek to explain the relationship between determinants of sustainable projects and

sustainability while elaborating on the indicators of sustainability. It shall also seek to identify

the gaps in Research in sustainable project implementation in the country. This section will

provide the Conceptual framework of the study.

Chapter three is a description of the Research Methodology to be used. The research design and

target population is explained. There is also a description of the sample size and sample

selection. A description of the research instruments to be used, their validity and reliability is

7

also included. There is also an elaboration of data collection procedures and the operational

definition of variables.

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CHAPTER TWO

LITERATURE REVIEW

2.1 Introduction

This chapter consists of two main sections. The first section is a review of studies carried out

by scholars in the field of sustainable community development. The objective of the section is

to identify knowledge gaps in the determinants of sustainable community projects. The

literature review is discussed under sub-sections of community contribution; project

management committee; capacity building of project management committee and project

sustainability. The second part presents the conceptual framework on which the study is based.

The conceptual framework provides the links between the literature, the study objectives and

the research questions.

2.2 Community Contribution and Community Project Sustainability

Many initial applications of participatory research in health were centered on involvement of

communities and health professionals in needs assessment, planning, and evaluation of

programs (Koning and Martin 1996). Projects that build upon this kind of community

involvement are often more likely to be supported and sustained beyond the life of the

intervention. A focal issue in the water supply and sanitation sector in developing countries is

gauging the willingness of individuals to manage their water sources through the contribution

of time and resources (Schouten and Moriarty, 2003). The rationale is that contributing more

time and resources to the protection and maintenance of rural water supply sources is a positive

action that may potentially improve the sustainability of water supply infrastructures

(Gleitsmann, 2005; Whittington, 1998). Harvey and Reed (2006) strongly argue that

community involvement, even at the lower intensities of participation, is a “perquisite for

sustainability”.

The participation of communities based on their willingness to contribute increases

effectiveness, efficiency, empowerment, equity, coverage and the overall sustainability of water

supply projects (Narayan, 1995). Similar findings were presented by Sara and Katz (1998),

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Gross et al. (2001) and Kumar (2002), particularly mentioning that a demand-responsive

approach (DRA) significantly increases the sustainability of water supply projects.

Community members’ contributions might take the form of money, labor, material, equipment,

or participation in project-related decision-making and meetings (Bhandari et al., 2007;

Mengesha et al., 2002). Moreover, Harvey and Reed (2007) described forms of contribution

such as the expression of demand for water, selection of the technology and area, financial

contributions, provision of labor and materials, and selection of management systems. Lyer et

al. (2006) explained that about 98% of World Bank-supported Rural Water and Sanitation

projects have included some cash contributions from user communities during the period from

1977 to 2003. Furthermore, the authors indicated that 86% of the projects incorporated labor

requirements and 78% advocated material contributions, such as wood, while 100% of the

World Bank projects expected operation and maintenance costs to be fully covered by the

users.

Willingness-to-pay (WTP) in cash, materials, labor, and upkeep can be taken as a useful

indicator of the demand for improved and sustained water services (Bhandari and Grant, 2007;

Mbata, 2006; Whittington, 1992). According to Mbata (2006), if people are willing to pay for a

specific service, then it is possible to conclude that they value the service. Likewise, if

households are willing to contribute cash and labor useful for the management of water

sources, it is clear that the service that they obtain from a source is valued; and, that they have a

positive attitude towards promoting its sustainability.

Bohm et al. (1993) indicated that WTP for improved water services increases along with

increases in wealth, family size, and the educational level of user households. An analysis made

by Bhandari et al. (2007) also showed that WTP for water is highly correlated with source

reliability, trustworthiness of WUCs, convenience of location, and water quality; on the other

hand, there is no significant relationship between the gender, age or economic status of

respondents. Ultimately, improved planning procedures which fully consider the value and

demand placed on different levels of service by the community are a necessity for the

sustainability of rural water systems (Whittington et al., 1992; Mbata, 2006). However, in spite

of the ever-increasing importance placed on the role of participation in development efforts,

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there have been few quantitative studies to demonstrate the proposition that participation

measurably increases development outcomes (Prokopy, 2005). This study will therefore seek to

establish the influence that the beneficiary community’s participation and contribution has on

the sustainability of UNICEF funded water projects on the project areas.

