PARTICIPATORY PROJECT MANAGEMENT AND SUCCESS OF SLUM

UPGRADING PROJECTS IN KOROGOCHO INFORMAL SETTLEMENTS

NAIROBI CITY COUNTY, KENYA

DOROTHY KARIMI NJERU

D53/CTY/PT/28627/2014

A RESEARCH PROJECT SUBMITTED TO THE SCHOOL OF BUSINESS, IN

PARTIAL FULFILLMENT OF THE REQUIREMENTS OF THE DEGREE OF

MASTER OF BUSINESS ADMINISTRATION (PROJECT MANAGEMENT

OPTION) OF KENYATTA UNIVERSITY.

MAY, 2018.
 DECLARATION
This research project is my original work and has not been presented for a degree or other

award in any other university. No part of this research project should be reproduced without

authority of the author or/and Kenyatta University.

Signature: …………………………………. Date: ………………………………………

Dorothy Karimi

D53/CTY/PT/28627/2014

This project has been submitted for examination with my approval as university supervisor

Signature……………………. Date……………………………..

Ms. Gladys Kimutai

Department Of Management Science

School Of Business, Kenyatta University.

ii
 DEDICATION

I dedicate this work to my family especially my son Nolan Ellys Jabali.

iii
 ACKNOWLEDGEMENT

I wish to acknowledge the contributions of my parents Mr. and Mrs Elias Njeru, my sister

Millicent Njeri, my brother Vincent Macharia, my niece Angel Rehema and my son Nolan

Ellys Jabali, and colleagues at the university who give me total support and encouragement

towards my pursuit to obtain a Master of Business Administration Degree. I am also grateful

to my respondents for taking their time to fill the questionnaires. I am equally grateful to my

supervisor Ms. Gladys Kimutai for the valuable supervision, which gave me the skills and

direction for this study. I also appreciate Kenyatta University for according me the chance to

pursue this course.

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 TABLE OF CONTENTS

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

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

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

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

LIST OF TABLES ................................................................................................................. viii

LIST OF FIGURES ................................................................................................................. ix

OPERATIONAL DEFINITION OF TERMS .......................................................................... x

ABBREVIATION..................................................................................................................... x

ABSTRACT ........................................................................................................................... xiv

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

1.1 Background of the Study ................................................................................................. 1

1.1.1 Project Success ......................................................................................................... 2
1.1.2 Participatory Project Management ........................................................................... 4
1.1.3 Slum Upgrading Projects in Nairobi County ............................................................ 6
1.2 Statement of Problem ...................................................................................................... 7
1.3 Research Objectives ........................................................................................................ 8
1.3.1 General Objectives .............................................................................................. 8
1.3.2 Specific Objectives ................................................................................................... 8
1.4 Research Questions ......................................................................................................... 8
1.5 Significance of the Study ................................................................................................ 9
1.6 Scope of the Study......................................................................................................... 10
1.7 Limitation of the Study ................................................................................................. 10
CHAPTER TWO: LITERATURE REVIEW ......................................................................... 11

2.1 Introduction ................................................................................................................... 11

2.2 Theoretical Review ....................................................................................................... 11

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 2.2.1 Change Theory ....................................................................................................... 11
2.2.2 Freirean Theory of Dialogue and Society............................................................... 11
2.2.3 Theory of Ladder of Citizen Participation .............................................................. 12
2.3 Empirical Review .......................................................................................................... 14
2.3.1 Participatory Project Identification and Project success ......................................... 14
2.3.2 Participatory Project Planning and Project Success ............................................... 15
2.3.3 Participatory Project Implementation and Project Success .................................... 17
2.3.4 Participatory Project Monitoring and Evaluation and Project Success .................. 18
2.4 Summary of Literature and Research Gaps................................................................... 20
2.5 Conceptual Framework ................................................................................................. 21
CHAPTER THREE: RESEARCH METHODOLOGY ......................................................... 22

3.1 Introduction ................................................................................................................... 22

3.2 Research Design ............................................................................................................ 22
3.3 Target Population .......................................................................................................... 22
3.4 Sampling........................................................................................................................ 23
3.5 Data Collection .............................................................................................................. 23
3.5.1 Validity of Research Instruments. .......................................................................... 24
3.5.2 Reliability of Instruments ....................................................................................... 24
3.6 Data analysis and presentation ...................................................................................... 25
CHAPTER FOUR: DATA ANALYSIS, PRESENTATION, AND INTERPRETATION ... 27

4.1 Introduction ................................................................................................................... 27

4.2 Response Rate ................................................................................................................... 27

4.3 Demographic Information ............................................................................................. 28

4.3.1 Gender of the Respondents ..................................................................................... 28
4.3.2 Age of the Respondents .......................................................................................... 29
4.3.3 Respondents’ Education ......................................................................................... 29
4.4 Respondents Work Experience ..................................................................................... 31
4.5 Participatory Project Identification ............................................................................... 31
4.6 Participatory Project Planning....................................................................................... 33
4.7 Participatory Project Implementation............................................................................ 35

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 4.8Participatory Project Monitoring and Evaluation........................................................... 37
4.9 Success of Slum Upgrading Projects ............................................................................ 38
4.10 Inferential statistics ..................................................................................................... 40
CHAPTER FIVE: SUMMARY OF FINDINGS, CONCLUSIONS AND
RECOMMENDATIONS ........................................................................................................ 44

5.1 Introduction ................................................................................................................... 44

5.2 Summary of the Findings .............................................................................................. 44
5.2.1 Participatory Project Identification ......................................................................... 44
5.2.2 Participatory Project Planning ................................................................................ 45
5.2.3 Participatory Project Implementation ..................................................................... 45
5.2.4 Participatory Project Monitoring and Evaluation ................................................... 45
5.2.5 Success of Slum Upgrading Projects ...................................................................... 46
5.3 Conclusion..................................................................................................................... 46
REFERENCES ....................................................................................................................... 49

APPENDIX I: LIST OF INSTITUTIONS ............................................................................. 53

APPENDIX II: QUESTIONNAIRE FOR COMMUNITY MEMBERS ............................... 54

APPENDIX IV: INTRODUCTION LETTER ...................................................................... 64

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 LIST OF TABLES
Table 3.1 Sample Size and procedure..…………………………………....…………………25

Table 4.1 Response Rate ….....................................................................................................29

Table 4.2 Experience in slum upgrading projects....................................................................31

Table 4.3 Participatory Project Identification ……………………………..…………..….…32

Table 4.4 Participatory Project Planning………....................................................................34

Table 4.5 Participatory Project Implementation………………………..……………………36

Table 4.6Participatory Project Monitoring and Evaluation ………………….…………….39

Table 4.7Success of Slum Upgrading Projects………………………………..…………….41

Table 4.8 Regression Model Summary……………………………………………………..42

Table 4:9 Analysis of Variance ( ANOVA)…………………………………………….......43

Table4.10 Regression Coefficients…..………………………………………………….…44

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 LIST OF FIGURES

Figure 2.1 The Ladder Of Citizen Participation……………………………………………..11

Figure 2.2 Conceptual Model……………………………………………………………..…18

Figure 4.1: Gender of the respondents………………………………………………………30

Figure 4.2: Age of the respondents………………………………………………………….31

Figure 4.3 Respondents level of education………………………………………………….32

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 ABBREVIATION AND ACRONYMS

PPI Participatory Project Implementation

PPID Participatory Project Identification

PPM Participatory Project Management

PPME Participatory Project Monitoring and Evaluation

PPP Participatory Project Planning

SUPs Slum Upgrading Projects.

PMBOK Project Management Body of Knowledge

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 OPERATIONAL DEFINITION OF TERMS

Participatory Project Identification- refers to the involvement of community

members in the needs assessment and selection

of a project that will respond to their needs. The

community members are also involved in the

development of the objectives. As per the

research, PPI involves participation in the

identification of projects through feasibility

studies, project idea source and taking part in

conceptual forums.

Participatory Project Implementation- refers to involvement of community members in

putting into action the activities developed in

the planning stage.

Participatory Project Management- it refers to involvement of the public in the

management of project life cycle to ensure

ownership and sustainability of the project. In

this research, it involves participation in the PPI,

PPIM, PPP, PPEM.

Participatory Project Monitoring and Evaluation- refers to the involvement of community

members in the continuous review

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 whether the set objectives of a project

and intended outcomes are achieved. In

the research, PPME is defined as

community members taking part in

M&E process and continuous update of

community members of the project

progress.

Participatory Project Planning- refers to inclusion of community members in

coming up with activities that will help the set

objectives for the project.In this research, PPIM

involves participation in the development of

project plan, identification of important

resources, and decision making.

Slum Upgrading Projects- these are projects that many goal is to

improve the living conditions of the

slum areas. In this research, it refers to the

transformation in the slums after completion of

xii
 project in terms of basic living conditions such

as sanitation, education and poverty alleviation.

