The African Technology Policy Studies Network (ATPS) is amulti-disciplinary network of researchers, private sector actors andpolicy makers promoting the generation, dissemination, use andmastery of science, technology and innovation (ST&I) for African
development, environmental sustainability and global inclusion.
ATPS intends to achieve its mandate through research, capacity
building and training, science communication/dissemination andsensitization, participatory multi-stakeholder dialogue,knowledge brokerage, and policy advocacy.
Published by the African Technology Policy Studies Network
P O Box 10081, 00100 GPO Nairobi Kenya
2014

Published by the African Technology Policy Studies Network

ISBN: 978-9966-030-78-8

Acknowledgement
This book is a product of a series of consultative dialogues and research implemented by theAfrican Technology Policy Studies Network (ATPS) including stakeholder workshops andinternational conferences. The collection of papers in the book documents strategies forstrengthening linkages between policy research, policymaking and policy implementation fora more inclusive sustaianable development, drawing on experiences and case studies in Africa
and elsewhere.
We wish to acknowledge the financial support received for the research activities from ourconsortium of partners including the Ministerie van Buitenlandse Zaken (DGIS) the
Netherlands, the Rockefeller Foundation, the Open Society Foundation (OSF) and some
African Governments, amongst others. We are particularly grateful to the Kenyan
Government for hosting the ATPS Secretariat and especially the National Council for Scienceand Technology (NCST) for their collaboration and support for ATPS Programs. We thank all
the ATPS members and stakeholders who participated in the conferences, workshops andother activities leading to this publication. We acknowledge immensely the editorial inputs
from Dr. Anthonia Achike of the University of Nigeria, Nsukka who joined us in the editing
the book volume.

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | iii

Foreword
In keeping with its unrelenting effort to establish a strong science and technology base forresearch and policy making in Africa, the African Technology Policy Studies (ATPS)
undertook various activities to better understand strategies for 'Strengthening Linkages
between Policy Research, Policymaking and Policy Implementation for Sustainable
Development in Africa. This follows identification of weak collaboration and linkages
amongst the quadruple helix: Polcymakers, Science Experts, Private Sector Actors, and the
Civil Society as a major snag in evidence based policy development and policy
implementation on the continent. The research activities involved consultative exercises withstakeholders within and outside Africa through a series of workshops, international
conferences, bilaterial interviews and commissioned papers. The final workshop was heldfrom 7th to 11th November 2011 in Mombasa- Kenya during the annual conveneing of the
ATPS membership and stakeholders.
This book volume presents key papers on the subject drawn from the conference
presentations, workshops and the commissioned papers. All the authors present a common
position on the need to strengthen the links amongst the disparate but mutually re-inforcing
arms of successful policy development and implementation cycles for more inclusive growthin all economies. The challenges and consequences of African researchers, private sector
actors and civil society actors being left at the fringes of policy-making processes in Africa at
both national and regional levels were described as dare for sustainable development on thecontinent. It was noteworthy that African policies are seldom based on empirical evidences
either garnered through consultations amongst citizens or through policy research by African
experts. Researches conducted in Africa by Africans are seldom used for policy-making
leaving many policies poorly socialised within African realities. On the other hand,policymakers face the challenge of relying on Consultants from outside the continent be itfrom the World Bank, International Monetary Fund, United nations Agencies, and otherglobal instititions and networks of excellence as most research conducted in Africa by African
instititions and experts are largely informed by the priorities of the funding partners, mostly
from the global North. It is therefore not suprising to find that the gaps between policies andimplementation of the same remain wide and increasing in the continent. The challenges arecomplex and vicious in nature but there is no gainsaying the need to strengthen the linkages
between policy research, policymaking, and policy implementation if Africa's struggle toachieve sustainable development is to be realised.
Readers in general and African stakeholders in particular are therefore invited to give due
consideration to the papers presented in this book and implement relevant
recommendations.
Dr. Nicholas Ozor
Executive Director of ATPSiv | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Table of Contents
Acknowledgementiii

Foreword

iv

Section 1

Key Concepts and Issues in Policy Research, Policy Making

1and Policy Implementation
1. Understanding the Linkage between Research, Policy and Practice2

2. Linking University Research to Policy and Practice: Strategies and Implications

9

3. Conceptualizing Research, Policy, and Practice for Sustainable Development in

15

Africa
4. Linking Policy Research & Policy Making for African Sustainable Development:

27

Private Sector Perspective
5. Challenges and Opportunities for Effective Linkages Between Research, Policy

32

and Practice
6. Research Uptake, Communication and Brokerage: Role of Science Writers

47

and Media in Africa
7. Linking Science, Policy and Practice: The Roles of Ethics and Belief Systems.

55(A Preliminary Investigation in Nsukka-Nigeria)
Section 2

Conceptualizing Research, Policy and Practice for73

Sustainable African Development
8. Triangulation of Research, Policy and Practice: Pathway for African

74

Development
9.

The Research - Policy Nexus: Mapping the Terrain of the Literature

87

Section 3 Youth and Gender Empowerment

105

10. Strengthening Linkages between Policy Research and Policy Making for

106

African Development: The Need for Youth and Gender Empowerment toAttain Development in Kenya
11. An Empirical Analysis of the Influence of Country Quality of Institutions

121

on Gender Empowerment in Sub-Saharan Africa

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | v

12. Youth Mobilization under the Agricultural Development Programme:

138

Lessons for Effective Linkages between Research, Extension and Farmers
for Agricultural Transformation in South-Eastern Nigeria
13. Effective Linkage between Research and Policy Making in Soil Sustainability:

152

Building the Capacity of Youths and Women via Collaborative Mentorship/
Training
Section 4

Mechanisms and Approaches for Effective Linkages

Amongst Researchers, Policy Makers and Practitioners 165
14. Bridging the Gap between Research, Policy and Practice: A Model for

166

Real-Time Strategic Response to Change
15. ICT-Enabled SMEs: The Case of Kenya

205

16. Critical Actors and their Roles in Science, Technology and Innovation:

218

Matching Expectations with Reality in Ghana
17. Innovative and Authentic Ways of Developing Traditional Medicine in227

Lesotho for Production of Complementary Medicines in Local Communities
18. Swaziland's Experiences with Developing a National Policy for Science,

239

Technology and Innovation: Implications for Linking Policy Research with
Policy Making
19. Linking Livestock Research to Policy in Nigeria: Lessons from the Nigeria

254

Institute of Animal Science
Section 5

The Role of Capacity Development

20. Women Entrepreneurship as a Cutting Edge for Rural Development

261
262

in Nigeria
Section 6

Research Uptake, Communication, Advocacy, and Brokerage

21. Towards Effective Research Uptake and Innovative Communication of

275
276

Development Research Projects in Nigeria
Section 7

Challenges and Opportunities for Effective Linkages between

295

Research, Policy and Practice
22. From Economic Growth to Sustainable Development: Challenges andOpportunities for Realistic Policy Responses
vi | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

29623. Knowledge Transfer, Policy, Innovation Systems and Civil Society in308

the Energy Market
24. Rationale for Local Entrepreneurship Development Policies and Programmes

324

in Post-colonial Lesotho: Lessons from the Colonial and Immediate Post-colonial
LesothoConclusion & Policy Recommendations

343

Appendix 1: Communiqué on Strengthening Linkages between Policy Research346

and Policymaking for African Development

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | vii

viii | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 1

1. Understanding the Linkage between
Research, Policy and PracticeProf. Shaukat Abdulrazak
CEO, National Council for Science & Technology Kenya, andChair ATPS Board of Directors
Abstract
To achieve self-rule and democratic governance of Science, Technology and Innovation (STI), African
governments must adopt proactive policies that fully embed STI in their societies. The paradox, however, is that
Africa has developed many policies but most end up gathering dust on shelves because of the big disconnect thatexists between scientists/researchers, policymakers, the private sector and the civil society. For proper adoption
and implementation of STI, effective linkages which lead to communication, understanding and collaboration
among the stakeholders need to be developed. However, many policymakers are not convinced that STI isrelevant in development matters and this has led to the failure to take scientific evidence into account when
making policy decisions. In this regard, it is imperative to create and encourage policymakers' interest in STI
and strengthen the links with Scientists. Scientists/Researchers should focus on setting up regular forums andsymposia that involves the participation of policymakers and properly communicating policy results topolicymakers. Given the nature of politics in Africa, scientists also need to recognize the importance of proper
timing when trying to capture the interests of policymakers.
Introduction
Societal problems are complex and can only be solved through the interaction of key
stakeholders including researchers, policymakers, the private sector and the civil society.
These partnerships among the stakeholders result in the development of a functional,
acceptable and implementable policy.
Effective linkages on the other hand lead to active communication, understanding andcollaboration among the stakeholders for sustainable development. It also allows for the freeflow of knowledge to policymakers, entrepreneurs and the society at large. Furthermore, it
2 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Understanding the Linkage between Research, Policy and PracticeProf. Shaukat Abdulrazak

improves information for evidence-based policies for faster development1. To achieve selfrule and democratic governance of Science, Technology and Innovation (STI) in Africa for
African development, African governments need to adopt proactive policies that fully embed
STI in their societies.
Africa has developed many policies, but the challenge it faces has been to adopt these policies
and implement them. At the moment, they are simply gathering dust on the shelves and do nottouch the society as intended. For this reason, Africa needs to be able to identify the challenges
and constraints that have led to this problem. Even more important, however, is the need to
identify them in the right order, and try and solve the problems of the society.
What shapes /Influences Policy
Policy and practice should be informed by research-based evidence. However, this is not
usually the case. Policy in Africa is generally affected by topical relevance and, equally by theoperational usefulness of an idea. It therefore helps if a new approach has been piloted andthe document can clearly demonstrate the value of a new option.
A critical issue affecting uptake is whether research has provided a solution to a problem. In
addition, the sources and conveyors of evidence - the way new messages are packaged(especially if they are couched in familiar terms) and targeted, can all make a big difference.
Better utilization of evidence in policy and practice can help policymakers identify problems,
understand the causes, develop policy solutions, improve policy implementation, and monitor
strategies and performance. This is especially true where:> The evidence fits within the political and institutional limits and pressures of policy
makers and resonates with their assumptions, or sufficient pressure is exerted tochallenge these assumptions.
> The evidence is credible and convincing, provides practical solutions to pressing policy
problems and is packaged to attract policy makers' interest.
> Researchers and policy makers share common networks, trust each other, andcommunicate effectively.
Policy science and research should be problem-oriented and targeted. This is the opportunity
for researchers and scientists to prove that they have a practical solution to the outlined
1
Urama et al. (2010). The African Manifesto for Science, Technology and Innovation, ATPS Publication,
ISBN: 9966-7434-5-6

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 3

Understanding the Linkage between Research, Policy and PracticeProf. Shaukat Abdulrazak

problem, and therefore can offer a valuable contribution to the policy debate and the policy
community in general.
Maximizing the chances to influence policy
It is vital for applied research to inform and influence the policy decisions. Scientists should
not expect all members of parliament and cabinet ministers to be able to articulate matters ofscience and technology, given that STI articulation is a challenge even to many scientists. In
this regard, scientists need to dialogue and get ways to inform and influence decision making,that is, research that ends up with policy recommendations. These need to berecommendations that can be adopted and implemented to change our society.
Scientists/researchers need to identify problems/challenges, formulate policies, implement
them and be able to take them further. Parliamentarians and other policy makers also need tolearn to use scientific evidence more effectively. There is therefore a need to better familiarize
them with how scientific knowledge works given that sustainable development can only beachieved by integrating robust science and political agendas that appreciate the significanceof science. The following should be considered when making scientific evidence more usefulfor policymakers?
Availability. Does a body of good evidence exist on a particular issue?
Accuracy. Does the evidence correctly describe what it purports to do?
Objectivity. How objective is the source?
Credibility. What approach was taken to generate evidence and how reliable is the evidence?
Is the evidence contested? Can we depend on it for monitoring, evaluation or impact
assessments?
What constitutes the mutual interest that will facilitate Research Policy and Practice linkage?
> When the research agenda is aligned to national priorities> When research generates tangible solutions rather than just criticism> When there are common development problems, challenges and common agenda> Mutual interest in delivery and implementation of the policy that must have beenformulated through collaboration and consultation> When both researchers and policy makers have the interest in getting policies right andimplemented effectively> When both researchers and policy makers “work for the people” and the “well-being ofsociety”> When both researchers and policy makers want “high impact, workable, affordable andimplementable solutions to problems”
4 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Understanding the Linkage between Research, Policy and PracticeProf. Shaukat Abdulrazak>>

When researchers and policy makers define clear indicators for evidence-based research,and framework to measure progress/success towards realizing the desired goals
between research and policy
When both parties want to have an impact on society and bring about positive change

Identified/ Known Gaps between research and Policy
Africa is lagging behind because of the lack of collaboration between the key stakeholders in
the research, policy, and practice process; lack of skills in trans-disciplinary research to inform
effective and efficient policymaking; poor communication between and among thestakeholders; and a lack of understanding of policymakers' language by policy researchers.
Scientists and Politicians operate from extremely opposite sides of the fence with scientists
being accused of setting up ivory towers. Additionally, scientists have very minimal
interaction with policy makers whose key attributes are among others, lobbying, advocacy,
dialogue and consensus-building. Until recently, science-related issues received little
attention in parliamentary debates, and few parliamentarians are still not sure that Science andTechnology (S&T) is relevant in changing the life of their constituents. This has led to thefailure to take scientific evidence into account in policy discussions. Hence, building
politicians' interest in science and technology, and strengthening their links with scientists is a
developmental imperative. Indeed, better application of research and evidence indevelopment policy and practice can help save lives, reduce poverty, and improve the qualityof life.
Bridging research and Policy Making
How can scientists improve the networking with policymakers?
There are several approaches that Scientists/researchers can adopt in bridging the gap
between them and policymakers. One such method is setting up regular forums like annual
conferences, workshops and symposia where scientists invite policymakers instead of having
scientists talking to themselves. This promotes multi-stakeholders dialogue that enables theunderstanding of mutual benefits, building networks and creating harmonized agenda.
How can scientists communicate results to policymakers?
This can be achieved via professional knowledge brokering units, technology transfer skills,
and feeding back to both sides by disseminating policy briefs. It is important, however, forscientists to avoid sending reports just by mail. They also need to visit the policymakers attheir offices so as to explain what is in the report.

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 5

Understanding the Linkage between Research, Policy and PracticeProf. Shaukat Abdulrazak

How to improve communication of research to policymakers:> Strengthen researchers' communication skills (in order to get the target group right, get
the content right, get the timing right, etc.).
> Aim for close collaboration between researchers and policymakers by building
proactive, long-term relationships with policymakers — not just responding whencalled on.
> Construct an appropriate platform from which to communicate (a platform of broad
engagement - a public campaign, is more likely to be heard).

6 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Understanding the Linkage between Research, Policy and PracticeProf. Shaukat Abdulrazak

Way Forward
I would like to suggest that research must be known and trusted to influence policy andtranslated to action. Researchers need to grasp and adapt to the dynamics of the politicaldebate and to the relevant evidence at the right time. This is because there are situations whentiming could be everything. Scientists need to know the right time to act when dealing with
policymakers. For example, scientists in Kenya should not take their STI policies to theirpolicymakers during elections years when they are preoccupied with the elections and busy
looking for votes to go back to parliament. However, the moment the policymakers come into
power that is the right time to approach them. In all, it is paramount that researchers engage
with policymakers when identifying the problem, undertaking research itself, when drawing
out recommendations and when implementing policies.
It is high time Africa stops giving lip service to Science Technology and Innovation. Not
many countries in Africa have devoted the 1% of their GDP to research. South Africa's
contribution to research stands at 0.97%. Kenya lags behind with approximately 0.3%. Thereis no way African can implement good proposals without resources. For instance, in Japan, theprime minister's office has under it the ministry of state for science technology policy, andcouncil for science technology policy. These ministries are able to “feed” there because
science and technology are cross cutting issues and are also very important. It would therefore
be important and beneficial if African countries could copy this model. As such, every
president in Africa needs to have a science advisor who advises both the head of state and thecabinet on matters related to STI. In addition, Members of parliament should be given
training both in "information literacy" and in scientific methods. There is also a need toevaluate the quality of scientific research used in policymaking since good policies can only bebased on good scientific research. This will require scientists to build and improve theirresearching skills so as to provide reliable information on STI to their policy makers.
Conclusion
Science and Technology (S&T) have important contributions to make to development2. For
research to be effective, however, researchers should engage closely with policymakers
throughout the policy making process; from identifying the problem, undertaking the
research itself and drawing out recommendations for policy and practice from the results. In
addition, Think tank institutions should use a single regional or national Knowledge
Transfer/Knowledge Brokerage platform.
2
Policy-Making as discourse: a review of recent knowledge –to-policy literature, A joint IKM Emergent-ODI
Working Paper No. 5 2009

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 7

Understanding the Linkage between Research, Policy and PracticeProf. Shaukat Abdulrazak

Innovation does not happen in the disciplinary silos but in the interactions amongst the key
actors in the innovation systems including policy makers' private sector actors, science experts
and the civil society. These interactions must be profound and be proactively and mutually
reinforced because competitiveness is what Africa needs. Indeed, Africa needs to have rolemodels and come up with very clear successful partnerships and that must be praised andcelebrated. Africa must also be sensitive to gender and as such, involve women in linking
research, policy and practice.
The political leadership in Africa is deplorable. It is therefore important to elect the rightleaders to govern Africa. For instance, having a corrupt and inept leader at the top will result in
little or nothing happening at the bottom level of society. There is also the need to encourage
public participation in science so that people of all backgrounds can share their aspirations
for science, and contribute their views about its applications and significance.

8 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

2. Linking University Research to Policy
and Practice: Strategies and Implications
Professor Bartho N. Okolo
Vice Chancellor
University of Nigeria, Nsukka
Abstract
African universities continue to explore strategies that can increase the relevance of their research output to meetthe needs of policymakers and industry collaborators. The traditional approach to research in African
universities has not yielded the expected results, hence the need for scholars, policymakers and industry
stakeholders to rethink the current processes and identify the best approach for achieving national development
goals across Africa. This paper poses critical thinking questions that will help discussants approach this issue
constructively to achieve the expected goals for research quality, relevance and integration in the policy process.
African universities must build collaborations that will foster this change process and reduce the lack ofconfidence exhibited by policy makers and industry stakeholders on the quality of research outputs. The paper
presents strategies and recommendations from experience and a review of literature on linking university
research to policy and practice.
Introduction
It gives me great honour to speak at this event for two reasons, (1), the remarkable work done
so far by African Technology Policy Studies(ATPS) in providing opportunities for scholars,
policymakers and industry key stakeholders to interact regarding Africa's development inscience, technology and innovation and its implication on our comparative advantage; and (2),the fact that our continent is at a cross road as it relates to the true value of tertiary systems in
re-aligning the purpose of research to meet the sustainability needs of our continent(UNESCO Forum on Higher Education Report, 2009). In line with these two reasons, I will
like to present my thoughts on linking university research to policy and practice in Africa using
specific examples from experience and review of literature.

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 9

Linking University Research to Policy and Practice: Strategies and Implications
Professor Bartho N. Okolo

In addition, I will intermittently pose questions that can help us further our discussions on thisissue considering the fact that “policy making is not an event. It is a process that moves
through time-consuming stages, beginning with public recognition that a problem exists, tothe adoption of laws or a combination of measures aimed at dealing with aspects of the
problem ... to the establishment and operation of a program, for evaluation, review andmodification” (Gunderson, 2007).
As African nations grapple with policies to guide their education systems to become true
drivers of the economy, it is important to point out those most African nations are facing
significant challenges which can alter the national unity of these nations, reduce theirdemocratic potential thereby creating an enabling environment for chaos and anarchy tothrive. However, at precisely the time when the greatest capacity for change is required, there
is a lack of confidence both in our understanding of these challenges and in our ability toadequately face them. Chaotic urbanization, emerging pandemics, uncontrolled globalization,
widespread poverty and hunger, an education system that is built on a model that is not
adaptive and culturally responsive. I pose the first set of questions to help guide this discourse;“can we simply and fatalistically observe these challenges, as though we lacked the knowledge
to understand how and why they occur and the capacity to achieve change? Can we for a fact
externalize higher education quality, especially as it relates to research outputs from thecurrent state of things in our various countries? As we reflect on these questions, I like toemphasize that the problems pointed out are not insoluble. Of course, scholars, especiallysocial scientist and policymakers pose different questions, work with different timeframes
and are judged by different criteria. Nonetheless, both relate to the same society and hopefully
are working towards solving the same problem using the nexus between university,
policymakers, and industry to re-engineer research output relevance in a knowledge era.
University Research Practice: Vision and Reality
In my role as the chief executive officer of one of the largest institutions of higher educationin Africa, I have experienced resistance and conflict when pushing for internal policies thatencourage research that are innovative, relevant to our era and a driver for our local, nationaland regional economic development and policy dialogue. I must confess that myunderstanding of the magnitude of the decay in the quality and relevance of our research
output prior to my current role was nothing compared to the discoveries that emerged since I
took office. Although we are still trying to back the veracity of my next statement with
empirical evidence, it is my experience that the lack of faith in the significance of higher
education research output in the current and emerging needs of our continent may have led tothe minimal engagement of researchers at the developmental stages of policies across our
10 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Linking University Research to Policy and Practice: Strategies and Implications
Professor Bartho N. Okolo

continent. The former UN Secretary General Kofi Annan argued in line with my discoveries
and convictions:
The university must become a primary tool for Africa's development in the new century.
Universities can help develop African expertise; they can enhance the analysis of African
problems; strengthen domestic institutions; serve as a model environment for the practice ofgood governance, conflict resolution and respect for human rights, and enable African
academics to play an active part in the global community of scholars” (World Bank Report,
2004).
I strongly believe that African universities must create internal policy structures thatencourage the creation of a nexus between the institutions, government and industry key
stakeholders. This nexus in my opinion is an essential element and facilitating factor for
development. It lies at the heart of several successful experiences, both institutional andgovernmental, as well as in innovative cases of private sector organizations. Based on thisunderstanding, I continue to advocate for tertiary education institutions that reflect a newmind-set towards the historical focus to research practices and research outputs. This is myvision for the role of universities in the push to reposition our continent in the forefront ininnovation and economic development in the knowledge era.
Although, I understand and appreciate the implication of these issues regarding linking
research to policy and practice, my experience shows that developing a team of change agentsat the unit and management levels of our universities will serve as a driver to building capacity
while minimizing the conflict that will emerge at the beginning phases of proposing change to
our traditional university model.
This team's success will depend on their ability to continue to ask critical thinking questions
such as “What are the characteristics of research that appears to have, and to not have, animpact in national development across disciplines? Are there any other factors that may benecessary to interact with research, especially in science, technology and innovation, so as toachieve its potential impact on public policy? What are some examples or success stories that
illustrate these points within our context? Keeping these questions in the forefront of myteam's strategic process has helped us communicate the relevance of the change process,especially to our younger faculty and staff.
Implications
It is important that I emphasis this point before moving forward with the paper, “anStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 11

Linking University Research to Policy and Practice: Strategies and Implications
Professor Bartho N. Okolo

association between academic research policy outcomes does not imply causality. For
causality to work, the research results would have to be so powerful as to have an independent
impact on altering the behaviour of the parties to change the policy outcomes in spite ofvested interests or other influences” (Gunderson, 2007). Having said this, I will like toapproach implications of this challenge within the context of recommendations:
Recommendations
1. Building collaborations with industry is a critical success factor if we plan to become
successful in our quest for research driven national policy focus: I emphasize on this point for
two reasons (1) it will serve to restore the trust on universities as relevant stakeholders in our
national research dialogue and output; and (2). While pin-pointing that precise impact of
research on policy is not feasible (beyond some, likely ranging from moderate to substantial),
more confidence can be placed on these key ingredients for research to have an impact
because these collaborations will be based on national and global significant outputs thatchange the culture of research in the institution. Therefore it will lead to a change in theinternal processes within our universities and a rethink and redesign of the benchmarks used
to evaluate quality and impact of research output in our departments and faculties
2. Creating a fund campaign process with governmental and non-governmental entities iscritical and will provide the enabling environment to engage in mutually beneficial projects:
Good knowledge systems that foster credible research are expensive and time-consuming.
Learning systems are not new as we may all be aware of. However, my experience in increasing
the number of donor agency funded projects in my institution has been very focused andtransparent. This accountability structure has played a significant role in attracting numerous
projects that foster our goal of linking research to policy and practice. Our UNESCO
Category B Biotechnology Centre, the Shell Nigeria Centre for Environmental Management
and Control project, and the Google Incorporated Information Communication Technology
project, the largest of such project in Africa, I might add, are collaborations that havesupported the vision to increase the relevance of research as economic and policy driver.
3. Creating a robust and accessible database within our institutions is a critical successfactor to increase the research relevance of universities. This database will serve as arepository for internal and external stakeholders: The dearth of data in our continent is a
critical concern
4. Creating a team of change managers that believe in the core values inherent in the quest
to create a research culture that will begin to restore the relationship between institution12 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Linking University Research to Policy and Practice: Strategies and Implications
Professor Bartho N. Okolo

policymakers- and industry. My experience have shown that the quality of the team you selectas drivers for this change process will determine the level of the performance benchmarks set
during the evaluation process.
Conclusion
In conclusion, my paper challenges the belief that tertiary education has little role inpromoting economic growth and policy development in Africa. The research relevance andquality of universities in Africa may improve technological catch-up and other innovations
and, in doing so, maximize Africa's potential to achieve its greatest possible economic growth
given current constraints. Engaging in this dialogue is important because it affords us theopportunity to examine our current situations and explore ways to engage our resources in reengineering our university structure and processes. Investing in tertiary education in Africa
may accelerate science and technological diffusion, which would decrease knowledge gaps
and help reduce poverty in the region.
In my current role, my discoveries compel me to say that current state of our higher education
will not make a significant difference in Africa if other barriers to development continue toplay a determinative and negative role. Without sensible macroeconomic management, forexample, new graduates will be much less likely to find productive work. More importantly,
without good foundational education policies, tertiary institutions will not be able to bridge
the academic gaps of its students leading to an unemployable graduate population regardlessof favourable macro-economic factors.
Good governance is another sine qua non. Openness to new ideas – with provisions to ensurethat Africa actually benefits from such openness and with increased cooperation fromdeveloped and developing countries and their institutions and centres of excellence – is likely
to be key. Higher education creates the potential, but governments and private actors must
seize the opportunities.
References
Gunderson, M (2007). How academic research shapes labour and social policy. Journal ofLabour Research. Symposium on Labour Policy. Retrieved on October 20, 2011 fromhttp://www.iapr.ca
UNESCO Forum for Higher Education (2009). Report on the UNESCO Forum on Higher
Education, Research and Knowledge 2001-2009. International Centre for Higher
Education Research Kassel (INCHER-Kassel). Retrieved fromhttp://www.unesco.org/education/researchforum
Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 13

Linking University Research to Policy and Practice: Strategies and Implications
Professor Bartho N. Okolo

World Bank (2004): “Improving Tertiary Education in Sub-Saharan Africa: Things That
Work.” Report of a regional training conference held in Accra, Ghana, September
22–25, 2004. Papers and final report available at www.worldbank.org/afr/teia.