2.3 Project Management Committee

Community members are often willing to invest their own resources—including money, labor,

time, and materials—in activities they see as benefiting themselves and their community.

Evidence based on case studies in Australia, Canada, Thailand, and Uganda (UNAIDS 1998)

clearly shows that communities are prepared to take leadership roles, take responsibility, and

devise ways of sustaining the activities they initiate, and that they are able to work in

partnership with national governments. One example of the positive effects garnered through

use of a participatory approach is the Bangladesh Rural Advancement Committee (BRAC)

(Ann et al, 2001). Established in 1972, BRAC is built upon a firm belief in people’s ability to

manage the process of development. It uses a community-driven development process that

fosters empowerment and self reliance. Initially formed as a program designed to control

diarrheal disease by the introduction of home-based oral rehydration therapy, BRAC developed

into a dynamic project that addresses a full range of health issues and the needs of the most

marginalized and poor within each community (Lovell and Abed 1993).

Khwaja’s (2001) study suggests that projects managed by communities are more sustainable

than projects managed by local governments because of better maintenance. Katz and Sara

(1997) and Isham and Kähköhnen (1999) also find strong associations between participation and

sustainability. Jimenez and Sawada (1999) report that community-managed schools in El

Salvador had fewer absences than comparable centrally managed schools. Jimenez and Paqueo

(1996) find that schools in the Philippines that relied more on community contributions used

their resources more efficiently. The central role that women pay in the collection, management

and use of water, as well as with the general sanitation of the household is well documented

(Fong et al, 2003). Furthermore, there is ample evidence to indicate that a more active

involvement of women can optimize the results and impacts of RWSS projects (Mukherjee and

van Wijk, 2003; DFID, 1998). Therefore, it is not surprising that the continued involvement of

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women, after project implementation has been completed, is identified as one important

determinant of sustainability.

The IRC International Water and Sanitation Centre in the Netherlands has been focusing on this

issue for some time and argues that in order to strive for scaled up RWS on the basis of the

community-management model, it is essential to also think about scaling up of support

mechanisms (IRC, 2003). Simply building more RWS systems, even where this is done on the

basis of best practice (participatory approaches, demand based response etc.), will not be

enough. The question then becomes how do we go about scaling up of support arrangements

and avoid the projectisation of donor-driven efforts? This is a deconcentrated model based on

the “circuit rider” concept used in the United States by the National Rural Water Association,

which was adapted in Honduras and re-named the “Técnico en Operación y Mantenimiento” or

TOM. With support from the USAID a pilot programme was launched by SANAA from 1993

to 1995 and subsequently was extended to the national level in 1995. It is truly national in

scale, providing back-up support to over 4,000 rural water systems servicing more than 2

million people of a total rural population of just under 3.2 million. There is now scope for

looking back in more detail on what has been widely recognized as a successful model, but one

which has received perhaps unsustainable levels of donor support in the past

2.4 Capacity Building of Project Management Committee

It is important to carry out a capacity assessment after needs assessment to identify strengths

that the community could use to address the problems they identified earlier. Capacity

assessment can focus on assessing community contribution in; Human resource-which include

skills, knowledge, ability to work and good health; Social capital- based on relationships and

include organizations and groups within the community, political structures and informal

networks; Natural-these form the local environment and include land, trees, water, air, climate

and minerals; Physical resources-these are man-made, such as building, transport, water supply

and sanitation services, energy sources and telecommunications and Economic resources-these

are things that people can use to sustain their livelihoods, such as money and savings, grain

stores, livestock, tools and equipment (Blackman, 2003).