Success- refers to the continuity of the developmental and

benefits even after the exit of the change agents.

It refers to the achievements of a project in

terms of meeting objectives and achieving the

intended outcomes. In this research, success is

shown through the meeting project objectives,

improved living standards, recorded growth and

profitability.

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 ABSTRACT

Slum upgrading projects have in existence in Kenya since 2000. Their aim is to improve the
living standards of the slum residents. However, the level of poverty continues to increase in
the slums. The project success of the slum upgrading projects is questioned because the
number of people living in the slums is increasing. Experts’ development studies suggest that
for project to be successful, participatory project management should be embraced. Despite
the government of Kenya advocating for citizen participation in community development
projects, the slum upgrading projects are not meeting their intended objectives. Therefore,
the purpose of this study was to establish how participatory project management influences
thesuccessslum upgrading projects in Korogocho informal settlements. The specific
objectives of the study were to establish how participation at different stages of project life
cycle- identification, planning, implementation, and monitoring and evaluation influence the
success of the slum upgrading projects.The study was guided by the theory of change. The
study was conducted in Korogocho informal settlementsin NairobiCounty. The participants
were selected through cluster sampling and simple random sampling. The study used both
qualitative and quantitative research. The research design is descriptive study.Data analysis
was done by use of the regression model and SPSS software. Informationwas presented
inform of tables graphs and narratives. Descriptive statistics was used to analyze, present,
and interpret data. The result shows that participatory project management leads to the
success of the slum upgrading projects. The findings show that increase in participation in
the following stages of project management: project identification, project planning and
project implementation increases chances of success of slum upgrading projects.There was
participation in project identification stage although basing on the mean scores more
participation is needed. Community members were involved in project implementation.
However, basing on mean scores, more inclusion is essential to ensure success of SUPs.
Participation in project implementation stage was noted. However, increase in participation
in this stage would lead to increase in success of the slum upgrading projects. However, from
the regression model the PPME coefficients were negative hence implicating that increase in
participation at this level would decrease chance of success. Therefore, the study
recommends that community members should take an active role in all of the projects being
carried out in the informal settlement. More participation in project identification, project
planning and project implementation should be encouraged. However, minimal participation
in monitoring and evaluation should be encouraged. Further study should be done to on the
same topic but with inclusion of other variables.

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 CHAPTER ONE: INTRODUCTION

1.1 Background of the Study

The work nature is constantly changing and there has been a major increase in the demand

for project management. Project management was first embraced in the traditional project

based industries such as information technology and aerospace. However, project

management is now adopted in other sectors such as health care, finance, construction and

energy sector (Richardson, Earnhardt, & Marion, 2015).

Project management, as defined by project management book of knowledge, which was

created by project management institute in 2008, is the utilization of knowledge, tools, skills

and techniques in project activities to achieve the project targets. The PMBOK states project

management has five phases- identification, planning, implementation, monitoring and

control, and closure.The identification phase involves all the activities that aim at defining a

new project or a phase from an already existing project. The planning stage includes all

activities that aim at establishing the overall scope of the effort needed to finish the project

successfully (Mulwa, 2008). Moreover, it defines the project objectives and creates all the

actions necessary to achieve those objectives.

During the implementation stage, the activities that take place aim at completing the work

defined in the project management plan that is developed during the planning process. The

second last phase of project management is the monitoring and control stage. Monitoring

involves keeping track of the project activities to ensure the progress and project

performance is as desired. Control on the other hand involves the activities that are necessary

to adjust the progress and modifications to fill any gap between existing progress and an

1
accepted plan. The last phase of project management is closure which activities are those that

are necessary for finalizing the project officially.

Upon understanding the project management cycle, it is important to understand the theories

of projects activities such as skills, tools, knowledge, and technology as well as how to apply

them in real life project management. When the project activities are well-understood success

of projects can be assured.

1.1.1Project Success

According to Savaya and Spiro (2011), project success is a crucial aspect of social projects

for both moral and financial reasons. Success refers to ensuring the intended purpose and the

objectives of the project are met. It means that the community members’ livelihoods and the

overall state of the area have improved as result of projects carried out in the community

(Kates, 2011).

Project evaluation especially the developmental projects are not complete if issues of success

are not addressed. However, it is essential to understand the predictors of success in order to

ensure success is assured in any project. Project success has different predictors, which are

categorized in four: the main funder, the community, the auspice organization, and the

variables that regard the project. The variables on the funders involve investment and

involvement in the project. Those variables that are concerned with the community include

the community participation in the project running. The variables that regard the auspice

organization involve the sense of ownership, the managerial support, and the existence of

project champions. Finally, the variables that are concerned the project involve both the

nonfinancial and financial resources (Savaya and Spiro, 2011).

2
Project success has become an issue of concern and its significance will increase in the

coming years. Project success refers to the continuation of the project even when the change

agents or the donors have exited. Project success leads to the empowerment of the

beneficiaries.

Deland (2009) defined project success as efficient use of resources by the project team from

project initiation to project closeout. Tam (2010) defined project success as enhancing

positive impacts while minimizing the negative impacts- economic social and environmental-

throughout the process through which projects are initiated planned, implemented, monitored

and evaluated ensuring the anticipated benefits are achieved and there is sustainable

development in the society.

The concept of project success has a varied and broad scope. Project success makes sure that

institutions are supported through projects and the benefits realized are maintained and

continue to exist after the end of the project (IFAD, 2007). In the development sector, the

concept of success has been applied to financial resources. Different researchers have

identified the indicators of project success. Indicators can be economical, social, or

environmental depending on the type of the project. Mahinge (2013) in his study on the

success of community projects identified project indicators as improved living standards,

high levels of income, recorded growth, profitability, and objectives being met.

Theuri (2014), studied the determinants of project success among non-governmental

organizations in the health sector in Nairobi County. She used descriptive research design.

The sampling design adopted was systematic random sampling. The target population was

attained using Krejecie and Morgan table. The tool for data collection was questionnaires.

3
Inher study, she identified the indicators of success of the project to include financial viable,

environmental sound, long-term community value and social responsible. Kimei (2014), in

her study on community participation and success of community development projects

identified project success indicators as the ability of the community members to use and

improve the project after donors exit. The other indicator of success she identified was the

project life span either long-term or short-term.

The indicators of the project success vary with the nature of the project. However, the

common indicators as seen in the reviewed literature include financial benefits, long-term

project lifespan, community value which represents community empowerment.

1.1.2 Participatory Project Management

Community participation in developmental projects is a key aspect of promoting

accountability, efficiency, and transparence especially in allocation of resources as well

ensuring the problems of social inequality are addressed (Nuttavuthisit, Jindahra, and

Prasarnphanich, 2014). Participatory project management ensures inclusion of the

community members in making key decisions of every phase of the project. Community

members take active role in the identification, planning, execution, monitoring, and control

as well as in closure phase. Participation in this context is where groups, organizations and

individuals decide to take an active role in decision-making on issues that affect them

(Usadolo and Caldwel, 2016).

PPM also includes project needs identification. During project needs identification, people

take part in pointing out their felts needs and ranking them in terms of the most pressing. If

people are involved in these processes, they end up owning the project as their own and

4
manage it effectively. Participatory development is effective because it starts an

empowerment process that allow the beneficiaries of the project to assume responsibility for

developing and designing initiatives, executing them and ensuring high levels of project

success are maintained. Participation is a goal by itself and can be seen as an empowerment

process in which people acquire knowledge, skills and experience to pursue greater

accountability for their development (Barasa & Jelagat, 2013).

The other phase of PPM is PPP, which involves community members taking part in the

development of project plans, planning for necessary resources as well as activities. Project

planning assists in developing timelines for the achievement of the project goals. After

project planning, the other phase is project implementation. Participatory project

implementation is essential as it allows pooling of resources to ensure the project activities

are effectively and efficiently carried to ensure the project goals are timely and successfully

met. The final stage is monitoring and evaluation. Participatory project monitoring and

evaluation helps in ensuring the project is carried out in the right way. It helps in the

correction of errors and inclusion of omissions.

Participative approaches rely on people and success is determined by their involvement and

cooperation. Several projects havecollapsed due to lack of significant participatory processes

involving people and hence project management gaps emerge and this threatens the survival

and success of these projects (Mulwa, 2008). Evidence has shown that funds availability does

not guarantee project success and sustainability. However, community participation in

management, monitoring, and evaluation is essential.