14 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

3. Conceptualizing Research, Policy, andPractice for Sustainable Development in
AfricaAlexander L. Alusa
Climate Change Policy Advisor
Environment and Climate Change Unit
Office of the Prime Minister
P. O. Box 74344-00200
Nairobi, Kenya
Abstract
The linkages between research, policy and practice are examined from the point of view of relevance to eachother. The challenges that present themselves in the actualization of corroborative work between the threeplayers are identified with a view to suggesting possible solutions in the context of African development
priorities. It is observed that there is a need for continuous dialogue between scientists, policy makers andpractitioners to improve on the nature of deliverables between them. Specifically, the need to improve on
communication skills by the researchers and the research skills of policy makers and practitioners has been
identified as necessary in order to improve on the appreciation of the value added by each player in the research,
policy, and practice continuum. Every effort must be made to facilitate the uptake of research findings for policy
formulation, and to accommodate the practitioner in the formulation of policies so that they do not stifle
applications in the field. It is also suggested that all policies must be harmonized and consistent with each other.
Where there are common areas of application, policies must recognize this and be in consonant with each other.
It is suggested that well formulated, research-supported policies will help Africa extricate itself from poverty
and improve the quality of life of its people. However regional and national policies will require the support ofinternational policy frameworks such as the decisions of the Conferences of the parties to the United Nations
Framework Convention on Climate Change and its Kyoto Protocol.
Introduction
In many African nations, research has not enjoyed as much attention as necessary andStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 15

Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

especially when one notes the significance of research for policy making and for overall
development in Africa. Clearly this is not a healthy situation, and even though one notices
considerable change and improvement in the situation the matter is worrying. There havetended to be uneasy alliances between policy makers and researchers, researchers andpractitioners, and some tension between practitioners and policy makers.
Some practitioners have considered research as ivory tower theorizing that is irrelevant to thechallenges they experience on the ground. There are also those within policy making teams
that feel all research ought to be applied research, and that theoretical research should not
attract as much financial support as applied practical research. There have therefore been gaps
between research, policy and practice which have challenged the uptake of research results forapplication in the development of African countries. The belief that theoretical researchshould enjoy more financial support than practical applied research makes the assumptionthat applied research has no connection with theoretical research. Alusa (1986) in discussing
the link between theoretical and applied meteorological research observed that theoreticalresearch is fundamental to applied research, and especially in the climate and meteorologicalscience. But the argument is also valid for any other field of research. For the case of
meteorology, we know that Numerical Weather Prediction (NWP) and its up scaling toclimate modelling preceded the practical aspects of seasonal forecasting and the analysis anddetection of climate change which is now recognized as a critical development challenge. The
distinction between these sets of research types is essentially academic. In the Kenyan
context, the research that was undertaken by Kenya Agricultural Research Institute and thetheory underlying the breeding research resulted in very useful identification of appropriate
seed maize for growing under different circumstances throughout the country. The need is toprovide the impetus for research to inform policy, and for policy to support the practitioner inthe field. This combination would then ensure that research findings find application in thefield, are relevant and supportive of policy formulation for national socio-economic
development.
In this paper we shall examine the gaps between research, policy and practice, and what can bedone to fill these gaps. We shall also highlight what challenges these gaps present for national
development throughout Africa. We suggest ways of removing the barriers and thenelaborate the need for research, policy and practice to work in the same direction as
development imperatives in Africa. Throughout the paper reference will be made to examples
from the climate science—a subject that brings out even more clearly the significance of data,
information and research findings in policy formulation and the link to practice and national
development.
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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

The Challenges of Maintaining the Research, Policy and Practice Continuum
In an ideal situation there should be a clear relationship between research, policy and practice.
But this is not the case, and in particular, the gaps between the three have been most glaring in
African countries. These gaps seem to have their origin in, among others, a communication
gap across the board. There are perceptions, impressions and attitudes that do not necessarily
represent fact, but are strongly held by the respective players. The fact that research scientists
tend to give their findings in a language that only their peers can understand gives them theivory tower tag by the practitioner, and also challenges the uptake of these findings in policy
formulation. On their part, researchers' interest lies in achieving peer recognition, andtherefore they tend to write with their peers in mind. This is not necessarily bad in itself. It is
important for all scientific or research findings to satisfy these peer standards and be tested fortheir authenticity, accuracy, and appropriateness.
But once this requirement has been satisfied it is important for these research results to becustomized for the user at whatever level. Unfortunately this is where there is considerable
breakdown in communication. Researchers may be excellent scientists, but they can be dismal
salesmen. The communication gap is reinforced by the limited understanding of the subject
matter under discussion by both the practitioner and the policy maker. Because of this limited
understanding, the true value of research findings is trivialized by some policy makers.
Complicated research findings without the appropriate modification and simplification forpolicy and practice will condemn such findings to bookshelves for long periods of time. This
explains why the African policy makers will contract a foreigner who comes in, removes the'dust' off the previous local researcher's findings and resubmits as new findings when it wasundertaken ten years earlier by an able local researcher. The difference is that he may simplify
the results and indeed suggest how this might inform policy and be applied on the ground.
The time has come when we should strive to appreciate each other's comparative advantage
and respective roles in national development. Researchers have a role to play which is toinvestigate complicated issues in their completeness and identify possible solutions. Having
done that, it remains for the researcher to simplify the results, summarize them and suggest
possible applications for policy and practice. Policy makers and those who use the results for
gainful employment or livelihood enrichment can then take up these findings and test theirapplicability in real life. They are all important players and critical for national development.
The linkages between the three levels constitute a chain, which is as strong as its weakest link,alll players must play their roles adequately and faithfully, and share their findings throughdialogues. The need for feedback between the three groups cannot therefore beoveremphasized. With regards to attitudes, it is important to emphasize that no misplaced
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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

sense of greater importance because one is a researcher or a policy maker or a practitioner canhelp in the dialogue. It can only create barriers rather than break them down.
There is also a need for policy makers to get familiar with research findings and with thesupport of researchers address the critical transition from research findings to policy
formulation. It may indeed be useful that policy makers have a background in research so that
this transition is easier to achieve. There is evidence that where policy makers have suchbackground there is smooth transition between research and policy. The more challenging
part is getting a complete understanding of the needs of a practitioner. Specifically, many
practitioners find that policies that are put in place do not provide the enabling environment
for practice. A case in point is the many concerns expressed by the private sector thatgovernment policies stifle initiative and are more punitive than supportive ofentrepreneurship. The recent dialogue that is encouraged between public and private sectors
will go a long way in resolving these challenges.
Possible Solutions to Address the Challenges
It is clear that communication is central to the effective link between research, policy andpractice. We propose that research institutions develop and implement a communication
strategy for effective communication of their findings to the general public and the policy
makers. Such a strategy should include the media who should assist in communicating the
research findings to the general public. In this case it would ensure that research findings are
written in clear and simple language for the ordinary practitioner on the ground. But it mustalso include an appropriate training of researchers in communication skills. The preparationof summaries for policy makers of technical papers will greatly enhance understanding oftechnical findings and facilitate the use of such information in policy formulation. The
Intergovernmental Panel on Climate Change (IPCC) has adopted such a policy and theyroutinely prepare summaries for policy makers after they prepare their voluminous reports
for governments, scientists and the general public.
In order to build rapport between researchers, policy makers and practitioners, dialogue is a
critical imperative. This is important for removing the uneasiness that sometimes informs
their interaction. A very good example can now be found with the manner in which seasonal
forecasts are prepared by the meteorological community in the Horn of Africa. Before theseasonal forecast is issued the meteorologists, the media, the climate modellers, and thefarming communities or other users of meteorological information like the Ministries ofWater, Agriculture, Energy infrastructure and any other users are involved. In this way theforecast is internalized, language is shared and explained as to meaning and implications for
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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

the specific sector. Each Meteorological Service down-scales the forecast and particularizes it
for their respective countries.
The Kenya Meteorological Department for example gives a history of what has happened theprevious week/month and a forecast of what is expected the next week/month. Specifically,
monthly forecasts update the seasonal forecasts while the weekly forecast update the monthly
forecasts so that any adjustments noted in the changing weather patterns are brought to thefore. The seasonal forecasts help the policy maker to cast their minds over a time horizon of
three to four months as appropriate. Plans can be developed in response to this forecast, but
adjustments can be accommodated as monthly and weekly forecasts refine the seasonal
forecasts and particularize forecast in time and space.
Prioritization of research activities must take stock of what the people on the ground (theusers of research findings) consider their priority research needs. Sometimes it is more thanjust research findings. Some practitioners find the manner in which research findings arepresented difficult to interpret or inappropriate for direct application in the field. It requires
further statistical analysis, to be immediately applied. If we do not adapt our findings to theneeds of the users, we shall continue to have a real gap between research, and the needs ofpolicy makers and applications in private sector or by the general public.
Weather forecast present a good example of how communication is critical in the utility of
information availed to the general public, policy makers or the farmers as specific users. The
Kenya Meteorological Department (2011) provides, on regular basis, important information
with progressively improved accuracy of how the rains will perform. Figure 1 indicates how
the October 2011 rains performed against the long term mean rainfall for the month. It
therefore helps explain the impacts of these rains on the ecosystems, agriculture, energy,
water, infrastructure etc. Specifically, if the month received more than its long term average, it
may suggest that there could be crop damage as a result of excessive rainfall during a criticalphonological stage of a crop. Figure 2 shows the October 2011 rainfall performance withrespect to the October- November- December long term mean. This again helps to show theintensity of the rains during the month and the implications for farming activities and crop
productivity. The policy suggestions are clear. A quick response and appropriate planning will
forestall the challenges that a crop failure would cause. Figure 3 is the October-NovemberDecember 2011 “Short-Rains” Outlook and is an indication of expected performance of theshort rains season in Kenya. One can plan even though it is not that precise. Figures 4 and 5 areindications of the onset and cessation dates of the rains. These are important for planning anduseful for policy makers as well as farmers as it is often suggested that dry planting improves
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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

crop harvest. They are also useful for those responsible for infrastructure maintenance. Many
flood events occur at the onset of the rains because the drainages are never cleared andserviced prior to the onset of the rains. The cessation of the rains allows for planning of
harvests and or preparation for challenges if the rains stay longer than needed as the crop
rotes in the fields.

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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

Research Policies and Sustainable Development
It is necessary to emphasize the need for national research policies for national developmentin Africa. The policies need to cover the whole gamut of sectors central to national
development. For example , and just to mention a few, research policies in the areas of Water
development, Agriculture, Energy, Technology innovation, economic development and the
management of our environment are important for sustainable development. It isparticularly important that these policies are seen and promulgated in a coherent andintegrated manner.
The only way development is going to make sense is when our water policy is carefully linked
to the need for irrigation agriculture and therefore to agricultural policy. Similarly, policies onforestry, water, agriculture and land use must be seen to be climate proofed and therefore inconsonant with the climate change policy and the environment policy. There have been
complaints by the private sector that many of the policies at national level are notharmonized, hence sending out ambiguous messages to the private sector. In some cases thisambiguity is exploited for the benefit of unscrupulous business men but to the detriment of
the larger public interest. Policies must respect the three pillars of development - social,economic and environmental.

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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

For all these policies to make sense in the national development context, research policy must
pay attention to both theoretical and applied research because they both are essential, andindeed are supportive of each other. A good example relates to the activities of theIntergovernmental Panel on Climate Change (IPCC). The IPCC [(2007(a)] assesses a lot ofliterature of a theoretical nature, but brings it down to how it becomes applicable in theunderstanding of the impacts that climate change is likely to have on socio-economic systems.
The Fourth Assessment Reports of the Intergovernmental Panel on Climate Change [IPCC,
2007 (a) (b)] point to the fact that we not only have climate change with us, but that its impacts
will be most pronounced in the African continent. Thankfully, and because of thisdevelopment, the policy makers in Africa are taking stock of the likely impact of climatechange on their socio-economic systems and have now internalized the value of research in
the area of climate science and its impacts. This is a good example of scientific research
informing policy and indeed changing attitudes and lifestyles in response to findings. We now
know that climate change is a development challenge. A development challenge because it
affects literally all sectors of the national economy. It must be factored into national decision
making and form an important part of national policy frameworks.
All research policies are as good as the extent to which they are applied to national
development priorities. Indeed these priorities must inform the policies in the first place andguide the researchers in their work. It is precisely because in some cases the research priorities
may not be in sync with national development priorities that research findings hardly inform
policy or meet with support in practice. For that support to be provided the dialogues between
researchers and policy makers and indeed practitioners are important. It is through suchdialogues that an effective and strategic approach in the implementation of the researchfindings can evolve.
For research findings to find acceptance in practice, policies must provide the essential
environment for application. For example, the need to move from fossil fuel energy
generation to renewable sources of energy generation requires that the policies facilitate theprivate sector to take up renewable energy. This is important because renewable energy is, in
relative terms, much more expensive than fossil fuel sources of energy. It is also for the same
reason that developing countries continue to argue during negotiations of the Climate
Convention that for them to adopt renewable energy, they need the support of Annex l Parties
to the United Nations Framework Convention on Climate Change (United Nations, 1992)
and its Kyoto Protocol (United Nations1998).This also brings out the significance ofinternational policies that are essential in facilitation of Regional and National policies. Indeed
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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

under Kenya's new constitutional dispensation, it is specifically stated: “any treaty or
convention ratified by Kenya shall form part of the law of Kenya under thisconstitution.”(Republic of Kenya, 2010)
Recent findings from the combination of social and physical science research now show thatparticipatory action research (PAR) has a way of getting quick results at least in the climatechange adaptation work. It suffices to point out that development of research policy need toencourage participation of interested parties, at all levels. This again helps build rapport andhave a meeting of minds by all. A good example of participatory research is the Climate
Change Adaptation Africa (CCAA) Research programme supported by the IDRC and DFID
that comes to an end in 2012 (CCAA, 2011).
Green Economic Growth is the new development paradigm that will form part of the agenda
at the conference on Rio+20 in June, 2012 in Rio de Janeiro, Brazil. It is a development
framework that requires a low emission development strategy in terms of greenhouse gas
emissions throughout the economy. The challenge is that these approaches to development
are expensive and would require not just a national policy, but also an international strategy
that would aid the developing countries that wish to change to green development, to do so.
The Copenhagen Accord (UNFCCC, 2009) and the Cancun Agreements (2010) that would
avail quick start financing for climate change adaptation and the start of implementation ofnationally appropriate mitigation actions are important international policy initiatives that
help support climate change policies at the national and regional levels.
In more specific terms, it has been observed that to achieve the Millennium Development
Goals, energy services will need to be provided for all, in a sustainable manner (Clark, 2011).
This would require the cooperation and coordination of all development partners. The issueof poverty reduction, energy for all, and climate change demonstrate the significance of
coordinated policy initiatives and the linkages between climate-related issues and poverty
alleviation. For Africa to extricate itself from the poverty cycle, Africa must develop a
harmonized approach to development. This can best be achieved through organized andresearch-supported policies that evolve consultatively.
Conclusions
We have discussed the value of research in policy formulation and in application of researchfindings in real life practice. However, for this to be achieved, research findings need to becustomized for policy and practice. Properly utilized research findings will be applied innational development. Dialogue needs to be urgently developed between the three groups on
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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusaa regular basis in order to remove the communication gaps that may exist between them.
Policies need to be integrated and harmonized to be effective. We have observed that regionaland national policies may need to be supported by overarching international policy
frameworks. The example of international support for energy for all to support efforts inrealizing poverty alleviation and the achievement of the Millennium Development Goals ingeneral has been highlighted.
Examples have been identified in the climate and meteorological science that clearly suggest
the very significant linkage between research and policy, policy and practice, and research andpractice. Consultations and dialogue are essential for success in making sure that policy
benefits from research findings and that the practitioner gains from the linkage between
researchers and policymakers.
References
Alusa, A.L., 1986: The Role of Research in the Development Process and Improved Service
to the Users; Technical Note No. 1, Institute for Meteorological Training and Research,
Kenya Meteorological Department, P.O. Box 30259, Nairobi Kenya.
CCAA 2011: 2010-2011 in brief. See www.idrc.ca/ccaa
Clark, Helen 2012: Sustainable Energy: a Critical Element for the MDGs. Climate Action.
Green Media, Trans-world House, 100 City Road, London EC 1Y 2BP, UK, pp. 18-20.
UNFCCC 2009: The Copenhagen Accord, Draft Decision /CP 15, Conference of the Parties
to the UNFCCC, Fifteenth Session.
UNFCCC 2010: The Cancun Agreements on: Green Climate Fund, Technology Mechanism,
Cancun Adaptation Framework, Fast Start Finance, and Forest Management Reference
Levels Conference of the Parties to the UNFCCC, Sixteenth Session.
IPCC, 2007 (a): Climate Change 2007: The Physical Science Basis. Contribution of Working
Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate
Change.[Solomon, S., D. Qin, M. Manning, Z. Chen, N. Marquis, K.B. Averyt, M. Tignor,and H. L. Miller (Eds.)].Cambridge University Press, Cambridge, United Kingdom and
New York, NY, USA, 996pp.
IPCC 2007(b): Summary for Policy Makers. In: Climate Change 2007: Impacts, Adaptation
and Vulnerability. Contribution of Working Group II to the Fourth Assessment Reportof the Intergovernmental Panel on Climate Change, M.L. Parry, O. F.Canziani, J P.
Palutikof, P. J. van der Linden, C .E. Hanson, eds., Cambridge University Press,
Cambridge, UK,7-22.

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Conceptualizing Research, Policy, and Practice for Sustainable Development in Africa
Alexander L. Alusa

Kenya Meteorological Department, 2012:Review of the Weather in March-April-May(MAM) and June-July-August (JJA) 2011 seasons and the Outlook for the OctoberNovember-December 2011 “Short Rains” Season.
Republic of Kenya 2010: The New Constitution of Kenya, Chapter 1, section 2(6). The
Government Printer, Nairobi, Kenya.
United Nations 1992:United Nations Framework Convention on Climate Change. United
Nations, New York, N.Y.
United Nations 1998: Kyoto Protocol to the United Nations Framework Convention on
Climate Change. United Nations, New York, N.Y.

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4. Linking Policy Research & Policy
Making for African Sustainable
Development: Private Sector Perspective
Billy Katontoka
Director Operations & Projects
Africa Carbon Credit Exchange (ACCE)
bkatontoka@africacce.com
Abstract
Researchers in Africa have been criticized for their lengthy reports in a language that is inaccessible to thepolicymakers and other stakeholders. This situation is worsened by governments' institutional cultures ofsecrecy. As a result, policymakers deprive themselves of the services of experienced researchers when dealing
with critical issues which they may be ill prepared to tackle. In the past few years, however, development
organizations have instituted research programs aimed at improving the linkages between research and policy
and show how research can contribute to policies and improve the use of evidence in policy making and practice.
These organizations are funded by international donors raising the issue of ownership, priorities being served,
use of external consultants and perceived legitimacy. Even so, there has been a steady growth of indigenous
African capacity and expertise conducting relevant research which has developed the capacity of both researchersand policymakers. Nonetheless, the core problem is that research to policy is not sufficiently anchored to the mostpressing questions facing the developing countries leaders, advisors and investors. It is however important to notethat there is no single solution to this situation; it requires the collaboration of all stakeholders.
Introduction
The impact of research on policy action cannot be assumed but has to be deliberately andconcertedly developed. In the last few years, a number of development organisations haveinstituted research programs aimed at improving the linkages between research and policy andto gain a better understanding of how research can contribute to policies and improve the useof evidence in policy making and practice.
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Linking Policy Research & Policy Making for African Sustainable Development: Private Sector Perspective
Billy Katontoka

There are a number of gaps between research and policy that must be bridged such as:> Limited policy relevant research> Insufficient access to research> Ineffective communication by researchers> An under-emphasized but very important area is the limited understanding by policy
makers, politicians and incapacity of overstretched bureaucrats to absorb research, and> Improving the demand for evidence in a systematic and rigorous way.
Many researchers feel quite strongly that research should not be limited to or directed by thedemands of society, but that more is accomplished when research is unchained and free tofollow its own discourse. All too often, however, research projects do not result in policychange, because they do not take into account the complex realities of a country or a sector
and fail to involve the main stakeholders in the research process. Yet, better utilization ofresearch and evidence in development policy and practice can help save lives, reduce poverty
and improve the quality of life (Court and Young, 2006). There are a number of activities thatcan facilitate the process of linking research to policy such as:> Communication,> Translation,> Interaction and exchange, using social influence and intermediaries.
Realizing increased relevance also requires a time-consuming commitment to approaching
public and private officials and to developing relationships based on trust and reliability in thedelivery of quality output that is timely and easily understandable to laypersons. Indeed,
researchers are often criticized for producing lengthy reports in a language that is inaccessible
to decision-makers. Even with the best of intentions, however, researchers' efforts may be
stifled by governments' institutional cultures of secrecy and politically-motivated distrust ofnationals who often play an active role in politics or whose political leanings are not evident.
As a result, policy-makers may unwillingly deprive themselves of the services of experienced
researchers when dealing with critical, yet sensitive issues, for which they may be ill preparedto tackle.
Linking Research into Policy
Policy processes are complex, multidimensional and unpredictable and there is an urgent
need to find mechanisms to promote the use of research-based and other forms of evidence
in policy making. If more were understood about the context within which researchers, policy
makers and stakeholders are working, if the links between them were improved, and if highquality research were disseminated more effectively, then better policy making might follow.
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Linking Policy Research & Policy Making for African Sustainable Development: Private Sector Perspective
Billy Katontoka

Policy makers could make more constructive use of research and researchers could
communicate their findings more effectively to influence policy (Court and Young, 2006).
There has been growing interest in evidence-based policy making and in how research
influences policy in the developing country context. The World Bank (2010) advocates for amore open and strategic approach to research that is firmly grounded in the key knowledge
gaps for development policy emerging from the experience of developing countries including
questions that policy makers in these countries ask.
The Overseas Development Institute (ODI) has developed a simple analytical framework andpractical tool that links research and policy. This research and policy in development (RAPID)
framework looks at factors that contribute to, or limit, the roles that the different stakeholders
play in the process, (Court and Cotterrell, 2006; Crewe and Young, 2002). These factors arebroadly divided into three overlapping areas namely:> the political context;> the evidence; and> the links between policy and research communities; within a fourth set of factors: theexternal context.
The interplay of these four areas is laid out in Figure 1 below. The framework should be seen
as a generic perhaps ideal explanatory model. In some cases there will not be much overlap
between the different spheres and in others the overlap may vary considerably. Yet, it provides
clear and flexible guidance as to what researchers need to know, what they need to do and how
they should go about it.

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Linking Policy Research & Policy Making for African Sustainable Development: Private Sector Perspective
Billy Katontoka

A fusion of the RAPID framework emphasizes the impact of external forces and donors
action on research – policy interactions. Much of the research on African development issues
has been undertaken by Northern institutions. This has raised concerns of the relevance andbeneficiaries' access to findings.
A substantial amount of research in poor countries is funded by international donors, whichraises a range of issues around ownership and whose priorities are being served and the use of
external consultants and perceived legitimacy.
However over the past twenty years a quiet revolution has been taking place in terms ofdevelopment of indigenous African capacity and expertise and think tanks to conduct policy
relevant research. What the RAPID framework indicates is that policy influence of researchgoes far beyond changing policies themselves. It includes building the capacities of those
involved, both researchers and decision makers in using research in the decision process. It
also includes expanding what we look at in the policy and research processes knowing thatpolicy is not usually made within a narrow domain of study and that, researchers need to havea much broader understanding of society and must bring other factors to bear on the findings
they are putting forward.
Private Sector Perspective
As the private sector, we are uniquely positioned to play a catalytic role in providing policy
advice to our policy makers by conducting high quality research and leveraging policy
relevant innovative knowledge that are aligned to our priority areas of operational policies
and programs to generate a deeper understanding of the development challenges facing thecontinent. We are calling for more creative use of knowledge products than previously topromote sustainable economic transformation and growth as well as reduce poverty in
Africa.
It is not that we need a new deeper understanding of the development challenges facing
Africa; what we need is baseline data and information on what we already know in order topromote sustainable development. Research findings can only be used as an input to national
development policies if researchers and policy-makers cooperate closely to understandspecific needs, ensure relevance of topics, and improve communication, dissemination andimplementation of the research recommendations.
Our policy makers like other policy-makers across the world need to base their decisions on
information from reliable sources and they need to know the kinds of research that can help
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Linking Policy Research & Policy Making for African Sustainable Development: Private Sector Perspective
Billy Katontoka

them make the right choices. A wide gap exists between the producers and consumers ofknowledge, and research can have a greater impact on development policy than it has had todate when this gap is closed.
Researchers as “knowledge makers” cannot understand why there is resistance to policychange despite clear and convincing evidence. Policymakers as “knowledge consumers”
complains about the inability of many researchers to make their findings accessible anddigestible in time for policy decisions
Status Quo
There tends to be a lack of communication between researchers and policy makers. Policy
makers are not always informed about on-going research and researchers often lackknowledge of the most pressing policy questions that they would need to make their researchmore relevant. The World Bank in a recent publication on Research for Development (World
Bank, 2010) highlighted that many researchers do not start with the key knowledge gaps
facing development practitioners but rather search for questions they can answer with thefield's current tools. The core problem in the research to policy is that despite the impressive
set of data and analytical tools now available, it is not sufficiently anchored to the mostpressing questions facing developing country leaders, advisers and investors. From the private
sector perspective, it is the policy questions that should drive the research agenda, and not the
researcher's disciplinary background or favourite method.
Applying to policy and practice what is already known from research and analysis can close theknow-do gap in Africa, thereby enabling policies and interventions that reflect best possible
current state of knowledge. The critical issue for the future is how to improve researchers'
effectiveness in producing output that directly and indirectly changes both policy and practiceand is truly relevant to people's needs and sustainable development.
Conclusion
Our conclusion is that there is no linear course from research to policy outcome, and no single
actor in that course can determine a particular policy outcome. Each of the actors andinstitutions has a role to play and their relationships with each other are key to ensuring a
successful outcome.

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5. Challenges and Opportunities for
Effective Linkages Between Research,
Policy and PracticeJohn Gowland-Mwangi, PhD, DDG
Professor and Council Member,
Egerton University,
P.O Box 536 Egerton Njoro, Kenya
Tel: +254-(0)723 466 733
Email:mwangig5@yahoo.com
Abstract
A country's pace of development depends largely on how well its leaders harness and use the best research-basedknowledge and experience available. Research can answer leaders' key development questions correctly, help
them choose the best pro-poor policies, solve socioeconomic problems, improve public accountability andmaintain an independent economy that is propelled by science, technology and innovation. When beneficiaries'
interests, aspirations, needs and challenges - often embedded in national policies - have not adequately guided theresearch agenda, researchers often generate knowledge with little or no direct value to society. In order to win
public trust, confidence and support and to influence policy and practice, research must be policy-oriented and its
findings must add value to people's lives. This requires active consultations with stakeholders throughout the
research process. Effective linkages offer the best forum for such consultations. Understanding the challenges
and opportunities for effective linkages may help leaders improve the functioning of the knowledge andinformation system. This paper defines policy, linkages and related terms, showing their similarities anddifferences. It discusses the importance of research to national development, the value of effective linkages andthe challenges of establishing them. Finally, it describes effective ways and opportunities of improving linkages
and proposes evaluation criteria for linkages.
Keywords: Challenges, Opportunities, Policymaking, Research-Policy-Practice Linkages

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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Introduction
For research to be relevant to its potential beneficiaries, it must focus on their cultural, socialand economic aspirations, needs, values and realities embodied in national policies. Research
can help leaders learn from the best knowledge and experience available. It can guide them indeveloping pro-poor policies and in addressing socio-economic development challenges of anation (Jones, 2011). Policy makers can use research to get the right answers to key
development questions while educators can use it to get useful information for effectiveclassroom teaching (World Bank, 2011). Leaders can use research to solve scientific problems,
to improve public accountability in managing development projects, and to maintain atechnologically independent economy that commands respect from other nations. However,despite the usefulness of research output, researchers are often accused of wasting time andresources in generating knowledge with little or no direct value to society (Mathooko, 2010).
Therefore, in order to win public trust, confidence and support, research must address thechallenges, needs and priorities of society. It must be policy- oriented and must focus clearlyon the practical usefulness of technologies and innovations developed for practice. But thisgoal is elusive without strong linkages between research, policy and practice. Effective
linkages may enhance our understanding of the role of university-industry relations, forinstance, in fostering industrial development and competitiveness. They may accelerate thedevelopment of innovations while creating conditions that facilitate commercialization of
new products (Okoth-Owiro, 2002). Effective linkages between research, policy and practice
may reduce the time gap between the development of scientific findings and their commercial
application.
Purpose and Information Sources
This experience/literature-based paper highlights the challenges and opportunities for
effective linkages between research, policy and practice. The author hypothesizes that a goodunderstanding of reasons for poor linkages can help readers improve the functioning of theknowledge and information system. The contents of this paper are drawn mainly from theauthor's many years' experience in extension and research work within and outside Kenya;literature review; and face-to-face interactive interviews with 20 respondents comprised ofresearchers, policy makers and implementers as well as beneficiaries of research output. A
significant contribution was made by both administrative and academic staff from various
professional disciplines within and outside Egerton University.
The Meaning of Policy, Linkages and Related Terminologies
Policy: Information from various sources including Webster's dictionary and Sycamnias(2010) indicates that a policy is a statement of organizational objectives and expectations that
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

reflects the social values and needs of the masses, which is intended to add value to the lives ofthe people it serves. It is a set of coherent decisions, or responses to a problem, with acommon long-term purpose(s) designed to carry out a course of action or to implement
related courses of action, often supported by legislation but not limited in time. The course ofaction is selected from several alternatives to guide and determine present and future
decisions. Public Policy - usually written in a document - helps a government or a politicalparty to determine decisions and actions useful to society. Government policies are intended
to add value to people's lives and should therefore express and embody the needs and valuesof society.

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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Literature on linkages shows that the terms collaboration, cooperation and partnership are
related to one another and that some of them are synonymous or are used interchangeably(Concise Oxford Dictionary, Gardner, 2005; ICRA, n.d.; Jones, 2011; Pluskowski, 2010;
Valenzuela, 2011; Vela, 2010). The terms are defined as follows:
Linkages: These are interactions between organizations, which allow exchange or transfer of
information, resources or power. The term linkages refers to all types of collaborations,coalitions, joint workings or partnership agreements between institutions, which aim toachieve common goals or to facilitate access, management or financing of social security.
Linkages may be formal and institutionally recognized, or informal and temporary. Theyenhance consensus building and people's understanding of relevant issues, goals andpriorities. They also enhance collaborative, seamless and integrated decision-making. They
minimize duplication of effort and delay from planning, through to project implementation.
Although some people believe that the word partnership is different from collaboration,others consider the two words to be synonymous.
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Partnership: This is a collaborative relationship between two or more parties based on trust,equality, and mutual understanding for the achievement of a specific goal. It involves risks,benefits, absolute interdependence and collaboration as well as mutual accountability,
influence, respect, equal participation in decision-making, shared power, and transparency. A
partnership may enhance people's self-esteem by delivering services that make a difference totheir lives.
Collaboration: Collaboration, which means teamwork or working together harmoniously inpursuit of a common goal, is a process in which autonomous stakeholders interact and act ordecide on issues related to a problem using shared rules, norms, and structures. It evolves inpartnerships and teams, and has three phases namely, problem setting, direction setting, andstructuring. It is both a process and an outcome in which shared interest or conflict that asingle person or organization cannot accomplish alone is done by key stakeholders who are
influenced directly by the actions others take to solve the problem. Although sharing takes
time, the return on interaction is huge. Collaboration is also a conflict resolution strategy thatuses assertiveness and cooperation to seek satisfactory solutions that are advantageous to allparties. It succeeds if participants' goals are compatible, and the interaction among them isimportant in attaining the goals. Collaboration is a skill learnt through practice and it is criticalin creating and sustaining a competitive advantage. It involves coordinating multiple
resources as well as managing, and enabling group interactions to ensure harmony andeffectiveness. It also involves sharing, connecting, assigning roles and tasks to those involved,
communicating and giving feedback, and making personal and group goals merge for an
ultimate goal or task. In its negative sense, it may mean working as a traitor. Although it
implies equal partners working together, this may not be the case if one party rules the other.
Cooperation: This refers to teamwork or process of working together peacefully either
intentionally or unintentionally towards mutually agreed goals, instead of working separately
in competition. Each cooperating organization remains totally independent, takes no risk,
and retains total authority but the parties cooperate to make their autonomous programs
more successful. In a competition, one cannot win unless the other side loses but incooperation a person only succeeds if the others with whom he or she is linked attain theirgoals.
Coordination: This is slightly more formal than cooperation because coordinating parties
work together to advance their separate but compatible missions.

