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MONITORING AND EVALUATION CAPACITY, PARTNERSHIPS AND
PERFORMANCE OF WATER PROJECTS IN THARAKA NITHI COUNTY
BY
JUDITH KARIGU KIRAGU
A Research Proposal Submitted in partial Fulfilment of the Requirement for the Award
of Doctor of Philosophy Degree in Project Planning and Management of the University
of Nairobi
2016
1
DECLARATION
I declare that this proposal is my original work and it has not been presented for examination
for any degree in any other university
SIGNATURE…………………………………
DATE ………/………/……
JUDITH KARIGU KIRAGU
REG NO: L83/98028/2015
This research proposal has been submitted with our approval as the University
Supervisors
SIGNATURE………………………………………
DATE ………/………/……
DR. RAPHAEL NYONJE
SENIOR LECTURER
DEPARTMENT OF EXTRA MURAL STUDIES
UNIVERSITY OF NAIROBI
SIGNATURE……………………………………
DR. STEVEN LUKETERO
LECTURER
DEPARTMENT OF MATHEMATICS
UNIVERSITY OF NAIROBI
2
DATE ………/………/……
DEDICATION
To the Muriku family – Another PHD feather in the family.
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ACKNOWLEDGEMENTS
I would like to appreciate my family for showing support for my PHD and withstanding the
long hours of my absence as I worked and, special thanks to my husband Dr Philip Mwashe
for his patience. My children Ikhabi and Adego, my Mum Agnes Kiragu and Dad Josh
Kiragu for taking pride in my achievement. You knew how much this personal goal was to
me and you were very supportive. Thank you
Special thanks to my supervisors senior lecturer Dr Nyonje and Dr Luketero for encouraging
me and helping me have clarity of thought. Your input as my supervisors has been invaluable
and I will always be forever grateful to them. Prof Gakuu I appreciate you and the concern
you had to ensure I do not lag behind.
I would also like to appreciate the support of my all university lecturers through this journey
of attaining a PHD. My class of UoN 2015 for great teamwork support and encouragement.
The social media messages kept us sane and looking at the humourous side of life. Jennifer,
Llelegwe and Eng Githinji – Thank you
The University Librarians are a special gem in the discourse of learning. I say thank you to
Regina Katuu – Nairobi, Angela Masinde – Mombasa and also the Kisumu library team.
Without you and the Library support this feat is not achievable.
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ABSTRACT
Water projects in Kenya are not managed for development. This can be seen by the
proliferated number of water projects and water institutions without a tangible development
track performance record. The study seeks to answer how the influence of monitoring and
evaluation human resource, monitoring and evaluation infrastructure, allocation of
monitoring and evaluation financing moderated partnerships and collaborations influence
performance of water project management. The design of the study will be descriptive
research and the population of water projects that will be studied are 518. These projects will
be sampled through stratified sampling technique and random sampling. Data will be
collected by use of questionnaires, interview methods and content analysis …data analysis
techniques. How do you determine reliability and validity gaps
Key words: M & E capacity, human resource, infrastructure, financing.
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TABLE OF CONTENTS
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CHAPTER ONE
INTRODUCTION
1.1 Background
Water is a basic need for human health and survival. The sustainable Development goals state
that countries should ensure available and sustainable management of water for all. This goal
comes before the second goal of ensuring that people have access to safe and affordable
water for all. UN General Assembly (2015), Constitution of Kenya.1 out of 10 people do not
have access to clean water. Wash (). A global perspective of water is that 2.2 billion people in
developing countries do not have access to safe drinking water. UN Water Policy (2005).