5
1.1.3 Slum Upgrading Projects in Nairobi County

The urban centres of Kenya are facing an increasing growth rate of slums. As urbanization

take place, so is the creation and growth of informal settlements. According UN-Habitat

(2009), more than 34% of Kenya population lives in the urban areas with more than 71% in

the slums. Nairobi City County is one of the most affected cities in Kenya with at leastnine

slums distributed among the nine administrative districts. The slums are Korogocho,

Mathare, `Kibera, Mukuru Kwa Njenga, Mukuru, Soweto, Kiambiu, and Kinyago. The

dwellers of these areas live in very disturbing inhumane conditions, with lack of access to

clean water, improved health services, sanitation, and housing. Moreover, majority of these

people are unemployed and lack access to quality education. It has led to increased rates of

crimes and insecurity in the areas. These conditions have attracted government institutions

and non-governmental organizations in the areas with the aim of providing interventions to

the residents. It has led to the growth of slum upgrading projects.

Slum upgrading projects in Kenya were initiated back in 2000 with the unveiling of The

Kenya Slum Upgrading Programme (KENSUP) that was as result of agreements between the

government of Kenya and UN-HABITAT (Huchzermeyer, 2008). The initiation was as the

aim to improve the living conditions of people living in the slums as ell ass achieve the

millennium development goals. The MDG seven target eleven aims at ensuring the people in

the slums afford a modest life. According to UN-Habitats, Korogocho is an informal

settlement found in Nairobi. It is ranked the fourth largest slum. There are projects that aim

to improve the living conditions of the slum dwellers. The project aims at ensuring that the

community members are involved in the programme. The key stakeholders are involved in

the implementation of the projects to ensure success.

6
1.2 Statement of Problem

Project success is essential as it helps in ensuring empowerment of the beneficiaries. Project

success is a keyelement to sustainable development of a country. As a way to ensure project

success, the community members need to take part in the identification, planning,

implementation and monitoring and evaluation of the project.The Korogocho informal

settlements have not developed despite several governmental and non-governmental projects

in these areas. The residents of this area continue to experience poor living conditions such as

lack of better housing as well as poor sanitation. It therefore raises concerns of what makes

these projects not achieve their desired outcomes. The Kenya’s new constitution has a key

focus on public participation under devolution. It is meant to change the decision making

from centralization to decentralization that is to the counties allowing bottom up engagement

(Public Participation Key to Kenya’s Devolution). Slum upgrading has faced many issues

when it comes to participation due the fact that the slum dwellers are not the legal owners of

the areas they reside and sometimes there are questions of whether they should be occupying

the area. Due to this, slum residents have been left behind in from taking active part in the

political, economic, and cultural activities of the cities (Arimah, 2011).

Despite the legal guidelines in many countries advocating the involvement of the local

people in the project cycle that is, identification, planning and design, monitoring and

evaluation and implementation, participation has not been fully adopted. The government has

not been successful in ensuring the locals take part in the planning or urban activities and

slum upgrading projects. However, these laws are present and allow for participation

(Goldfrank, 2012).In Kenya, a long process has been taken to ensure the growth of

community participation in the economic development. However, it is not yet clear whether

7
local participation leads to sustainable projects. Participation has been associated with

empowerment and capacity building to the beneficiaries. It is therefore important to find out

whether participatory project management leads to the success of slum upgrading projects.

1.3 Research Objectives

1.3.1 General Objectives

The general objective of this study was to establish participatory project management

influences to success slum upgrading projects in Korogocho informal settlements.

1.3.2 Specific Objectives

The researcherwas guided by the following specific objectives:-

1. To establish the influenceof participatory project identificationon success of slum

upgrading projects in Korogocho informal settlements.

2. To determine how participatory project planning influencesthe success of the

slum upgrading projects in Korogocho informal settlements.

3. To find outthe influence of participatory project implementation onthe success of

slum upgrading projects in Korogocho informal settlements.

4. To establishhow participatory project monitoring and evaluation influence the

success of slum upgrading projects in Korogocho informal settlements.

1.4 Research Questions

The researcher was guided by the following research questions:-

1. How does participatory project identificationinfluencethe success slum upgrading

projects in Korogocho informal settlements?

8
 2. How does participatory project planning influencethe success of slum upgrading

projects in Korogocho informal settlements?

3. How does participatory project implementation influencethe success of slum

upgrading projects in Korogocho informal settlements?

4. How does participatory project monitoring and evaluation influencethe success of

slum upgrading projects in Korogocho informalsettlements?

1.5 Significance of the Study

Developing country local governments are experiencing many challenges in planning urban

development. The problems stem from the urbanization of poverty mostly manifested in the

slums that most of the urban poor people live and work. For the problems brought by urban

growth in developing countries, particularly increase and expansion of slums are to be

effectively addressed and sustainable development achieved, there is need to review the

existing institutional and regulatory frameworks governing urban planning and development.

The contribution of different stakeholders, institutional and regulatory frameworks, to slum

upgrading must be acknowledged to allow their participation in the project management

process.

This study aimed at reviewing some of the upgrading projects in Korogocho informal

settlementswith the main aim of enhancing urban project management and development by

pointing out and giving recommendation to the problems in the existing institution and

regulatory frameworks that have not been successful in ensuring sustainable development.

This study is of value to researchers and practitioners in the field of project management. The

findings are useful for both government and non-governmental institutions planning to

engage in slum upgrading projects. These institutions have a chance to gain knowledge on

9
importance participatory project management in ensuringsuccessful development. At the

same time, the paper is useful to scholars who can use it as a reference material in their

academic studies.

1.6Scope of the Study

The study was done in Korogocho Informal Settlement. Korogocho Informal Settlement is

located in Nairobi County, Kasarani Sub-county. The areais an excellent choice because

several slum-upgrading projects have been done in the area but the living conditions of the

dwellers are yet to improve. There are ongoing projects in the areas both governmental and

non-governmental, hence reliable information was gathered and provision of accurate

findings was guaranteed. Data collection and data analysis were done in one month.

1.7 Limitation of the Study

The study aimed at finding out whether participatory project management leads to

sustainable slum upgrading projects and it is anticipated that some of the institutions carrying

out slum upgrading projects may withhold information. However, this was addressed through

ensuring confidentiality and anonymity was observed during data collection.

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 CHAPTER TWO: LITERATURE REVIEW

2.1 Introduction

This chapter contains the literature review on participatory project management for

sustainable slum upgrading projects. Among the contents of the chapter is the theoretical

review. The theories to be discussed in this study are theory of change, freirean theory of

dialogue and society and theory of ladder of citizen participation.The empirical review of the

study is also present in this chapter. Finally, the conceptual framework and the research gaps

will be identified.

2.2 Theoretical Review

2.2.1 Change Theory

The first theory to be examined in this study is the theory of change. The theory was

proposed by Kurt Lewin. Theory of change is a theory that focuses on constructing a model

that focuses on the underlying assumptions, influences, logic, expected outcomes, and causal

linkages of a development project (Jackson, 2013). Moreover, theory of change is an efficient

tool for developing solutions to social problems. The theory of change is crucial in this study

because it focuses on the change that will occur in the slums after the success of slum

upgrading projects.

2.2.2 Freirean Theory of Dialogue and Society

This project is based on the second theory to be reviewed is the Freirean theory of dialogue.

The Paolo Freire’s theory of dialogue (Freire, 1997) states that dialogue is crucial to freedom

and education of the people since it challenges past held methods using critical thoughts.

Freire advocacy for dialogue was because constant communication opens doors for success

11
and prosperity in any situation. When project leaders and community members learn to

dialogue, breakthroughs are found. Taking part in dialogue challenges mediates social

realities by bring them out as problems that can be critically analyzed by the people who are

directly experiencing them (Rugut and Osman, 2013).

The importance for the use of the Freire theory in this project is due to the advocacy for

active participation of slum residents in the slum upgrading projects in order to ensure their

success. Community members require being involved in the entire project management of

these projects.

2.2.3 Theoryof Ladder of Citizen Participation

This theory was proposed by Sherry R Arnstein. Citizen participation gives opportunity to

the public to influence decisions that will affect them. It plays a major role in ensuring

democracy and success of projects and policies. In 1969, Sherry Arnstein developed a ladder

of participation that aimed to show citizen participation ranging from high to low in the

planning processes. As shown in the figure below, Arnstein showed how decision power

should be divided in different levels of the ladder. The ladder with much decision power to

the citizen, citizen control, ensures accountability, transparency, and success.

12
 Citizen control

Citizen control
Delegated power

Partnership

Placation

Consultation
Tokenism

Informing

Therapy

Non-Participation
Manipulation

Figure 2.1: Ladder of Citizen Participation

Source: (Arnstein, 1969)

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2.3 Empirical Review

2.3.1Participatory Project Identification and Project success

Project identification phase is the first phase of the life cycle of a project. During this phase,

project needs and objectives are identified. Needs assessment is carried and possible

solutions to the problem are presented. After selection of the best intervention, project

proposal is developed. Participatory project identification therefore refers to the involvement

of community members in the undertaking of the above activities. Community members have

a better knowledge of the problems affecting them and hence can help develop a sustainable

solution. The participatory aspects of project identification that lead to project success are the

following. They include community involvement in the sourcing of project idea, selecting the

type of the project, attending conceptual meetings and taking part in feasibility studies.