Communities should be encouraged to use their own capacities and resources to address the

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problems they face (Blackman, 2003). The project should focus on strengthening the

community’s capacities to address their problems. By doing this, the community is facilitated

to address their problems rather than addressing their problems for them. Katz and Sara (1997),

who analyzed the performance of water systems in a variety of countries, found that

performance was markedly better in communities where households were able to make informed

choices about the type of system and the level of service they required and where decision-

making was democratic and inclusive. Projects constructed without community supervision or

management tended to be poorly constructed by private contractors. Katz and Sara also report

that community members were more willing to pay for investment costs when they had control

over the funds. When government staff or contractors controlled the funds, communities viewed

their contribution as a tax rather than a fee for service.

Isham and Kähkönen (1999), in analyses of water projects in Indonesia, India and Sri Lanka

confirm that greater community participation is associated with better water supply and that

well-designed community-based water services lead to improvements in health outcomes.

Differences in project effectiveness are explained largely by a community’s ability to engage in

collective action, with high levels of “social capital” improving participation in design and

monitoring. Finsterbusch and Van Wincklin (1989), in their review of USAID projects argue

that projects with participatory elements increased the overall effectiveness of projects

particularly in building capacity for collective action. In a study of incentives for collective

action in a district in south India, Wade (1987) reports that some villages had what he calls a

“public realm,” with well functioning institutional arrangements for managing common-pool

resources, while others had virtually no public realm. This suggests that stimulating participation

by forming community organizations such as water user groups may require more than

educating people about their common interests or promoting communal values. It may also

require helping them to understand the collective benefits of participation

In the publications by sector organizations such as the EHP (Lockwood, 2002) and the IRC

(Schouten and Moriarty, 2003) and other fora, it is argued that the majority of rural

communities cannot be expected to manage on their own indefinitely. In order to guarantee the

13

sustainability of RWSS projects and the associated benefits, it is necessary to provide support

and guidance which addresses a range of issues.

System design and the complexity of the technology involved will clearly have a bearing on the

relative weighting of these factors. In the case of hand pumps for example, standardization of

pump types, spare parts, support to the private sector for local repairs and institutional

arrangements on the part of government in support of community management were all seen as

vitally important factors in the sustainability of projects in Africa according to recent research

by WEDC (Harvey et al, 2002).

The Environmental Health Project in particular has been closely involved with the development

of models in the Latin American region and has documented some experiences and lessons

learned (Rosensweig and Perez, 1996; Rosensweig 1998; Rosensweig ed., 2001 and

Lockwood, 2002). On the basis of these case studies, EHP has drawn up a classification of

institutional support models for the rural sector, which is itself based on the nomenclature of

the decentralization literature and the work of Rondenelli in the late 1980s (Rondinelli et al,

1987). The EHP classification system for institutional support mechanisms is illustrated by a

number of concrete examples from the Latin American region. These include a variety of

institutions, such as government line ministries, local government, NGOs and Associations of

water committees as the principal service providers.

Attempts to compare pre- and post institutional support arrangements indicate, there are

probably as many combinations of models as there are examples. In many instances these are

really a hybrid; for example in Bolivia and Ecuador the arrangements include elements of both

the deconcentrated and devolution models. Examples from other documented sources reinforce

this view that institutional models and the transition between construction/implementation and

long-term support functions are rarely simple and are often influenced by a variety of external

factors (Rosensweig ed 2001; Lockwood 2002

2.5 Project Sustainability

Sustainable development: There no clear or generally accepted definition of Sustainable

development. Sustainable development is a concept that is used in our daily talks but difficult

14

to define. The Bruntland Commission memorably defined it in its 1987 report “Our Common

Future” as; “Development that meets the needs of the present without compromising the ability

of future generations to meet their own needs”. (Bruntland Commission, World Bank 1995).

Most authors perceive Sustainable Community Based Development Project differently as can

be seen here below in terms of sustainable development as other define Sustainable

Development as: “Development is for the people and by the people. The essence of sustainable

development is of people, with a change of their attitudes, leading to a change in their habits”.