Closer to home, the picture of the state of water projects in Kenya is alarming. Out of a
population of 40.7 million people 37% rely on unimproved, straight from the source water
such as rivers, ponds and shallow wells. Water.org/country/Kenya (1990-2017). 37% of the
Kenyan population search for water for their domestic and livestock upkeep. The issue being
addressed here not being clean water as is required by the water bill of right but the raw
resource. Only 9 out of 55 water service providers who are tasked with processing the water
for it to be palatable to Kenyans provide water to the people. Less than 20% of service
providers to this very basic need that life depends on are presumed to be actively involved in
doing what they are supposed to do. As a result of this, there are numerous water projects that
work with or alongside the national and county governments to fill in the gap in an effort that
at least the people have water and once again not necessarily clean and safe water but at least
they have water. Reducing the challenges that encumber the women and children to walk
long distances looking for the resource or children missing school. Women can concentrate
on other domestic and economic activities that will improve their lives as well as their health
and the children can allocate more time on their studies, getting to school on time and being
clean. The proliferation of water projects to fill the gap is supposed to at least ensure that the
basic resource is available to eradicate the challenges stipulated above before discussing the
quality of the water being provided to the people. The picture drawn elicits more questions
than providing answers as to the capacity state of water service providers and the capability
of projects to fulfil this mandate. The fact that there are 9 out of 55 service providers that are
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operational raises the question as to why there is such a huge number and yet only a few are
performing? Who monitors and evaluates what these institutions are supposed to do? What
policies and frameworks are in place to ensure that water projects are performing? How is the
involvement and participation of many well-wishers and organizations partnering and
collaborating with the state influencing performance of the water projects? What measures
are in place to ensure that the water resource deficit is reduced and the quality of water
provided emphasised upon? Are these water service providers (both from the county and
well-wishers) being scrutinized by internal and external evaluators? What is the underlying
project component that is hindering or creating a stumbling block to these institutions and
water projects from performance so as to reduce the gap that is being highlighted as a global
issue concerning water? An understanding of how the developed, developing and
underdeveloped nations water project performance through water management will aid give a
global overview of water projects perform.
Canada is at an advanced stage of managing its water by developing water related tools to
assess and monitor the water quality and quantities. . This is because to Canadians fresh
water is not an exception. Their current efforts are on the quality and quantity of water
accessible to its people by having water security which is defined as having sustainable
access, adequate quantities, acceptable quality and a robust eco-system. Norman, Bakker &
Dunn (2017)
In Australia water management is given the relevance it requires. Australia is cognisant of the
demand and supply imbalances of water and the consequential declining environmental
outcomes in rural areas. However it has three approaches to water management so as to
increase the efficiency of water use and security of water leading to a sustainable and stable
economic environment. These are pricing of water, government spending and adoption of
legislations as key drivers to promoting the development of water markets. Horne (2012).
Both Australia and Canada fall under the Organization for Economic Cooperation and
Development Countries (OECD). The UNICEF conference papers and studies attest to these
statements as nations allied to it constantly strengthen and build their M&E capacities of
water projects. UNICEF (…)
South Africa is one of the first countries in Africa to adopt policy on developmental water
management. Koppen and Schreiner. (2014). By adopting this new management approach as
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opposed to the integrated water management, South Africa adopts and actions the goal of
enabling people to access safe water, the process is rightful and equity is operationalized.
Zimbabwe has an issue of diminishing water. The country has adopted a system of installing
prepaid meters in an effort to increase revenue generation and ensure continued water service
provision to its people.
Tanzania water management and governance is decentralized to the regional areas in a bid to
ensure that water is sufficiently provided to end users. The process relies heavily on
participatory approaches involving users, planners and policy-makers. Since women are the
ones greatly affected by water scarcity, they are accorded the role of guardians to the water
projects to manage . This is because the stakeholders acknowledge water as an important
economic resource. Masanyiwa, Niehof & Termeer, (2015).
Kenya is faced by an acute decline of water accessibility however this is not because of lack
of water resources. Kisumu city is a town at the shores of the world’s largest fresh water lake
– lake victoria – which is in Western Kenya and yet its resident face water shortages. Ong’or
& Cang (2007). In Mbeere a region in Eastern Kenya water functionality and sustainability
face severe challenges threatened by complete collapse as soon as door partner contribution
ends. Kitetu & Ngige (2015). Notably, there is an absence of governmental regulation of
water leading to a lack of reliable and access to safe water. Hayanga (2007). These observed
issues insinuate a management crisis in the water sector and harnessing of water resource
despite the resource being available.