The involvement of community members in project identification is essential because the

project should emanate from the needs of the community. The project technical team should

not have predetermined ideas of the interventions to the community problems during this

stage of the project because it will hinder participatory processes in the succeeding

stages(Jacob, 2011). He argued that many project failures are because of community

members being left behind during the identification phase. The project technical team comes

with a blue print plan, which they impose to the community members to accept.

Maraga et.,al (2011) studied community participation with the course of project life in

afforestation projects in river Nyando basin, Kenya. The study adopted descriptive research

design. The data collection tools were informant interviews, standardized questionnaires, and

focus group discussion. The sampling method used was systematic sampling method. A

14
single household was selected out of the first five household. During the project

identification phase, they found that there was low involvement of community members. It

was in line with other studies that found out that the community members are not included in

the activities of project identification such as proposal development, project site selection and

needs assessment.

Ehigiator (2013) was investigating the role the community based organization had in

responding to the challenges found in the community. He identified that inclusion of

community members in project management phases will be an effective strategy to ensuring

sustainable solutions in the slums. Project identification involves needs assessment, selection

of project objectives, project team and other essential requirements of the project. This is an

important phase of a project because it determines the success and sustainability of the

project.According to Ehigiator (2013), participation in project identification assists the

project team to select the intervention that best responds to the needs of the community. The

community members are well aware of the challenges facing them and therefore, they can be

involved to develop suitable solutions. During this stage, the community members take part

in needs assessment as well as development and selection of community interventions.

The above studies show that there is involvement of community members in the project

identification stage. Community members are included in the needs assessment as well as in

the project proposal development.

2.3.2 Participatory Project Planning and Project Success

Project planning is the second phase of a project life cycle. During this stage, the project

solution is further developed with the required steps to achieve the project goals identified. It

15
involves planning for resources- human and financial. It also involves the formulation of

work plan. When one talks of participatory project planning, it means that including

community members in developing the project plan. The participatory planning aspects that

lead to project success includes participation in the development of project plan, decision

making role and consultation on resources needed (human &non-human).

Dhubhain et.,al (2008) also found out that lack of community involvement in project

planning in Ireland and Flanders led to delay of project implementation. This led to projects

in those areas lagging behind. Maraga et.,al (2011) on their research study on community

participation in project life cycle of afforestation projects the looked at the involvement in the

project-planning phase. The study adopted descriptive research design. The data collection

tools were informant interviews, standardized questionnaires, and focus group discussion.

The sampling method used was systematic sampling method. A single household was

selected out of the first five household. They found out that community members were

involved in the planning of the projects. When the respondents were asked whether they

attended planning meeting more than a half, 54%, of them were aware of any planning

meeting was done.

Jelegat and Barasa (2013) argued that community involvement in project planning is critical

in promoting development at the basic community level. They felt that community

participation is an essential tool for sustainable development for any country’s development.

Participation is known to promote empowerment, equity, accountability and ensures

democratic behavior and development. Participation more so in project planning ensures

better management actions and high rates of project completion as well as ownership.Their

recommendation was community members need to be involved in all the stages of project

16
management. They should take charge of identifying, planning, and managing their needs

without imposed interventions from the outside.

Participation of community members in project planning is essential as it paves way for

effective implementation of the project. However, the review of the above literature showed

that majority of community members are included in the planning of the project. Many of

them fail to know when the planning takes place.

2.3.3 Participatory Project Implementation and Project Success

Participatory project implementation refers to the inclusion of all stakeholders in the

execution of the project. Project implementation is the third phase of the project life cycle.

During this stage, the project plan developed in the planning stage is put into action. The

participatory project implementation aspects that lead to project success include community

involvement in project activities and community members employed in project.

Maraga et.,al (2011) on their study on community participation in the project cycle of

afforestation projects looked at the participation in project implementation phase. The study

adopted descriptive research design. The data collection tools were informant interviews,

standardized questionnaires, and focus group discussion. The sampling method used was

systematic sampling method. A single household was selected out of the first five

household.Different to the identification and planning stage, there were high levels of

community participation. Community participation at the implementation phase is higher

than in the other stages of project cycle.

Bokea (2012) in his study on factors influencing implementation of community projects

found that community members were not fully involved. He pointed out that project

17
implementation failures were increased by lack of community participation. He suggested

that community members should be motivated to take part in the community developmental

projects.

Limo (2013) found that lack of community participation in the implementation of community

development projects as key reason for lack of project success. He suggested that better

strategies to increase citizen participation should be formulated. The reviewed literature

pointed out that public participation in the project implementation stage is better compared to

the other phases of the project life-cycle. However, more needs to be done to motivate and

allow community members take part in the execution of the developmental projects in their

area. Moreover, better strategies that allow community involvement require to be formulated.

2.3.4 Participatory Project Monitoring and Evaluation and Project Success

Monitoring is a continuous form of evaluation, which is carried out throughout the course of

the project. It aims at improving the project design and implementation. Evaluation on the

other hand, is an organized process that involves collection, recording and organizing of

information concerning project outcomes inclusive of project deliverables and project

deliverables as well as project impacts. Participatory monitoring and evaluation is the

process, which engages stakeholders in different levels in monitoring and evaluating specific

project have a share of control over the information and take part in identifying the

appropriate collective measures. PPME does not only ensure effectiveness but also ensuring

ownership, accountability, transparency, and empowerment of beneficiaries. The

participatory project monitoring and evaluation aspects that lead to project success include

community involvement in M & E process and community members employed in project.

18
Thou (2010)studied the level of beneficiaries’ involvement in projects in regards to the

Kenya Agricultural Productivity Project. The research design used was descriptive survey.

The sampling design adopted was stratified random sampling. The data collection tools were

interviews and questionnaires. He found that beneficiaries were highly included in the project

monitoring and evaluation exercise. He found out the inclusion of beneficiaries made them

empowered and fostered ownership of the projects. The beneficiaries were also able to help

the project technical team identify the failures that they may have encountered.Maraga et.,al

(2011) studied community participation within the course of project life in afforestation

projects in river Nyando basin, Kenya. The study adopted descriptive research design. The

data collection tools were informant interviews, standardized questionnaires, and focus group

discussion. The sampling method used was systematic sampling method. A single household

was selected out of the first five household. They found that community participation in

project monitoring and evaluation phase was low. Majority of them were not even aware that

the exercise took place. Many of community members did not also get access to the

monitoring and evaluation reports.

Meri (2013) studied the key elements that lead to effective monitoring and evaluation. The

study used descriptive research design. The data collection tool was a questionnaire. The

study also adopted a simple random sampling method to acquire its respondents found out

that community participation was one of the key elements to effective monitoring and

evaluation. Community participation led to effectiveness of monitoring and evaluation in that

it fostered accountability and transparency. The study later recommended that all

stakeholders should be involved in the monitoring and evaluation to increase its

effectiveness. In the above reviewed studies, inclusion of community members was pointed

19
out as a critical element towards effective monitoring and evaluation. The studies also found

that the participation increased accountability and transparency.

2.4 Summary of Literature and Research Gaps.

Past studies done on the theoretical literature review have shown that project success is

fostered by the participation of the major stakeholders in the project cycle. It is important to

include beneficiaries from the project initiation, planning, implementation and monitoring

and evaluation. In the literature reviewed in the empirical review, several communities’

members were not involved in the project cycle. It has affected the project success as well as

the empowerment of the community members. The failure to ensure participation in project

management affects several aspects of project success such as improvement of the projects

after the donors exit.

There are possible gaps in the project life cycle as far as participation of community is

concerned. Several community members lack the opportunity to be included in all the phases

of the project life cycle. The study will aim at filling the gaps in the academic literature.

Many of the researchers have focused on studying how community participation one or two

stages of project life cycle affects the success of the projects but there are no studies that

focuses community participation in all stages of the project life cycle. Particularly, this study

will try to expose the participatory project management in the slum upgrading projects in

Nairobi County and the gaps that may be existing and what are the emerging issues and way

forward.

20
2.5 Conceptual Framework

Independent Variable

Participatory Project identification

Dependent Variable
 Source of project idea
 Attendance of project conceptual
forums
 Communication and
participation in feasibility Success of Slum Upgrading
studies
Projects

 Objectives met
Participatory Project Planning  Better living standards
 Recorded growth
 Participation in the  Profitability
development of project plan
 Consultation on resources
needed (human & non human)
 Decision making role

Participatory Project Implementation

 community involvement in
project activities
 community members employed
in project

Participatory Project Monitoring and

Evaluation

 community involvement in M
& E process
 information on project progress

Figure 2.2: Conceptual Model

Source: (Researcher, 2017)

21
 CHAPTER THREE: RESEARCH METHODOLOGY

3.1 Introduction

This chapter contains the research methodology employed in the study. It explains and

justifies the processes and methods used to collect and analyze data answering the research

questions.