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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Importance of Research to National Development
Good research challenges old thinking, provides better ways of doing things and avails
information that is useful in allocating scarce public resources for development. Evidencebased research may help a nation to set development agenda and priorities correctly. Throughunbiased observations of phenomena, good researchers objectively use multiple data sources
to corroborate their findings and to promote the use of research-based development policy,
considering the complex, multidimensional and unpredictable nature of the policyformulation processes.
Formal Institutional Linkages and Informal Networks
Formal institutional linkages and informal networks are interactions between organizations
that allow exchange or transfer of information, resources or power. Both have similarities anddifferences as follows:
Similarities: Formal institutional linkages and informal networks are characterized by joint
planning, division and implementation of tasks, and sharing of information and resources.
Both manifest themselves in common areas of interest and are stronger at the local operationlevel than at the administrative level.
Differences: According to Hanyani-Mlambo (2002), formal linkages are institutional innature. They have everything formalized and laid down. For example, they have written goals
and procedures. All participants know their responsibilities and their organizations are
represented on the boards of collaborating organizations. Informal networks depend moreon individual efforts or personal contact to network, based on need, than on organizational
mandates or initiatives. They generate knowledge and exchange information and resources
through regular interaction or informal contacts among different actors, and are sometimes
based on reciprocal exchange of information and favours. Their emphasis is on a one-to-one
networking effort as opposed to the organizational culture that characterizes most formal
linkages.
The Value of Effective Linkages between Research, Policy and Practice
Policy-makers, particularly in Africa where a wide gap exists between knowledge producers
and consumers, have under-utilized cutting-edge knowledge for many years. Yet they can use
the services of experienced researchers to deal effectively with issues that they cannot tackle
alone (INURED, 2011; Jones, 2011). Globally, there is a growing interest to use evidencebased research to influence policy and practice directly and indirectly, and provide effective
ways of improving government performance and accountability in service delivery.
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Evidence-based research is critical in helping a nation understand the context within which
researchers, policy makers, implementers and other stakeholders work, and how they can
improve existing linkages and create new and better ones for stimulating growth of national
economies under peaceful and stable political environments emanating from responsive andaccountable leaders. Weak linkages between research, policy and practice exist because of
stakeholders' lack of passion, interest and motivation to participate, caused by poor
understanding of mutual benefits derived from effective linkages or lack of convergent needs(INURED, 2011).
Weak linkages may not produce the intended results but strong linkages may motivate those
involved to work together for their mutual benefit, which include fostering and supporting
the production, dissemination and application of research results, leading to policies andtechnologies that enhance people's livelihoods. Strong linkages may help leaders to seamlessly
integrate research ideas in their day-to-day decision making. They might help them to harness
local talent from professionals who are more familiar with the country and clearly understandits domestic development agenda, processes and priorities. Without locally generated
information and analysis, well intentioned programs will not respond well to realities onground (INURED, 2011, Mathooko, 2011). Learning through linkages, about earlier studies
might improve our understanding of how research can contribute to pro-poor policies andfacilitate use of evidence in development policy and practice. It might also help us to improve
the impact of research on policy action by making the right choices using the best knowledge
and experience available.
The Challenges of Linking Research, Policy and Practice Effectively
The core challenge in closing the research to policy gap is how to provide practical answers to
the most pressing questions that policy makers, their advisers and investors ask. Inadequate
government funding for research is a challenge that forces local scientists to over-rely on
donor funds. This makes most of the research conducted to be donor-driven and to focus on
donor interests and priorities, which may be different from, or irrelevant to, national needs,
aspirations and priorities (Theobald, Tulloch, Crichton, Hawkins, Zulu, Mayaud, Parkhurst,
Whiteside, & Standing, 2011). Many funders have an interest to show through research, theimpact of their investment, and to justify it to their constituencies (Theobald et al., 2011). In
evaluating European Union funded research proposals for instance, research impact accounts
for a third of the total marks. Donor-funding of, and use of external consultants to conduct
research, raises issues of perceived legitimacy and ownership and may affect relevance of
research and beneficiaries' access to research findings, as donors often influence researchpolicy interactions.
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Other challenges include: limited policy-relevant research; inaccessible research findings;
researchers' inability to communicate effectively; inadequate understanding by policy makers
and politicians, of the value of effective linkages; stakeholders' poor motivation to participate;
and incapacity of overstretched bureaucrats to absorb research outputs, and to improvedemand for evidence in a systematic and rigorous manner. These challenges weaken existing
linkages and the possibilities for establishing new and better ones. Stakeholders' capacity toachieve intended impacts is reduced by: poor leadership that enables politics, corruption andsuspicion to thrive; raising the cost of doing business; failure to use evidence-based researchin policy formulation; and representation of policy makers in policy-formulation meetings by
their juniors who cannot make decisions on their own. This drags the policy-formulation
process and makes it harder for a policy to translate into action.
Lack of clear guidelines on who should initiate the policy formulation process and how theprocess should proceed from policy concept inception to policy implementation remains achallenge. Within Kenyan public and private universities, a big time imbalance exists between
research and teaching activities in favour of teaching, which occupies 50-60% of the lecturers'
workload (Mathooko, 2010). Research is hardly given the prominence it deserves in theuniversity function. This, according to Mathoko, is the main reason why research outputs
from universities are pathetically low, with very few being patented. Although research
proposals should be aligned with the end-users' needs through the bottom-up strategy in their
preparation, this is usually poorly done, partly due to time constraints and inadequate funding.
Another challenge is unfavourable reward systems and weak appreciation, willingness andcommitment to honour best performing researchers, innovators and practitioners. They areleft to rely too much on external recognition for outstanding contributions to society. The late
Nobel Peace Prize winner, Prof. Wangari Muta Mary Jo Maathai, is an excellent example of ahighly talented individual with an impeccable record of achievement and global recognition,
whose contributions in environmental protection, through afforestation, almost went
unnoticed in her own country until outsiders put her on the global map of truly outstandingachievers.
The challenge of inappropriate or lack of planning and failure to invest adequately in a strong
knowledge base, reduces development impact of research and policy. Though decision
makers are duty bound to ensure that all policy decisions and actions have a sound empiricalbasis, and although they are obligated to work closely with researchers, their performance inthis role has been less than optimal. Yet for any policy-oriented development action to beeffective, both policy initiators and implementers must identify, understand and involve key
stakeholders in the policy formulation. Poor dissemination of research findings is another
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

challenge because researchers do not always disseminate their recommendations at the righttime or communicate in a language those policy makers and practitioners understand.
Inappropriate organizational structure and weak management capacity pose challenges. Lackof staff capacity, interest and motivation for the job often weaken their commitment tocreate, maintain and strengthen linkages. Currently in Kenya for instance, there is no clear
structure on who should initiate linkages between research, policy and practice. Neither isthere a clear procedure for ensuring that research is policy-oriented; that policy is researchoriented and that policy translates into practice. Yet for research to have the greatest positive
impact on national development, it should be driven by policy questions rather than the
researchers' disciplines. Better utilization of evidence-based research findings in policy
formulation and implementation may lead to interventions that reflect the complex realities
on ground. It may save lives, reduce poverty and improve quality of life.
Governance can be a challenge because it can cause a regime change and destabilize a nationor lead to change of government priorities, which may weaken or curtail improvement ofexisting linkages or creation of new and better ones. Differences in organizational cultures,priorities, expectations and operating procedures may also affect the process of establishingeffective linkages. Time and money constraints are challenges that are sometimes worsened by
globally unpredictable crises that cause political and economic instability, weakening existing
linkages and their expected outcomes. A good example is the weakening of the Kenyan
Shilling in 2011 and 2012 that affected the research budget and subsequent implementationof planned activities.
Lukewarm support for linkages by chief executive officers (CEOs) is another challenge.
Although there are many exceptions, most CEOs of research institutions, non-governmentalorganizations (NGOs) and universities are largely responsible for weak linkages between
research, policy and practice. Many of them rarely reach out to entrepreneurs and businessleaders in the industries or to policy makers and try to understand what they require and how
best to engage them in mutually beneficial joint activities. Yet they have the mandate andcapacity to provide transformational leadership that would create the intended development
impact. They would create a very big positive impact if they spent a small fraction of theirentertainment allowance occasionally to organize consultative breakfast meetings on researchand policy, and invite private sector representatives, policy makers and implementers toparticipate. Universities, for instance, could invite key public and private sector players toaddress their staff and students particularly during graduation ceremonies, or could arrange
for senators and council members to visit selected industries to brainstorm with industrialists
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

on how their universities could add value in realizing their visions and missions. This would
also give potential employers an excellent chance to inform students, teachers and parents
about the employment opportunities available and the skills required from potential
applicants. Less time should be spent lamenting about lack of cooperation by industries andmore time strategizing on how to initiate, improve and strengthen linkages. Less time should
also be spent looking for linkages with outsiders at the expense of developing, improving andstrengthening linkages with local institutions. A new District Commissioner posted to a
district near a university, for instance, should be made part of the university and encouraged toactively involve the university in the planning and implementation of development activities.
The linkage between the Kenya Agricultural Research Institute (KARI) researchers, Egerton
University faculty, and Lare farmers on water harvesting in Njoro district is an example of aneffective linkage that successfully brought water self-sufficiency for participating farmers in
Lare in 2004. The farmers learnt, through the project how to harvest rain water for use during
the dry season.
Seeking linkages with industries without showing them what they stand to gain from thecooperation is a big challenge. Students' exposure, through field attachment to the real work
environment gives them industrial discipline and the skills necessary for improving theirperformance and ability to meet employers' expectations after training (Owour, 2002).
However, universities should not write to industries only when they seek field attachment
positions for their students. But should first try to understand the problems industries face sothat they can send their students with a clear mandate to solve them. Industries receiving thestudents would then benefit from their presence and would consequently want more students
attached in their firms. This would ultimately strengthen the linkages between the universities
and participating firms and further improve employment opportunities for the students upon
graduation.
Inadequate monitoring and evaluation of the interaction process and the suspicion andmistrust of research, pose another challenge. The effectiveness of policy implementation
depends on the timing and duration of sensitizing stakeholders; their understanding,willingness and ability to implement as well as the competence of facilitators. Failure tounderstand the strategic importance of investing in knowledge management andcommunication is a big challenge, and so is the unnecessarily long bureaucratic procedure that
prolong the time a policy takes from concept inception to implementation. However, creationof a direct link between research and policy is still controversial. Many researchers feelstrongly that research should not be limited to, or directed by the demands of society. In theirview, more is accomplished when research is free to follow its own discourse (Jones, 2011).
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

Effective Ways of Improving Linkages between Research, Policy and PracticeAll research should be policy-oriented and all policy should be research-oriented so that bothresearch and policy can benefit the people intended (Mathooko, 2010). Research will
influence policy making only if it is policy-relevant. Soliciting the views of different policy
stakeholders will lead to policy-relevant research being undertaken, whose results could help
in decision making (Jones, 2011). To influence policy and practice through strong linkages,
one needs to know who the policy makers are, their demands for new ideas and when theyrequire those ideas, their agenda and constraints as well as potential policy supporters andopponents. Also one needs to know sources and strengths of resistance, the policy making
process, opportunities and timing for input into formal processes and the critical evidence
needed to convince policymakers. People interested in strengthening linkages should focus
less on stakeholders' differences and more on what they have in common. They should know
when and when not to establish a linkage. But once they decide to establish one, they should
invest more in developing the human capital to enhance growth and should be ready andwilling to recognize and award people who get outstanding results by applying researchers'
recommendations. They should ensure that their communication strategies are effective bymaking them flexible, innovative, jargon free and relevant to research objectives ofparticipating organizations. They should consider launching a magazine, free of intimidating
technical jargon, fully dedicated to communicating policies and research findings to the
public. People who value linkages should incorporate research-based knowledge into policyby initiating and continuously engaging in effective consultations with all the stakeholders
while making a commitment to develop and strengthen linkages with public and private
officials based on trust. Researchers should avoid producing lengthy reports in a language thatdecision-makers least understand and should learn how to create rapport with different public
and private sector stakeholders. They should regularly consult stakeholders on how best toframe research evidence to increase decision makers' receptivity.
The government should allocate more financial and human resources to build a stronger
research capacity that can provide policy makers with relevant evidence-based research
information promptly, when they require it. The government should also initiate a scheme formatching private donations for research with its own funding based on an agreed ratio andshould have a clear policy that specifies important areas of research focus. The policy should
guide researchers' engagement with donors; establish and maintain a strong link between each
university department, faculty, or school with its parent ministry; and encourage, promote andreward people whose strong industry-university linkages solve important national problems.
In addition, government should encourage industrialists and business entrepreneurs to teamup with university researchers in findings ways of solving socio-economic problems and
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Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

developing commercially-viable products that could be released to the public for mass
production after an incubation period. It should encourage industrialists to regularly engage
university professionals in training their employees. In America, for instance, extension agentstake on-the-job training courses regularly to update their skills. In Kenya, there are many
opportunities for university professionals to engage in activities that could greatly benefit thecommunity. For instance, they could train and certify public vehicle operators in safe driving,
good customer relations, and in developing skills for detecting potential car jerkers. Suchtraining might improve road safety, by reducing road accidents and their negative effects on
Kenya's population and economy. But someone must take the initiative as one of the Egerton
University faculty members, Prof. F. K. Lelo, did in 2011 when he trained Road Engineers on
environmental impact assessment and got them registered by the Kenya's National
Environmental Management Authority (NEMA) after the training, as Environmental Impact
Assessment Experts. Their training and subsequent certification meant that their Ministry nolonger needed to hire expensive consultants to do the job, which could now be done morecheaply and faster.
After deciding what one can do best, one can identify the relevant stakeholders, consult themand make a report on what was agreed on, and the follow-up needed. For purposes ofsoliciting funds, it is important to remember that most donors commit their funds at the
beginning of the year and although they may be eager to fulfil their social and corporate
responsibilities, approaching them in the middle of the year would be unwise. It is also
important to remember that potential donors listen favourably to someone who hasapproached them. Knowledge of how to domesticate national policies; readiness to learn
from best practices that have worked elsewhere; and having a national professional forum thatwould lobby for researchers to be consulted before major policy decisions are made, may
strengthen linkages between research, policy makers, and implementers.
Linkages may help increase research impact. They can supplement traditional researchcommunication methods such as peer reviewed journals, academic reports, patents,
technological innovations, face-to-face meetings, and techniques that improve timely
messaging and engagement with decision makers including media, ICT and phone messaging(Jones, 2011; Mathooko, 2010). Fostering on-going long-term engagement with different
stakeholders throughout the research cycle is better than disseminating research results at theend of the projects. Effective strategies for engaging policy makers are particularly important
where policy makers politicize or neglect certain development issues. In order to improveresearch engagement, develop effective linkages with stakeholders, and overcome mutual
distrust, one can effectively use structured and informal lunch meetings, mutual training andStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 43

Challenges and Opportunites for Effective Linkages between Research, Policy and PracticeJohn Gowland-Mwangi, PhD, DDG

incentives to raise awareness and to promote the use of under-utilized services (Jones, 2011).
Communicating research findings through mass media is important in moving research topolicy and action, contributing to specific policy decisions, addressing the culture of silenceon pertinent issues, and promoting access to information. Researchers and their sponsors
should develop strategies for tracking research impact in order to ensure that it is relevant inoffering practical solutions to the development challenges facing the nation.
Opportunities for Linking Research, Policy and Practice Effectively
In order to fast track the pace of development, researchers and policy makers andimplementers need to work together. Effective linkages provide the best opportunities forthem to share information and experiences in policy formulation and to translate policies into
action. Existing linkages may be strengthened by active participation of key stakeholders.
Since the population is relatively well educated and more enlightened than it was in the past,
the stakeholders have the opportunities to learn from one another through more innovativeand simple modern ways of engagement that are faster and cheaper. These include the use of
media to communicate research findings and feedback in the process of developing linkages
that improve teamwork and result in better policies and faster socio-economic development.
Opportunities exist in Kenya for researchers to communicate their research findings throughannual and biennial scientific conferences, seminars as well as sensitization and reflective
workshops. The public service, universities and research institutions such as KARI and Kenya
Institute of Public Policy Research Analysis (KIPPRA), have well-trained human resourcesthat may be used to improve existing linkages or to create new and stronger ones, throughwhich various stakeholders can learn from one another by sharing information. University
researchers may have a weaker financial base than people from the industry but may possess
better knowledge and skills. The available human capacity in the industries may not match thatin the universities but it can be greatly improved through effective linkages.
Criteria for Evaluating Linkages
The effectiveness of linkages between research, policy and practice may be evaluated on thebasis of: (a ) intensity and formality of contact; (b) whether one-way or two-way contact;(c)flexibility of organizations to bring diverse constituencies to support legitimacy andengender trust; (d) knowledge of stakeholders' functions; as well as (e) accessibility, relevance,
urgency and timeliness of services. One can also evaluate the linkages based on the resources
and people required to initiate and maintain them; quality of communication; progress being
made; and the mandate and legitimacy of representatives.

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Kim, Gwang-Jo (2009). Keynote. Linking research and policy practice towards quality
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Mathooko, J. M. (2010). Evaluation of Strategies for Mobilizing Resources for Research andEnhancing outputs in Public and Private Universities in Kenya. Unpublished Master ofBusiness Administration (MBA) thesis, Egerton University.
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6. Research Uptake, Communication andBrokerage: Role of Science Writers andMedia in Africa
Otula Owuor1 & Diran Onifade2
1
Media Consultant, Editor ScienceAfrica
2
President African Federation of Science Journalists and Editor in Chief AfricaSTI
Abstract
The mass media, and specifically science journalists in Africa, are just beginning to be aware of the need to
explore their potential role in “communication and brokerage” of information needed to enhance research
uptake and home-grown policy making. The role of the science journalists in facilitating research uptake bycommunicating and brokering information in a manner that strengthens policymaking actually begins withappropriately gathering, packaging and disseminating of information. For Africa the latter should be relevantto the target audience and enhance socio-economic development including basic human needs. The media in
Africa should credibly “facilitate” information flow including those packaged to enhance research uptake bypolicymakers without compromising its core role as the people's watchdog. The media should help the continent
improve the practical uptake or use of good research results for development and poverty alleviation. Thus
science journalists should always strive to make an appropriate impact apart from merely making information
on R&D more accessible. The mass media is increasingly evolving to be the “centre of communication
networking” thus helping fill information gaps among various groups- communities, policy makers andresearchers at local, national, regional and global levels. When it comes to research uptake and impact, the mass
media is well placed to highlight “lessons learnt.” It means monitoring and evaluating outputs from researchers,
policymakers and how it involves and benefits the people. Science writers can contribute towards uptake andeffective implementations of research results if they understand or are able to cope with the multidisciplinary
nature of research uptake. Science journalists must constantly sharpen skill to unearth exclusive stories hidden
in mountains of data surrounding policymakers and researchers. The media can improve research uptake bymaximizing proximity. It includes innovative use of ICT, local languages, FM or community radio stations at
local levels. Policymakers respond best to issues highlighted by media, targeting wider audience at internationaland national levels -newspapers, radio and television stations.
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Research Uptake, Communication and Brokerage: Role of Science Writers and Media in Africa
Otula Owuor & Diran Onifide

Introduction
Two decades ago, the issue of linking science writers and mass media with research uptake
seemed far-fetched or non-existent. However, the role of the mass media worldwide isevolving and expanding rapidly to include or cope with emerging issues and areas of
specialization that are useful or relevant to the socio-economic wellbeing of the public orparticular communities. The media, especially in Africa, has to credibly “facilitate”
information flow including those packaged to enhance research uptake by policymakers andthe intended beneficiaries without compromising its core role as the people's watchdog. The
media should help the continent improve the practical uptake or use of good research resultsfor development and poverty alleviation. For Science Writers and Media Houses it involves“Turning Research Findings, Facts and data, into locally Credible and Relevant information
packages with Locally Appropriate Examples.
Africa's ability to place STI at the top of development agenda and its intended race to catch up
with other developing regions, especially some key Asian and Latin American nations,depends on what may seem to be the much hidden issue of “Research Uptake.” It in turndepends on the capacity to effectively communicate with various key stakeholders oraudiences including policy makers, researchers, the media, entrepreneurs, donors, intended
beneficiaries and others. Below is an example of media stories by science writers that clearlyshow the need for effective Communication and Brokerage designed to boost Research
Uptake in Africa.
Nigeria: Over 100 R&D Products Await Commercialization
By Alex Abutu (SciDev)….Failure to commercialise existing research is holding back Nigeria's economic development, minister ofscience and technology, Mohammed Ka'oje Abubakar, has said. He identified a lack of 'demand-driven'research, and poor links between research institutes and the private sector, as the main culprits. “Nigeria
has not attained….
Researchers in Africa are beginning to accept that they need to communicate beyond theconfines of publishing important findings in peer reviewed journals if they are to contributemeaningfully towards poverty alleviation and sustainable socio-economic growth in theregion. Going beyond the journals could result in increased recognition and goodwill among
the public and policymakers. This makes it easier to seek increased funding or support for
R&D. Researchers thus need to appropriately help in extending their communication to otherimportant target groups. However, when it comes to research uptake science writers and the48 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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media in Africa are increasingly at the centre of information flow among key stakeholders.
The role of science writers and the media in communication and brokerage of research
uptake in Africa is thus crucial.
The media as the people's watchdog and the fourth estate after – executive, judiciary andparliament- may not be comfortable with terms like “brokerage” because its role tends to bethat of a “double-edged sword” meaning it does not guarantee or confer “special status” tothe activities of any group. However, its social responsibility or key roles of informing,
educating and entertaining the people can be credibly used to help communicate and broker
research uptake in various fields like food production and processing, health, adaptation or
coping with climate change, and others.
Communication is at the centre of socio-economic development and the media is well placed
to sensitize and hold policymakers accountable by being able to gather, package anddisseminate information linked to various aspects of research uptake. The media createsawareness, helps set agenda and increasingly influences what and who we think about. Much
depends on the manner in which information is availed.
However, in Africa where policymakers need “more persuasion” to support and utilize
relevant R&D results, science writers and the media remain well placed to help close the gaps
between research, policy and practice. They can play the key role of enhancing knowledge
brokerage and communication among researchers, potential beneficiaries, policymakers andpractitioners for African development.
The mass media, and specifically science journalists in Africa, are just beginning to be awareof the need to explore their potential role in “communication and brokerage” of informationneeded to enhance research uptake through communication, home-grown policy making andpolicy research. There are some emerging examples that illustrate on-going efforts that aredesigned to directly and indirectly enhance the capacity of the mass media and science writers
in enhancing research uptake through communication and brokerage. There is already an
increasing number of capacity building or training workshops that sensitize the media on theneed to improve information flow among policymakers, researches, the general public,
donors, intended beneficiaries and other stakeholders. The Economic Commission for
Africa, United Nations Educational, Scientific and Cultural Organization (UNESCO), andAfrican Technology Policy Studies Network, are among those involved in activities designed
to help the media close the communication gaps and improve research uptake.

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Research Uptake, Communication and Brokerage: Role of Science Writers and Media in Africa
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However, there are some emerging trends, key issues and factors that must be constantly
highlighted if science writers and the media should effectively play their role in research
uptake though communication and brokerage. These include innovative use of electronic
media, local languages, figures or data, ICTs, appropriate use of national, regional, andinternational media outlets. All these can be associated with strategies to improve linkages
amongst researchers, policymakers and practitioners in Africa and the move towards
improving the use of home-grown policy research evidence in policymaking and policy
implementation. Greater involvement between researchers, intended beneficiaries, policy
makers, results in more effective application of knowledge.
Electronic
Science writers in Africa should pay close attention and get involved in electronic media
especially FM or community radio stations. These can be effectively used to improve research
uptake. They are ideal in helping extend “expert voice” to the local community where theaudience can be given a chance to ask important questions and get answers from the experts.
It means that the science writers in Africa -where innovations designed to help avail basic
human needs are at the centre of relevant R&D and research uptake- also need to be in aposition to interact with both researchers and policy makers through community radio
programmes. National radio or television stations are ideal in getting top policymakers to
respond to issues touching on them mostly because of the “increased pressure”- real or
imagined- that is linked to having a much larger audience at national and regional levels.
However, local FM stations or community radio stations are ideal in informing, educating andentertaining local communities in a relevant manner on important development issues
especially potential innovations that are associated with the results of R&D. These could
include better services and products, appropriate behavioural changes that help curb someendemic health or agricultural problems. In this era of curbing “carbon trails” newspapers
may have to “reinvent themselves” or adds lots of value to their stories, to survive theevolving radical trends in the gathering, packaging and disseminating information by theelectronic media.
Language
In Africa science writers, researchers and policy makers need to ensure that they can at least
communicate important concepts, messages and innovations linked to their R&D activities
using local languages. Anyone who has, for example, conducted research on local livestock
diseases among Kenya's Maasai or Nigeria's Fulani should at least know or master local names
and descriptions of diseases and other major problems. It is common to find researchers who
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do not know local names for cattle, ticks, milk and even meat. All these tend to make theirwork look “foreign” to the local communities and contribute minimally towards research
uptake by the intended beneficiaries. There is an urgent need to change the belief that modern
innovations can only be communicated through foreign languages and this has resulted inresearchers failing to even try knowing local words and concepts linked to their work.
Using local languages increase proximity thus making information and messages more
acceptable to the end users. This may be linked to positive research uptake. The assumptionthat science and its concept can only be communicated in non-African languages needs to be
overcome. Journalists, researchers and even policymakers in Africa easily attain advanced
degrees using foreign languages including Chinese, Russian, French, English and others
which some learn as they begin their graduate work or university education; yet most if not all
do not have an appropriate local name for their degrees.
In short the issue of communicating development issues, especially scientific, via local andregional languages like Swahili in east, central and southern Africa, needs a fresh outlook.
Already a major global television station, Aljazeera is launching Swahili programmes focusing
on East and Central Africa. However, the media, especially the FM station is ahead in trying toclose this major gap hindering research uptake and information flow aimed at end users.
The electronic media can easily bring together researchers, policy makers, and science writers
in programmes thus making information flow even more direct and opening much room for
impact or research uptake at national and local levels. The input by the public consists ofcalling in or sending messages displayed on TV screens. Such interactions increase awareness,create trust and confidence among the parties and may lead to increased research uptake.
Information from credible sources may empower people to help themselves or others.
INFORMATION COMMUNICATION AND TECHNOLOGY (ICT)The era of Information Communication Technology is now rapidly evolving in Africa
especially in the last five years, and with a move away from merely having computers innewsrooms. There are already online versions of newspapers, and the electronic media in thecontinent is rapidly moving online including FM radio stations.
Already the widespread use of mobile phones seems to be revolutionizing information
dissemination by the media. People can be instantly and constantly updated on events as they
emerge. Still, information on health, agriculture and weather is being availed to mobile users.

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All these represent increased opportunities for research uptake including regular sensitizationof policymakers and end users of research results. The media is bound to evolve, to cope withincreased opportunities for information dissemination to target audiences. Science writers
may also have to repackage themselves including working more closely with researchers than
before when they seem to rely on workshops or conferences. The use of emails, Skype etc. haspractically turned the world into a global village. Internet is rapidly replacing encyclopaedias,
dictionaries and other documents that were kept in newsroom libraries. Indeed, science
writers can nowadays interview experts in various regions of the continent without having totravel. Such advances present increased opportunities for research uptake and interactions
with key stakeholders. However, there is still much to be learnt.
Figures, Data
The role of science writers and the mass media in brokering and communicating research
uptake involves Turning Research Findings, Facts and data, into locally Credible and Relevant
Information Packages with Locally Appropriate Examples. It is directly linked to their skills or ability
to credibly analyse mountains of data hidden in various documents on budgets, researchfindings, imports, exports, population, environment, planning, health, finance, water
resources, housing, weather, infrastructure, education, industries, livestock, climate change
etc. Science writers and media houses that fear to deal with numbers or figures and lack thecapacity to monitor and evaluate outputs from researchers and policymakers are not in
position to communicate and broker research uptake including the socio-economic impact
and how the people can benefit.
In most, if not all media houses only weather forecasters and financial or business writers
routinely include figures or data in their stories. There is still much fear of numbers. However
the newsroom ability to analyse and generate stories with impact from figures, graphs andcharts handled by key policymakers and researchers remains minimal. For example sciencejournalists and the media houses hardly question or interrogate annual national and regional
budgetary allocations for health, agriculture, industrializations, R&D funding, expecteddonor funding, various imports, infrastructure and others. Policy makers and researcher
respond fast to data extracted from “their own” documents.
The need to help or train the media in effective use of figures or data is at the core of uptakeof research results. However, most reporters and even editors pay minimal attention to
figures or data and their implications in the various fields of national development.
Newsrooms use figures casually or without double checking as illustrated by the extract fromthe online version of a leading Kenyan daily.
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Research Uptake, Communication and Brokerage: Role of Science Writers and Media in Africa
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Ernest Kebenei wins 2011 Nairobi StanChart race
(Online Team Updated 1 hr(s) 16 min(s) ago Sunday 30th October 2011)“Half Marathon winners each get Sh150,00, second place Sh10,000 and third place Sh50,000”
The figures above indicate that the person in the third position got the highest pay andthere are still other mistakes.
Data can be used to generate many stories that could facilitate research uptake and improve
the linkages among policymakers, researchers, donors, entrepreneurs and intended
beneficiaries. Even science journalists with mathematical skills hardly give special attention ortake time to generate stories that impact from budgetary allocations for health, agriculture,environment, R&D and other related areas. In health reporting they hardly get into the detailsof allocation for specific problems like child immunization, malaria, cancer, HIV/Aids etc.
Policymakers pay close attention to what the media extracts and analyses from budgetary
allocations and official documents in public domain. The linking of research uptake todevelopment issues that are contained in the budget or national development plans easily
attracts serious attention from policy makers at various levels. It means that with extended
interest and coverage the media and science writers in Africa should be in a position tomonitor and evaluate how the funds have been used or are being used on behalf of the public,
thus meeting its social-responsibility role as the fourth estate or the people's watchdog.
Science writers could easily pick on areas or issues that could be cheaply and effectively solved
using appropriate or relevant research results. Effective handling of budgetary stories should
include use of local innovations linked to research uptake to curb imports and add value toexports.
Researchers, Science Writers
Science writers like others in the media tend to be detached and prefer to keep a professional
distance from those they cover. Equally researchers have for years only focused their energies
in ensuring that their important findings are published in peer reviewed journals. However,increases in research uptake require that African experts, especially scientists and researchers,
acquire some basic skills in communication that is crucial in facilitating research uptake andinformation flow to end users or intended beneficiaries.
Being invited to an FM station for example may require that researchers have appropriate
language and communication skills needed to help inform and educate the public with science
writers or journalists facilitating or making the process easier. There is move towards having
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Research Uptake, Communication and Brokerage: Role of Science Writers and Media in Africa
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communication with stakeholders as essential component of R&D. This means that science
writers will also have opportunities to help researchers formulate project communication
strategies. Research uptake depends on information flow that is relevant to implementationof solutions. Science writers and researchers need to always remember that appropriate andeffective provision of information improves public understanding of issues and promotes
evidence based policies. In Africa this includes being aware of their beliefs, culture, customs
or traditions and socio-economic aspects or status.
Researchers, scientists and other experts tend to confuse communication with direct“translation.” Technical Jargons and Scientific Terminologies do not constitute “Science
Communication” and are least useful when it comes to brokerage linked to policymakers andend users. Scientific concepts and activities can be packaged into locally appropriate Key
Messages including the use of “Native or local” languages.
Policymakers tend to respond to public demands and media reports. Positive or negative
stories from end users can facilitate research uptake and favourable policy formulation.
However, there is no one solution but a mix of various inputs facilitating communication that
increases research uptake. Finally for science writers, like all others in the world of journalism
or mass communication it all boils down to having good stories that have an impact. There
are stories with a “human face” and examples of successful and failed research uptake withlessons learnt. It involves allocating airtime and space for policymakers and researchers andother experts to express their opinions on various aspects of policy and research uptake.
As a whole the role of Africa's Science Writers and Media in “Research Uptake” is justbeginning. Already specialized media outlets that focus on such issues is evolving. It includes
for example Science Africa based in Nairobi, Kenya and the newly established weekly online
science and development news and features, AfricaSTI, based in Abuja, Nigeria and South
Africa's Science in Africa.