1.1.Context of the study: Water projects in Tharaka Nithi County
Water as a necessity is a resource that should ideally be provided by countries to its citizens.
Human right to water (2014). Tharaka-Nithi County is traversed by several permanent rivers.
The county is traversed by 14 permanent rivers which are Thuci, Ruguti, Thanantu, Kathita,
Thingithu, Kithinu, Tana, Tungu, Nithi, South Maara, Thangatha, Ura, North Maara,Kamara,
Naka and Mutonga. Greater concern is Tharaka south and north. It is inexplicable that for a
region with several permanent rivers, water is not available to the over 365,330 households in
the county (Tharaka Nithi County info 2009 census). Tharaka south and north have 50% of
these permanent rivers yet this is where majority of the water projects are situated. In addition
to the fourteen permanent rivers traversing the entire county, there are several small streams
some are seasonal and there are more than 100 Springs which all serve as the water sources to
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about 365,330 households according to the 2009 national census. Tharaka does not have any
water springs in the region however, it is characterised by over 400 water projects 274 in
Tharaka south and 138 in Tharaka north. Many of the people exploit surface water in Maara
and Chuka Igamba Ng’ombe sub counties and Boreholes, dams and pans in Tharaka sub
county where surface water abstraction has not been sufficiently exploited. There are also
several private hand dug wells and Roof catchment in use both private and institutions. Study
of spring water projects will be exempted from this study because this study will focus on
project in Tharaka north and south.
Table 1. Number of Water Projects in Tharaka Nithi and the Spread
Maara
Chuka
Tharaka
Tharaka
Igamba
South
North
Total
Ngombe
Gravity
74
20
5
4
103
Boreholes
3
4
254
118
379
Water pans
3
3
10
14
30
Rock
2
5
2
9
274
138
521
Catchments
Total
82
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Source: Tharaka Nithi County records
Water projects in Tharaka-Nithi County are implemented by different groups and
organizations that are trying to bring water and development to the region. Some of them are
in conjunction with the communities and others incorporate the county agencies to ensure the
long term sustainability and ownership of the projects. The water projects vary in type across
the four sub-counties. However, the sub-counties of Tharaka north and Tharaka south are
characterized by the following types of water projects due to its topographical and
geographical composition. Gravity irrigation water projects, gravity Domestic water projects,
Boreholes, Small dams and or Water pans and rock catchments. There are homesteads that
harvest water from housing roofs into tanks but these do not fall under projects that are
overseen been the county but individual household projects. Therefore understanding the
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capacity issues of these water projects may enlighten the readers as to the actual cause of the
proliferation of water projects with continued decline in diminishing water levels.
1.1.1. Monitoring and Evaluation Capacity
An understanding of the concept ‘capacity’ will enable the conceptualization of the M&E
capacity issues better. Capacity is a state or level that is prone to change. It has a fluid
stateless nature that exists in varied levels that work as an invisible force as a catalysts to
doing an act. It can be strengthened or weakened and has been defined as a form of
measurement or dimension that enables achievement of a level. Lusthaus, Adrien and
Pertusigen (1999). It is an outcome generated from the combination of people, institutions
and practices that enables the attainment of specific performance levels of development goal.
World Bank (1998), Lusthaus et al (1999). Capacity may be viewed as a strategy, approach,
methodology that enables an institution or person to perform which are used by the
institutions or systems to enable them to improve their performance. Abubakari, Kunimoto,
Neill, Sutcliffe & Zetek (2013). According to Abubakari et al elements of capacity drive
towards attainment of performance levels of organizational functions or activity such as but
are not limited to decision making, leadership, service delivery, financial management, ability
to learn, pride and motivation organizational integrity etc. Some listed elements of capacity
are decision making, leadership, service delivery, financial management, ability to learn and
adapt, pride and motivation, organizational integrity amongst other. Lusthaus et al (1999).
This research will be a study on some of the capacity elements of monitoring and evaluation.