3.2 Research Design

The research used both qualitative and quantitative research. It employed a descriptive

survey research design. The design enables the research to gather information, analyze,

summarize, present, and interpret to form basis for clarification. Mugenda and Mugenda

(2003) explain a survey as an attempt to collect data from members of a particular population

to determine the status of that population with respect to one or more variables.

3.3 Target Population

The target populations of this study are the community beneficiaries of the SUPs in

Korogocho informal settlementsand the project managers of the funding organization. Target

population includes all the members of a real or hypothetical set of people, events that the

researcher aims to generalize the research study results as indicated. (Borg and Gall, 1989).

According to Syrjänen (2008) report, the KENSUP was to be implemented by the UN-

Habitat, GOK, local authorities, civil society agencies, participating slum communities, and

private sector.There are 5 institutions implementing SUPs in Korogocho informal

settlements. There are 1,000beneficiaries of the selected organization people living in

Korogocho informal settlements.

22
3.4 Sampling

According to Mugenda and Mugenda (2003), a sample of 10%-30% of the total population is

sufficient for a descriptive research.The sample size and procedure is shown in the table

below.

Table 3.1 Sample Size and Procedures

Population category target population sample size sampling procedure

Donors organization 5 5 Census

managers

Community members 1000 100 Cluster and simple

random sampling method

Total 1005 105

Source:(Researcher,2017)

From the above table, the final sample size comprises of 5 project managers who were

selected through census and 100 community members who were selected by probability

methods. The method used was cluster-sampling method where the population involved was

based on the projects facilitated by the 5 institutions. Therefore, there were 5 clusters. After

respondents were picked randomly by simple random sampling method,

3.5 Data Collection

Secondary data from previous research reports was used to offer a wider understanding of the

issues under examination in the study. Primary data was collected by use of a questionnaire.

23
The questionnaireswere both close-ended and open-ended questions. The questionnaireswere

self-administered to the project managers from the 5 institutions. For the community

members’ with low literacy levels the necessary assistance was offered.

3.5.1 Pilot study

A pilot study was conducted to test the understanding of the questions by the respondents and

provide any necessary information that might have been omitted. The pilot test was

beneficial to test for reliability and help the researcher familiarize with the research

environment. The pilot study did also help in checking the clarity, suitability, clarity, and

relevance of the questions asked to the information being sought.

3.5.2Validity of Research Instruments.

Validity refers to the indication of accuracy concerning the extent to which a research

conclusion responds with the reality (McBurney 2010), it is the degree by which the test

items are a representative of the content the test intends to measure (Bell, 1987). Two or

three cases are adequate for pilot studies. In this study, a sample of five was sufficient to

conduct the pre-test. The aim of this pre-test is to help the study to point out the items that

could be insufficient and would require necessary adjustments. In addition, it helps in

reframing of ambiguous questions. Content validity was examined to be sure that the

instruments answer all the research questions (Borg and Gall, 1996). The researcher with the

help of the supervisor checked validity of the content.

3.5.3 Reliability of Instruments

Reliability is the degree of consistency and precision in which the measuring of the

instrument demonstrates under similar circumstances (Mugenda and Mugenda, 2003).

According to Amin (2005), same respondents with the use of similar instrument should

24
generate similar results under indistinguishable conditions. As a mean of determining the

reliability of the instruments, the study carried out a pretest through issuing of 5

questionnaires the data obtained was entered into the statistical package for social science

research (SPPS) to determine the reliability of the tools. According to Cronbanch’s Alpha

Coefficient (2004) was used to assess the internal consistency. Score of 0.7 and above

indicates that the instrument is reliable for the study.

3.6 Data analysis and presentation

Data analysis refers to the processing of the data to obtain answers to the research questions

(Mugenda and Mugenda, 2003). Completeness of questionnaires and interview schedules

completed each day was checked at two levels: one by the enumerators and then the

researcher. It ensured detection of anomalies and correction while still in the field. The

questionnaires were edited and coded. Further, the questionnaires were edited in search of

logical inconsistencies and omissions. Any error found was confirmed from the original

questionnaire and necessary corrections were made. Analysis of data was done by SPSS

since it is the most suitable tool. The findingsare presented in the form of graphs, tables and

narrative. The data analysis was done according to the objectives and variables of the study.

Descriptive statistics was used to analyze, present, and interpret data. Descriptive analysis

involves the use cross tabulation and frequency distribution tables that were used to generate

values between independent and dependent of the study. Regression model was used to

determine the relationship between the variables. Regression model gives a powerful

explanation and is persuasive in showing the relationship between two variables.

The regression equation is Y = 0 + b1X1 + b2X2 + b3X3 + b4X4 + ε

25
Where:

Y = sustainable slum upgrading projects

0 = constant

b1-4 = Regression Coefficient

X1 = Participatory project implementation

X2 = participatory project monitoring and evaluation

X3 = Participatory project identification

X4= participatory project planning

ε = error term

3.7 Ethical considerations

According to Mugenda and Mugenda (2003), ethical considerations are essential for any

research. The ethical issues that were considered in this study are the proper conduct of the

researcher ensuring anonymity and confidentiality of the information received from the

respondents. In addition, an introductory letter was obtained from the university. The

researcher ensured voluntary participation as well as informed consent from respondents.

26
 CHAPTER FOUR: RESEARCH FINDINGS AND DISCUSSION

4.1Introduction

This chapter offer discussions on the analysis of data, the interpretation and presentation of

the research findings. The chapter will entail the background information of the interviewees,

the findings on each objective as well as the analyzed data on the responses towards research

questions.

4.2 Response Rate

The table below shows the response rate of respondents.

Table 4.1Response Rate

Questionnaire Questionnaires filled Questionnaires Percentage

administered and returned not returned

105 102 3 97.14%

Source: (Survey Data, 2017)

The questionnaires that were administered were 105 and 102 of them were returned fully

filled. This was a good response rate since a response of above 50% is adequate, any

response above 70% is very good (Mugenda and Mugenda, 2003). The response rate was this

good because the research gave prior notification to the respondents and used the pick and

drop method to administer the questionnaire.

27
4.3 Demographic Information

The study found out the demographic information of the respondents inclusive of age,

gender, education level and work experience in project management and is discussed as

follows

4.3.1 Gender of the Respondents

The respondents were asked to indicate their gender.

Gender
00

36.14% Male
Female

63.86%

Figure 4.1: Gender of the respondents

Source: (Survey Data, 2017)

The researcher sought the gender distribution of the respondents to identify whether there

was presence of any gender disparities. The findings indicated that most of the respondents

were male with 63.86% while females were 36.14%. The findings implied that more females

than men were involved in project management activities towards SUPs sampled.

28
4.3.2 Age of the Respondents

The researcher sought the age of the respondents in order to identify the level of involvement

in regard to different age groups.

Age
40.00%
35.30%
35.00% 33.30%

30.00%

25.00% 23.50%

20.00%
Age
15.00%

10.00% 7.80%

5.00%

0.00%
Below 25years 25-35years 36-45years Above 45years

Figure 4.2: Age of the respondents

Source: (Survey Data, 2017)

Majority of the respondents (35.3%) were found to be persons aged between 36 and 45.

Following closely with 33.3% were people aged between 26 and 35 years. Respondents who

were below 25 were 23.5% of the total number of respondents. Only 7.8% of the respondents

aged above 46 years. From the findings it is evident that the majority population of the

respondents was aged between 21-50 years which indicated they were old enough to give the

right concerns of the community as well as proper inclusion of community members.

4.3.3 Respondents’ Education

The respondents were asked about their highest level of education.

29
 Education Level
30.00%
25.50% 25.50%
25.00%
20.60%
20.00% 17.60%

15.00%

10.00% 8.80%
Education Level
5.00% 2%
0.00%

Figure 4.3: Respondents level of Education

Source: (Survey Data, 2017)

The study sought the level of education of the respondents to determine whether they had the

required expertise to carry out project management activities. According to the study,

majority of the respondents had a diploma as the highest level of education with 25.5%

which tied with university level. Respondents with certificate education as the highest level

were 20.6%. Those who had secondary level as the highest level of education were 17.6% of

the total respondents. Those with primary level as the highest level of education were 8.8%.

Respondents with post graduate degree as the highest level were 2%. The research findings

showed that more than 50% of the respondents had the basic education to carry out project

management activities.

30
4.4 Respondents Work Experience

The respondents were asked on how long they were involved in SUPs.

Table 4.2 Experience in Slum Upgrading Projects

Valid Cumulative

Frequency Percent Percent Percent

Valid 0-5years 53 52.0 52.0 52.0

5-10years 49 48.0 48.0 100.0

Total 102 100.0 100.0

Source:(Survey Data, 2017)

Majority of the respondents, 52%, had 0-5 years in SUPs while 49% of the respondents had

5-10 years.