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7. Linking Science, Policy and Practice:
The Roles of Ethics and Belief Systems.
(A Preliminary Investigation in
Nsukka-Nigeria)
Rev. Fr. Uche Dr. Obodoechina
Director Justice, Development and Peace/Caritas Commission
Catholic Diocese of Nsukka Nigeria
Phone: +2348033813992
E-mail: uchechukwuo@hotmail.com
Abstract
The development scenario in Nigeria nay Africa is indeed a very complex one. Several factors arising fromseveral dimensions of her history and life have arisen either as constitutive factors, - that are positive andenhancing, or debilitating and hindering, to her integral development and well-being of her citizens. Ethics andBelief Systems among a people play very dominant roles that can either hamper or enhance the development
dynamics and policies of a nation. It is our task in this presentation to identify the ethical and religious
frameworks of these influences, acknowledge their diversity, and propose functional linkage between Research,
Ethics and Belief systems in the context of the Common Good. It is the standpoint of this paper that, despite
the obvious diversity in ethical and religious backgrounds, the judicious application of the interrelatedness
among these dynamic components of development is capable of a radical transformation for Nigeria nay
Africa.
Presuppositions
While the integral welfare of the citizens is the raison d'etre of any government, every
individual and every community shares in and is responsible for promoting the common
good. Thus the quality and standard of life of the people provide the index of assessment
about the desirability or otherwise of such a governmental system. Despite the divergencesof opinions, settings and beliefs, differences in tribe and tongue, common values of life, peace
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Linking Science, Policy and Practice: The Roles of Ethics and Belief System
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and security are core ethical values among peoples of various kinds.
Key Words: Science, Policy, Development, Practice, Ethics and Religions Belief Systems,
World Views, Indigenous and Contextual Knowledge.
N/B: The use of 'Science' throughout this paper is in the ordinary sense of the word meaning'Knowledge' while 'Belief system' will be used interchangeably with Religion.
Research Settings
Nsukka in Enugu State Nigeria is the setting for this research work. Nsukka is one of theoldest regions of Nigeria among the Igbo Nation of Nigeria. It houses the premier
University of Nigeria. And it constitutes the Enugu North Senatorial District of Enugu State
Nigeria with 7 local Government Councils. Ethics and Religion play major roles in the life
and activities of Nsukka cultural zone. Christianity and African Traditional Religion are
dominant.
Justification for the Investigation
The poor state of affairs in the socio-economic and political life of the people in NsukkaNigeria nay Africa in the midst of the numerous material and human resources endowed isindicative of a missing link. It is a sign that an essential aspect of our life in the research,planning and execution of governmental policies seem not to be effectively adverted to. It is
the actual influence of Ethics and the Belief systems in the context of research, policy andpractice in governance. This investigation risks to hazard a position that Ethics and Belief
systems have crucial roles in the private and public settings for integral national development.
And here lies the justification for this research enterprise.
Understanding the Dynamics of Science, Policy and Practice in Development
Man is not an island. Man lives in society with others. And life in any human society faces awhole lot of challenges. In the first place, the organisation of life and the evolution of moral
and ethical values under which the society can be structured pose sufficient difficulties. The
political dimension is another element in which choices of forms of government and theiroperational principles must be made in order to realize the essence of life in the society. Butof great significance and influence in the life of man in the society today is Science andTechnology. The history of human development has shown that sustainable development
and the progress of any nation have generally followed the development and application ofscience and technology. The great developmental feat experienced in the West and the rest of
the world is as a result of the adaptation of technology and development of an efficient
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science and technology capacity. The enhancement of these capacities through research,communication of research results, and the ability to bring these factors to bear on policy andpractice of governance is the secret of the great strides attained in the west. As it were, thedevelopment of any nation is consequent upon the degree of scientific innovations at its
disposal. No nation can reasonably develop and attain any reasonable status in providing for
its citizens those structures and infrastructures that are needed without a judicious anddetermined exploitation of technologies in economic productivity.
In fact, today more than ever before, science and technology play dominant roles in the life of
the society. It determines the ebb and flow of life in the whole gamut of other life
considerations. For instance, the astronomical scientific innovations and technologicalbreakthroughs in the areas of high tech agriculture, transport, medicine, communication,biotechnology, engineering etc. exert tremendous influences in the life of man. Science andTechnology in their several forms and dimensions have structured and continue to structure
lives in our society. Quality life would have been impossible today in society without thebenefits of science and technology. Take for instance the simple introduction of the GSM
phones in Nigeria in the last couple of years. This has had an enormous influence in the way
people live and communicate today. It has turned things around in both the quality andquantity of inter personal relationships in the dynamics of social interactions. However, thefear associated with the Masks of the various Communication Companies as 'potential cancer
carriers' given its radioactive materials, and the politics surrounding their establishments inthe various villages and cities corroborate the attendant consequences that often characterizesuch innovations and developments. Depending on how these are packaged, it can lead to lossof public confidence in both the companies and the act of Government that made suchinnovations possible. And in this case, a whole lot of issues are involved. They are both
political and ethical. From the point of view of politics, the introduction of the GSM for
instance involves the process of policy enactment and practice and the duty and right ofgovernments to take responsibility for the public in one hand and the rights of the public toparticipate and contribute ideas in matters affecting their own interests, taking cognisance of
their levels of scientific knowledge, disposition and their public esteemed values. It has notbeen an easy process to translate from science to practice without policy or from policy alone
to science without practice. It becomes therefore essential to cast a look at the roles of Ethics
and Belief systems in the context of the linkage between science, policy and practice for
optimal life of man in the society in the light of the abundant scientific and technologicalinnovations that are today conceivable and realisable. Are Ethics and Belief Systems
inhibitive or enhancing to scientific innovations and technological developments today?

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Linking Science, Policy and Practice: The Roles of Ethics and Belief System
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The White Paper on European Governance (European Commission 2000), articulating the
public and ethical dimensions of science innovations in its attempt to describe its remit in thewider context of 'democratising expertise and establishing European scientific references,'
averred thus, “Be it genetically modified food, nuclear waste management or medical
advances, science and technology are shaping our lives... Science and technology are playing
an ever more important role in public policies”. Though the impact of science is undeniable,
but the degree of involvement in scientific enterprise is not even. There seem to be moredemands especially in the west for more participation in the decisions that involves the public.
And so it becomes necessary to determine how the scientific expertise can be made moredemocratic to enable the citizens to participate in public decisions. This constitutes one
major contention in the issue of linkage between science, policy and practice for authentic
scientific and technological development.
True to fact, the issue of science, policy and practice are crucial issues involving several
dimensions. There is this reality of 'diversity of publics and the changing relationshipbetween their knowledge's and those of policy makers and experts of various kinds.' (Alanand Mike 2003). Again there is this presumption that the citizens required scientific education
since they were essentially deficient in scientific knowledge and thus disabled from proper
involvement in the democratic process that increasingly depended, or so it was claimed, upona certain level of scientific literacy (Alan and Mike 2003). In other words, what does the
public know about science vis-a-vis the expert and professionals in the area of science andhow can this knowledge be made useful and meaningful in the life of the society? What is thedegree of the rights of the scientists to impose its expertise knowledge on the public? And
what is the appropriate means of doing exactly this? Has the society any right to make up its
own minds about such scientific issues? As a matter of principle, it is our standpoint in this
discourse that the public response to the so called expert knowledge and scientific institutions
and innovations are bound up with issues of identity and trust, which are fundamental to
ethics. The public no doubt is in possession of local or situated knowledge, experiences andskills that can play indispensable roles in the crafting of policies.
Even with the experience of democracy and its landscapes that have continued to shapepolitical lives of nations today, it is evident, that the public has the power and the ability ofvoice in intimate matters of their concern. People feel dis-empowered when excluded fromdiscussions on matters of their own interest. And this is today unbearable.
As a result, there is at the moral and ethical levels an insistence that the society is equipped andmost able to “scorn patronising assumptions based on the premise that they don't know
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what's good for them. On the contrary, people insist that it is their society and their world andthey will decide whats acceptable and what is not” (Peter Melchett, Greenpeace). It is indeed
obvious, that “policy makers will find it hard to win public support on any issue with a science
component unless the public's attitude and values are recognized, respected, and weighedalong with the scientific and other factors” (Select Committee, 2000). And this constitutes theheartthrob of ethics, belief systems and public values in the scientific innovation discourse.
Besides the issues of democracy and public participation, there are other concerns about
science and its inventions. In the words of (Alan and Mike 2003), some of these concerns are“questions of facts, but others are questions of beliefs, of traditions, and of values. And suchquestions include: Is this application for science ethically correct? Are we playing God, and do
we have the wisdom to use these technologies well”? These are valid concerns which require
careful considerations.
In another development, the Report of the British Department of Trade and Industry 2000
White Paper on Excellence and Opportunity: A Science and Innovation Policy for 21stCentury, made it apodictic, that consumers are presented as 'agents in the process ofinnovation' and confident consumers are essential part of the whole system, for they will only
buy new products which they trust. And the role of government is to spread the benefits ofinnovations as widely as possible while also 'assuring consumers that the highest possible
standards of safety are being adhered to”.
It is therefore evident, that “Science and technology are too important for the life of man in
the society to be left only to the expert scientists. Their knowledge and their assessment ofrisks is only one dimension of the challenge for society. And so when science raises profoundethical and social issues, the whole of society needs to take part in the debate” (Alan and Mike,
2003). Nevertheless, while exclusion of the public from scientific literary discourse on the
grounds of their lack of expertise scientific knowledge is absurd, it remains no less daunting achallenge, to reconcile the situated and indigenous knowledge of the public and the scientificviews within the policy process. As a matter of urgency, (Alan and Mike, 2003), it is apodicticthat when the work and technique of the scientist fail to take into account the comparable
skills of the public for instance, there is bound to be a discrepancy.
The recognition of the relevance of non-scientific craft knowledge is essential for trust andbelief in the expertise information of the scientist or even the policy of government thatmakes its policy therefrom- result of the scientist's research. There is an obvious need forsynergy if the benefits of both valid forms of knowledge are to be deeply appreciated.
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In a series of publications, Brian Wynnes, (1991, 1992, 1996) has developed the most famouscase study of the problematic character of science-public relations. Rather than assuming thatthe key problem is the public ignorance of science, (as in the conventional deficit theory), in
Wynne's account, it is the representatives of science who emerge as both ignorant andunreflexive in the face of public understandings (Alan and Mike, 2003). In fact, the'wholesale, unreflexive transplantation of scientific knowledge ...can devalue the ...hardearned less formally organized knowledge (see also Croll and Parkin, 1992) of the public.
This too can wound their collective way of life and in sum their social identity. After all we canpresume, following the sociology of scientific knowledge and the influential analysis made by
Wynne, 'that all knowledge is derived from its particular cultural and social contexts” (Alanand Mike, 2003), in which case a clash of cultures between the expert and the lay is inevitable.
But this form of clash is most unnecessary. Valid knowledge will forever govern ignorance.
And so the various aspects of knowledge can be harmonised for greater service to the people.
In other words, a pro-active and people oriented development requires a collaboration andsynergy among the key stakeholders in research, policy and practice. Collaboration andadvocacy have potencies to impact on the life of the people and bring forth positive change
for the needed development.
Ethics and Belief System in Development Discourse
Ethics and Belief system in development discourse is an exciting area of study. Ethics simply
put deals with the customs and the ways of doing things. It is ordinarily about human actions
done in a particular way and place. But more interestingly ethics is a branch of philosophy
and draws its conclusions from human reason, and concerns itself with what can be describedand interpreted with the requirements of morality insofar as these can be rationallyappreciated and justified. It is the study of values in realm of human conduct and deals withsuch questions as- what is the good life for human beings? How do we determine which
actions are performed rightly or wrongly? How do we arrive at a decision that a certain action
is right or wrong? What criterion or standard do we employ in making such a decision or
making such a judgement? What actually do we refer to when we say that a certain action ismorally right or wrong? (Eboh, 2005). Ethics from the foregoing is concerned with values as
the basis of right actions. As a normative science, it attempts to establish and explain theproper norms of human conducts (Eboh, 2005). It is further an inquiry as far as it is possible,
the most ultimate reasons why one ought to do anything (Archie, 1992).
Apart from the personal and individual levels, ethics has a social dimension. Man is a socialand rational being. And by reasons of his nature, man lives in society with others. Man is not
self-sufficient and therefore needs the support and cooperation of others to make life in the
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Linking Science, Policy and Practice: The Roles of Ethics and Belief System
Rev. Fr. Uche Dr. Obodoechinasociety meaningful. With man's rationality, man realizes the need of others and his inability tolive and work alone. Of necessity man's life is impossible without the other hence there is awhole lot of network of interconnectedness. Social ethics deals with man's conduct in thesociety with others. It deals with the norms guiding the conducts of the various institutions
and organisations in their relations with one another for the good of the society. In fact,
Social Ethics deals with the moral principles needed for a harmonious living in the society.
Otherwise the life of man in the society would be chaotic and short.
Religion on its part draws its conclusions from revelations. It is concerned about God as thesource of man, and man's virtue to render to Him in devotion the homage that is his due (J.
Goetz, 1981). There is this vertical relationship with God and the horizontal relationship withman. And the quality of these relationships in relation to God and the other is indicative ofthe quality of faith one possess. In other words faith in God plays itself out in acts of love andservice to God and neighbour.
Ethics and religion are thus crucial areas of knowledge for man. Both are essential in ourcurrent discourse on the problematics involved in the linkages between research, policy andpractice for science and technological development in Africa. It is challenging to find out theplace of ethics and religion in the theoretical discourse involving science and technology for
African development.
The concept of development is a complex one. It is not always clear what it means and towhom it applies. But the history of humanity has shown that the major goals of humanactivities in their contexts have always been the sustenance of life – that is the provision ofbasic life necessities in the form of food, clothing and shelter (Obodoechina, 2005). But
development is more than provision of these essentials. The attitude towards higher
standards of life finds their resonance in the great scientific discoveries and the numerous
technological innovations that have come to be synonymous with development. In the wordsof M. J. Esman, although the concept of development has been and remains imprecise, it
connotes steady progress towards improvement in the human condition, reduction andeventual elimination of poverty, ignorance, and disease and the expansion of well-being andopportunity for all. It entails rapid change, but change alone is insufficient, it must be directedto specific ends. Development involves societal transformation- political, social, and cultural
as well as economic, it implies modernisation and industrialization (Esman, 1991).
The distinctive feature of development as economic growth measured in the Gross National
Products and integral human promotion that transcends purely economic considerations
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indicates the precise place of ethics and belief system in the gamut of development discourse.
In other words, it is in the context of human development that involves the entire humanperson in its integrality that ethics and belief system can play vital roles. The Pastoral
Constitution of the Church in the Modern World exhorted that economic growth andtechnical progress must not be for profit or domination. Rather, it must be for the service ofman, and indeed the whole man, viewed in terms of his material needs and the demands of his
intellectual, moral, spiritual and religious life. And when we say man, we mean every man
whatsoever and every group of men, of whatever race and from whatever part of the world(Gaudium et Spes, 64). The development that serves its purpose is the integral developmentof man, a development that is total and promotes the good of every man and the whole man(Populorum Progressio, 14). Man remains the centre of all developments.
The exclusion of sound ethical and moral rectitude in the context of human development hascontributed extensively to the failure of the so many developments efforts in Nigeria nay
Africa. The eruption of ethical relativism in the context of ethics and belief systems indevelopment discourse is one that poses veritable challenges. For ethical relativism, truth isrelative and depends entirely on variable factors such as person, place, culture, time andcircumstance (Ekwutosi, 2006). In other words, there are no universal moral standardsstandards that can be universally applied to all peoples and at all times (Singer, 1993). This iscontestable. For if no moral certainty and objectivity exists then there would be no basis forobjective moral judgement. And when objective moral judgement does not exist, universally
accepted truths both in sciences and in the lives of people would have been impossible.
Besides, if there is no objectivity in moral matters, the objectivity of science and technology
would also be limping. But what is objective morality? What do we mean when we say that
morality is objective? In the words of Ben Okwu Ebo, “When we say that morality isobjective we are not referring to a tangible thing that can be measured in the laboratory, butrather the objectivity lies in the fact that as human beings we have the same disposition tothink alike in things that concern morality' (Eboh, 2005).
Nevertheless, it does not mean also that there are no certain relative elements in morality.
Omoregbe teaches, 'The fundamental moral principles are the same all over the world but theparticular manner in which these principles are concretely applied in any given society isrelative depending on the special circumstances of the society in question. Hence there aredifferent moral rules distinct from the fundamental moral principles in different societies.
These moral rules prescribe the manner in which certain fundamental moral principles are to
apply in a given society in view of the special circumstance of that society' (Omoregbe,1989).
Given the two positions advanced, solely relativist ethical theory would be highly unrealistic
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while a solely absolutist ethical theory would sound so dogmatic that it could lose sight of thefreedom of the individual to act as free moral agents (Echekwobe, 1999). The safety lies in
the complementarity of both approaches for true human development.
Indeed, every true development that would serve the good of man as a moral agent cannot be
indifferent to Ethics and Belief systems. Man is not just a being that deals with economics;
man is essentially an ethical being that can differentiate between good and evil. And truedevelopment of man and society cannot take place in such situation of evil and deceit. It
must respect the fundamental values, norms and healthy customs of a people. After all,development is not only about scientific innovations and technological breakthroughs. It is
the entirety of what makes life of man in the society liveable. In fact, John Paul II averred, to'have' objects and goods does not in itself perfect the human subject, unless it contributes tothe maturing and enrichment of that subject's being' that is to say, unless it contributes to therealization of the human vocations as such (John Paul II, Sollicitudo rei Socialis, 28).
Ethics and Belief System as Inhibiting to Research, Policy and Practice inDevelopment?
From the foregoing analysis of the interactions between Ethics and Belief Systems, it isevident that both disciplines have tremendous influences in the lives of the people, who are inturn active agents of development and positive changes. It is our aim in the current session toinvestigate on the possible negative influences or otherwise of Ethics and Belief Systems in
the wide spectrum of our developmental discourse. Opinions abound that Ethics andReligion can influence the natural flow of research and policy in the dynamics ofdevelopment. It is our task here to explore such a possibility.
It was John Mbiti who widely wrote that Africans are incurably religious (Mbiti, 1991). Ethics
and Religion are therefore essential for the understanding of the background and operative
forces of the African life and world view (Obodoechina, 2005).
Yet our preoccupation is to underscore the intimate relations between Ethics and Belief
Systems in their common roles about linking research, policy and practice for development.
Ethics and Belief systems constitute essential aspects of the life of man in the society. They
are both pervasive in their influences. They can affect both positively and or negatively
research, policy and practice. For instance, the experience of widespread corruption in all thesegments of Nigerian society is as a result of ethical and moral barrenness. And corruption isthe bane of all projects and policies in Nigeria. In the atmosphere of corruption, where
neither ethics nor religion can influence the ebb and flow of events, research results, policy
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enactment processes and the implementation of the policies into practical use cannot berealised. It is therefore not surprising that the expected scientific and technologicalinnovation in Africa has not happened. It is not the problems of research and policies; it is
the problem of corruption. Policies cannot implement themselves. And Nigeria nay Africa
is not lacking in good policies that are capable of turning the development scenario in Africa
around. The human and material capital in Nigeria and nay Africa are enormous and are quite
capable of moving the continent of Africa far above the emerging Asian tigers inindustrialization and technological advancement. But for lack of moral responsibility and an
enduring ethics of value, Nigeria nay Africa is trailing behind in all aspects of development.
It is not surprising that when a nation begins to lose its sustaining ethical and moral
orientations, it begins to sink into oblivion.
Disorientation and the erosion of the foundational values of a people can tarnish the social
identity of such a people. At this stage, the worms that are capable of destroying the beans
are no longer outside, the worms are inside the beans, and there is no hope of cure. The'worms of corruption' and 'valuelessness', have eaten deep into the moral fabric of theAfrican nations that development policies remain unapplied and they suffer attrition and rust.
The clear absence of the rule of law that is capable of some form of decency in the private
and public fora is another index of a nation that is heading for perdition. The rule of law cansafeguard life and property and ensure the common good of the people. But where therespective arm of government and the appropriate agencies vested with the authority andpowers to ensure proper implementations are soaked in frivolities, lawless and violent actions
occasioning harm would be rife. This is the fate of the Nigerian society.
In the study of the state of contemporary America, 'Habit of the Heart' by Robert Bellah,
Richard Madson, William Sullivan, Ann Swidler and Steven Tipton, had argued that 'any
coherent and viable society rests on a common set of moral understandings about good andevil, right and wrong, in the realm of individual and social action and that these common
moral understanding must also in turn rest upon a common set of religious understandingthat provide a picture of the universe in terms of which the moral understanding make sense(Bellah, 1975). Is it possible to argue here that the development scenario in Nigeria nay Africa
has failed on its inability to reflect these dimensions? Is it possible to think that corruption
and moral decadence which is the bane of our African socio-political experience make ourdevelopment agenda untenable? Is it even conceivable, (given these antecedents), thatauthentic integral development, with all its implications for the rule of law and the avowed
respect for the dignity of every human person, will continue to elude Africa, with its
sophistications in research, policy and practice, if the ethical and religious armaments direly
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needed for a national reorientation are not consciously pursued, persevered and made to beeffective in the entire private and public sectors of our life as a people?
In fact, it is worrisome that one of the greatest social and economic problems in Nigeria andindeed Africa which must be tackled is the breakdown of morals, work ethics, discipline,
social responsibility, and general civility among its citizens (Akinyemi, 2002). No nation can
attain any reasonable developmental heights without these essential ethical and moral
indicatives. As a matter of fact, Several Reports Index of the Transparency International
makes it evident that Nigeria is among the most corrupt Nations of the world. Is it any
wonder that we are not developing? It is our moral ecology that is depleted. It is that tragic
loss of that sense of meaning beyond us, that creates certain emptiness at the heart of ourcommon life.
I think it is in the realisation of the dire need for ethical and moral probity in the private andpublic sectors of our life that informed the actions of subsequent Nigerian governments toembark on several moral agenda. For instance, on assumption of political office in 1979,
President Shehu Shagari remarked that, 'more than anything else, among the problems facing
his administration were that of bribery, corruption, and lack of dedication to duty, dishonesty,
and all such vices' (Enahoro, 1982). It was the same motive that occasioned the several Actsof Government and Decrees like the War Against Indiscipline (WAI) of General Muhammed
Buhari/Idiagbon administration of 1984, which was later changed to Directorate of Mass
Mobilisation for Social Justice and Economic Recovery (MAMSER) by General Ibrahim
Babangida administration of 1985. This too was changed to what we have today, the National
Orientation Agency (NOA) by the General Sani Abacha administration of 1993. The Act of
National Assembly under the General Olusegun Obasanjo administration established in 2000
the Independent Corrupt Practices and other Offences Commission (ICPC), and in 2004, theEconomic and Financial Crime Commission (EFCC) with a view to dealing with corruption
in our society. It is doubtful whether these agencies and bodies achieved their reasons ofbeing since the spate of corruption and crime in Nigeria nay Africa is still alarming.
It suffices therefore to underscore that all the mega stakeholders in the enterprise ofgovernment, from research to policy enactment and its applications, at all the stages andprocedures of their involvement, if the business of governance will translate into well-beingof the people, must toe the part of ethical and moral integrity. The task in normative ethicaltheory within the purview of our theoretical ethical discourse admits nothing less than thiscommitment. And it is in this commitment that the expected linkage between research, policy
and practice will translate to proactive development for Africa and its nations.
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Apart from the endemic corruption in the fabric of our society, religious ignorance andsuperstition, hypocrisy and obnoxious religious beliefs, obduracy and fanaticism result in
Mind Block that make research, policy and practice for development impossible in Africa
Religious ignorance and superstition for instance are the lack of due knowledge of one's
religious teachings and doctrines. It includes the possessions of half-truths of faith and theinability to grow in due knowledge about one's religious faith. The consequences of thisanomaly are great. First and foremost, one is not a good religious man or woman for lack ofdue knowledge. For the want of knowledge too, one begins to act in grave culpable ignorance
and interprets the tenets of one's religion in the most abysmal form. Most times the personal
interpretation of the tenets of one's religion becomes too inhibitive to the discipline of hard
work required for authentic human promotion and development. The setback indevelopment that results from useless mind sets over religious matters in most of our ruralcommunities is incalculable.
For instance, in Opi Nsukka Nigeria, a good number of developments projects have beenabandoned. A simple survey within the local inhabitants across religious divides was
conducted in the community to assess the impact of science, policy and practice in the light ofEthics and Belief systems around them. Below is the output of response given by 200
persons selected among teachers, community leaders, religious leaders and higher school
students using stratified random sampling technique (cf. Annexe 1-4, pp.26-28).
The above graphic demonstration in respect of the obstacles facing the implementation of
government policies within Nsukka geo-political zone is vivid on corruption andsuperstitious belief in the Deities as the major obstacles. Beginning with the case ofCopernicus and Galileo the exact relationship between Science and Religion was a subject ofgreat debate. Even till today, the debate goes on in several fronts. But whether true Religion
obstructs the development of science as a self-perpetuating field of intellectual endeavour isdisputable. Sometimes a distinction between the tenets of a religion and the actual practice of
the adherents reveals a thick religious ignorance and extreme fundamentalism. Faulty
interpretation of some Biblical and Koranic texts can sometimes hamper economic
development. People can become fatalistic.
In his historical excurses on how the Catholic Church built the Western Civilization in thecontext of hostility towards science, Thomas Woods, remarked, that 'The animism thatcharacterized ancient cultures which conceived of the divine as immanent in created things,
hindered the growth of science by making the idea of constant natural laws foreign. Createdthings had mind and wills of their own –an idea that all but precluded the possibility of
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thinking of them as behaving according to regular, fixed patterns (Woods, 2005). It istherefore possible that science could have had stillbirth in certain cultures and traditions. Just
like in Opi - Nsukka Nigeria my community of residence where fear of the 'Uhere Deity' at
Opi Agu, prevented the Engineering Firm handling the Uhere Bridge from completing its
assignment. As a result, the entire residence of Opi Agu Nsukka Nigeria who were otherwise
blessed with fertile arable lands are now living almost isolated from the rest of the world forlack of access road. Their rich agricultural produce cannot be transported into the city. And
their life of abject poverty cannot be changed in the context of a warped and atavistic notionof religion.
In the same vein, obduracy and fundamentalism in religious matters is another hindrance toinnovation and development. This is where one does a useless word-for –word Biblical or
Koranic exegesis favouring a point of view that is totally out of tune with the reality of
religion and good life. It is a form of religious extremism where one recognizes no legitimateboundaries between the language of faith and reason. As it were, one fails to recognize thesigns of the times in such approach to religious issues. The evil of the Inquisitions and the
Jihads had their history and operational guidelines from such barbaric fundamentalist
dispositions. With a brazen arrogance, and pride, fundamentalism is gravely intolerant. It isalso injurious to scientific innovations and development. It breeds incessant religious
conflicts and wars that disrupt life and progress in the society. In fact, the attempt to impose
single religious visions on a society runs counter to the religious imperative of a highly
pluralistic world (Sacks, 2005). Yet we live with the carnage and blood bath that result fromsuch barbaric impositions. Take for instance the manipulation of the religious sentiments of
the Moslems in some parts of Northern Nigeria with the introduction of the Sharia religious
law in some of the Northern states. Here Governor Ahmed Sanni Yerima of Zamfara state,
who actually began this, had other sinister political and economic motives in view. Even as heintroduced the religious Sharia law, he was of the opinion that the sharia was capable ofbringing back peace and order, wiping out corruption and bringing economic prosperity tothe people. With this, he achieved an unbelievable cheap popularity among the Moslem
populace of Northern Nigeria. It is sad, that this type of undertaking which has all theappearance of a vicarious religious duty was in reality an exploitation of the deep-seatedreligious sentiment of the people in the context of seeking political power and influence. Hisinterference in the specific area of religion with such bravado was tantamount topoliticization of religion. And this caused great strife and rancour among the different
adherents of other religions. The politicisation of religion has nothing to do with thedoctrines of the respective religions apart from causing death of opponents. It is largely
evident in the pages of history and even now and again in our society to witness where
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religion has been instrumental to racial tensions and even wars. Instances abound with theChristian Inquisition and Crusades, of the late Middle and early Modern Ages and theMoslem Jihads or the Holy Wars of our time (Ukwuegbu, 2008) Religion has also been
understood to have contributed intensively in many cases of ethnic, political and economic
conflicts, flagging with zeal the embers of hatred and intolerance.
Recommendations and the Way out of the Labyrinth
At the end of our reflections on the roles of Ethics and Belief systems in the quest for proper
linkage between research, policy and practice for African development, we have been able tounderscore the place of Ethics and Belief systems as crucial in the said inquiry. We now dare
to hazard prospects for a proper harmonization of Ethics and Belief systems as useful tools
capable of aiding scientific and technological innovations in Nigeria nay Africa.
Linking science, policy and practice in governance is indeed an interesting dimension in the
dynamics of national development. It indicates the indispensable place of and the intricate
relationship that exists between research, policy and practice in any developmental agenda of
any nation. In fact most developmental efforts of governments in Nigeria and nay African
have yielded no appreciable results as a result of dearth on studied research on one hand andthe ineptitude of failing to utilize the very few available research results, along with paucity of
implementation of enacted policies.
It is absolutely being recommended that effective communication networks between
researchers and policy makers and practitioners' be designed, setting out the strategies and the
pro-active ways forward for bridging the gap for African development.
It was also evident in the course of our reflections, that economic development has much to
do with human endowments, social attitudes, political conditions, and historical accidents' or
antecedents. Social attitude is the totality of beliefs and values that can cause humanbehaviour to be what it is. The technological backwardness of the nations of Africa has been
blamed on the inability to take care of these fundamental caveats in the development
scenario. Education, persuasion and introduction of new methods and techniques of
production may serve useful purposes. This involves the adoption of 'Modernisation ideals'
for rapid economic development. This means the involvement of 'the social, cultural,
psychological frameworks which facilitates the application of tested knowledge to all phasesof production' This include rationality in thought and action through a deliberate cultivationof scientific attitude and application of modern technology in order to increase productivity,

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raise level and standard of living, and bring about social and economic equalization.
Corruption arising from grave ethical and moral barrenness has also been identified as thebane of Africa's development. There is therefore an urgent need for ethical and moral
regeneration and rebirth. This applies to every segment of the Nigerian nay African societies
since we have all been endangered with endemic corruption in every fabric of our society life.
Ethical and moral rebirth can take several forms, beginning from the families to the larger
organisations and bodies in the society. The rebirth has to be aggressive, since 'the worm that
spoils the beans is already inside the beans'.
Though religious bigotry and superstition with their attendant consequences of religious
violence and mind blocks have been identified also as inhibiting factors in the attempt at
African science and technological innovations, ethics and belief systems remain pervasive inthe life of man in the society. It remains true that rightly lived relationship of man with God is
a force for justice and peace in the society. In a society where peace remains a value, holistic
development can be attempted.
In the words of Jonathan Sacks, religious values may have been eroded but they are noteclipsed. They lie at the heart of some of our deepest moral commitments; to the worth of theindividual, to society as a covenant rather than as a contract, to morality itself as a communal
endeavour, and to the family as the crucible of personal relationships (Sacks, 2005). I see
ethics and belief systems dominant in the life of the society. It remains as the network ofsymbols and meanings that constitute society' (Thomas Luckmann, 1967). In fact religion
endures as 'the awareness of men of their finiteness and the inexorable limits to their powers,
and the consequent effort to find a coherent answer to reconcile them to that humancondition.” (Daniel Bell,1977). A more tolerant attitude towards religion for the good of thesociety must be adopted. For instance, the invitation to a meeting of heads and representativesof world religions in Assisi in 1986 was not just a gathering of religious institutions, rather, it isa 'case of being together on a journey towards truth, a case of taking a decisive stand forhuman dignity and a case of common engagement for peace against every form ofdestructive force” (Benedict XVI, 2011). In the light of the pervasiveness of ethics and belief
systems, development experts must admit that true religions have the necessary functions ofhelping to dispose human hearts, so that true peace can be fostered and preserved. And weknow that no meaningful development can take place in the absence of peace and order. We
must bear witness to the great power of religion for good. In fact, true religion will be able toaddress the anomalies associated with religious bigotry and superstition, and create humanharmony, justice, prosperity and improved standard of human life.