(Roy Shaffer, MD, 1993) It took many years of intensive work to reach a global consensus on

the elements of sustainable development, but it was finally achieved in 1995 at the World

Summit on Social Development, this definition brought together what is called the “three e’s;

environment, economy and equity. The main concern though, is to help the poor maintain and

improve their natural capital (natural resources), while developing their human capital (human

resource development), human –made capital (investments infrastructure and directly

productive capital goods), and social capital (the institutional and cultural bases and political

systems that make a society function). (Celliso E. Madavo and Jean-Louis Sarbib 1996) “With

this diversity, sustainability is an essentially vague concept, and it would be wrong to think of it

as being precise, or capable of being made precise.”(Robert Solow, 1993).

Sustainable Development is a development that meets the needs of the present without

compromising the ability of future generations to meet their own needs. In 1972, a UN summit

on the environment alerted countries all around the world to the exhaustion of natural

resources. In 1987, Ms Gro Brundtland, a Norwegian minister, found that in 50 years the

standard of living of part of the world's population had developed greatly, but that on the other

hand, ecological damage was huge (deforestation, pollution, industrial accidents, reduction of

water resources, exhaustion of natural resources, desertification etc.). Urgent measures were

necessary, and for the first time she used the term "sustainable development" to describe how

behavior would have to change. Thus people became aware of the necessity to protect future

generations. In 1992, the UN held a conference on the environment and development in Rio de

Janeiro (Brazil), known as the Earth Summit. One of the Earth Summit decisions: Agenda 21, a

joint program for the implementation of sustainable development in the 21st century, the Rio

15

Declaration on the environment and development, and the UN Framework Convention on

Climate Change, the Convention on Biological Diversity, and agreements on desertification

and fishing on the high seas. In 2000, world leaders developed the MDG and set goals to free a

major portion of humanity from the shackles of extreme poverty, hunger, illiteracy and disease.

They established targets for achieving gender equality and the empowerment of women,

environmental sustainability including water and sanitation and a global partnership for

development

2.6 Theoretical Framework

The study will be anchored on dependency theory syndrome advanced by Prebich in 1950s.

Dependency Theory developed in the late 1950s under the guidance of the Director of the

United Nations Economic Commission for Latin America, Raul Prebisch. Prebisch and his

colleagues were troubled by the fact that economic growth in the advanced industrialized

countries did not necessarily lead to growth in the poorer countries. Indeed, their studies

suggested that economic activity in the richer countries often led to serious economic problems

in the poorer countries.

Such a possibility was not predicted by neoclassical theory, which had assumed that economic

growth was beneficial to all (Pareto optimal) even if the benefits were not always equally

shared.

Prebisch's initial explanation for the phenomenon was very straightforward: poor countries

exported primary commodities to the rich countries who then manufactured products out of

those commodities and sold them back to the poorer countries. The "Value Added" by

manufacturing a usable product always cost more than the primary products used to create

those products.

Therefore, poorer countries would never be earning enough from their export earnings to pay

for their imports.

Prebisch's solution was similarly straightforward: poorer countries should embark on programs

of import substitution so that they need not purchase the manufactured products from the richer

countries. The poorer countries would still sell their primary products on the world market, but

their foreign exchange reserves would not be used to purchase their manufactures from abroad.16

Three issues made this policy difficult to follow. The first is that the internal markets of the

poorer countries were not large enough to support the economies of scale used by the richer

countries to keep their prices low. The second issue concerned the political will of the poorer

countries as to whether a transformation from being primary products producers was possible

or desirable. The final issue revolved around the extent to which the poorer countries actually

had control of their primary products, particularly in the area of selling those products abroad.

These obstacles to the import substitution policy led others to think a little more creatively and

historically at the relationship between rich and poor countries.

At this point dependency theory was viewed as a possible way of explaining the persistent

poverty of the poorer countries. The traditional neoclassical approach said virtually nothing on

this question except to assert that the poorer countries were late in coming to solid economic

practices and that as soon as they learned the techniques of modern economics, then the poverty

would begin to subside. However, Marxists theorists viewed the persistent poverty as a

consequence of capitalist exploitation. And a new body of thought, called the world systems

approach, argued that the poverty was a direct consequence of the evolution of the

international political economy into a fairly rigid division of labor which favored the rich and

penalized the poor.

17

2.7 Conceptual Framework

The conceptual framework shows the linkage between the variables for consideration in the

study as shown in figure 1.