4.5 Participatory Project Identification

The community members were asked on their involvement in the project identification

activities. The table below explains the findings;

31
Table 4.3 participatory Project Identification

ACTIVITY Percentages N Mean Std Dev

SD D N A SA

There exist criteria

necessary for the

10.8 34.3 2.9 16.7 35.3 2.7059 1.1483
identification of the 103

developmental projects

Community members

participated in
11.8 32.4 1.0 16.7 38.2 2.7843 1.1247
identification of the 103

slum upgrading project.

Community members

are satisfied by the slum 103

6.9 19.6 4.9 32.4 36.3 2.8829 1.1283
upgrading projects

identified in the area

Source: (Survey Data, 2017)

The table above shows majority of the respondents (35.3%, 38.2%, 30.4% and 36.3%)

strongly agreed to the involvement of community members in the identification of the

projects carried out in the informal settlement. In addition, 32.4% respondents are agreed to

be satisfied by the projects identified. Involving the community members in the identification

ensures ownership of the project and hence minimal chances of project failure when the

funders exit.

32
Presence of criteria for identification of developmental projects such as conceptual forums

was termed important to the success of slum upgrading projects with a mean of 2.7059 and

standard deviation of 1.1483. Community participation on the identification of SUPs plays a

major role in the success of these projects with the mean of 2.7843 and standard deviation of

1.1247. Community members are satisfied by the projects identified with a mean of 2.8829

and standard deviation of 1.1283. The findings were in agreement with Muchiri (2014), in his

study of community participation in the project management processes of community

development funds projects, who found out that beneficiaries were well informed of the

project taking place right from the conception of the idea and they took part in the needs

analysis. The project was successful and sustainable.

4.6 Participatory Project Planning

Both community members and project managers were asked on their views on the extent to

which community participation in the various activities of project planning. The questions

used likert scale with a range of 1 to 5 where one was strong disagreed and 5 strongly agreed.

33
Table 4.4 Participatory Project Planning

ACTIVITY Percentages N Mean Std

SD S N A SA Dev
Community members make
20.6 26.5 0 15.7 37.3 2.6961 1.1755
decision on project duration 103
Community members make
decision on resources needed 13.7 21.6 0 37.3 27.5 103 2.6373 1.0790
for the project
Community members make
decision on project usage and 19.6 22.5 1 41.2 15.7 103 2.7843 1.0013
access rules
Community members are
involved in the development 14.7 20.6 2.9 39.2 22.5 103 2.598 1.0741
of the project plans
Community members make
decision on sanctions 103
22.5 17.6 0 22.5 37.3 2.7451 1.1831
measures for the misuse of the
project
Source: (Survey Data, 2017)

The above tables shows majority of the respondents 37.3% strongly agreed on their

involvements in the decision making process on the project duration while 26.5% disagreed.

Thirty-seven per cent of the respondents agreed being involved in the decision making of the

source of resources for the project while (27.5%) strongly agreed. Majority of the

respondents 39.2% agreed being involved in the plan development of the project while

22.5% strongly agreed. On making decision on the decisions on project usage and access

rules, 41.2% agreed on their involvement while 15.7% strongly agreed having taken part in

the decision making. On making decision on the sanctions measures for the misuse of the

34
project, 37.3% respondents strongly agreed on their involvement while 22.5% agreed. Proper

planning of projects is essential for the success of the project. Involving community

members’ helps in ensuring an exhaustive plan is developed.

Community members’participation in project duration decision making process has influence

on success of SUPs with a mean of 2.6961 and standard deviation of 1.1755. Community

members deciding on the resources to be used affect the success of SUPs as shown by the

mean 2.6373 and standard deviation of 1.0790.Decision made with community members as

part of them on project usage and access are relevant to the success of SUPs with a mean of

2.7843 and standard deviation 1.0013. Community participation in plan development proved

to be relevant to the success of SUPs with a mean of 2.598 and standard deviation of 1.0741.

Community members taking part in the making of sanction measures for misuse of projects

influences the success of the SUPs as shown by the mean of 2.7451 and a standard deviation

1.1831. The findings were in line with the findings of Mutua (2014) who studied the how

participation of community members on various stages of community based water projects

affected the success of the project. He found that both men and women took an active role in

the planning of the projects. The participation of community members at this stage led to

successful and sustainable project (Jelegat and Barasa, 2013).

4.7 Participatory Project Implementation

Both community members were asked on their opinions on the involvement of the

beneficiaries in the implementation phase of the SUPs. The questions were in likert scale

where 1 was strongly disagree and 5 strongly agree.

35
Table 4.5 Participatory Project Implementation.

ACTIVITY Percentages N Mean Std Dev

SD D N A SA

Community members take

part in procurement of 4.9 12.7 0 28.4 53.9 103 3.3137 0.8786

resources needed for project

Community members’ offer

2 2.9 1 27.5 66.7 3.5686 0.7381
required labor for the project. 103

Source: (Survey Data, 2017)

From the table above majority of the respondents (53%) strongly agreed that community

members were involved in the procurement of resources while (28.4%) agreed. On the

provision of manpower for the project (66.7%) of the respondents strongly agreed of the

involvement of the beneficiaries in the provision of required labor for the project activities.

Involving community members in procurement of project resources termed relevant to the

success of SUPs as it gave a mean score of 3.3137 and standard deviation of 0.8786.

Community members offering labor required for the project is important to success of SUPs

as shown by the mean score of 3.5686 and standard deviation of 0.7381. The findings were

affirmative Mutua (2014) findings that community members are involved in the

implementation stage to enhance the success of the projects. Participation in this level leads

to ownership of the project. When the community members offer their resources they are

more committed to ensure the project is success. Maraga et.,al (2011), findings are in

36
agreement with these findings. Community participation is most practiced in the project

implementation phase.

4.8ParticipatoryProject Monitoring and Evaluation

The respondents were asked about the community participation in project monitoring and

evaluation. The findings were as shown in the table below;

Table 4.6 Participatory Project Monitoring and Evaluation

Percentages
Activity SD D N A SA N Mean Std
Dev
Community members take part in 16.7 8.8 0 27.5 47.0 103 3.049 1.114
monitoring and evaluation of
projects
there are disputes in slum 15.7 12.7 2.0 14.7 54.9 103 3.049 1.222
upgrading projects
There are mechanisms to counter 11. 13.7 2.9 30.4 41.2 103 2.951 1.1378
the disputes present 8
Community members are informed 7.8 10.8 1.0 17.6 62.7 103 3.3333 1.0180
on the progress of the project
slum upgrading projects meet 8.8 7.8 2.0 25.5 55.9 103 3.2451 1.0571
community members aims and
aspirations
Source: (Survey Data, 2017)

From the table above majority of the respondents 47% strongly agreed to being part of

monitoring and evaluation. About 54.9% of the respondents strongly agreed that there were

disputes present in slum upgrading projects. Forty-one per cent of the respondents strongly

agreed that mechanism to counter disputes were present. Majority of respondents (62.7%)

37
strongly agreed that they were informed on the progress of the project. Forty-eight per cent of

the respondents agreed that the projects met their aims and aspirations.

Participation of community members in monitoring and evaluation is relevant in the success

of SUPs as shown by the mean score of 3.049 and standard deviation of 1.114. Presence of

disputes in the process of project management affects the success of SUPs as shown by the

mean score of 3.049 and standard deviation of 1.2222.However, there are mechanisms for

countering disputes which have proved to be important in the success of SUPs with a mean

score of 2.951 and standard deviation of 1.1378. Continuous update of the project progress is

important to success of SUPs as shown by the mean score of 3.3333 and standard deviation

of 1.0180. If community members are aware of the project progress they are able to identify

where the project may be failing. As a way to ensure the success of SUPs, the aims and

aspirations should be met as shown by the mean score of 3.2451 and standard deviation of

1.0571. The findings were in line with the Muchiri (2014) who found that community

members were involved in key monitoring activities. Participants should be involved in

formative, midterm and summative evaluation. Involving beneficiaries ensures that they are

able to identify the pros and cons of the project and work on the cons as soon as they are

realized.

4.9 Success of Slum Upgrading Projects

The respondents were asked whether the slum upgrading projects were successful. The table

below shows the findings.

38
Table 4.7: Success of slum upgrading projects

Aspects SD D A SA Mean Std.

Dev
There is improvement of living conditions 6.9 4.9 24.5 63.7 3.451 0.8746
of community members as a result of slum
upgrading projects
The project objectives were met 8.8 6.9 18.6 65.7 3.4118 0.9581
There is recorded growth of the informal 6.9 20.6 53.9 18.6 2.8431 0.8052
settlement
The slum upgrading projects were 11.8 10.8 50.0 27.5 2.9314 0.9255
profitable and beneficial to community
members
Source: (Survey Data, 2017)

From the table above majority of the respondents (63.7%) strongly agreed that the living

conditions of the informal settlement dwellers had improved. The respondents (65.7%) also

strongly agreed that the slum upgrading project objectives were met. Majority of the

respondents (53.9%) agreed to have noted a recorded growth of the informal settlement as a

result of slum upgrading projects. Finally, 50% of the respondents agreed that projects were

profitable and beneficial to the community members.