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Just as we have the ability to draw back from the abyss of ecological disaster, so we have also
the ability to change directions in the face of social disaster (Sacks, 2005), that are the fruits ofour ethical and moral decadence that make our research, policy and practice yield no results.
It must be borne in mind that the government legislations and fiscal policies alone are notadequate to solve all societal problems. In fact, survey after survey reveals the extent to whichsocial ills survive legislative attempts to cure them. Poverty, underachievement, educational
standards etc. are relatively resistant to government actions, whether the state is pursuing amaximalist or minimalist course. Hence, the force that shapes a society lie too deep to bereached by any of the political regimes (Sacks, 2005). And so a combined effort and synergy
among the major stakeholders in human development become essential for the neededscientific and technological transformations in Africa.
Selected Bibliography
Akinyemi, A.O. (2002). Effective Business Training and Practice: “The Ethical Side” in:Adeseye et al (eds), Polytechnic Education in Nigeria: Problem and Prospects (pp268_291) Lagos: Bulufemi. Ent.
Alan and Mike. (2003). Science, Social theory and Public Knowledge, Open University Press,
Philadelphia
Archie J.B. (1992). Why be Moral? World Books
Benedict XVI. (2011). Papal Address @ Assisi
Daniel Bell. (1977). The Return of the Sacred? The Argument on the Future of Religion in the
British Journal of Sociology.
Department of Trade and Industry (July 2000). Excellence and Opportunity: A Science andInnovation Policy for the 21st Century, London
Ebo, B. (2005). Living Issues in Ethics, Afro-Orbis Nsukka
Echekwube, A.A. (1999). Contemporary Ethics: History Theories and Issues, Lagos, Spero
Books
Enahoro, P. (1982). President Shehu Shagari, in Executive Conversation Interview on
Domestic and International Affairs, Africa Now, London
Esman, M.J. (1991). Management Dimensions of Development: Perspectives and Strategies
European Commission. (2000). Governance in the EU: A White Paper(http://europa.eu.int/comm/governance/areas/groups2/index_en.htm).
Gaudium et Spes, Pastoral Constitution of the Church in the Modern World
J. Goetz. (1981). “Religion” in: New Catholic Encyclopedia ,Vol.XII (QaT Scr)
John Paul II: Solicitudo rei socialis
Mbiti, J. (1991). Introduction to African Religion, Britain

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Obodoechina, U. (2005). The Imperative of Self Reliance for the Churches in Africa,Frankfurt, Peter Lang Books
Omoregbe J. I. (1989). A Systematic and Historical Study.Pilgrimage, www.Zenith.org.
Robert. N. Bellah. (1975). The Broken Covenant: American Civil Religion in Time of Trial
Sacks J. (2005). The Persistence of Faith, Religion, Morality and Society in a Secular Age New
York, Continuum Books
Singer, P. (1993). A Companion to Ethics. Maryland, Blackwell pub. Ltd.
The Catholic University of America pp 240 -246.
Thomas E. Wood, Jr. (2005). How the Catholic Church Built Western Civilization.
Washington D. C,
Thomas Luckmann. (1967). The Invisible Religion.
W. T. Stace (1985) “Ethical Relativism” in Reason and Responsibility, Westhartford
Wynne, B.E. (1995) The Public Understanding of Science, in S. Jasanoff, G.E. Markle, J.C.
Peterson and T. Pinch (eds) Handbook of Science and Technology Studies, pp.361-88.
Thousand Oaks, CA: Sage.

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8. Triangulation of Research, Policy andPractice: Pathway for African
Development
Nnamani, C. V.1 and Oselebe, H. O.2
1
Department of Applied Biology, Ebonyi State University, Abakaliki, Nigeria
2
Department of Crop Production & Landscape Management, Ebonyi State University, Abakaliki,
Nigeria.
Abstract
The scenario in developing countries is such that, researchers, actors of policy and practitioners live in isolationin terms of their goals and operations, without synergy of purpose and orientations. As a result of thisresearchers baffle on why much resistance are found in policy changes despite good, clear and strong inferencesfrom research findings, while drivers of policy bemoan the inability of many proactive researchers tocommunicate and make their research findings accessible and digestible on time for policy implementations. On
the other hand, practitioners in most cases are not so much concerned, but rather go on with life as they trade on
the threshold of events. However, utilization of research findings in policy development, decision making andpractice have the potential to save life, reduce poverty, fight hidden hunger, improve livelihood, aid continent's
ability to withstand global shock and sustainable development. This paper uses Triangulation of Research,
Policy and Practice Pathway (TRPPP) to argue that there are more potential for effective development, whengood linkages exist between research, policy and practice in African countries. It identifies, funding, politicalstructures, socio-economic statuses, enabling environment, credibility, advocacy, networking, media andexternal influences as major challenges. The paper also highlights some strategies and opportunities which could
enhance linkages between research, policy and practice for African development.
Keywords: Triangulation, Research, Policy, Practice, Development.

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Introduction
In both local and international communities, economic and social developments are
increasingly driven by the advancement and application of knowledge. Most advanced
societies depend on evidence based researches to secure a robust foundation of knowledge
for its citizens. Education in general and higher education in particular are fundamental to theconstruction of this knowledge through research findings.
In this 21st century, constructive research evidence is the driving factor in developmental
enhancement. Ogunji et al. (2011) stated that the most effective strategy to break away fromthe vicious cycles of under-development, poverty, ignorance, disease, chronic economic
dependency and political instability is through qualitative education. It was further opined thatthe entire intellectual and professional life of a country depends on sound higher education,
especially from universities which provide quality products of international standard throughmeaningful research aimed at solving societal problems. The long-term development ofsociety is therefore dependent upon such curiosity-driven pure research to secure arobust foundation of knowledge which constitutes the bedrock for development and theprosperity of coming generations.
The translation of evidence based research into implementation strategies is the sole
responsibility of policy makers, who incidentally are often in conflict, bias or completely not
attuned to the values of this knowledge (Drayton, 2011). Greater integration between
research, policy and practice are required to provide an evidence based research that istransparent, and adaptive to solving the complexities of problems facing mankind (Macleod
et al., 2008). Linking research evidence to policy is crucial to improving the evidence base ofsocial, economic, health and environmental development of any country. This process has notbeen recognized in most African countries and as such hinders equitable distribution of highquality services for the advancement of human capacity.
Linkages between research, policy and practice becomes necessary because, it is when all theactors in these sectors are taken into consideration that research results will have impact on
development. Sauerborn (1999) noted that the world of actions are not separate from thesphere and origin of knowledge, but rather are inseparable parts of each other. The man andwoman of action have no less responsibility to understand the world than the scholar who is
the researcher, while ideas are the true forces that change the tangible world.
Advanced communities have responded to this challenge and achieved a stable state where thesearch for workable policies and practices have shifted from 'one-size fits all' solution toStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 75

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tailoring research findings to problem solving devices (Court et al., 2005) throughcollaborative integration among all the actors of development.
Evidence of this could be seen from the giant steps taken by WHO, when it convened theMinisterial Summit on Health Research in Mexico City, where all major stakeholders weremandated to strengthen or to establish activities to communicate, improve access to, andpromote the use of reliable, relevant, unbiased and timely information from research fordevelopment. The organization further mandated WHO's Director-General to assist in thedevelopment of more effective mechanisms to bridge the gap between the ways in whichknowledge is generated and the ways in which it is used, including the transformation ofresearch findings into policy and practice (WHO, 2004; Lavis et al., 2006). African countries
need to key into this approach of development-driven knowledge, disseminated to thepractitioners through translations made by drivers of policy.
The failure of policy makers and researchers in many African communities to understandeach other's roles and contributions in policy making is a major stumbling block in linking
evidence based research findings into policy and practice. Evidence have shown that thosestrategies promoting interactions and linkages between researchers, policy makers andpractitioners could be useful in development, only if the entire stakeholders understand eachother's role and work in close collaboration. It will generate evidences which are in line with
policy needs and therefore aid timely utilization of findings in policy making process forpractice (Zahiruddin et al., 2010). This is very important, as ineffective or misdirected policies
incur substantial financial and social costs, resulting to underdevelopment. The main
objectives of this review paper are to: 1) identify the challenges hindering research linkages topolicy and practice, and 2) highlight the prospects and opportunities of research linkages to
African development.
Why linkages of research, policy and practice?
Researchers, policymakers, civil society organisations (CSOs) and practitioners in capacity
development often live in separate worlds. Their dynamics, values and ways of handlingevidence are quite different. Researchers often baffle on why much resistances are found inpolicy changes despite good clear and strong evidence from research findings, while driversof policy bemoan the inability of many proactive researchers to communicate and make theirresearch findings accessible and digestible on time for policy implementations. On the other
hand, practitioners in most cases are not so much concerned but rather go on with life as they
trade on the threshold of events (Court et al., 2005). There is an indication of gap amongst
these actors. The actors include the academia, the government, politicians; professionals in
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various fields of endeavours, NGOs, business men and women, knowledge brokers,
industrialists, community leaders, students, civil servants, health care providers, funding
bodies, the media and many more. Some of these actors come into play because they are thepeople to identify the policymaking process; adapt to the dynamics of the political debate; getthe timing right in disseminating research results; and communicate them in a language thatpolicymakers and practitioners can understand and finally get the feedback to researchers(Almeida and Báscolo, 2006).
Linking research to policy and practice then calls for the proper integration of all thesestakeholders in a collaborative network. This is necessary because the uptake of researchfindings by policy makers are usually taken to be a one way traffic process, whereby a set ofresearch findings or knowledge shift from research spheres to policy sphere without
interaction (Court et al., 2004).
Research results often do not go into implementation without first being debated upon within
the policy floor. When the result of the debate becomes favourable, it goes for testing which
if eventually successful may be useful for policy intervention. At this stage therefore, aconsensus can be reached to recommend this for implementation into practice. Young (2009)
noted that even at that stage so many obstacles remain, because policy processes are very
rarely linear and logical.
Potential challenges hindering linking research to policy and practice in Africa
A common exhortation in developing countries is that theories and resolutions from researchoriginate in the laboratories and end on the shelves after publications for appraisals. Research
results are hardly translated downwards to the community to influence livelihood or get to thetables and faces of the policy makers for timely implementation and intervention on societal
problems (Court et al., 2005). There are many potential challenges hindering the linkages
between research findings to policy and practice in Africa. These barriers include:
Socio-economic status
Research and its benefits to any country's development are enormous but for it to realize all its
benefits fully, its findings must be put to use. Industrialized countries utilize research for
greater development because they have grown above poverty level. They go into research forthe sole purpose of proffering solutions to societal problems. As soon as something new thatwill enhance life is discovered, it is made available to the general public using the media,
internet, health care providers and educational institutions or through strong universitycommunity engagements that are inbuilt into the entire process. Even when the research isStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 77

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still in the "oven" words are already out everywhere about what use and benefit the results or
expected findings would be to mankind and the society at large (Court, et al 2005).
This is however, not so in most African communities, where researchers and research
evidences are faced with lots of challenges. According to Duze (2011), investments in
education seem to have failed to deliver the goods in most African countries, since most ofthem are still battling with under-development in areas of unemployment, poverty, personal
and regional inequality; illiteracy and inability to becoming self-reliant. All these put together
constitute challenges to the ineffectiveness of researcher in providing evidence-based results
which could sell through for effective policy translation to practice.
Poor funding of educational research and external influence
Most of the educational institutions established to be centres of knowledge creation anddissemination are financially handicapped. Researches which are evidence based that will
enhance development are usually sponsored and tailored by external bodies, who establish theguidelines for such research processes to suit their own mandates.
For example, a breakdown of Nigerian budget of 2010 showed that N295.3 billion
representing about 6.4% of the budget was allocated to education. Although, this was slightly
bigger than the President Umaru Musa Yar' Adua's initial proposal, which was N249 billion(6%), it failed to address those major challenges in the sector. The Education Rights
Campaign (ERC) rejected the 2010 Appropriation Bill passed by both houses of the National
Assembly saying that it failed to address funding of vital social services most especiallyeducational related researches. It therefore called on the President Goodluck Jonathan not tosign the 2010 appropriation bill into law until the allocation to education is increased up to
26% as recommended by UNESCO.
Okoli and Duze (2011) noted that, there is obvious discrepancy in the management of
Nigeria's education that must be quickly addressed to ensure education's capacity to bringabout sustainable national development. By June, 2010, Nigeria still grouped by UNESCO
among the 'e-9' countries parading about 70 per cent of the world's illiterate population. The
only other African country in this group is Egypt with a lower percentage than Nigeria.
Also, among African Countries, Nigeria (the giant of Africa) was noted to have allocated theleast in recent years to education (highest 11.12% in 1999, lowest 1.83% in 2003) as against
UNESCO's 26 per cent minimum budgetary allocation to education (Ajao, 2003).

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Political environment
Court et al (2005) noted that political context has consistently been identified as the mostinfluential factor hindering the linkages between research, policy implementations andpractice. Policy makers in most developing countries of the world are often heavily influenced
by relatively uneducated politicians who do not value research evidence much and this is thereason why evidence based researches often play very minor roles in policy processes.
Young (2009) noted that a recent ODI study of factors influencing chronic poverty in Uganda
discovered that only 2 of 25 were researchable issues. He continued that in 2003, Vincent
Cable, a senior member of the UK parliament, said that politicians are practically incapable ofusing research-based evidence because, among other things, few are scientists, and they don't
understand the concept of testing a hypothesis; while Phil Davies, then deputy director of thegovernmental and social research unit in the UK Cabinet Office, described how policymakers
tend to be more heavily influenced by their own values, experience, expertise and judgement.
There is also the influence of lobbyists, pressure groups and pragmatism based on the amountof resources they have available rather than by research-based evidence.
For this and other reasons the chances of policy makers accepting inputs from research
evidence is bleak. Hamper et al (2010) emphasized, that the nature of the political system, as
well as level of strength of government leaders in accepting research findings are governed bytheir personal interest, those around the corridors of policy, capacities of both policymakers
and level of influence of external actors. These factors shape who will participate in the policy
process, on what terms, and how the process will be structured. Perpetually, it becomes
imperative that only those interest groups at the corridors of power will have access to theforum where policy decisions are made (Hussain, 2011).
Lack of well-coordinated communication
The process of cross-referencing of ideas among all actors of development is crucial for any
meaningful advancement in any country. Historically, there has been a rigid separation
between researchers and policymakers, allied to a mutual intellectual disdain. Generally thenotion has been that the fields of knowledge production, policy formulation andimplementation are very different, their goals and modes of operations are completely
parallel, unconnected and not easily interchangeable. This lack of cooperation hinders
coordinated strategies for effective developing, and equally bridges proper communication
and understanding between actors of policy in Africa.

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The character and credibility of researcher
The reputation of the people conducting research may hinder the proper utilization ofresearch findings for policy and practice. Robin (2005) highlighted that in most African
communities, the out coming of research is usually a reflection of the politics, values andassumptions of the researchers and those commissioning the research. Research has the mostaccess to policy-decision when it is topically relevant to the pressing policy issue of the day
and when the source of information together with the commissioning body is well known tothe policy makers. When findings do not key into the pressing need and interest of the policy
makers, its implementation becomes difficult. It is important that analysts examine thesocietal interest and priority before embarking on any research work so as to influence policy.
Hanney et al., (2003) noted that the existence of relevant research alone, though necessary, is
not sufficient to drive development. He suggested that examination of the policy-making
process confirmed it to be extremely complex, with many genuine obstacles hindering
evidence-based policy-making practicable. However, there are some effective strategies andopportunities which could boast linkages between research, policy and practice for African
development and thus make the policy making process easier.
Triangulation Pathway
The involvement of potential users of research as well as the policy makers at the formulation
stage of research will increase the likelihood that such research results will be utilized insolving the societal problems. The justification for triangulation pathway in research, policy
and practice is coherent in synthesizing the priorities of the people among all odds. It provides
greater transparency and accountability in policy formulation and implementations.
Triangulation opens-up mechanism to be widely used by the players of research, policy andpractice in a consultative manner. It involves a situation, where specific questions are widely
circulated to gather opinions. Views from key stakeholders and interested parties are sorted
and selected before policy decisions are made (Morris, 2006).
The process of triangulation ensures that all stakeholders eschew bias and work together inunity of purpose. Interest groups may lobby at various stages by collating data from all actors
and influencing definition of priorities among the needs, decisions, or policies of the country.
Some decisions generate a search for additional information and further negotiations, whileothers produce policies.
New policies can also lead to new interest groups and new political challenges (Morris, 2003).
It is important that analysts examine the actors in the process and evaluate the sources of
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information they trust, the type of information that interests them, how they evaluate
information, what motivates them to make decisions, and the actors with whom they interact,compete, and form alliances with (Almeida and Báscolo, 2006).
The triangulation linkages and synergy between result oriented researchers, drivers of policy
and practitioners in African contemporary society (Fig.1) is the pathway for any meaningful
development. The policy process is similarly represented, starting on the left side of theconceptual figure and moving clockwise. When the needs or problems that arise can beaddressed on the basis of specific policies, there is an endeavour to gather information onthem from a variety of sources by all the stakeholders. Interest groups may lobby at various
stages and thereby influence definition of priorities among their needs, decisions, or policies.
As in the previous process, some questions return to the information-gathering stage, before
policy is designed. Some decisions generate a search for additional information and further
negotiations, while others produce policies. New policies can also lead to new interest groups
and new policy challenges.
Triangulation of research-based evidence can contribute to policies and practices which will
greatly have dramatic impact on peoples' lives in many African countries if properly utilized.
The near absence of this integration in most African setting necessitated a recent
collaborative project between Association of African Universities (AAU) and Association of
Universities and Colleges of Canada (AUCC) project funded by the Canadian International

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Development Agency (CIDA), aimed at strengthening university-stakeholder relations inhigher education, for which six universities in Africa is benefiting (including Ebonyi State
University, Abakaliki, Nigeria).
Confidence in the researcher and research evidence
The components essential for successful collaboration are trust, openness, understanding,cooperation and transparency among the stakeholders. Policy-makers look for consistency
and reliability of the evidence. The extent to which they value research findings and theirutilization in the policy making process is influenced on whether they trust the researcher andher capabilities. Translation of the policy statement into implementation for practicalintervention needs a strong convincing hold on the policy makers. The extent to which thepolicy makers value the research findings in the policy making process will influence how far it
is implemented and utilized (Zahiruddin et al., 2010).
Policy actors in most developing countries often do not see research findings as problem
solving device but rather as a part of routine work by academia, as an activity to receive someincentives and/or an act to get promotions during appraisals. Rubin (2005) suggested that inorder to generate evidences which are highly valued by policy makers researchers need toapply available knowledge, under the prevailing socio-economic and cultural environment of
the policy makers, because those are the findings that will attract the interest of those at thecorridors of decision making. This is necessary because weak link between research evidences
and policy interests explains the lack of consensus between research and policy.
Advocacy and Networking
Research results often need to be contested, debated and tested before a consensus can bereached on their recommendations for practice. Simply, presentation of research results topolicymakers and an expectation for their implementation is very unlikely to work, if there are
no good advocacies to lobby the policy makers regarding the usefulness of such evidences.
Although most policy processes do involve a sequence of stages from agenda-setting throughdecision-making to implementation and evaluation, they rarely take place in an orderly
fashion.
Researchers need to understand the political factors which may enhance or impede uptake
and develop appropriate strategies to address them. There is need to engage closely with
policymakers throughout the process of research, from identifying the problem, undertaking
the research itself and drawing out recommendations for policy and practice (Rubin, 2006).
This could enhance successful linkage of research to policy and practice.
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Making research accessible
If research results are not accessible or not easily understood by the targeted audiences, it
simply does not 'travel', thus, failing at the first hurdle in the process of trying to bring aboutchange. Making research accessible aims to unpack the variety of different ways research can
get to its end users, taking into account the different contexts and situations that these actors
reside in (Court, 2005).
Evidence providers need to realize that most policy makers are often too busy to access thehung number of data which get to them or not trained enough in the languages of articulating
and understanding the intricacies of retrieving information from the internet. Zahiruddin etal (2010) stressed that aside from the above, retrieving of information/evidence is considered
as a time consuming process for most policy makers. It then becomes imperative forresearchers to carefully articulate ways of sensitizing and assisting policy makers to effectively
manage the vast quantity of information they received. Researchers could use media, fliers,
conferences, dialogue as well as using the lobbyists to disseminate findings.
Establishing good communication channels
An explicit communication strategy for the researchers is for them to identify the roles andresponsibilities for communicating research results to research managers, and all the people
who has input to the work. Macleod et al., (2008) suggested that to enable robust policy
making, there is a demand for an inclusive process that enables opening up the science-policy
discourse to a range of expertise, value positions, and modes of thinking. Such process allows
all the stakeholders to have a contributory input to issues that affect them. It equally gives all
the players a sense of belonging and that process is through well-coordinated communication
medium (Prager and Nagel, 2008).
Rubin (2006) suggested that the acknowledged gap in flows of research information to policy
and practice has led to establishment of appropriate bodies whose sole responsibility are to
network, lobby and disseminate research results to the various players. Such initiative led to
the formation of Getting Research into Policy and Practice (GRIPP) - a collaboration ofresearch programmes concerned with operations and health systems research - and the
Global Development Network (GDNet), which devotes particular attention to supporting
researchers and research institutions to raise the profile of evidence based research indeveloped countries, and provide greater scope for 'home-grown' policy for developing andtransitional countries. This type of bodies could ensure research linkages between policy andpractice in African development.

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Organizing research seminars, conferences and workshops
Seminars aimed at encouraging dialogue between policy makers, practitioners and researchers
to promote linkage and exchange of ideas between these groups are very necessary. The
audience is targeted according to the topic of the seminar. For example the triangulation
conference organized in 2009 in Nigeria on HIVAIDS had various stakeholders likepractitioners who were conference conveners, the researchers who had conducted evaluation
works on various aspects of the epidemic, vulnerable members within the society, carriers andpolicy makers.
Face to face discussion allowed researchers to express the usefulness of their results andconcerns to the prevalence of the epidemic, practitioners to talk about case examples out of
personal experiences and policy makers to ask questions about research evidences and theirapplicability. Seminars and workshops could equally be organized for the same purpose toenhance linkage of research to policy and practice on diverse topics which could trigger off
development in African counties.
Writing research brief
Briefs are important communication tools for linking research findings to policy and practice,
this is because most actors of policy and practice including other stakeholders do not sparemuch time in reading the full paper on research evidence. Hence the executive summary tells
the story quicker and ultimately affects change (Dublin, 2005).
Conclusion
This review paper on linkages between research, policy and practice to enhance developmentin African countries has actually noted policy-making process to be extremely complex, withmany genuine obstacles hindering evidence-based policy-making efforts. However, there aresome strategies and opportunities available to researchers which could facilitate their efforts
in bringing effective research linkages to policy and practice in African communities.
Such strategies include triangulation pathway, organizing research seminars, conferences andworkshops, establishing communication channels, making research accessible, advocacy andnetworking, character and credibility of researcher and writing research brief. Wellcoordinated triangulation between researchers, policy makers and practitioners could
strengthen linkages, timely and effective development in Africa.

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Written by on February 7, 2011 – 11:03

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9. The Research - Policy Nexus:
Mapping the Terrain of the LiteratureTracy Bailey
Centre for Higher Education Transformation
Cape Town, South Africa
Tel: +27 21 7020913
Email: tgbailey@iafrica.com
Abstract
This paper reviews international literatures on the relationship between research and policy-making. It begins
by exploring the development of ideas about and models of research 'use' and 'utilisation' roughly over theperiod from the 1970s to the present day. The paper also covers different conceptions of the policy-making
process, from the rational models to the more nuanced and messy political models. This is followed by discussionof the various factors that have been identified through empirical research as impacting on or influencing thenature of, and extent to which, research ideas or findings are taken up in the policy process. The factors discussed
include those relating to the knowledge production process (or supply-side factors), the policy-making process (ordemand-side factors), as well as what happens in the interaction between researchers and policy-makers. The
issues raised are then contextualised and discussed in the developing country and African contexts. In
particular, the paper focuses on key challenges at the macro level of the political context in Africa. It also raises
issues around knowledge production and research capacity on the continent. This includes reflections on the stateof higher education and research systems in Africa; perceptions of inferior quality scholarship coming out of
African universities; and, the tendency for governments and international agencies to draw on foreign, rather
than local, consultants and experts.
Keywords: Research-policy interface; policy-making, research use, utilisation
Introduction
As a field of inquiry, the relationship between research and policy formulation,
implementation and evaluation is well established, particularly in the United States and other
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The Research - Policy Nexus: Mapping the Terrain of the LiteratureTracy Bailey

developed countries. There is a wide-range of literature available which documents thefindings of empirical studies in a variety of disciplinary contexts, and which attempts totheorise and explain the complex interaction of factors that have a bearing on how and theextent to which research influences or impacts on the policy-making process. The focus on
these issues within developing country contexts, and particularly the African context, is only
recently gaining attention. This paper 'maps the terrain' of the literature and provides an
overview of the main issues and themes that emerge.
The development of ideas about 'use' and 'utilisation'
Prior to the so-called 'utilisation studies' of the 1970s, social scientists simply assumed that
their research would in one way or another be taken up within the policy-making process. The
link between research and policy was assumed to be a direct and linear one, from researchers
to policy-makers. In addition, there was considerable faith in the 'objective' and 'valid' basis of
the social scientific method (the positivism or empiricism of the nineteenth century), on the
one hand, and the 'rational' basis of the policy-making process, on the other. As Bulmer (1982)
once observed, the objectivity of the social science method was seen as the only way ofovercoming the weaknesses perceived to be inherent in the policy-making process.
In the United Kingdom in the nineteenth century, social research was largely empiricist innature. The assumption about the relationship between research and policy-making was that
researchers would produce social 'facts' which, when fed into the policy-making process,would provide an empirical basis on which policy-makers would make decisions about policy(Lester & Wilds, 1990:314). In the so-called 'empiricist' or 'knowledge-driven' model, thechoice of which social 'facts' to produce was the choice of the researcher.
In the United States, in addition to social facts, the social sciences also brought the explanatory
power of social science theory to bear on policy problems (Bailey & Mouton, 2005:21).The
so-called 'engineering model' of utilisation emphasised the problem-solving role of theresearcher: the researcher as technician or social engineer would apply existing knowledge andtheory to the solving of social problems (Bulmer, 1982). The engineering model was based on
the assumption that the policy-making process is rational and this was matched to thepositivist assumptions about social science at the time (Bailey & Mouton, 2005:21-22). This
conception of utilisation has also been referred to as the 'problem-solving model' which
begins with a policy problem, is followed by the identification of pre-existing research or thecommissioning of new research to fill the knowledge gap, the transfer of information fromthe research domain to the policy arena, resulting in a solution to the problem (Elliott &Popay, 2000:462; Ginsburg & Gorostiaga, 2001:174).
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These models of utilisation have embedded within them the notion of 'instrumental use'which “refers to cases where the knowledge of a single study induces users to make decisions
that would not have been made otherwise” (Landry et al., 2001:336). Such use is based on anumber of assumptions about the nature of research findings and the policy processincluding, for example, that the research findings are of direct relevance to a decision thatneeds to be made; that they are available before the decision needs to be made; that they areclear, unambiguous and can be applied to feasible action; that they are not transformed in any
way when they move into the policy-making domain; that decision-makers are aware of thefindings and can understand them; that resources are available to implement them; and, thatthey do not conflict with the interests of those in power (Gornitzka, 2003:135; Weiss&Bucuvalas, 1980). With all the emphasis on the use of research knowledge – especially after
the Second World War – a number of studies into the extent to which research is utilised in thepolicy-making process were conducted in the 1970s, predominantly in the United States. The
resounding conclusion drawn by these early studies was that there was little evidence of thedirect or immediate use of research in government policy- and decision-making processes assuggested by the empiricist or engineering models (Glover, 1997:2; Lester & Wilds, 1990:313;
Neilson, 2001:3, Porter & Hicks, 1995:4).
Two important developments followed from this revelation: first, there was further
investigation and theorising about why research was not being utilised; second, alternative,
broader ways of defining 'use' and understanding utilisation were developed.
A key explanation for non-use at the time centred around the perceived 'mismatch' between
the worlds of the researcher and the policy-maker, encapsulated by Caplan's (1979) term 'twocommunities theory'. For Caplan, non-use was “a symptom of the cultural, or behavioural,gap between researchers and policy makers” (Neilson, 2001:3).This 'gap' has been describedin different ways, including differences in worldview, belief systems, values, orientations andexpectations, as well as language, reward systems, and social and professional associations(Lester & Wilds 1990:314; Neilson, 2001:4). The relationship between the two has also beencharacterised by animosity and distrust (Gornitzka, 2003:131). Bulmer (1982) and Albæk
(1995) argued that the reason why research was not utilised in policy-making in the way thatthe engineering model envisaged was, in part, owing to a misunderstanding on the part ofboth researchers and policy-makers of the processes involved.
The investigations by Weiss, Knorr and others in the 1970s gave rise to evidence of other,more diffuse and indirect ways that research found its way into the policy-making process.
One such conception is usually conceived in negative terms as the “misuse of knowledge”
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The Research - Policy Nexus: Mapping the Terrain of the LiteratureTracy Bailey(Ginsburg & Gorostiaga, 2001:175) insofar as research is drawn upon in order to justify orlegitimise political views or decisions/choices that have already been made, and to mobilise
support in this regard (Gornitzka, 2003:137; Landry et al., 2001:336). This is variously
referred to as the 'strategic', 'symbolic' or 'political' use of research. The 'authority' of sciencecan also be used as a tool to persuade others of the merit of a particular choice or position(Gornitzka, 2003:137).
Another more diffuse notion of the utilisation of research in policy-making is that of'conceptual use' (Landry et al., 2001:336; Gornitzka, 2003:139). This type of use refers to theway in which academic research can influence policy discourses via the development of new
or adapted concepts and language, and, as Neilson (2001:8) puts it, “describes the gradualshifts in terms of policy makers' awareness and reorientation of their basic perspectives.”
Weiss (1982) encapsulated the essence of this so-called conceptual use in her 'enlightenment
model' of research utilisation. In short, the knowledge generated by social research can'enlighten' policy-makers and broaden their understanding of the policy context and issues,
resulting in gradual shifts in their thinking over time. Weiss also introduced the notions of'knowledge creep' and 'knowledge percolation' to describe the manner in which researchfindings or concepts slowly filter into policy (and other) discourses by introducing new terms
or concepts, by identifying new or reformulating existing policy problems/areas, or byshaping policy discourse (Neilson, 2001:10).
The policy-making process and research use
In this section of the review, I explored different conceptions of the policy-making process,as well as the assumptions about how research is taken up and utilised in these different
models or approaches. Broadly speaking, these understandings of research use for policy canbe divided into two groups, namely rational and political models.
Rational models
The engineering model of utilisation and the instrumental use of science correlate with theconception of the policy-making process as rational. Rational models assume that knowledge
is neutral or apolitical and “that decision-makers will be persuaded by the most accurate orscientifically plausible option” (Stone et al., 2001:5).
The earliest and most pervasive notion of the policy-making process was that it is a linear
process involving a number of logical, sequential steps including problem
identification/definition and agenda-setting, policy proposal formulation, formal decisionmaking, adoption, policy implementation and evaluation (Porter & Hicks, 1995:6; Stone et al.,90 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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2001:5,8). In the linear model, policy-making is viewed “as a problem-solving process which isrational, balanced, objective and analytical” (Sutton, 1999:9) in which political actors make“calculated choices between clearly formulated alternatives” (Albæk, 1995:81). Stone andcolleagues refer to this model as the 'rational-comprehensive model'. Here, 'rational' refers to
the logical, sequential steps involved in the policy-making process. The model is'comprehensive' in the sense that it “canvases, assesses and compares all options, calculating
all the social, political and economic costs and benefits of a public policy” (Stone et al.,2001:5).
Over the years, this rational, linear model of policy-making came under fire for being an
idealised version of reality. For example, it has been noted that policy-makers seldom have thetime to assess all sources of research information in order to choose the best option (Neilson,
2001:15). Furthermore, (Stone et al., 2001:5) observe that this is seldom how research is usedin policy-making, not least because “the combination of 'sunk costs' in existing policies, thecost (time and resources) of compiling and assessing information, and the (generally) poor
predictive capacity of (social) science result in less than 'comprehensive' outcomes from thepolicy-making process”. And, Grindle and Thomas (1991, quoted in Neilson, 2001:19) argue
that rational models “provide little insight into how societal interests, historical experiences,
ideologies, values, alliances, and other factors penetrate the world of decision makers andshape or even determine decisional outcomes.”
Critiques of the linear model led to minor revisions which, although addressing some of the
problematic areas of the model as a whole, still ascribed to the notion that policy-making is arational process and draws on information in a rational way. Examples include 'satisficing',
which acknowledges that there are limits to rational decision-making(Albæk, 1995:83); and'incrementalism', which acknowledges that governments seldom have the time or the
resources to conduct or consider research to inform the policy-making process and, instead,
make minor alterations to existing policies (Stone et al., 2001:6). A third example is the'interactive model' which focuses on the implementation phase of the policy-making process
and is based on experience of policy reforms in developing countries. Here, policy reform isviewed as a process “in which interested parties can exert pressure for change at many points”(Grindle & Thomas, 1990, quoted in Neilson, 2001:20).
Political models
These early ideas about the policy-making process as rational problem-solving gave way toother more textured notions, including decision-making as a political bargaining process,characterised by conflicting interests and limits on rationality (Gornitzka, 2003:137). PolicyStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 91