Capacity building and training of the management committee: This is a process where the

management committee learns new skills and access ideas that when incorporated well can help

in making proper decision. It is through this kind of empowerment that the projects can be

sustained.

Management committee structures; The presence of a well structured management

committee will help in sustaining the water projects because each and every official has defined

18

Figure 1: Conceptual Framework of the Study

Capacity Building & Training

Financial

Operation & maintenance

Community Contribution

Financial

Labor

Local materials

Management Committee Structures

CBO formation

PMC

Sustained Water Projects

Project running efficiently

Intervening variables

UNICEF policies

Government policies

role which work well as control to sustainability. The presence of management committee can

dictate or influence the sustainability of the project.

Community contribution; This is where the community and the beneficiaries’ s at large are

involved in the implementation of the project and participate either in cash or in kind . The

projects will be more sustainable if the communities take a leading role and initiative to

contribute in their own projects.

Intervening variables; UNICEF organizational and setting policies; These are variables that

influence the outcome of community involvement in water projects. These include the policies

that guide UNICEF interaction with the communities that are funded in order to get safe water

points. It also highlights the funding procedures and the ceilings for a project. This then will

determine how the community participates in these water projects when being designed,

planned, implemented, monitored and evaluated

Perception of community UNICEF projects; The way the community perceive the projects

funded by UNICEF is very essential for their sustainability. When the community feels that the

water projects within their locality is owned by them and not the UNICEF will lead to high

level of sustainability

.

19

CHAPTER THREE

RESEARCH METHODOLOGY

3.1 Introduction

This chapter presents and describes the research methodology specific procedures to be

followed in conducting the proposed study. It describes the research design, study location,

population of the study, sample size, sampling procedures, instrumentation, validity, reliability,

data collection, data organization and analysis. Justification for the choice of specific

techniques to be used in the study is also presented.

3.2 Research Design

The study will utilize the descriptive survey research design with a cross-sectional approach.

According to Wiersma (1999) a survey involves studying situation as it is in an attempt to

explain why the situation is the way it is. This design will allow for account and adequate

descriptions of activities, objects and persons. This design type will not only offer descriptions

and explanations, but also identify and predict relationships in and between the variables of the

study (Mugenda and Mugenda, 1996). A Cross-Sectional approach will be used to collect both

qualitative and quantitative data from the respondents. This approach is relatively faster and

inexpensive because it provides self-reported facts about respondents, their inner feelings,

attitudes, opinions and habits (Kombo & Tromp, 2007, Kothari, 2007). Survey design enables

researchers to make accurate assessment, inferences and relationships of phenomenon, events

and issues (Kasomo, 2006).

3.3 Target Population

The study’s target population will be the total population of beneficiaries targeted by projects

funded by UNICEF in Nyando District between 2008 and 2011 whose sustainability is subject

to the variables under this study. The study population will comprise of UNICEF projects in

Nyando, Muhoroni, Miwani and Nyakach divisions of the district. According to the project

records at the Lake Victoria South Water Services Board as at 1st February 2012, the district

has a total of 63 UNICEF funded projects with a total target beneficiary population of 15, 750.

33 of the projects are new, constructed between 2008 – 2011 while 30 that had been were

constructed before 2008 and have been rehabilitated.

20

3.4. Sample Size and Sampling Procedures

The sample size and the sampling procedures to be used in obtaining the study’s sample are described below.

3.4.1Sample Size

In selecting the sample as a representative of the population, Fraenkel & Norman1990; Kathuri

& Pals, 1993 recommends that for descriptive studies, a minimum of 100 subjects are required.

However, based on the table of Krejcie and Morgan for determining the population sample size

(Appendix III), the target population of 15, 750 will give a sample size of 375 respondents.

3.4.2 Sampling Procedure

The sample size 375 will be divided into 370 beneficiary respondents proportionately sampled

from sampled projects and 5 key informants. To obtain 370 beneficiary respondents who will

participate in the study, 24 projects from the total of 63 will purposively be selected for study to

allow use of cases that have the required information with respect to the objectives of the study.