When SUPs are successful there is a likelihood of improvement living conditions of

community members as shown by the mean score of 3.451 and standard deviation of 0.8746.

Another indicator of successful SUPs is meeting of objectives as proved by the meanscore of

3.4118 and standard deviation of 0.9581.If SUPs are successful there must be a recorded

growth of the informal settlement as shown by the mean score of 2.8431 and standard

deviation of 0.8052. If project success has been fostered by participatory project management

39
it must be beneficial to community members as proven by a mean score 2.9314 and standard

deviation of 0.9255.The findings were in agreement with Theuri (2014) who identified

community participation in project management as a determinant to success of the project.

4.10 Inferential statistics

This section gives a summary of regression model analysis between the independent

variables that includes PPID, PPP, PPI and PPME and the dependent variable which is

success of slum upgrading project.

Table 4.8: Regression Model Summary

Model Summaryb

Adjusted R Std. Error of

Model R R Square Square the Estimate

1 .616a .380 .354 .63006

Source: (Survey Data, 2017)

a. Predictors: (Constant), participatory project planning,

participatory project implementation,

Participatory project identification, participatory project

monitoring and evaluation

b. Dependent Variable: success of the project

40
The table above shows the model summary the R,value represents the level of relationship

where R is 0. 616, which shows a strong positive association between PPID, PPP, PPIM,

PPME and success of slum upgrading projects. Adjusted R-squared shows the basic

relationship between the respondents and the variables. From the summary we have a

positive value of 0.354 of the adjusted R squared value which explains that there is a

relationship between the respondents and the variables.

Table 4.9 Analysis of Variance (ANOVA)

Sum of

Model Squares Df Mean Square F Sig.

1 Regression 23.592 4 5.898 14.857 .000b

Residual 38.507 97 .397

Total 62.099 101

Source: (Survey Data, 2017)

a. Dependent Variable: sp

b. Predictors: (Constant), ppp, ppi, ppim, ppme

The F statistic value 14.857 shows the whole regression model is significance therefore it

contains some explanatory value which is there is a significant relationship between

participatory project identification, participatory project planning, participatory project

implementation, participatory project monitoring and evaluation and the success of slum

upgrading projects.

41
Table 4.10: Regression Coefficients

Unstandardized Standardized

Coefficients Coefficients

Model B Std. Error Beta T Sig.

1 (Constant) 2.496 .724 3.448 .001

PPIM .384 .163 .378 2.353 .021

PPME .391 .129 .344 3.043 .033

PPID .391 .129 .344 3.043 .003

PPP .019 .118 .014 .159 .874

Source: (Survey Data, 2017)

a. Dependent variable: success of the project

b. Independent variable: participatory project planning, participatory project

implementation, Participatory project identification, participatory project monitoring

and evaluation

The Coefficients Table above provides us with a Constant ( ) (2.496) and the co-efficient of

PPIM variable (.384), PPME (0.381),PPID (0.391) and PPP (0.019) which aids in the

formulation of the multiple linear regression equation. All the independent variables gave a

positive coefficient suggesting that it has a positive relationship with the success of SUPs.

The regression equation is Y= 2.496+0.384 X1 +0.381X2+-0.391 X3 + 0.019X4

42
Where:

Y = sustainable slum upgrading projects

0 = constant

b1-4 = Regression Coefficient

X1 = Participatory project implementation

X2 = participatory project monitoring and evaluation

X3 = Participatory project identification

X4= participatory project planning

ε = error term

The regression analysis indicates that participatory project identification contributes 39.1%,

participatory project identification contributes 1.9% participatory project implementation

contributes 38.4% and participatory project monitoring and evaluation contributes 38.1% to

the success of slum upgrading projects. Therefore, this study affirms that there is a positive

relationship between PPID, PPP, PPIM, PPME and success of slum upgrading projects in

Korogocho Informal Settlement

43
 CHAPTER FIVE: SUMMARY, CONCLUSIONS AND RECOMMENDATIONS

5.1 Introduction

This chapter presents the summary of the findings, conclusions and recommendations

emanating from this study. Suggestions for further research are also included.

5.2 Summary of the Findings

Success of any project is dependent on how well the phases of project management are

carried out. Involvement of beneficiaries in these phases has great impact on the success of

the projects. The phases are project identification, project planning, project implementation

and project monitoring and evaluation. The study aimed at finding out the influences

participation of community members in these phases of project on the success of slum

upgrading projects in Korogocho Informal Settlements. Out of 105 questionnaires given to

the respondents 102 were returned. The gender of the respondents comprised of

63.86%males and 36.14% females. Majority of the respondents aged between 36-45years.

5.2.1 Participatory Project Identification

The researcher found that beneficiaries are involved in the first phase of project management

that is project identification. It was strongly agreed that community members were involved

in conceptual forums, needs assessment and feasibility studies of the project. The

respondents strongly agreed that the source of idea was from the community members. They

agreed that before the donor continued with the project their input was considered through

the feedback they gave during conceptual framework and needs assessment. However, from

the mean scores recorded more participation in project identification stage would increase the

chances of success of SUPs.

44
5.2.2 ParticipatoryProject Planning

The researcher found that project beneficiaries were involved in project planning activities.

The activities included making major decision such as project plans, project duration, project

resources, project usage and access as well as the sanctions to be applied to anyone who

violates the project set guidelines. Majority of the respondents strongly agreed to be part of

the participants who made decisions on the various activities for the project. This had a

positive contribution to the success of SUPs. However, the mean scores show that more of

involvement need to be done in this phase.

5.2.3 ParticipatoryProject Implementation

The researcher found that beneficiaries took part in the implementation stage through

provision of labor and procurement of resources. Some of the activities such as building of

toilets community members provided labor and they were compensated. On procurement of

resources, the community members were involved in buying of the resources that were

needed to enhance transparency and accountability. Majority of the respondents agreed to

being part of the team that ensured the implementation activities were carried out. They

offered the required labor and helped procure resources. This led to a positive relationship

with the success of SUPs.

5.2.4 ParticipatoryProject Monitoring and Evaluation

The researcher found that community members were aware of the monitoring and evaluation

of the project. Moreover, majority of them did take an active role in some of the activities of

monitoring and evaluation such as settling of disputes emanating from the project. The

respondents agreed to have constantly received update on the project progress.This led to a

positive relationship between PPME and success of slum upgrading projects.

45
5.2.5 Successof Slum Upgrading Projects

The researcher found that the success of slum upgrading project was enhanced by the

participation of community members in all stages of project management. As a result,

beneficiaries strongly agreed that the project objectives were met, there was a recorded

growth of the informal settlement, and profitability was realized as well as improvement of

the living conditions.

5.3 Conclusion

Basing on the findings of the study, the researcher makes the following conclusions:

participation of beneficiaries in the project identification stage is very essential to the success

of slum upgrading projects. Increase in participation in this stage leads to increased chances

of project success. Participation in this phase helps identify a project that resolves community

needs as the community members know their needs well than the funders. It also fosters

ownership and accountability from initiation.

From the study one can also conclude that participatory project planning plays a major role

in ensuring slum upgrading projects are successful. Inclusion of project beneficiaries in

planning increases accountability which is a key aspect to success of project. Participatory

project planning enables both the beneficiaries and the donors have the required information

on the timeline and activities. Therefore, it allows proper monitoring of the activities. To

ensure success of any project it is therefore important to increase beneficiary participation.

The research also shows that participatory project implementation leads to the success of a

project. Involvement of community members in project implementation increases levels of

project ownership by the community members. Participation in implementation phase also

46
ensures that there is transparency with the way the project is being carried out. Participation

in this stage also saves on resources cost such as human resources. This in return increases

the success rates of projects.

Participatory project monitoring is essential to the success of any project. During this stage,

both the beneficiaries and project donors get to identify the shortcoming of the projects and

works on them. It is essential to carry out project monitoring right from initiation in order to

identify projects shortcomings and work on the as the project progresses. Project monitoring

and evaluation also assists in the identification of possible disputes arising from the projects.

Finally, project success is identified by improved living conditions, recorded growth,

recorded profitability and benefits to community members as well as meeting of objectives.

When the living conditions have increased community members are able to achieve the basic

needs. The project success will also impact positively to the environmental sustainability as

well as to the education of the community members.

5.4 Recommendations

From the above study, it is clear that participatory project management plays a role in the

success of slum upgrading projects. Therefore, it is important that project donors and funders

increase the inclusion of the beneficiaries in the project management phases. This study

therefore recommends that community members should take an active role in any project that

takes place in their area.