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making has been characterised as a much messier and chaotic process than the rational models
suggest, involving a much wider range of actors than formal decision-makers. One suchmodel is the so-called 'garbage-can model'. Rather than calculated, optimum solutions being
matched to policy problems, the garbage-can metaphor suggests that “decisions are made asif decision-makers reach into a garbage can – drawing a problem with one hand and a solution
with the other, and the two are joined together” (Stone et al., 2001:10). Another is the notionof 'policy paradigms' which (Stone et al., 2001:7) defined as “an overarching framework ofideas that structures policy making in a particular field”.
Within this model, for the most part, the policy-making process is characterised by small,incremental changes to existing policies, infrequently interspersed with major policy change.
In the 'policy network models', the development of public policy is seen as resulting from“conflict, bargaining, and coalition formation among a potentially large number of societalgroups organized to protect or advance particular interests common to their members”(Grindle & Thomas, 1991, quoted in Neilson, 2001:23). Researchers, scientists and policy
analysts are amongst such groups. Four policy network approaches can be distinguishedincluding issue networks, epistemic communities, policy communities, and advocacy
coalitions. Finally, the notions of 'policy narratives' and 'policy discourses' “emphasise how
language or discourse shapes the policy agenda, and how problems and solutions areunderstood” (Stone et al., 2001:12).
Factors that impact on utilisation of researchStudies on utilisation over the past few decades have highlighted a range of factors that impact
on the effective uptake and use of research in the policy-making process. This section serves
to unpack these factors.
Supply-side factors: The knowledge production process
A number of issues emerge in the literature relating to the nature of social science researchand the research process, and how these inhibit utilisation. A commonly cited issue is that
academic research is often a slow process that spans quite a period of time (from months toyears) whereas the policy process often requires answers in a very short space of time. There isalso sometimes a disconnection or 'mismatch' between the process and/or the products ofresearch, on the one hand, and the knowledge needs and realities of policy-makers and thepolicy-making process, on the other (Davies, 2004; Ginsburg & Gorostiaga, 2001; Glover,
1997; Neilson, 2001; Porter & Hicks, 1995; Stone et al., 2001). Many academics (and theirresearch reports) draw on specialised terminology and jargon which makes them lessaccessible by non-academics and their communication about their research, findings or
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analyses less effective. Even when researchers want to do research that will inform policy, theyoften have a poor understanding of the policy process and of “how research might berelevant to this process” (Stone et al., 2001:3).
Another example is the open-ended, critical and uncertain nature of social science research.
This frequently presents a problem since social research does not offer clear-cut suggestions
for action, but instead provides a variety of options or alternatives. Similarly, there is seldom
consensus within the social sciences, which further serves to complicate, rather than clarify orsimplify, policy options (Glover, 1993:4).
Perceptions about the quality of the research, as well as the producers of the research, havealso been found to impact on the extent to which policy-makers will factor research in as “asource of useable knowledge” (Neilson, 2001:44).
The research that is available for policy-makers to draw on comes in many different forms.
Weiss (1991), for example, proposed three models or hypotheses of research that would giverise to different forms of use in the policy-making process.
These included research as data, research as ideas, and research as argumentation. (Davies,
2004:7-11) lists systematic reviews, single studies, pilot studies and case studies, as well as
expert evidence. He also outlines different types of evidence on which social research is often
based, including impact evidence, implementation evidence, descriptive and analyticalevidence, public attitudes and understanding, statistical modelling, economic evidence, andethical evidence (ibid.:11-15).
Demand-side factors: The policy-making process.
The nature of policy objectives and the manner in which these are formulated in general areoften not amenable to rigorous analysis and many political issues are value-laden and, as such,are difficult to research or evaluate (Glover, 1997:2).The issue of timing is again highlighted.
(Glover, 1997:2) observes that “the need for research often becomes apparent too late”
primarily because governments are generally resistant to suggestions (from research/ers) for
improvements or change unless there is a serious problem at hand. However, owing to thenature of policy-makers' work, it is often not possible for them to be able “to specify the exact
information they need in advance” (Garrett & Islam, 1998:8).
Another factor relates to who really makes the decisions. Earlier conceptions assumed that theinteraction was primarily between researcher and policy-maker. The political reality is that theStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 93

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process of arriving at decisions involves a range of people including politicians andbureaucrats, but also other external interest groups (Garrett & Islam, 1998:4; Glover, 1997:3).
Research findings and information can be used in different ways by different levels ofdecision-makers which include, amongst others, politicians and senior civil servants; middleranking and street-level bureaucrats; experts, specialists and advisors appointed bygovernment; foundation officials; and, members of civil society or non-governmentalorganisations (Garrett & Islam, 1998:5; Stone et al., 2001:21).
Another set of factors relates to information behaviour and use in the decision-making
process. A commonly cited problem is that policy-makers are bombarded with enormous
amounts of information on a daily basis but, in fact, have very little time to read, absorb andassimilate relevant information. They also give as much, if not more, attention to knowledge
gained from “practical experience and common-sense wisdom” (Gornitzka, 2003:134), andto values, ideologies and beliefs of the political actors or agencies, or the pressure applied bylobbyists, interest groups and consultants (Davies, 2004:5-6).
Some of the factors that impact on utilisation are rooted in the characteristics andorientations of the decision-makers themselves. These might include their “attitudes toward
information, their perceived need for information and their perception of the decisionmaking process” (Gornitzka, 2003:143). Education, training and experience (socialisation) of
decision-makers also impact on information behaviour and use: the greater the exposure tohigher education and research, the more likely the decision-maker will be to interact withresearchers and possibly also incorporate research knowledge into the policy process(Gornitzka, 2003:152-153; Marouani & Ayuk, 2007:10). The organisational context also plays
a role. According to (Gornitzka, 2003:145), “organisational structure defines what tasks anorganisation and its members are set to perform and how these tasks are to be handled.” This
includes the manner in which information is sought out, handled, interpreted and utilised.
At a broader level are factors such as the structure and culture of the political context.
Gornitzka (ibid.:26-27) argues that different forms of state represent “different approaches
to the national government's control and steering of research and higher education
institutions … as well as to the institutional context of policy processes” which, in turn, have abearing on what happens in the research-policy nexus. Similarly, the prevailing bureaucratic
tradition and political culture in a country can also shape the way in which research is used in
the policy-making process, if at all, as does attitudes towards science and experts.

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The interaction between researchers and policy-makers
The 'two communities' theory has been critiqued for being an over-simplified andstereotypical portrayal of the worlds and individuals of research and policy. (Ginsburg andGorostiaga, 2001:179-185) highlight a variety of similarities or at least overlaps between
researchers and policy-makers including, for example, that not all theorists/researchers
regard social science knowledge as objective and disinterested, but instead recognise its
political nature; that theorists/researchers are heterogeneous in terms of their activities, theirorganisational contexts, their beliefs and values (e.g. functionalists vs. interpretivists, or thoseworking in the centre/North vs. periphery/South); that there is heterogeneity within thepolicy-maker/practitioner subgroup (e.g. planning vs. implementation); and that there isoverlapping membership of some researchers and policy-makers, where they have experience
working in each other's worlds.
In the 1970s and 1980s, ideas about how to improve the uptake of research findings by policymakers focussed on improving the dissemination of research. The 'how-to' of effective
research communication and dissemination usually points to the importance of target
audience, content (of interest to the policy-maker), packaging (accessible language, format
and style), appropriate and effective communication channels (including media, lectures,training programmes), amongst others (see, for example, Garrett & Islam, 1998:10-11).The
emphasis on improving communication and dissemination strategies in these ways, as amethod for improving research utilisation, has been criticised in many quarters. (Stone et al.,2001:17), for example, argue that such strategies assume a one-way flow from researchers topolicy-makers rather than an on-going interaction between the two and others; that they are
not tailored to different target groups, nor do they take account of possible communication
constraints in developing countries. In fact, (Gornitzka, 2003:132) highlights a number ofways in which increasing dissemination can have an adverse effect including “information
overload, spread of premature information or wrong/false information.” She also observes
that simply improving the flow of research results to policy-makers does not take account of
the relevance or appropriateness of the information to policy questions.
A variety of social research methods have been developed with the express aim of improving
the chances that the findings of research, as well as the associated ideas, theories and concepts,
reach the intended users. These include, amongst others, qualitative methods, formative orprocess evaluation, stakeholder models, and utilisation-focussed evaluation (Albæk, 1995:86).
Similarly, certain kinds of research designs have emerged which aim to break down the
traditional barriers between researchers and policy-makers and to improve communication
between the two, in order to ensure more relevant research. Such designs include applied
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research, evaluation research, policy research and interest-driven research, amongst others. A
well-known example is Michael Quinn Patton's 'utilization-focused evaluation' (Patton, 1997).
'Policy analyses emerged as a distinct form of inquiry designed to optimise the impact of
research and analysis on policy-making. Policy analysis is action-oriented, aims to produce
specific changes, provides suggestions on how to bring about such change taking politicalfeasibility into account, and has specific user(s) in mind (Glover 1993:7).
(Ginsburg and Gorostiaga, 2001:192) use the term 'collective research and praxis' to describe
an approach which they believe facilitates the greatest communication and interaction – in theform of dialogue – between researchers and their clients.
Making research more use- and user-oriented implies a range of possible new or different
roles for researchers. For instance, research has shown that when researchers have different
roles within their particular policy arena, beyond their role as researcher in an academic
setting, the communication, dissemination and application of their research is greatly
facilitated. Such roles could include those within government committees, non-governmentalorganisations, international agencies or professional groups.
Teaching is another method through which researchers can interact with and influence thepolicy community (Shove & Simmons, 1997:219).These authors also suggest that the
involvement of researchers in different roles within the policy arena (“policy advisor,
informant, teacher, activist or participating member of a policy community”) facilitates
greater engagement with intended or potential users, and hence facilitates greater possibilities
for utilisation (ibid.). They also highlight the need for researchers to assume a much moreproactive role in relation to the utilisation of their work in the policy-making process. For
example, some have suggested that researchers need to actively create 'spaces' in which
researchers, policy-makers and other members of the policy community can interact,exchange ideas and perspectives, and debate issues (ibid.:220).
Others go beyond communication and dissemination and urge researchers and policy analysts
to assume the role of 'advocate'. (Porter and Hicks, 1995:5), for example, suggest that “[at] thevery least, policy projects should recognize that much of what they are about is persuasion andargumentation, and not simply the kind of self-confined, academic research effort that has
inspired the (self-centred) utilization question.” Kingdom refers to 'policy entrepreneurs' who“are advocates for certain proposals or for the prominence of an idea” (Neilson, 2001:26).
Policy entrepreneurs can emerge from within government, interest groups, civil society or
research organisations, and are seen by some as central to the successful influence of research
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on policy-making (ibid:37). For others, there is a role for mediation and translation,
encapsulated in such terms as 'knowledge brokers', 'linkers', 'research brokers' or 'translators'(Ginsburg & Gorostiaga 2001:187; Glover 1993:8). Such individuals understand the researchand the research environment intimately, but also understand the policy process and how to
package and communicate research findings for policy. They act as intermediaries between
researchers and policy-makers.
With the growing emphasis on utilisation, and greater understanding of the dynamics andchallenges associated with the processes involved, specific structural or organisationalarrangements have emerged that seek to play the role of intermediary in the research-policy
nexus. A key literature in this regard is that relating to 'boundary work' and 'boundaryorganisations'. Waterton (2005:435) defines boundary organisations as “institutions thatmediate between policy- or decision-makers and scientists”. Boundary organisations create
the space for a common language to develop and for different parties working in different
contexts (scientists, regulators bureaucrats, decision-makers, etc.) to come together(ibid.:436).
As part of a broader study into the production and utilisation of knowledge in South African
higher education, (Galant, 2005) explored nine organisational forms that acted asintermediaries in the utilisation of research. These included industry-based associations, andforums and networks of researchers and practitioners, as well as a non-governmentalorganisation. The industry-based associations emerged “from their respective
constituencies” while the forums and networks were “driven by researchers sensitive to theneeds of primary users” (ibid.:10). The intermediary organisations engaged a variety of
stakeholders in a range of different ways (e.g. direct interaction between users and producers,interaction at particular meetings, regional study groups, participation in committees andcouncils). They also employed a wide variety of strategies for disseminating research to users.
For the researchers involved in these associations, networks and forums, the intermediaryagencies played a critical role in “facilitating access to users and modes of dissemination thatthe researchers would not have been able to achieve on their own” (ibid.:11).
The research-policy nexus in the African context
As highlighted in the introduction to this review, much of the literature on research utilisationand the policy-making process are based on work undertaken in developed countries, andespecially the United States. There is far less literature, and hence theory and empiricalresearch, pertaining to the research-policy nexus in developing countries, and in Africa inparticular. Having said this, it is noteworthy that in the last decade, considerably more
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attention has been given to the developing country/African contexts. (Court and Young,2003:1), for example, point to the substantial initiatives on the part of organisations such as
the International Food Policy Research Institute, the Overseas Development Institute, theInternational Development Research Centre, and the UK's Department for International
Development to investigate the impact of their research on development policy. However,there is still a paucity of work on the relationship between knowledge production anddevelopment in general, and the research-policy nexus in particular, in developing countries.
And, it cannot escape one's attention that all of these organisations are agencies that operate
in developing countries but which have their base in the developed world. The historicalcontext of knowledge production and policy-making in the less developed countries of theSouth is quite different to that of the developed countries of the North. It is important,
therefore, to consider the earlier discussions about 'use' and the policy-making process, andthe range of factors that impact on the research-policy nexus, in the national and regional
experiences of the South.
There appears to be general agreement in the literature consulted that, like elsewhere in theworld, limited use is made of research in policy-making. Perhaps more importantly is theobservation that research produced by Africans for Africans is under-utilised and has little
influence over policy-making on the continent (Ajakaiye, 2007; May, 2003). Various
explanations for this limited use of research have been offered. Some explanations focus on
the macro and micro a political context within which policy-making happens. Others giveattention to the perceived weaknesses and poor quality of African research. These are
discussed below.
The political and policy contexts of the research-policy nexus in Africa
Court and Young (2006:3-4) observe that international development policy formulation andimplementation is subject to and takes place within the context of a wide range of global
trends and regulations. These authors propose that developing countries face four key
challenges at the macro level of political context in relation to effective utilisation.
The first is democratisation: “It is thought that democratic contexts better enable research to
be conducted and communicated (due to freedoms), and provide greater incentives for policy
makers to use research (due to accountability mechanisms)” (ibid.:3). They argue that indeveloping country contexts, even those that are democratically constituted, the politicalprocess is not conducive to drawing inputs – including empirical research and analysis – froma wide range of sectors and actors. Their explanations for this include that policy-making
processes tend to be centralised and inaccessible to the broader population; civil society is
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often regarded as illegitimate or inefficient; and, policy formulation is more a response to theelite than the poor majority. (Glover, 1993:5) adds to this when he observes that “in thosesocieties where politics is highly ideological, researchers and research institutions tend to be
similarly divided, often with explicit partisan affiliations” and, as such, that research ideas andfindings are only influential when the respective political party is in power. These thoughts are
echoed by (Porter and Hicks, 1995:12), with specific reference to Africa. Amongst otherthings, they suggest that African governments tend to exhibit tighter control over theexpertise available in the research-policy nexus than their Western counterparts do.
The second key challenge is markets. Court and Young suggest that as more and moredeveloping countries enter into the global market economy (economic openness), the greater
is the demand for research-policy linkages by both government and private firms. This brings
new actors into the political process. Similarly, the growth in the number of civil society
organisations (non-governmental organisations, the media, think tanks, etc.) is also increasing
the diversity and potential influence of these policy actors. However, as (Court and Young,2006:4) observe, “the input of civil society into public policy is still quite limited”;
governments still tend to set political and policy agendas and sometimes intimidate anyone
who is critical or who proposes different ideas and courses of action. Finally, information andcommunication technologies can be very powerful in sharing information and making somekind of impact on policy by the broad majority; but the digital divide and marginalisation of
the poor can exclude many from these critical information networks.
(Ajakaiye, 2007:26) takes as his point of departure that the three major groups in the policymaking process in Africa include the governments, non-state actors, and the international
financial institutions and donors. He argues that owners and non-owners of researchorganisations have different degrees of access to and control over policy research for Africa.
Non-owners (which can include both non-state actors as well as donors) have less influence
over the policy-making process, especially because their demand for research is more sporadic(ibid.:29).
There is also a range of issues about the policy-making processes in Africa that emerge in theliterature. Ajakaiye (ibid.:22) suggests that the linear (or 'stages') model of policy-making is themost common conception of the process in Africa on the part of donors and otherinternational financial institutions, as is the associated linear problem-solving model ofutilisation: “The expectation has always been that good policy analysis will translate into gooddecision-making and subsequently into good policies.” He argues that the “undesirable
outcomes” or even downright failure of many policies in sub-Saharan Africa, including thoseStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 99

The Research - Policy Nexus: Mapping the Terrain of the LiteratureTracy Baileyof the structural adjustment programmes of the 1980s and 1990s, is owing to the fact that theinternational financial institutions tend to pay “excessive attention” to the first three stages ofthe linear policy model (i.e. problem definition, weighing up different options and selecting an
option for implementation) (ibid.:23). Furthermore, the financial institutions tend to
dominate these early stages, especially in those countries “that depend heavily on foreign aid
and/or have a high debt burden” (ibid.:25). Once a policy decision has been made, these
institutions or donors withdraw from the process, leaving the government and other nonstate actors to implement and later evaluate the implementation. It is during this phase of thepolicy process that governments often confront contestation, protest and even civil unrest
from special interest groups, for whom the policy decision is unacceptable or undesirable(ibid.:31-32).
Knowledge production and research capacity in Africa
A number of authors have observed that African researchers are generally marginalised fromthe policy-making process on the continent and that research generated in Africa by Africans
is seldom used for policy-making – either by governments or by donor agencies (Ajakaiye,
2007:19; Marouani & Ayuk, 2007:14). Some point to the under-developed, resource-poor
higher education research and science systems in Africa (and other developing countries) as
contributing to the limited use of indigenous research (Stone et al., 2001:26).
There seems to be a fairly widespread impression (on the part of international agencies
and/or African governments) that local researchers/scholars are less experienced or skilled atdoing research and that the research that they produce is of an inferior quality. According to(Neilson, 2001:45), this translates into less funding for indigenous scholars. (Nwaka, 2006)
explains the very limited impact that social science research has on the policy-making
processes in Nigeria in terms of the emphasis on disinterested, discipline-based research thatis typical of Nigerian higher education institutions.
Within the existing constraints of the research capabilities of a country, it is often cheaper andeasier for developing countries to buy in the research capacity they need which is often what
happens (ibid.:5). As (Neilson, 2001:45) notes, policy-makers in developing countries “often
utilize research results or research consultants originating from industrialized countries, since
this research is perceived to be of better quality and therefore a more credible base fordecisions.”
Running alongside these apparent deficiencies in the higher education and science systems in
Africa is the ubiquitous presence of the international financial institutions, such as the
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International Monetary Fund (IMF) and the World Bank, as well as United Nations agencies
and international donors. According to some authors, in the first decade after independence,both research and policy-making were dominated by these external bodies (Ajakaiye, 2007:20;
Court & Young, 2006:7; Marouani & Ayuk, 2007:4). While research and science capacity in
African countries has increased and improved over the last few decades, the dominance of
these agencies has continued and they still exert considerable control over policy and policymaking in Africa. A key instrument in this regard is the financial aid provided to African
governments (Marouani & Ayuk, 2007:11).
Another channel of influence is through what Marouani and Ayuk (ibid.) term the “ideas aid”
produced by donor research policy units, research centres or think tanks in developed
countries. A third channel of influence is through “capacity-building for African civil servantsand policy-makers” which allows “donors to have counterparts with a common or similar
perspective of the issues in the recipient countries” (ibid.:12).
Despite the potentially negative effects of the above mentioned channels of donor influenceon African countries' capacity to generate their own research for policy-making, Marouani
and Ayuk (ibid.:12) mention a fourth channel of aid which can have positive implications;
namely, financial support and capacity building towards developing an “independent andcompetent research capacity within and for Africa”. The dominance of international agencies
in the production of knowledge raises all kinds of issues relating to access to research on
Africa, as well as the relevance, ownership and legitimacy of such research (Court & Young,2006:7; Nwaka, 2006:6).
(Ajakaiye, 2007:27-28) provides a typology of policy research (defined as “scientific inquiry
into a phenomenon or subject that is intended to produce facts that translate into policy
advice to feed into the process”) that is available to policy-making in Africa. These include
surveillance/monitoring research; evaluative research; prognostic research; and prospective
research. According to Ajakaiye (ibid.: 28-29), both African governments and non-state
actors have limited resources and, as such, their research activities are generally limited tosurveillance/monitoring and evaluative research. By comparison, the international financial
institutions and donors have a wealth of funds, resources and capacities to undertake all typesof policy research in and for Africa. Ajakaiye (ibid.:30) argues that the fact that African
governments are confined to carrying out surveillance/monitoring and evaluative research,and not prognostic or prospective research, puts them in a Catch-22 situation. The fact thatthe international agencies and donors have the resources to undertake all four forms of policy
research means that they are able to dominate the agenda-setting and solution stages of theStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 101