Stratified, simple random sampling method based on administrative divisions will be used to

sample the 24 projects, to include 6 (3 new and 3 rehabilitated) projects from each of the 4

divisions in the district. Stratified random sampling provides greater precision, guarded against

an "unrepresentative" sample and is less costly (Kothari, 2007). Kathuri & Pals (1993)

recommend the use of this procedure when the population from which to sample is not

homogenous in terms of certain required characteristics as this leads to representative samples.

Simple random sampling will then be used to select the respondents from each of the selected

projects. 5 key informants will be purposively identified from among UNICEF staff directly

involved in the implementation of the projects and staff of the Lake Victoria South Water

Service Board to bring the sample size to 375. Table 3.1 shows the sampled projects per

administrative division, target population and the proportionate sample sizes.

21

Table 3.1: Sampled UNICEF funded projects, target population and proportionate sub- sample sizes.

Administrative Division

Projects Name Project Status Target population

Sub-Sample size

Nyando Kochiew New 250 13

Kimira New 250 13

Kabongo-tura New 250 13

Singida Rehabilitated 250 13

Kobare Rehabilitated 250 13

Nyamasao Rehabilitated 250 13

Miwani Kamachanga New 250 13

Kasboga New 250 13

Geyo New 250 13

Ondero women group Rehabilitated 250 13

Kapiyo women group Rehabilitated 250 13

Achar women group Rehabilitated 250 13

Muhoroni Anyuola New 250 13

Wi- oseng' New 250 13

Kauma New 250 13

Kambeda women group

Rehabilitated 250 13

Old age home Rehabilitated 250 13

Komala Rehabilitated 250 13

Nyakach Nyaga New 250 13

Winyo kabare New 250 13

Kotabwango New 1,500 71

Ogilo primary Rehabilitated 250 13

Obumba primary Rehabilitated 250 13

Ogilo primary Rehabilitated 250 13

TOTAL 7,250 370

22

3.5 Data Collection Instruments

The study will use triangulation method of data collection which normally involves the use of

two or more research instruments to collect the necessary data. This is because no single

method of data collection is perfect in itself (Nachmias & Nachmias, 1996). The study will use

questionnaires, interview schedules and observation schedules with check lists the main tools

of collecting data.

Questionnaire: generally, the questionnaire will contain both closed-ended and open ended

items. The questionnaire will be used to collect data from the main respondents who will be

direct beneficiaries of the UNICEF projects. The closed-ended items are preferred because of

their potential to facilitate consistency of responses across respondents. On the other hand,

open-ended items will probe more information that may not have been contemplated to gain a

deeper understanding of the respondents’ views and feelings. The first part of the questionnaire

will seek information on the respondent’s profile such as age, gender, education level and

marital status. The second part will contain items that will address the objectives of the study

and responses here will be used to answer the research questions on issues sustainability of

UNICEF funded water projects.

Interview schedule: this will carry similar questions as on the questionnaire but will be used

especially where the respondents will be unable to fill in the questionnaire. Additionally,

interview schedules will be used to solicit information from the key informants identified to

participate in the study.

Non-participant observation: This method will be used to collect information on the status

physical and operational of the water projects. A check list of the project aspects of interest will

be developed and used to ensure objectivity.

3.5.1Pilot testing of the instruments

The questionnaire will be pretested on a sample of 30 respondents who also benefit from

UNICEF funded projects in Siaya district. The bigger the sample size, the smaller the

percentage used in pre-testing (Mutai, 2000). This sample will have similar characteristics as

the actual sample and their responses will be used to restructure and clarify questions that may

23

not be clear or that may be ambiguous. Any omissions made will be inserted and irrelevant

questions omitted after piloting. The procedures to be used will be similar to those to be used

during the actual data collection. The subjects will be encouraged to make comments and

suggestions concerning the instructions, clarity of questions asked and their relevance

(Mugenda and Mugenda, 1999).