The elements of capacity being analysed in this study are capacity of human resources for
M&E personnel to conduct M&E process through competencies, proper placement, enhanced
preparedness and correct posting. Capacity of the Monitoring and Evaluation financing will
be analysed through the budget process, fundraising strategy and finance utilization level and
lastly the capacity of infrastructure within the projects to guide and oversee successfully
M&E activities mainly, policy, procedures, standards and fiscal infrastructure.
1.1.2. Human Resource for Monitoring and Evaluation
Skills &competencies, proper placement, enhanced preparedness and training
This study will analyse human resource competences and process necessary for the right
person to be placed on a monitoring and evaluation team of a project. Skills and
competencies are people describing concepts that are used interchangeably to define a
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person’s abilities to perform a job successfully. Sturguss (2012). One is learned and the other
heavily relies on an individual’s personality composition to do the job. Skills are acquired
abilities through learning that bring about results and competencies are a cluster of abilities
within an individual that propel them to act effectively in a job or situation. A skill is a
capacity that plays a role of an enabler and is acquired through learning in order to carry out
one or more jobs.
Skill is an ability or dexterity that is developed through training or experience. This may be
termed as enhanced preparedness. It is a deliberate, systematic and sustained effort to address
job related functions that involve the cognitive, technical and inter-personal. Sturguss (2012).
Other terminologies for enhanced preparedness can be capacity development or capacity
strengthening.
Competence on the other hand are measurable abilities that demonstrate the practicability of
how a specific job is done to achieve results. Competencies involve observable and
measurable skills, abilities, and in addition personal traits that enable an employee to fit in
with a defined role within an organization. Competencies do not just include knowledge skills
but draw on the personal traits and attitudes on an individual.
Skills and competencies as two complimentary abilities that a) expresses the outcome that a
person needs to demonstrate while doing a job in other terms enhanced preparedness and b) is
learned and acquired through training and development. It is acknowledged that the latter is a
competency that relates to the individual and is measurable whereas the former is competence
that is job-related. (Omidvar & Samad (2014), Sturguss (2012). Competence is a ‘set of
observable skills, knowledge and abilities that enable an individual to perform their
organizational duties’. Mirkameli & Salejeghe (2014). A similar definition that adds personal
traits, motives, attitudes and other personal characteristics that are relevant to getting a job
done is added by Sumner & Powell (2013). They distinguish competence abilities to
competency abilities as hard and soft skills. Sumner & Powell (2013). The soft skills is the
emotional intelligence (EQ) situated on the right brain of an individual and these generate
personality and behaviour characteristics like self-management, confidence, stress
management and people skills. Sturguss (2012). The soft skills or competences are job related
and the rules of these skills change. They are not taught in schools they are learned through
trial and error. The hard skills require the cognitive ability or the IQ which is situated on the
left side of the brain. One learns these types of skills in maths, accounting, statistics,
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programming, physics, biology etc. The rules for hard skills do not change. These are learned
through books and school system. Skill is ability that is developed through training. Sturguss
(2012). Skill as a capacity acquired by an individual through a deliberate, systematic and
sustained effort to address work-related or job-related functions whereas a competence is
related to how a person behaves and this involves cognitive skills, technical skills and
interpersonal skills. Sturguss (2012).
Placement is a resource terminology used to describe the process through which an individual
is recruited to a specific job or work. It is a process of assigning a specific job to a specific
person. Ref……..
The study conceptualizes monitoring and evaluation human resources through skill and
competence of M&E personnel, their training, their enhanced preparedness or capacity
strengthening and their correct placement on the monitoring and evaluation team of the water
projects.
1.1.3 Infrastructure for monitoring and evaluation
policy, policy formulation, procedures, standards and fiscal infrastructure
This study will undertake to establish how infrastructure in monitoring and evaluation
governs and guides monitoring and evaluation of water projects in Tharaka Nithi County.
Infrastructure is a framework or composition of a system or process. Hence policy, fiscal
infrastructure, standards and procedures are components of the monitoring and evaluation
process.
Policies are operating ideals that are subject to scrutiny and change as a result of as
contri …
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