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policy-making process, giving them a powerful influence over the process (ibid.:30-31). And,of course, as Ajakaiye (ibid.:31) observes, “there is nothing guaranteeing that proposals thatare consistent with the interests of these organizations will necessarily be in the interest of
their client countries.” This raises issue around the unequal power relations between countries
and external international agencies.
Despite these obvious disparities between the capabilities to produce science and research of
the developed and developing countries, some authors note that research capacity in theSouth has increased considerably over the past couple of decades. According to Ajakaiye(ibid.: 20), over the last decade, both the supply side and demand side of policy research in andfor Africa has become more competitive. On the supply side, there has been a growth in theestablishment of policy research organisations linked to governments, central banks, labour
unions and other associations, chambers of commerce, consultancies and non-governmentalorganisations. On the demand side, the democratisation of many African countries has seen
the strengthening of national legislatures and a concomitant increase in the influence of othergroups – political parties, civil society, and labour unions and so on – on the policy-making
process. Nevertheless, the situation is far from adequate.
References
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York: Columbia University Press104 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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10. Strengthening Linkages between
Policy Research and Policy Making for
African Development: The Need for
Youth and Gender Empowerment toAttain Development in Kenya
Akola Constancia1 and Nicholas Ozor2
1
TNSRMS Centre, East Africa
Email: conniekola@yahoo.com
P. O. Box 72951-00200 Nairobi
2African Technology Policy Studies Network (ATPS), Nairobi Kenya
Abstract
The paper articulated the need for youth and gender empowerment as a strategy for strengthening linkages
between research, policy and practice for sustainable development in Kenya. It observed that youths and women
form majority of the population of the country but yet remained neglected, poor, and not motivated. Reducing
these impacts and concerns as well as breaking the vicious circle require concerted efforts with development
interventions specifically targeted to youths and gender.
In Kenya, poverty manifests itself in the forms of hunger, malnutrition, illiteracy, lack of shelter and failure toaccess essential social services such education, health. Commitment of Kenya Government to eradicate poverty is
manifest in its current development strategies, as demonstrated with the efforts towards achieving theMillennium Development Goals, especially number one, on eradication of poverty to less than 30% of the
Kenyans by 2015 and the Kenya Vision 2030.
However, the reality on ground is that despite the many interventions put in place the poverty rate amongst thesegroups of people is still high, thus creating a need to intensify poverty reduction efforts in planning andprogramming for youths and gender. Key sectors that were discussed to ensure this empowerment were; health,employment, agriculture, education, law and order because they play significant roles in scaling up the
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development process and in poverty eradication. The paper concludes with discussions of challenges of policy
and practice in the empowerment interventions and identifies key dimensions that are critical to youth andgender empowerment.
Keywords: youth, women, empowerment, development, poverty, Kenya.
Introduction
Empowerment is a multi-level construct consisting of practical approaches and applications,social action processes, and individual and collective outcomes. In the broadest sense,
empowerment refers to individuals, families, organizations, and communities gaining control
and mastery, within the social, economic, and political contexts of their lives, in order toimprove equity and quality of life (Rappaport, 1984; Rappaport, 1987; Zimmerman, 2000).
Efforts to support youths' healthy development and integration into the community haveexperienced several shifts in focus over the past few decades (Small, 2004) from a primaryfunction of youth programs focusing on rehabilitation or containment (e.g., keeping youth
off the streets) to the direction of fostering healthy youth development and capacity building
through active community participation (Kim, 1998; Small, 2004) to more recent, positive
youth and gender development approaches that incorporate a focus on youth and gender
empowerment.
Critical to the empowerment process, is the collective aspect that occurs within families,
organizations, and communities, involving processes and structures that enhance members'
skills, provide them with mutual support necessary to effect change, improve their collective
well-being, and strengthen intra and inter-organizational networks and linkages to improve or
maintain the quality of community life (Jennings et al, 2006). The paper reviews existing
literature to point out some of the efforts put in place in form of policies to address thealready identified youth and gender issues to enhance Kenyan development. Throughout thispaper, the term gender heavily leans towards the female gender; women. The first section
focuses on areas for gender issues and the second section takes a look at the youth issues in
Kenya.
Gender Empowerment
The Government of Kenya recognizes that women who constitute over 50.3 % of the
population (Kenya National Human Development Report, Youth and Human Development,
2008/09) are a pillar in the development of the country and that investing in women is critical.
Kenya cannot fully develop when more than half of its human resource does not fully
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participate in the spheres of the economy. The achievement of Kenya Vision 2030 is peggedon the commitment to identifying and addressing the existing gender disparities in social,economic and political development. Poverty subjects an individual to a state of
powerlessness, hopelessness, and lack of self-esteem, confidence, and integrity, leading to asituation of multidimensional vulnerability. Poverty has a gender dimension since women andmen experience and react differently to its impact (Elishiba et al, 2010). The promotion of
women's socio-economic well-being thus has to be guided by the existing global, regional andsub-regional agreements that underline gender equality as a core human rights value andprinciple of good governance for just and sustainable development, as noted during the EAC
conference on the role of women in socio-economic development in business (Kigali,
Rwanda 2011).
Gender and poverty
Majority of the Kenyan poor are women. Few of them access educational opportunities dueto the low value placed on the girl child, as compared to the boy. Based on the traditional
beliefs and practices, women have had less or no ownership, access and control to family
assets and resources, as compared to their male counterparts. In this respect, in the incidencesof deprivation through poverty, they are more vulnerable. Commitment of Kenya
Government to eradicate poverty is manifest in its current development strategies, with theefforts towards the achievement of the Millennium Development Goals, especially No. 1, on
the eradication of poverty to less than 30% by 2015. This has created a need to intensify
gender empowerment especially as regards to human resource development, health,employment, physical infrastructures, agriculture, rural development, trade, public safety, law
and order, all of which are instrumental to scaling up the development process and poverty
eradication.
Gender and employability
Absence of women from decision-making positions as a result of which the government
policies lack critical gender perspective adds to the frustration in Kenya's fight for increased
development. Key in this is the low representation of women in Parliament and local
Authority, which is currently at 18 and 21%, respectively as is the case in the trade unions an
indication of the low levels of education and skills. The impact of these is that the policies anddecisions made in these institutions are not balanced in terms of gender perspectives- men
and women-hence perpetuating the existing gender disparities in resource allocation anddistribution of the benefits. Equality of access and attainment of educational qualifications isnecessary if more women are to be alleviated from poverty and also be facilitated to become
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key players in development efforts in Kenya. This is because high literacy levels among
women is key to improving health, nutrition and education in the family and for theempowerment to participate in decision making processes, which in effect influences
formulation and implementation of policies and programs at all levels.
Enrolment at the primary school levels almost has gender parity though as pupils/students
advance higher in the education ladder, less and less women enrol. The percentages of women
who are enrolled in the universities are few, with majority in the social sciences and few in thefields of sciences and technology.
Politics on the other hand doesn't make it any easier for the women. With a long standing
stereotype that politics is a dirty game, and a reserve for men plus the violence associated withthe campaigns, Kenyan women have had difficulties in campaigning for political seats. Policies
to redress these serious gender imbalances would ultimately go a long way in reducing poverty
as education increases one's capacity to learn and earn.
Gender and Health
A healthy population is both productive and is of less liability to government expenditure. In
Kenya, women have unequal access to and use of basic health facilities more so toopportunities for the protection, promotion and maintenance of their reproductive health.
Deteriorating health is a big setback for any development process. Poor health affects theability to work and fend for the basic needs which in turn escalates the poverty situation
pulling down the development rates.
Education empowers women to make choices on health matters including family planning
services and to decide on the number of children to have, which is a positive effort towards
population control. The women engaged in professional careers or income generating
activities can ill afford the opportunity cost of having many children. HIV/AIDS has for longfrustrated Kenya in its efforts to reduce poverty levels among its population mainly because
the woman is not empowered enough to effectively negotiate for sex related matters. Married
women are the worst hit by this due to the patriarchal nature of the Kenyan society. Thissituation thus calls for the need to protect everyone against this infection with more attention
to the more vulnerable groups who are the women and youth. Though, male condoms, havebeen brought into the picture to help fight this problem women need to have the negotiation
skills and access to methods of protection against the HIV infection that are within theirpower, to initiate easily with or without compliance of the male partners for the intervention
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to work. Their input into the policy formulation and implementation to fight this pandemic isvery critical as they have their own views, opinions and perspectives being in the majority of
the infected as well as the managers of the sick by virtue of the gender division of labour.
Gender and AgricultureWith 75 percent of the 9.2 million labor force engaged in farming (constituting mainly ofyouths and women), the agricultural sector is the mainstay of the Kenyan economy. The
sector contributes an estimated 26 percent of GDP, and generates 60 percent of the total
foreign exchange earnings (1998 estimates) (Encyclopedia of Nations, 2011). The major
agricultural products in Kenya include tea, coffee, horticulture, corn, wheat, sugarcane, dairy
products, beef, pork, poultry, and eggs. Tea production, which netted US$520 million in 1998,
is Kenya's largest single foreign exchange earner. Coffee and horticulture are the other major
agricultural export foreign exchange earners.
The biggest sectors are still subsistent with a small percentage being commercial though
efforts are being put in place to increase the scale of production, where over 70% of theactivities take place in rural areas. Highest source of labour for the subsistence are the youths
and women who perform majority of the agricultural work including site selection, tillage,
cultivation, planting, weeding, harvesting, processing, storage and even cooking the food.
Their knowledge, experience and skills on food production and processing should thus beacknowledged, appreciated and efforts made to tap it through research. Majority of thewomen neither have full access to and control of land nor do they have access to capital or
agricultural credit. At the local levels, they are under-represented in the decision making
processes dealing with land.
Gaining access to credit facilities in financial institutions, one must have securities orcollaterals such as land title deeds which most women in Kenya don't have because culture
doesn't allow them to own land. Women efforts to better or expand their agricultural ventures
are mostly determined by the males. The government thus needs to look at the legal structuresand policy frameworks that discriminate against women in regard to land ownership andaccess to credit facilities with the view of repealing them. The need for special programs toempower women cannot be overemphasized. But this should be based on the results ofscientific/empirical need assessment. Hence, the linkage of research and policy in providing
information for integration of women into modern technology of using new and improved
farming techniques.
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Gender Mainstreaming
Commonwealth secretariat publication, Vivienne Taylor, on gender mainstreaming indevelopment planning in 1999, reiterates that there is cognizance of the fact that indicators ofdevelopment in most regions revealed that women, who constituted more than 50% of the
population in most countries remained the majority living in poverty. Thus empowering
women economically is not only an effective strategy for poverty alleviation but also enables
them to share fully in the benefits of national development process and the production of
their own labour.
Gender mainstreaming in planning and budgeting makes the development process more
efficient, better and more appropriate in dealing with poverty reduction. In order to eradicate
poverty and achieve sustainable development, women and men must participate fully andequally not only in the formulation and implementation of the related macro-and micro
economic and social policies and strategies but also in the sharing of the accrued benefits. The
marginalization and exclusion of women has been identified as a major constraint indevelopment in Kenya and Africa as a whole. Development planners and policy makers
should encourage research and therefore make policy decisions with men and women in theirminds to redress the imbalance and ensure that specific needs and concerns for all membersof the society are addressed and that the people most affected by poverty are involved andown the production initiatives and outcomes. The Beijing Declaration and Platform for
Action (BPFA) recommends that the government should not only focus on the poverty
reduction programs alone but have a review of the laws and practices to ensure the woman'saccess to economic resources and opportunities as well as saving and credit mechanisms
Manyasa (2006) noted that low literacy level among women contributes to high population
growth rate which in turn exacerbates poverty among both women and men. This view was
corroborated by Sachs (2005) who documented that women without any formal education
had a total fertility rate of 6.5; with incomplete primary education: 6.2; with complete primaryeducation: 6.0; and with secondary and higher education 4.2. Furthermore, Elishiba (2006)
advised that policy makers need to stop the assumption that economic planning,
programming and implementation impacts equally on women and men and should start
focusing on gender as involvement of both is key to achieving development and major stride
towards millennium development goals.
The affirmative action, an initiative adopted by the government to put in place gender equity
and equality measures is one of the key policy considerations towards development (MinistryStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 111

Strengthening Linkages between Policy Research and Policy Making for African Development:
The Need for Youth and Gender Empowerment to Attain Development in Kenya
Akola Constancia and Nicholas Ozorof gender children and social development; Overview of the policies and legal framework for
promoting women in socio-economic development and business); In the perspective of thesituation of gender disparities and poverty in Kenya, it is a way of elevating the girl child andwoman to equal status as the boy and man thereby bridging the existing gender inequalities. It
states that all recruitment, appointments and promotions in the public sector should
comprise at least 30% of women> Article 81(b) that maintains a one third requirement for either gender in elective bodies
giving women of Kenya at least 1/3 minimum in elective bodies
It gains support by articles in the Political Parties Act 2007
> Article 60 (1) (f) provides for the elimination of gender discrimination in law, customs
and practices related to land and property in land. This is a great gain for women as it
seeks to rectify historical injustices that have continually faced the women of Kenya> Article 68(1) (iii) states in part that “parliament shall enact legislation which shall regulate
the recognition and protection of matrimonial property and in particular thematrimonial home during and on the termination of marriage”.
A study by the Institute of Economic Affairs (IEA) in Kenya revealed that majority of thewomen have better saving habits but only operate small enterprises and use informal financial
services due to poverty levels high among them at 50% and 46% in rural and urban areas,
respectively. To tap into this resource, banks have set out to offer custom services to the small
micro finance organizations operated by the women. Women can now gain access to facilities
like small business loans. Initiatives like Women Enterprise Fund (WEF) is a flagship projectof Kenya's Vision 2030 under the social pillar established in 2007. The Fund aims to promotewomen's empowerment. The establishment of the fund in line with its vision “To socially andeconomically empower Kenyan Women entrepreneurs for economic development throughProvision of affordable and accessible credit for enterprise development, capacity buildingof women entrepreneurs and their institutions, support and facilitate domestic andinternational market of products produced by women, facilitate and support of linkages
between women owned micro, small and medium enterprises with larger companies andfacilitate and investment in infrastructure that support women enterprises such as markets
and business incubators”, demonstrates the government's commitment to enhance thesocio-economic well-being of women as envisaged in key global and regional human rights
instruments Kenya associates with. The government through the Ministry of Gender,Children and Social Development currently disburses community grants to Self-Help groups,
who are mainly women to start up or boost their business enterprises….”the more resources
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are accessible to women, the more that will reach the household level to address the basic
needs of the entire family” (Elishiba 2006).
Youth Empowerment
The link between youth and development remain relevant today and for the future. The youth
aged 15-35 years constitute 36 percent of the total population of Kenya. About 18.3 percent
are female and 17.7 percent are male. This proportion of youth is expected to grow and form
the bulk of the population in the next 10-20 years, a phenomenon referred to as a youth bulge.
Currently, the youth account for about 60 percent of the total active labour force.
The Government of Kenya identifies the youth as a national priority. Kenya's Economic blue
print Vision 2030 and its first Medium Term Plan for the period 2008-2012 clearly articulates
that for the country to attain its vision of becoming a middle income and prosperous by 2030,
it is paramount to put youth concerns in the forefront. Youth Development Index (YDI)
which is notable the first time a YDI has been computed for the country stands at 0.5817. It isobserved that only a narrow margin exists between the National Youth Development Index at
0.5817 and the National Human Development Index at 0.5610. This correlation can be
attributed to the large proportion of youth (36%) in the total population. In this regard, thegoal of Vision 2030 to realize a Human Development Index growth cannot be realized
without the Kenya Youth Development Index growing at the same pace.
The concerns for youth have for a time now captured international and national attention.
This is attested by landmark recognition of issues pertinent to youth in the 1995 World
Summit on Youth and a continuing follow-up focus within the changing economic and social
environment. Kenyan youth continue to face many challenges which include limited
opportunities for educational advancement and technical training, limited opportunities foron job training and employment, high levels of poverty, lack of finance and access to credit,
disproportionate exposure to high health and social risks as well as limited opportunities andmechanisms to participate in decisions that affect their lives.
Youth and Governance
Youth feel excluded from decision making on matters of national development and only
consulted at the implementation stage. The youth admit when consulted that they are
excluded from ownership of projects and programs meant for their benefit (UNICEF report:
Youth situation review and investment in Kenya, 2010). African governments must create
opportunities, support and strengthen platforms for youth participation in decision-making
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at local, national, regional, and continental levels of governance. This was reiterated at the Pan
African Youth Forum in Nairobi, Kenya 2010 where more than 100 African youth leadersfrom 24 African countries converged to share their concerns. There is need for thegovernments to show their commitment to the African Youth Charter by developing andimplementing comprehensive and coherent national youth policies that guarantee true andreal youth participation in democratic governance and other decision-making bodies and
Kenya is no exclusion.
Open Society Institute's youth initiative seeks to empower youth to become active citizens
who are willing and able to influence public life and promote open society ideals. Among its
programs is the Network Debate Program that encourages youth to engage in critical,
reasoned discussion about issues important to their lives and communities, and to call for
positive change around the world.
Youth and Education
UNICEF (2010) reports show that 155,000 youths are enrolled in formal technical,
entrepreneurial, and vocational training institutions, yet many do not obtain the competencies
needed to be successful in micro-enterprise, nor do they easily find employment in the formal
sector. There are many more youth who are involved in non-formal education experiences,often linked to the development of micro-enterprise. Yet there is little inter-organizational
sharing and no quality control of Non-Formal Education. Out of school youth want andneed ways of achieving competencies that are practical and recognized as legitimate. This is amatter of high priority for Kenya's development, and for the growth of opportunity foryouth.
The Education Development Centre report 'Cross-Sectoral Assessment for at Risk Youth in
Kenya 2009' sought to inform USAID youth programming strategy so as to support the
expansion of local youth organizations in those areas most critically affected by post‐election
violence (PEV) in the Nyanza, Western, Rift Valley, and Central provinces and the poorest
areas of Nairobi. The Ministry of Higher Education, Science, and Technology response has
proposed to Parliament the development of a National Qualifications Framework (NQF) toaddress this critical need.
Youth and Employability
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important facet of participation in the economy and the basis for raising standards of living.
The youth unemployment estimated at 75 percent in Kenya is a concern, since it is a precursor
to increasing poverty. The cause of the growing unemployment is partly attributed to lack ofappropriate skills required in the labour industry. As indicated in the report by Education
Development Centre, Inc. (EDC) in November 2009 to USAID, almost 2 million youth(15–30 years) are out of school and most of them do not have regular work or income, making
them vulnerable to recruitment into political campaigns and criminal gangs. An influx ofyouth is recorded daily in the urban areas as the rural youth move to the urban areas to seek forthe employment or 'greener pastures'. There is a large and increasing urban population which
accounts for 32 percent of the population of those aged (15-30) with a rapid rate ofurbanization which is unable to provide employment opportunities to the 75% out-of school
youth who do not have regular, full-time employment.
Although there are thousands of registered youth organizations, they do not necessarily reachthe most vulnerable, their impact is highly variable, and many are short-lived and dependent
on a single source of financing or support.
Kenya's informal enterprise sector, jua kali, has grown to engage some 70 percent of thelabour force, albeit often in part‐time, underpaid, and short term status. Given the very low
growth of employment in the formal sector, the growth of microenterprise provides the best
opportunity for youth livelihood. The growth and spread of micro-financing in Kenya isremarkable, providing a strong base for financing start-up, small scale youth organizedenterprise. Youth who become engaged in viable micro-enterprise move through what is
termed as “Three Stage Youth Enterprise Development Process”, starting with assessments
and often voluntary service projects, then moving onto informal money earning activities, andending with micro-finance and viable enterprise. It is a process that typically takes up to three
years. There are hundreds, if not thousands, of youth-led informal enterprises andorganizations that are successful (and even more that are not sustained).
Emphasis needs to be given to non-conventional employment opportunities such as ICT,
music, performing arts and sports. Technology is growing at a very first rate. Access totechnologies is spreading rapidly and it has proven to be an effective tool for developmentwith its ability to foster the sharing of information and opportunities especially for the youth
to express their ideas and opinions. ICT sector is the fastest growing business segment in
Kenya with youth forming the majority of employment. The youth need to be nurtured andStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 115

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equipped with literacy, and numeric skills and knowledge in order to steer growth and breakthe intergenerational spiral of poverty, morbidity, illiteracy and inequality which is vital fordevelopment. Youth need to be supported to play an important role through ICT and
automation of government programs as ICT provides a medium upon which the youth
contribute to the shared values of transparency, accountability, performance, effectivenessand efficiency.
Achievement of the MDG can only be attained if institutions and processes stop tradition ofleaving the youth out in key development issues. Their potential and efforts has been underrated and underutilized. There arises the need to redress the issue of unemployment for the
youth and attain development through realigning of the policies and programs. Few
programs like Economic Stimulus Program funded by the government focuses on sectorsthat will generate maximum benefits as well as protecting the livelihoods of the poor andcreating employment for the youth; and The Kazi Kwa Vijana (KKV) government program
initiated to create jobs in all constituencies and is intended to help youth and improve foodsecurity, have to be put in place to push development and reduce poverty levels.
Youth and Health
It is also of great concern that a third of all HIV/AIDS patients are young and over 75 percent of new infections are amongst the youth, majority of who are young women.
Youth feel that their health problems have been too narrowly defined as sexually transmitted
disease and HIV/AIDS, yet it is a broad perspective which includes personal health;community and environmental conditions; and psycho-social well-being, including values ofintegrity, caring, unity in diversity, spiritual purpose, and lives of service, as well as recreationand sports.
This creates a need for the Youth activities and organizations to engage in activities that
promote these said values. There is a high level of sexual abuse of girls and young women,with more than 20 per cent becoming mothers before the age of 16 years, and a much higher
percentage who suffer through abortions. Most health services are seen as not 'youth friendly'
and the youth concern is to be able to gain access to information and treatment in from a 'one
stop friendly' that is confidential and trustworthy. Many non-governmental organizations(NGOs) and community-based organizations (CBOs) have begun working on these issues,particularly those funded to combat HIV/AIDS that have evolved into multi-functional,
youth-serving organizations, addressing livelihoods, public advocacy, and capacity building.
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Strengthening Linkages between Policy Research and Policy Making for African Development:
The Need for Youth and Gender Empowerment to Attain Development in Kenya
Akola Constancia and Nicholas Ozor

UNDP National Human Development Report Kenya supports the fact that a large youth
cohort that is typical of the Kenyan population demographic pattern presents an opportunity,
especially if the right macroeconomic and labour market policies are set in a manner that canhelp the economy benefit from the youth bulge. The youth have often demonstrated theability to contribute to the development process and have the potential that can be nurtured topromote economic progress. To harness their energy, policy initiatives and resources should
be targeted and channelled towards tackling development challenges.
Under the Vision 2030, specific policies and interventions are spelt out for implementation to
fully develop the youth potential as well as prepare and engage them in socio-economic
development with the key strategic areas of intervention highlighted as: capacity building andempowerment to enable youth engage in productive activities, creation of employment
opportunities, provision of financial and market linkage support, character moulding
initiatives and participation in decision making.
The government has planned out a course of action to address the challenges facing the youth
among others involving raising the average annual incomes per person from an estimated
USD 650 in 2006 to above USD 992 by 2012; Reducing poverty levels from 45.9 per cent to 28
per cent by 2012; Reducing rural and urban inequality from the current levels of 0.38 and
0.447 to 0.34 and 0.407 respectively over the same period.
The biggest challenge is that youth programs are often categorized under broad topics such as
reproductive health, slum upgrading, violence prevention, women's livelihoods which areassumed to have youth as core participants and beneficiaries thus there is a need for thegovernment and the respective ministries to change the way in which it organizes andimplements the programs and policies regarding the youth. Some of the already put in placepolicies or programs include the Kenya National youth policy established in 1990's but was
passed in 2007 to promote youth participation in democratic processes include:> National Youth Council bill to act as an advisory Research and policy institution on
youth affairs in Kenya> Youth Employment Marshal Plan to create 500,000 jobs annually> Adolescent Reproductive Health Development Policy (ARH&D) to bring adolescenthealth issues into the mainstream of health and development> National Guidelines for Provision of Adolescent Youth-Friendly Services (YFS) tooffer guidelines on reproductive health facilities for the youth; and> Kenya's Vision 2030
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Strengthening Linkages between Policy Research and Policy Making for African Development:
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As stated in the UNICEF report (2010), on youth situation review and investment in Kenya,
the agency advocate for the putting up of youth friendly services, yet the Ministry of Healthinitiated the Adolescent Reproductive Health and Development Policy (ARH&D) in 2003
and gave National Guidelines for Provision of Youth-Friendly Services (YFS) in 2005. This isindicative of the lack of coordination between government agencies implementing youth
related policies and programs. The Ministry of Youth Affairs and Sports (MOYAS) strategicplan is very comprehensive on what the youth issues are and what the implementation
strategy will be. However, whilst acknowledging that high population growth rate among theyouth exerts pressure on available resources, it does not include the issue of demographics asa policy priority. The document does not clearly articulate how it will collaborate with others
successfully to implement programs and projects that are youth related but housed in otherministries.
Conclusion
Society's real wealth is its people. Greater access to knowledge and skills, better nutrition andhealth, enhanced access to basic social services, more secure livelihoods, among others isimperative for any society to develop. From the literature, it is evident that several issues need
to be addressed in subsequent discourses. The youth and women are not homogenous in theeight provinces that we have hence the interventions and strategies needed to address thepriority issues in each province will be different due to the diverse needs presented.
Most reports/research gives sound policy proposals that government should pursue. It is
important to note that government has already taken most of these proposals into
consideration and implemented a considerable number of them. However there is need fortargeted investment by government to effectively realize the desired outcomes. There isevidence of lack of coordination between government agencies implementing policies andprograms and this must be addressed if the different initiatives are to succeed and have theright impact
Most young people are also unaware of youth and gender related government policies andprograms. They need to be educated on the existing programs, policies and legislative
frameworks in order for them to adequately access services and participate adequately.
Therefore issues affecting the young and women should be fully integrated and harmonized
into every aspect of public policy and across all Ministries and government agencies.
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Strengthening Linkages between Policy Research and Policy Making for African Development:
The Need for Youth and Gender Empowerment to Attain Development in Kenya
Akola Constancia and Nicholas Ozor

Recommendations
Key dimensions of critical youth and gender empowerment that can be adapted to informbetter policies and face out the challenges include:> A welcoming, safe environment; where these groups of people get opportunities toexperience both success and failure hence feel valued, respected, encouraged andsupported. It gives a sense of ownership yet presents challenges at the same timeensuring that participants move out of the comfort zone
> Meaningful participation and engagement; especially for the youth to engage in newroles and develop skills and insights while engaging in critical reflection and actions> Equitable power-sharing between youth and adults, men and women; Many leadershiproles come with little decision making power in organizations. In society where theadults and males hold legitimate power and are ultimately responsible for the decision
making, creating equitable power sharing within the context of empowerment is achallenge.
> Engagement in critical reflection on interpersonal and socio-political processes;
includes the need to increase understanding of the community, institution andbureaucratic structures that they seek to alter. If people are not aware of the visible andthe invisible structures and processes that make up the institutions or their roles in thisinstitutions, then there is little room for empowerment> Participation in socio-political processes to influence change; none is empowered if they
do not have the capacity to address the structures, processes, social values and practicesof the issues at hand
> Integrated individual- and community-level empowerment; creation of development at
both the individual level (skills development) and the community level (access toresources and governance).
References
Encyclopedia of Nations (2011) Kenya Agriculture. Available online at:
h t t p : / / w w w. n a t i o n s e n c y c l o p e d i a . c o m / e c o n o m i e s / A f r i c a / K e n y a AGRICULTURE.html
Governance for a progressing Africa. Available online at:
http://www.uneca.org/adfiv/presymposium/Presentation_by_Muratha_Kinuthia.htm
Jennings et al (2006): Towards a critical social theory of the youth empowerment. The
Howard Press Inc.
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The Need for Youth and Gender Empowerment to Attain Development in Kenya
Akola Constancia and Nicholas Ozor

Institute of Economic Affairs (IEA). (July, 2008): Profile of Women's Socio- Economic
status in Kenya, Nairobi.
Kimani E (2006). “The Role of African Universities in the Achievement of Gender Equality
and Women Empowerment” in the Role of the Universities in the Attainment of theMillennium Development Goals. Nairobi: Kenyatta University.
Kim, S., Crutchfield, C. Williams, C. & Hepler, N. (1998). Toward a new paradigm insubstance abuse and other problem behaviour prevention for youth: Youthdevelopment and empowerment approach. Journal of Drug Education
Manyasa E (2006). “Institutional Realignment for Poverty Eradication in Africa, in The Roleof the Universities in the Attainment of the Millennium Development Goals. Nairobi:
Kenyatta University.
Ministry of Gender Children and Social development (August, 2011); 'Overview of thepolicies and legal framework for promoting women in socio-economic development
and business' report presented at the EAC conference on the role of women in socioeconomic development in business, Kigali Rwanda
Rappaport, J. (1984). Studies in empowerment: Introduction to the issue: Prevention in
Human Services.
Rappaport, J. (1987). Terms of empowerment/exemplars of prevention: Toward a theory forcommunity psychology. American Journal of Community Psychology.
Small, S. & Memmo, M. (2004). Contemporary models of youth development and problem
prevention: Toward an integration of terms, concepts, and models. Family Relations
Science Africa (2011).Africa's leading publication on science, innovation and development,
Vol. 15.
The 7th periodic report of the Government of the Republic of Kenya (2009).
Implementation of the International Convention on the elimination of all forms ofDiscrimination against Women (CEDAW)
UNDP. (2009). Kenya National Human Development Report 6th edition; Youth and Human
Development: Tapping the Untapped Resource. Nairobi, Kenya
UNICEF (2010): Youth situation review and investment in Kenya. Nairobi: Sunburst
Communication Ltd
Zimmerman, M. A. (2000). Empowerment theory: Psychological, organizational, andcommunity levels of analysis. In J. R. E. Seidmann (Ed.): Handbook of community
psychology. New York: Kluwer Academic/Plenum.

120 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

11. An Empirical Analysis of the
Influence of Country Quality of
Institutions on Gender Empowerment
in Sub-Saharan Africa
Damilola Olajide1 and Divine Ikenwilo2
1
University of Aberdeen, Scotland (d.olajide@abdn.ac.uk)
2
University of Aberdeen, Scotland (d.ikenwilo@abdn.ac.uk)
Abstract
Improving gender empowerment can promote effective linkages between research and socially equitable policy
and practice in Sub-Saharan Africa, particularly by increasing women political representation at the national
legislatures. However, putting such linkages into practice may be affected by the quality of institutions in thesecountries. The major objective of this study is to model gender empowerment in Sub-Sahara Africa, specifically,
it looked at the relationship between women political representation at national legislatures and quality of
institutions. Country level data on Millennium Development Goals 3 (MDG3-gender disparity in educationand female representation in national legislatures), and quality of institutions data obtained from other sources
for the period 2000-2009 were used. We estimated random effects models of gender empowerment, using acountry's women representation in national legislature as the outcome variable, and analyse as a function of thequality of institutions, sub-regional location, and post-2005 MDG declaration.
Descriptive results indicate a 6% increase in gender empowerment on average annual, and a 4.5% increase in
the post2005 MDG period. Allowing for sub-regional differences, gender empowerment increases by 5.3% inWest Africa, Southern Africa (5.0%), East Africa (11.6%), and Central Africa (4.8%). But with regard to
post-2005 MDG declaration, East Africa has the highest increase (8.1%) whilst Central Africa records a
decline of -1.6%. The results also show differential effects between formal and informal institutions on gender
empowerment. The degree of response of gender empowerment to changes in the former (e.g. education
attainment) is highly elastic and much greater than the degree of response to changes in the later (e.g. legal
structure and property rights), which is largely inelastic. The study provides a context-specific understanding ofStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 121

An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

underlying factors mitigating or intensifying, the commitments of African governments to improve gender
empowerment.
Keywords: Random effects model; Sub-Saharan Africa; Institutions; Gender empowerment; Millennium
Development Goals.
Introduction
It is generally accepted that promoting gender empowerment, especially empowerment of
women is essential to achieving the developmental goals of countries in Africa, including
human development, poverty eradication and economic growth. The Millennium
Development Goals (MDGs) recognise the importance of gender empowerment as aneffective way to combat poverty and to stimulate sustainable development (United Nations,
2000).
African governments have undertaken a number of declarations and policy initiatives toaddress gender issues in development. At the global level, the 2005 World summit in New
York provided a platform for African heads of state, amongst others, to pledge theircommitment to adopt national policies and strategies for achieving the Millennium
Development Goals by 2006 (United Nations, 2005).
At the regional level, African governments have agreed to actively promote gender parity
principles, and implement legislations that guarantee women's property rights, amongst othercommitments (e.g. African Union, AU, 2004)4. Also, the various charters and mission
statements of the AU recognise gender empowerment as essential element to achieving
sustainable development (e.g. United Nations Economic Commission for Africa, UNECA,
2008). In addition, African governments have established various institutional mechanisms
to mainstream gender in the formulation of policies and to undertake advocacy (African
Development Forum, ADF, 2008). In assessing the progress made against the background ofthese global and regional initiatives however, existing literature emphasises the importance of
key inter-related institutional areas, including economic, social, political and cultural (e.g.
World Bank, 2001). The conclusion is that the normative gains are yet to be fully realised,suggesting that considerable gaps remain between socially equitable policy and practice(ADF, 2008).

4

This was a major outcome of the Solemn Declaration on Gender Equality in Africa in Addis Ababa in 2004.

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An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

In their descriptive analysis of the major obstacles facing gender equality and empowerment
in Africa, the African Development Forum identified important areas bordering on
institutional factors, including presence of strong cultural and traditional practices
constraining progress in the identified areas (op.cit)5, suggesting potential relationshipbetween gender empowerment and institutions.
There is a consensus that institutions matter for development (e.g. Trebilock and Prado,2011), just as in gender empowerment. Institutions are the set of formal and informal rules
and norms that shape behaviour in a society. A large body of literature indicates that
institutions play the most crucial role in the process of empowering people and in theeconomic and social development of a country (e.g. Roy et al., 2008). Empowering people
provides incentives for them to use their capabilities to improve their social and economic
circumstances, thereby enhancing the level of socioeconomic development of the country.
For example, prosperous countries are those where property rights are clearly defined andprotected, the rule of law is established and enforced, and citizens irrespective of gender, havepolitical and civil liberties (e.g. Coyne and Sober, 2010, Acemoglu and Johnson, 2005).
This paper contributes to the growing body of literature on gender empowerment andinstitutions relationship by examining empirically, the influence of country quality of
institutions on gender empowerment in Sub-Saharan Africa. We model gender
empowerment, specifically looking at the influence of quality of institutions on women
representation at the national legislatures in 45 Sub-Saharan African countries. We feature theroles of levels of education (primary, secondary, and tertiary), the influence of the post-2005
MDG declaration as well as sub-regional differences in gender empowerment. Using random
effects econometric techniques, we analyse measures of quality of institutions commonlyused in the literature.
These measures capture the various aspects of institutional development including social,economic, and political institutions. We use country level data on gender-related areas of
MDGs (MDG3: gender disparity in education and female representation in national
legislatures), complemented with indicators of institutions data obtained from other sources
covering the period 2000-2009 (10 years). We also employ model specification that allow forcorrelated individual country effects.