During project identification, more members should be involved through use of conceptual

forums and needs assessment activities. Through these activities, members are able to raise

the projects that will adequately respond to their needs. This in return, ensures that the

47
projects are successful and sustainable since the beneficiaries will own the project. From the

mean scores in the study, more inclusion ought to be practiced in this level.

In planning stage, community members’ inclusion is essential since their input in majority of

decision made affects the success of the projects. Therefore, the researcher recommends that

basing on the mean scores; increase in participation would help increase chances for success

of slum upgrading projects.

Project implementation phase is a key stage that requires beneficiary inclusion. It is

therefore, important for funders to ensure that community members take part in the activities

of this phase. The activities include implementing the activities laid out in the action plan.

From the study, the researcher recommends participation should be increased to increase

chances of success.

Project monitoring and evaluation is essential to the success of any project. Inclusion of

community members in this stage is also important to the success. However, from the study

PPME has a negative impact on the success of the SUPs. The researcher therefore

recommends minimal inclusion of the community members so as not to decrease the chances

of success of SUPs.

5.5 Recommendations for further research

The researcher identified some gaps which can be filled by further study in the following

areas: The study suggest that further similar study should be done in other informal

settlements in the country; A further study also be done to identify what other aspect that

affects the success of slum upgrading projects; A similar study should be done with the

inclusion of different variables.

48
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52
 APPENDICES

APPENDIX I: LIST OF INSTITUTIONS

1. Ujamaa Africa

2. Miss Koch

3. United Nations Human Settlements Programme

4. World Vision

5. Nairobi city county

53
APPENDIX II: QUESTIONNAIRE FOR COMMUNITY MEMBERS

Please tick in the box the right answer or write in the blank spaces.

Section A: Demographic Data

1. Your gender

Male Female

2. Your age bracket

Less than 25 years 25-35 years 36-45 years more than 46 years

3. Your education level

primary secondary certificate diploma undergraduate

postgraduate

4. Which is your location

5. What are some of the slum upgrading projects in your area( name all of them)

Section B: Community Participation in Project Identification

6. The activities below are involved in the project identification of slum upgrading

projects, indicate the extent to which community members take part on the various

activity on the scale of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5

–strongly agree

Activity 1 2 3 4 5

There exist criteria necessary in the identification of

developmental projects.

Iparticipated in the identification of any slum upgrading

54
 project in my area

Slum upgrading projects are identified by community

members

I am satisfied with the slum upgrading projects identified in

my area.

7. Please indicate how participatory project identification influences success of slum

upgrading projects

…………………………………………………………………………………………

…………………………………………………………………………………………

……………………………………………………………………………………

Section C: Community Participation in Project Planning

8. The activities below are involved in the planning of slum upgrading projects, indicate

the extent to which community members take part on the various activity on the scale

of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5 –strongly agree

Activity 1 2 3 4 5

a. We make decision on the project duration

b. We make decision on the source of resources

needed for the project

c. We participate in the development of the project

plans

55
 d. We make decision on the project usage and access

rules

e. We make decision on sanction measures for the

misuse of the project

9. Please indicate how participatory project planning influences success of slum

upgrading projects

………………………………………………………………………………………

…………………………………………………………………………………………

…………………………………………………………………………………………

Section C: Community Participation in Implementation of Projects.

10. The activities below are involved in the implementation of slum upgrading projects,

indicate the extent to which community members take part on the various activity on

the scale of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5 –strongly

agree

Activity 1 2 3 4 5

Community members help procure materials and

resources needed for the project.

Community members offer the required labor for the

projects.

56
 11. Please indicate how participatory project implementation influences sustainability of

slum upgrading projects

…………………………………………………………………………………………..

…………………………………………………………………………………………

…………………………………………………………………………………………

Section E: Community Participation In Monitoring And Evaluation Of Slum

Upgrading Projects

12. The activities below are involved in the monitoring and evaluation of slum upgrading

projects, indicate the extent to which community members take part on the various

activity on the scale of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5

–strongly agree

Activity 1 2 3 4 5

Community members take part in monitoring and

evaluation of the projects

There are disputes in the slum upgrading projects

There are mechanisms to counter disputes in the

slum upgrading projects

We are informed on the progress of slum upgrading

projects in our area

The slum upgrading projects met our aims and

aspirations

57
13. Please indicate how participatory project monitoring and evaluation influence success

of slum upgrading projects

…………………………………………………………………………

…………………………………………………………………………………………

…………………………………………………………………………………………

14. Section F: Success of Slum Upgrading Project

Activity 1 2 3 4 5

The living conditions of the beneficiaries have

improved

There is recorded growth in the informal settlements

The projects are profitable to both beneficiaries and

the area

The project objectives were met

15. What can you suggest should be done to improve the success of slum upgrading

projects in this area?

The End

Thank You for your Participation

58
 APPENDIX III: QUESTIONNAIRE FOR PROJECT MANAGERS

Please write or tickthe answer in the blank spaces

1. What is the name of your organization?

2. Your age bracket

Less than 25 years 25-35 years 36-45 years more than 46 years

3. Your education level

primary secondary certificate diploma undergraduate

postgraduate

4. How long have you been a project manager?

0-5years 5-10years

5. For the past one year, how many projects have you managed in this area?

………………………………………………………………………………….

Section B: Community Participation in Project Identification

6. The activities below are involved in the project identification of slum upgrading

projects, indicate the extent to which community members take part on the various

activity on the scale of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5

–strongly agree

Activities 1 2 3 4 5

The source of project idea was from the

community members

The organization carried out needs assessment

59
 before identifying the project

Community members attended the project

conceptual forums

Community members took part in feasibility study

7. Please indicate how participatory project identification influences success of slum

upgrading projects

………………………………………………………………………………………

Section C: Community Participation in Project Planning

8. The activities below are involved in the planning of slum upgrading projects, indicate

the extent to which community members take part on the various activity on the scale

of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5 –strongly agree

Activities 1 2 3 4 5

Community member are involved in

developing project plans

Project resources are obtained from the

community

Community members are involved in decision

making

Community members make decision on

sanction measures for the misuse of the project

60
 9. Please indicate how participatory project planning influences success of slum

upgrading projects

…………………………………………………………………………

Section C: Community Participation in Implementation of Projects.

10. The activities below are involved in the implementation of slum upgrading projects,

indicate the extent to which community members take part on the various activity on

the scale of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5 –strongly

agree

Activities 1 2 3 4 5

Community members help procure materials and

resources needed for the project.

Community members offer the required labor for

the projects.

11. Please indicate how participatory project implementation influences success of slum

upgrading projects

…………………………………………………………………………………………

…………………………………………………………………………………………

Section E: Community Participation in Monitoring And Evaluation Of Slum

Upgrading Projects
61
12. The activities below are involved in the monitoring and evaluation of slum upgrading

projects, indicate the extent to which community members take part on the various

activity on the scale of five: 1-strongly disagree, 2-Disagree 3-Neutral 4- agree and 5

–strongly agree

Activity 1 2 3 4 5

Community members take part in monitoring and

evaluation of the projects

There are disputes in the slum upgrading projects

There are mechanisms to counter disputes in the

slum upgrading projects

Community members are informed on the progress

of slum upgrading projects

The slum upgrading projects met community

members expectations

13. Please indicate how participatory project monitoring and evaluation influence success

of slum upgrading projects

…………………………………………………………………………………………

……………

12 Section F: Success of Slum Upgrading Project

62
The activities below are shows the success of slum upgrading projects, indicate the extent

to which they were attained on the scale of five: 1-strongly disagree, 2-Disagree 3-

Neutral 4- agree and 5 –strongly agree

Activity 1 2 3 4 5

The living conditions of the beneficiaries have

improved

There is recorded growth in the informal settlements

The projects are profitable to both beneficiaries and

the area

The project objectives were met

13 What can you suggest should be done to improve the success of slum upgrading

projects in this area?

…………………………………………………………………………………………

The End

Thank You for your Participation

63
 APPENDIX IV: INTRODUCTION LETTER

Dear respondent,

RE: PARTICIPATORY PROJECT MANAGEMENT AND SUCCESS OF SLUM

UPGRADING PROJECTS IN KOROGOCHO INFORMAL SETTLEMENTS

NAIROBI CITY COUNTY, KENYA.

I am a MBA (Project Management Option) student in Kenyatta University conducting a

research on: Participatory project management and success of slum upgrading projects

in Korogocho informal settlements Nairobi City County, Kenya. I hereby request you for

the below stated information for me to achieve my research objectives as part of requirement

for MBA degree. Information offered will be treated confidential and will be used for the

purpose of this research only.

Thank you

Yours faithfully,

………………..

Dorothy Karimi Njeru

The Researcher/ Student

64
65