3.5.2 Validity of the instrument

Validity is the degree to which results obtained from the analysis of data actually represent the

phenomenon under study (Fraenkel & Wallen, 2000). It is the accuracy, soundness or

effectiveness with which an instrument measures what it is intended to measure; the

appropriateness of the interpretation of the results of a test or inventory and is specific to the

intended use. The findings of a study are valid if they are based on facts or evidence that can be

justified (Wiersma, 1999). In constructing of the instrument items, simple English language

will be used to ensure that the respondents can understand. Effort will be made to construct

clear and precise items in order to avoid ambiguity. The instruments will then be given to

peers to review in order to ensure construct and face validity and then to the supervisor, who

has long experience in supervising post- graduate students to review the items and ascertain

their construct and face validity.

3.5.3 Reliability of the instrument

Reliability is the degree of consistency with which an instrument measures a variable

(Mugenda and Mugenda, 1999). The questionnaire instrument will be pre-tested in using a

sample of 30 respondents in Siaya District. This will enable the researcher to determine the

effectiveness of the questionnaire sine the sample for pilot test will have similar characteristics

as the target population. The findings from the pre – test will be used to modify and improve

the questionnaire hence enhancing the reliability and validity of the instrument.

3.6 Data Collection procedures

After getting the green light to collect data from the Graduate school of the University of

Nairobi, a research permit will be sought from the National Council of Science and Technology

24

(NCST). Permission to collect data will then be secured from the provincial administration

offices in Nyando. This will be followed by an exploratory visit to the area of study to meet

with local leaders specifically the chiefs in charge of the N locations that make up the study

area, along with village elders. The next stage will be the actual field work and will entail

collecting primary data from the respondents and key informants identified. Non-participant

observation method will be used whereby indicators of interest to the study as per the

developed checklist of the project aspects will be noted and recorded.

3.7 Data Analysis Techniques

After data collection, all the returned questionnaires will be numbered, categorized and the data

coded. A coding strategy will be developed to change the non-numeric data into categories with

numerical codes. Specific responses to the structured questions will each be assigned a number

to give it a numerical code. For the unstructured type of questions, all responses given for each

question will be compiled and common themes among them identified. These themes will then

be assigned numbers which will later be entered into a code sheet.

A code book containing all the variables derived from the research objectives and research

questions of the study as presented in the questionnaire will be developed. Preliminary editing

will be done where the data will be checked for accuracy and errors committed. Clarity and

legibility of all questions will be established and questions with ambiguous responses

eliminated. A code sheet will then be developed based on the information entered in the code

book together with information collected from the field.

All the information will then be entered into the computer and analyzed with the aid of the

Statistical Package for Social Sciences (SPSS) computer programme to generate frequency

distributions and percentages and the findings presented using tables and content analysis.

3.8 Ethical considerations

In order to conduct research in the study area, approval for conducting the research will be

obtained before any data is collected (McMillan & Schumacher 1993). In this study, the

researcher will first seek permission from the relevant authorities and the provincial

administration. McMillan and Schumacher (1993) further recommend that information on

25

participants should be regarded as confidential unless otherwise agreed on through informed

consent. In this study, therefore, participants' confidentialities will not be compromised, as they

will not be asked to provide their names during data collection. As a sign of gratitude for their

participation, participants will be informed of the findings of the study.

26

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32

APPENDICES

Appendix 1: Questionnaire for Project Beneficiaries

Dear respondent,

This questionnaire seeks to establish the various determinants of project sustainability influence

the sustainability of UNICEF funded community water projects in Nyando district. The items

in the questionnaire are for academic research purposes only. All information given will be

treated with utmost confidentiality. You are not required to fill in your names.

Instructions

1. Please fill in the blanks or tick (√) where appropriate to provide the information requested.

SECTION A: Respondents Profile1. Kindly indicate your gender

Male

Female

2. What is your age?

Below 25 years

26-35 years

36-45 years

45 years and above

3. What’s your highest education level? Non Formal

Primary level

Secondary level

College/University

5. What is your marital status?

Married

Single

Widowed

Other (Specify)________________

6. Name of water project_____________________________________

33

ECTION B: Community Contribution:

7. Are you aware of UNICEF funded water projects in this area?

Yes

No

8. If yes, what do you know about them?

____________________________________________________________________

9. Have you ever been called to a meeting concerning UNICEF projects in this area?

Yes

No

10. If yes, were you asked what project you would want in your area?

Yes

No

11. Did you consider yourself as having contributed to the development of the water project?

Yes

No

12. If yes, in what way did you participate? You may tick all that apply to your contribution.

Project implementation committee member

Labour provision

Materials in-kind

Financial contribution

Project ideas

Others

13. Would you have wanted a different project than the water project?

Yes

No

SECTION C: Project Management Committee:

14. Does the project have a management committee?

Yes

No

15. If yes, how many members does the management committee have?___________________

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16. Are you a member of the committee?

Yes

No.

17. If yes, what is your position on the committee?

Chairperson

Secretary

Treasurer

Co-opted committee member

18. How was the management committee formed?

Through elections

Appointed by the funding agency

Other (specify)____________________________________

19. Is the management committee active?

Yes

No

20. If no, give reasons

_________________________________________________________________________

_________________________________________________________________________

Does the project have a bank account?

SECION D: Capacity Building of Project Management Committee

21. Was the management committee trained before assuming their responsibilities?

Yes

No

22. If you are a member of the management and your answer to question 21 is yes, what were

the topics covered?

Group dynamics

Financial Management

Operation and maintenance

Other (specify)________________________________________

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23. In your opinion, would you consider the training offered adequate?

Yes

No

24. Explain your answer in question 23 above

_________________________________________________________________________

SECTION E: Project Sustainability

25. Do you pay for using water from the project?

Yes

No

26. If yes, at what rate per 20 litre container? _____________________________

27. Does the project have a bank account?

Yes

No

28. How frequent are repairs and maintenance carried out on the project?

Never

Rarely

Frequently

29. What is community’s perception of services from UNICEF funded projects?

Very good

Good

Moderate

Poor

Very poor

30. Can you sight any challenges that affect the water project?

________________________________________________________________________

________________________________________________________________________

31. What is the community’s perception of the project in terms of ownership?

Owned by/UNICEF property

Owned by community/Community’s property

Thank you for finding time to respond to the questions.

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Appendix II: Interview schedule for Key informants

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Appendix III: Krejcie and Morgan (1970) Table

TABLE FOR DETERMINING SAMPLE SIZE FROM A GIVEN POPULATION

N S N S N S N S N S

10 10 100 80 280 162 800 260 2800 338

15 14 110 86 290 165 850 265 3000 341

20 19 120 92 300 169 900 269 3500 246

25 24 130 97 320 175 950 274 4000 351

30 28 140 103 340 181 1000 278 4500 351

35 32 150 108 360 186 1100 285 5000 357

40 36 160 113 380 181 1200 291 6000 361

45 40 180 118 400 196 1300 297 7000 364

50 44 190 123 420 201 1400 302 8000 367

55 48 200 127 440 205 1500 306 9000 368

60 52 210 132 460 210 1600 310 10000 373

65 56 220 136 480 214 1700 313 15000 375

70 59 230 140 500 217 1800 317 20000 377

75 63 240 144 550 225 1900 320 30000 379

80 66 250 148 600 234 2000 322 40000 380

85 70 260 152 650 242 2200 327 50000 381

90 73 270 155 700 248 2400 331 75000 382

95 76 270 159 750 256 2600 335 100000 384

Note:“N” is population size

“S” is sample size.

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Appendix IV: Letter of Transmittal

Department of Extra Mural Studies

University of Nairobi

P. o Box 825, Kisumu.

District Water Officer

Nyando District

Po.Box 3325 Kisumu

Dear Sir/Madam,

RE: RESEARCH PROJECT

I am Martin Shikuku Odie a student in University of Nairobi undertaking M.A in project planning and management. I wish to carry out research in your district on determinants of community water projects sustainability: Case of UNICEF WASH programme projects.

It is my hope that the findings will be very vital in ensuring sustainability of water projects funded by different donors in your district.

Yours faithfully,

Martin Shikuku Odie

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