5

For a comprehensive review of the identified major obstacle to the promotion of gender empowerment in Africa, see ADF (2008).
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An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

An empirical analysis of the potential influence of country quality of institutions on gender
empowerment is important for some reasons. First, such an analysis enhances a contextspecific understanding of the underlying factors that may help explain gaps between policymaking and practice.
The paper is organised as follows. The next section (Section 2) describes the methods used.
The descriptive and regression results are presented in Section 3. Section 4 presents theconclusions.
Methods
Data
Data for the analysis were obtained from several sources online. The MDGs address key
development challenges relevant to African countries generally, with two explicitly genderrelated areas (MGD3: gender disparity in education and female representation in national
legislatures, and MDG5: maternal mortality). Data on gender empowerment were obtained
from a databank of the official United Nations site for the MDGs6. We obtained data on thegender parity index for various levels of education (e.g. primary, secondary and tertiary
education). The gender parity index measures the ratio of literate women to men; the bigger
the ratio, the higher the proportion of literate women. It also provides information about the
proportion (and number) of women compared to men and any ratio greater than 1 is anindication of a great proportion of literate women compared to men.
Another source of data for this analysis is the World Bank Development Statistics7, which
provides data on several development indicators grouped in terms of health, labour andsocial protection, economic policy and external debt, education, infrastructure, etc. It is herethat we obtain data on measures such as per capita growth in Gross Domestic Product(GDP).
Finally, we sourced data on the measures of quality of institutions from the Economic
Freedom of the World (EFW) data sets, collected by the Frazer Institute8, and the index of
Economic Freedom collected by The Heritage Foundation9,10,. The EFW index is a summary6

http://unstats.un.org/unsd/mdg/Data.aspx.
http://data.worldbank.org/indicator/SP.DYN.LE00.IN/countries8
http://www.freetheworld.com/index.html
9
http://www.heritage.org/Index/
10
Both data sets are freely available to the public.
7

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An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

measure of five different areas of a country's quality of institutions, covering 191 countries(Gwartney et al., 2010). From the EFW data set, we used the data on legal structure andsecurity of property rights (Area 2). This is measured on a scale ranging between 0 (least free)
to 10 (most free), indicating the degree to which the policies and institutions of a country aresupportive of economic freedom in such areas as judicial independence, impartial courts,
protection of property rights, adherence to the rule of law, integrity of the legal system, legal
enforcement of contracts and regulatory restrictions on the ownership and sale ofproperty11,12.
From the Heritage Foundation data set, we used the data on business freedom and regulation(Component 1), and freedom from corruption (Component 9). Each of these was measured
on a scale ranging from 0 to 100, where 100 represents the maximum freedom. Businessfreedom measures the overall burden of regulation of business as well as the efficiency of
government in the regulatory process. A score of 100 indicates the most friendly businessenvironment. Freedom of corruption is derived originally from Transparency International's
Corruption Perceptions Index, which measures the level of corruption in 180 countries13,14.
From all the data sources, we also created regional indicators based on the World HealthOrganisation (WHO) Africa region for Sub-Saharan Africa (SSA) such as West Africa(includes countries such as Cote D'Ivoire, Nigeria), Southern Africa (includes countries suchas South Africa and Zimbabwe), East Africa (includes countries such as Kenya and Uganda),
and Central Africa (includes countries such as Cameroon and Central African Republic).
Although all data sources covered longer periods we restricted attention to indicators forwhich we have a complete data for the period 2000 to 2009 for the purposes of obtaining
more useful data.

11

For technical details of the components and derivation of the EFW index, see Gwartney et al (2010).
Over 250 academic papers have used the EFW data set since 1994.
The list is available at http://www.freetheworld.com/papers.html.
13
http://www.transparency.org/policy_research/surveys_indices/cpi/2010/in_detail.
14
For details of the components and derivation of index of Economic Freedom, see Heritage Foundation (2011).
12

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An Empirical Analysis of the Influence of Country Quality of Institutions on
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Damilola Olajide and Divine Ikenwilo

Model Specification
We used a linear random effects model in which there are repeated measurements in periods(t) for each individual country (i). The model estimated has the general form of an individualeffects model15:
yit = Xitb + ai + eit
i=1,...n; t = 1,...T(1)
Where yit is the observed individual country measure of gender empowerment (dependent
variable) in each of the t years, and X is a vector of observed independent variables; and is avector of parameters to be estimated. The error term in equation (1) consists of twoelements: ai and eit ; where the term i is a random country-specific unobserved effect orunobserved characteristics of country i that remains constant overtime with ai ~ (a ,a2a), andthe term eit is an idiosyncratic error with eit ~ (0 ,a2e).
Given the variance of ai and eit , the total variance (a2u) is given by:

a2u = a2a + a2e

(2) ;

2

and given a covariance Cov(uit, uis) = s a for all s = t , the intra-country correlation of the error
terms (r) is given by:

r = a2a/(a2a + a2e)

(3).

The intra-country correlation coefficient is the proportion of the total variation of the error
term attributed to the individual effects.
In panel data models, an important issue to address is whether individual country effects ai arecorrelated with the observed independent variables X. If this is the case, the regression yields
an inconsistent estimate of b (e.g. Cameron and Triveldi, 2009). The general approach toaddress this problem is to eliminate the fixed effects ai . Therefore, we employ the Mundlak(1978) fixed-effects approach in dealing with correlated error terms by taking the mean
deviations of each of the time-varying covariates as the deviation from within-country
means16.
15

For a formal presentation of panel data models and estimation, see Baltagi (2005).
Another approach is the first differencing approach, by substituting the value of the time varying variables in t-1 from the v
alue in period t (e.g. Jones 2005).
16

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An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

In our analysis, the independent variables (Xit) consist of both time-varying indicators ofquality of institutions including gender disparities in education (primary, secondary andtertiary), annual GDP growth rate, legal structure and property rights, index of businessfreedom, and index of freedom from corruption; and a fixed time-invariant factor (subregion of location). In order to capture the possible effect of the post-2005 MDG declaration,
we use the year dummies to create a binary variable (post2005MDG) taking the value of 1 in
the post-2005 MDG period (i.e. 2006 to 2009) and the value 0, if otherwise17. We expect thelevel of gender empowerment to increase with improvement in indicators of quality of
institutions, and in the post-2005 MDG period.
Results
Descriptive results
Table 1 shows the descriptive statistics of the variables. More than half of the data used in thisanalysis cover countries in West Africa (38 percent) and Southern Africa (31 percent).
Descriptive statistics of other variables show mean differences in gender parity index forprimary education (9 percent), secondary education (8 percent) and tertiary education (6percent). This suggests that over the period, women were less empowered relative to men, at
higher levels of education. There was also great variation in gender parity index at higher
levels of education. GDP per capita grew at an average annual rate of 2 percent, even as there
was a 5 percent variation between all the countries analysed. The average score for legal
structure and property rights was about half (5 out of 10), and business freedom was a little
above half (56 out of 100), and freedom from corruption was well below 30% (28 out of 100).
The variations in these institutional variables analysed were generally low at approximately
14%, 12% and13%, respectively.
The dependent variable is the share (%) of parliamentary seats held by women. On average,
women in SSA held about 14 percent of the total seats in parliament in their respective
countries over the period from year 2000 to 2009. This proportion ranged from 1 percent to56 percent, and also varied over time and between countries and regions. Figure 1 presents the
distribution of the proportions of parliamentary seats held by women over the study period,
broken down into four SSA sub-regions.

17
The post-2005 MDG declaration relates to the 2005 World Summit, held from 14 to 16 September at United Nations
Headquarters in New York, when more than 170 Heads of State and Government pledged intention to address issues surrounding development, security, human rights in their respective countries (UN 2005).

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An Empirical Analysis of the Influence of Country Quality of Institutions on
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An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

There were general upward trends in women empowerment in all sub-regions, although therates of empowerment differed by sub-region. For example, East Africa had overall greaterlevels as well as changes in the levels of empowerment compared to the average SSA regional
levels and to the levels in other sub-regions. That was followed by Southern Africa, which also
recorded above regional average levels of women empowerment. Central Africa has thelowest levels of women empowerment over time. The dashed vertical line in Figure 8 indicatesthe 2005 MDG declaration. The year 2006 corresponds to the year that African heads of statepledged their commitment to put in place policies and strategies for achieving MGDs. Twointeresting points are worth noting. Firstly, the overall rate of increase in the share (%) of
women in national legislatures in SSA increased during 2005/06 was significantly higher than
the increase during 2004/05. But this increase appeared to level off afterwards. In terms ofannual changes (Table 2), this result corresponds to an increase from 3% during 2004/05 to
12.3% during 2005/06, representing more than 4 times as great, but has declined generally
afterwards.

Secondly, at the sub-regional level similar trends were observed for all of the sub-regions,
except Central Africa, which recorded a significant decline (-0.023%) during 2005/06. Moregenerally, countries in East Africa appear to respond to the post-2005 MDG declaration moresignificantly than countries in any other sub-regions in SSA. The change in the share (%) ofStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 129

An Empirical Analysis of the Influence of Country Quality of Institutions on
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Damilola Olajide and Divine Ikenwilo

parliamentary seats held by women post-2005 MDG declaration is highest for East Africa(8.1%), whilst it declined by about -2% annually in Central Africa. In addition, the gap
between East Africa and the other sub-regions in terms of gender empowerment, continued
to widen more significantly since the post-2005 MDG declaration (Figure 1).
Measurement of Gender Empowerment
Tables 3 and 4 show the regression results for the random effects estimation and random
effects estimation with Mundlak (1978) specification, respectively. The Mundlak specification
provides a way of relaxing the assumption of uncorrelated individual effects. The dependent
variable is gender-empowerment as measured by the share (%) of parliamentary seats held by
women. We use the Stata software (version 11) for estimations. Separate models were
estimated for the three stages of education attainment; that is, primary, secondary and tertiary.
In estimation, we used a stepwise approach, which allowed us to use an education variable at atime and observe how the results change as more indicators of quality of institutions were
included. We estimated a model with only education (Basic models), sub-region of locationand post-MDG declaration, and a model with additional institutional variables ('with added
institutions') included.
In order to aid interpretation, the coefficients on the time-varying variables are the elasticities
measuring the percentage change in gender-empowerment attributed to 1% percentagechange in a particular covariate, whilst controlling for other covariates.
Firstly, we examine the elasticities measuring the relative changes in gender-empowerment
attributed to relative changes in gender parity index by levels of education (primary,secondary and tertiary). When gender parity index in primary education is used andcontrolling for other covariates, the result indicates that 1% increase in gender parity index inprimary education increases the share of women representation by 2.24% on average, which
is elastic and highly statistically significant. This inelastic result remains consistent when otherindicators of quality of institutions are controlled for.
When gender parity index in secondary education is used and controlling for other covariates,
the coefficient of elasticity is positive but statistically not different from zero. With theinclusion of other indicators of quality of institution however, the result indicates that 1%
increase in gender parity index in primary education increases the share of women
representation by only 0.92% on average (inelastic), which narrowly missed the unit elasticity
threshold of 1), but statistically significant at the 5% level. The relative change in gender130 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

An Empirical Analysis of the Influence of Country Quality of Institutions on
Gender Empowerment in Sub-Saharan Africa
Damilola Olajide and Divine Ikenwilo

empowerment attributed to gender parity index in tertiary education is negative andstatistically not different from zero. The results suggest that the level of education has
differential impacts on gender-empowerment, with primary education showing the strongest
impact.
Next, we examine the effect of sub-region of location pre- and post-2005 MDG declaration.
Again, the results differ according to the education variable used in the model. In the preMDG period (2000-2005), the share of women in national legislature increases significantly in
Eastern Africa than in West Africa (reference sub-region). There is no statistical difference
between the reference sub-region, Southern Africa and Central Africa. In the post-MDG
period (2006-2009) however, the share of women in national legislature increases significantly
in all of the sub-regions but Central Africa, where the increase is statistically not different
from zero. Comparing between the pre- and post-2005 MDG periods, gender empowerment
improved in most of the sub-regions, except for Central Africa.
Controlling for gender parity in higher levels of education (i.e. secondary and tertiary), bothSouthern and Eastern Africa sub-regions have statistically significant increase in gender
empowerment in the pre-2005 MDG declaration compared to West Africa. Also, the estimate
and level of statistical significance appear to increase with the level of education. For example,
the decline in gender-empowerment in Central Africa pre-2005 MDG became statisticallysignificant in the models controlling for gender parity in secondary and tertiary education.
We also examine the elasticities measuring the relative changes in gender-empowerment
attributed to relative changes in the other indicators of quality of institutions. The results
indicate that 1% increase in freedom of corruption decreases the share of women
representation by -0.05% , -0.018%, and -0.071% on average, respectively. These coefficientsof elasticity are within the inelastic range but are statistically significant. None of theremaining indicators of quality of institutions are statistically significant. In the model
controlling for gender parity in tertiary education however, the coefficient of elasticity is
positive and statistically significant. This suggests that 1% increase in legal structure andproperty rights index increases the share of women representation by 0.165% (inelastic).
Some differences are observed in the models with Mundlak (1978) specification. Firstly, theresults on levels of education are not sensitive to model specification. However, eliminating
the unobserved individual-effects (i) in the Mundlak specification improves ourunderstanding of the results to some extent. The degree of response of genderempowerment to changes in gender parity in primary education increases to approximately
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3.0%, whilst the inclusion of other indicators of quality of institution makes little difference
to the previous results.
Largely because of the structure of our data with little within variations over time, thecoefficients on the mean deviation variables are of interest. The coefficient on the mean
deviations indicate that while indicators of quality of institutions such as the economy
imposes a positive and statistically significant individual effects on gender-empowerment,
legal structure and property rights, freedom from corruption impose negative and statisticallysignificant individual effects on gender empowerment. Notice also that except for East
Africa, the effect of sub-region of location disappears once the other indicators of quality of
institutions are included in the models.
The coefficient on the Wald (Chi2) tests provides a test of the joint significance of the effects
of individual variables on gender empowerment. Each of the coefficient has a pvalue=0.000, suggesting that the individual effects are jointly significantly significant. Also,
the goodness of fit of each of the models is assessed using the R2 measures for overall(random effects) estimator across the models (Table 5). On the basis of the R2 values, therandom effects model with Mundlak (1978) specification is preferred generally (Table 5).
Finally, these results have important implications for our understanding of the role ofinstitutions in the process of improving gender empowerment. Firstly, the findings are
generally consistent with Coyne and Sobel (2010), who used time-series analysis to examine
the relationship between indicators of quality of institutions in 190 countries covering 35
years. Their findings suggest that whilst the changes in the formal aspect of a country's
institution such as economic and political institutions are non-stationary (changes arepermanent), the changes in informal aspects of institutions such as measures of civil liberties,
legal structure and property rights may take a long time to manifest. Their study also indicatethat most of a country's institutions are co-integrated, suggesting that reforms are jointly
undertaken across various indicators of institutions for a sustainable institutional change. We
also find differential effects between formal and informal institutional variables on gender
empowerment. The degree of response of gender empowerment to changes in primaryeducation is (elastic) much greater than the response to changes on the informal institutions
such as legal structure and property rights, which is largely inelastic.
Conclusions
The motivation for this paper is based on the view that the various declarations and policy
initiatives undertaken by African governments to address gender-related issues in
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development have not translated into the expected normative gains, thereby leaving gaps
between socially equitable policy-making and practice. We contribute to this literature byexamining empirically, the influence of country quality of institutions on gender
empowerment in 45 countries in Sub-Saharan Africa.
Our findings highlight the context-specific understanding of underlying factors mitigating orotherwise of meeting the commitments of African governments to improve gender
empowerment. Firstly, we find indications of improvement in gender empowerment
following the 2005 MDG pledge by African heads of state. However, this improvement has
been sustained over time. Secondly, the response of governments in Sub-Saharan Africa togender issues in development appears to differ according to the sub-region of location, with
East Africa accounting for the strongest improvement in gender empowerment during theperiod under consideration, compared to other sub-regions. By implication, the gap between
policy initiatives and practice is wider for these other sub-regions relative to East Africa.
Secondly, we find important differences between the influence of indicators of formal andinformal institutions. Whilst the relative change in gender empowerment attributed tochanges in primary and secondary education (formal institutions) is highly elastic (at least 2%),the relative changes attributable to changes in property rights and corruption (informal
institutions) are inelastic. Rather, these informal institutional variables impose some
unobserved country individual effects generally. These institutions are largely informal in
Sub-Saharan Africa, as they may be reflecting some strong cultural and traditional ways of
doing things, which are slow to change and constraining progress towards achieving gender
empowerment. Also, the joint statistical significance of the institutional variables suggeststhat institutional reforms to nurture effective gender empowerment need to be jointly
undertaken across various institutions. As a previous study has demonstrated, this is because achange in one institutional variable may require a simultaneous change in another. In future
research, we hope to collect more data and extend the analysis to examine the capacity of
governments in Sub-Sahara to effect joint institutional changes.
An implication of our findings is that they highlight the importance of understanding thecontext-specific underlying issues such as determinants of gender empowerment, for aneffective linkage between evidenced-based research, policy and practice. Improved quality of
institutions will enhance women's capacity to exercise their rights, greater access to resources
and actively participate in policy research, initiate policy dialogue, advocacy, andoperationalizing gender-related development policies.
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69-85.
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12. Youth Mobilization under the
Agricultural Development Programme:
Lessons for Effective Linkages between
Research, Extension and Farmers for
Agricultural Transformation inSouth-Eastern Nigeria
Ezeh A.N1, S.O. Eze1 and Nicholas Ozor2
1
Dept of Agric Econs, Mgt and Extension, Ebonyi State University,
P.M.B. 053 Abakaliki, Nigeria
2
African Technology Policy Studies Network (ATPS), Nairobi Kenya
Abstract
Youth possess regenerative energies, intelligence and capabilities for sustainable development of any economy.
Despite the huge resources expended on youth supported programmes under the Agricultural Development
Programme (ADP) by successive governments in Nigeria towards realizing the foregoing potentials, youth's
participation in the South-Eastern ADPs remain minimal. There do not seem to be effective linkage between
research, policy and practice needed to motivate them actively to participate in agricultural production andtransformation process in the nation. The study therefore examined the potentials of youth mobilization underthe ADPs and highlighted lessons for participatory agricultural transformation in the country. Two hundredand forty (240) youths randomly selected using purposive and multistage random sampling techniques
constituted the sample size for the study. Structured interview schedule was employed in data collection, while
frequency counts, percentage and mean scores, and factor analysis techniques were used in data analysis. The
key findings show that majority (61.25%) of the youth were males, and 75 percent were within the ages of 16
and 25 years. The most important youth mobilization strategies identified include, organizing competition
between youth organizations (x = 4.5) and excursion for the youth (x = 4.3). Observed mobilization
constraints include, lack of basic infrastructure, poor socio-economic conditions and inadequate ruralleadership. Key lessons identified for effective linkages and agricultural transformation were; improved
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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
between Research, Extension and Farmers for Agricultural Transformation in South-Eastern Nigeria
Ezeh Ann N, S.O. Eze and Nicholas Ozor

extension services harmonized youth group efforts and improved budgetary allocation for institutional reorientation and synergy in practice. The paper recommends that for effective linkage amongst the key
stakeholders in agricultural development to occur, the identified strategies need to be boosted while the constraints
need to be effectively addressed by relevant authorities.
Keywords: Youth Mobilization, ADP, Research, Extension and Farmers Linkages, Agricultural
Transformation, South-eastern Nigeria
Introduction
Youth possess regenerative energies, intelligence and capabilities for sustainable
development. Previous studies by Ajayi (1998), Onuekwusi (2005) and Onuekwusi and
Nwachukwu (2006), have described the youth as group of people that are of human life
between childhood and adulthood within the ages ranging from 12 to 30 years. According to
Eremie (2002), the desirable potential energies, knowledge and intelligence of youth
constitute inherent characteristics which endear them towards sustainable development
programmes worldwide. The call for youth involvement in development programmes has
been greatly supported under various development initiatives in Nigeria. Specific youth
initiatives under successive governments in Nigeria include; the Farm Settlement Scheme(1960); the School-to-Land Programme (1985); the Young Farmers Club, YFC (1973); and theAgricultural Development Programme, ADP (1972-1980s). Others include, the National
Youth Service Corps, NYSC (1973); and National Directorate of Employment, NDE (1986).
The question now is, to what extent have these government supported youth programmes
yielded the desired results in terms of stimulating youths for active participation and linkages
for agricultural production and transformation in Nigeria?
According to Adedoyin (1996), despite the huge financial, human and material resource
investments on youth programmes, the programmes have not achieved the desired objectives
in terms of meaningful participation among the youth in agricultural production activities.
There seems to be inadequate agricultural transformation and development process inNigeria. This failure of government supported youth schemes in Nigeria is attributable toinadequate institutional linkages, inconsistency in planning and policy implementation,
inadequate funding, and attitudinal deficiencies in terms of corruption among government
officials (Nwachukwu, 2008). To address this situation requires that the youth be encouraged
to participate in infrastructural development and agricultural transformation process.
Anyanwu (1992) recommended youth participation in developments initiatives to make up
for governments inadequacies in such respects. Thus without engaging the activities of youth
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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
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Ezeh Ann N, S.O. Eze and Nicholas Ozor

in agricultural production and transformation process there would be probably little successin the programmes since they are action points of any development programmes in rural
areas.
In Southeast, Nigeria, the responsibility of encouraging youth participation in agricultural
production and transformation is mainly the responsibility of the Agricultural Development
Programmes (ADPs). According to Laogun (2001), youth involvement in ADP activities willserve both as sustainability measures to the longevity of ADPs and rekindle youth interest in
agriculture. The World Bank (2001) reported on the global awareness among donor agencies
and civil society organizations of the potential roles of youth in Agricultural production andrural transformation. Ajayi (1998) has noted the need to involve youths in ADP activities toavert imminent conditions of hunger basically because of abandonment of food production
process in the hands of aged farmers in Nigeria.
Youth participation under the ADP activities involve basic issues on institutional linkages
between research, extension and farmers, sensitization, encouragement, training, motivationand sustained mobilization. The desirable mobilization of youth will serve as a policy measure
to provide a balance between self-fulfilment and service and it consists of a range of linkages
and interactions involving adult and youth (Onuekwusi, 2005). Youth mobilization will
stimulate participatory agricultural production and transformation process necessary inachieving viability in development initiatives in an agricultural based economy such as Nigeria(Akinbile, Ashimolowo and Oladoja, 2006).
Generally, the situation on ground in terms of youth participation in ADP Agricultural
production and transformation activities in South-eastern Nigeria is that mobilization in thisrespect is very minimal. There do not seem to be appropriate institutional (research, extension
and farmers) linkages needed to provide inputs and resources for youth mobilization in the
ADPs. Effective mobilization could motivate them to actively participate in agricultural
production and transformation policy being implemented by the ADPs. Desirable
mobilization of rural youth demands roles of ADP's extension to link up with other relevant
institutions- both government agencies and non-governmental agencies in order toencourage and train the youths to participate actively in agricultural development
programmes. This involves measures and strategies to achieve the commitments required
from the youths.

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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
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Ezeh Ann N, S.O. Eze and Nicholas Ozor

The questions to ask therefore are; what are the personal characteristics of rural youth inSouth-eastern States' Agricultural Development Programme? What strategies are employedby the ADPs in mobilizing youths to participate in farm activities and agriculturaltransformation and development processes? What factors constitute constraints to the ADPs
in mobilizing the youths for agricultural production and transformation in south-eastern
agricultural zone? What specific lessons can be learned from mobilization of youths underthe ADPs that will serve as measures to enhance research, extension and farmer linkages forsustainable agricultural transformation in South-eastern, Nigeria? This paper provided
answers to the above questions.
Purpose and Objectives
The overall purpose of the study was to identify strategies for youth mobilization under the
agricultural development programme and draw lessons for effective linkages between
research, extension and farmers for agricultural transformation in South-eastern Nigeria.
Specifically, the study was meant to:
1. describe the personal characteristics of rural youth in South-eastern States' ADP
2. ascertain youth mobilization strategies employed by the ADPs in agricultural production
and transformation
3. Identify the constraints of the ADPs in mobilizing the youth in South-eastern Nigeria
agricultural zones
4. Highlight lessons for research, extension and farmers' linkages for agriculturaltransformation in South-eastern Nigeria stopped.
Materials and Methods
This study was conducted in South-eastern agricultural zone of Nigeria made up of ninestates namely, Abia, Anambra, Akwa Ibom, Bayelsa, Cross River, Enugu, Imo and River
Ebonyi states. Over 95 percent of the states in the zone have rural farm background, while
over 70 percent of the households are engaged in agricultural production and various selfhelp community development activities. However, fewer members of households including
the youth headed households were engaged in trading and civil service, while most of the
youth engage in farming, schooling and/or other careers. The population for the study was
made up of all youths who are within the described periods of childhood and adulthood
within the ages of 12 and 30 years. Thus both youth who were engaged in farming and othercareers constituted the population for the study. Purposive, multistage and random samplingtechniques were employed in sample selection. In the first stage, two states namely Abia andEbonyi were selected, basically because of their proximity to one another and researchers'
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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
between Research, Extension and Farmers for Agricultural Transformation in South-Eastern Nigeria
Ezeh Ann N, S.O. Eze and Nicholas Ozorfamiliarity/experience with the farming and agricultural administration systems in the states.
In the second stage, one zone each from the states involved namely, Umuahia from Abia andEbonyi Central from Ebonyi state were purposively selected basically because of proximity to
one another, intensity of agricultural production transformation activities and location ofstate ADP head offices in the zones. In the third stage, one local government namely,
Umuahia and Ikwo from Umuahia and Ebonyi Central zones respectively were randomly
selected. In the fourth stage, two communities each from the LGAs involved were randomly
selected, while four villages from each of the communities involved and fifteen (15) youths
from each of the villages selected were randomly involved . A total of two hundred and forty(240) youths constituted the sample size for the study. Also, 10 officials of ADP offices in thetwo states (five from each state) were interviewed.
A structured interview schedule was developed, validated and employed for data collection.
The interview schedule reflected issues on personal characteristics of the youths,
mobilization strategies employed by the ADPs and constraints on mobilization under the
ADPs. Analytical tools such as frequency counts, percentage and mean scores and factor
analysis techniques were adopted. The factor loading under each constraint (beta weight)
represents a correlation of the variables (constraint areas) to the identified constraint factors
and has the same interpretation as any correlation coefficient. Kaisier's criterion using factor
loading of 0.30 and above in naming and interpreting the factors and constraint variables was
adopted (Child, 1978, Ogunfiditimi, 1979)
Results and Discussion
Personal characteristics of the youths
Data in Table 1 shows that majority (61.25%) of the youths were males,75.0 percent of themwere within the ages of 16 and 25 years and majority (82.08%) were single. This result
therefore agrees with Onuekwusi and Nwachukwu (2006) who reported that male youths
avail themselves more than their female counterparts for youth programmes in a typical ruralcommunity in Nigeria.
Majority (86.69%) of the rural youth in the study area were still attending schools, while 76.23
percent of them were either in boys scout or girls guide clubs and about 50.84% had 6 to
10years of farming experience. The study indicates that rural youth had sufficient farming
experience for meaningful participation in agricultural production and transformation
activities of the ADPs in Southeast, Nigeria.
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The result in Table I also shows that majority (58.34%) of the youth preferred food crop
production, while only 19.59 percent of married youths have family size of 5 to10 members.
The study suggests inadequate family labour among the few married youths against the
backdrop of enormous labour demands for food crop production. This study therefore,
agrees with Alimi (1991) who recommended the use of agro-chemicals, relevant machinesand hired labour to complement family labour in order to meet the demands for meaningful
food production and food security in Nigeria. Furthermore, majority (60.84 %) of the youth
had at least SSCE/WAEC/GCE O/L qualifications, while 58.34 percent of them reported
estimated annual income of N101,000.00 to N140, 000.00.
Estimated annual income of a farmer indicates income earned from his farm which is theexcess revenue and value of household consumption output over cost (Alimi, 1991). The
youths seem to have basic educational attainment for progressive mobilization under the
ADP. However, they had low reliance on personal savings and associated investment needed
for their meaningful participatory agricultural production and transformation process inNigeria. The study therefore agrees with Jibowo and Sotomi (1991) who noted that the youth
knowledge acquisition propensity for participation in agricultural development increases with
their educational attainment.
ADP's youth mobilization strategies in Southeast, Nigeria
Data in Table 2 show that the ADPs employed useful strategies in mobilizing the youth fordesirable participatory agricultural production and transformation process in the study area.
A strategy indicates a process of skilful planning and involvement of measures for sustainable
development. Some specific mobilization strategies perceived as relevant among the rural
youth include organizing competition between youth organizations (x = 4.5), excursion ofyouth to research institutes and large farm enterprise (x = 4.3) and provision of incentives toyouth programmes (x = 4.0). Equally perceived by the youth as relevant ADP mobilization
strategies include, provision of supports on the part of parents (x =4.2), organizing youth
clubs (x = 3.4), periodic training of youth (x =3.9), involving youth in groups/symposium (x= 3.6) and support for inter–gender activities (x = 3.2).
Table 2 indicates that the ADP was limited in the employment of some mobilization
strategies namely, mass media campaign for youth programme (x =2.8) and provision of basic
rural infrastructure (x = 2.4). This shows limited use of mass media to sensitize the youth andpromote youth programmes. This indicates a major weakness on the part of government toprovide the ADP with necessary mass media facilities for mobilization of youths.
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Constraints of youth mobilization under the ADPs in Southeast, Nigeria
Data in Table 3 shows the varimax rotated factors perceived by the youths as constraints ofmobilization under the ADPs in the study area. Based on specific issues and items loading
three major factors were extracted namely; factor 1, lack of basic infrastructure; factor 2, poorsocio-economic conditions; and factor 3, inadequate rural leadership. Specific issues which
loaded high under lack of basic infrastructure include inadequate markets and transportfacilities (0.47), inaccessibility of credit to youth associations (0.59) and irregular contacts on
the part of extension agents (0.35). Others include difficulty in understanding extension
techniques (0.52), poor network of roads (0.56) and rural-urban migration (0.37). Inadequate
markets and lack of transport facilities are related infrastructural problems which areblameable on government inefficiencies to provide good network of roads. Moreover, theabsence of good roads coupled with the poor state of market and transport facilities asrevealed by this study cause rural-urban drift of youths in the study area. The study therefore,
agrees with Nwachukwu (2008) who identified lack of infrastructure as a contributory factor
to rural-urban drift of youths in Nigeria. Similarly, irregular contacts of extension agents
could be attributable to lack of basic infrastructural facilities such as roads and transport all ofwhich could limit extension in providing effective training for the youth. The perceived
ineffectiveness of extension trainings no doubt, amplify lack of basic infrastructure as
constraints to the ADPs in mobilizing the youth for participatory agricultural transformation
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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
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Ezeh Ann N, S.O. Eze and Nicholas Ozor

process in the study area. The study also agrees with Eze (2000) who identified inadequate
infrastructure as a constraint factor on extension contacts to farmers in south-eastern
Nigeria. Thus, the more adequate the infrastructure the more effective the ADP extension inproviding necessary information on agricultural production and transformation as well as
encouraging participation among the youths in Nigeria.

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Poor socio-economic conditions of youths, which depict poor state of the youth in terms of
their social and economic statuses constitutes the second group of the constraining factors.
Some specific youths' poor socio-economic condition issues include, lack of participation inagricultural transformation projects (0.32), fear of risks and uncertainties in agricultural
production (0.38) and non-perception of agriculture as a profession (0.45). Others include
inadequate education among the youth (0.43) and land tenure / inaccessibility to land on thepart of youth (0.44). Fear of risks and uncertainties in agricultural production among theyouth is blameable on their inadequate education all of which limit mobilization of youth forparticipation in agricultural and rural development projects. Earlier studies by Blum (1991)
and Madukwe (1996) have identified education as a facilitating factor in any extension
programme including mobilization of youth under the ADPs. Thus the more educated theyouths are, the more equipped they would be to understand extension techniques andembrace risk aversion strategies in agricultural production and transformation. This will also
stimulate the youths to appreciate agriculture as a profitable profession and their overall
participation in agricultural transformation.
Furthermore, Table 3 reveals inadequate rural leadership in the study area which depicts
inadequacy in the traditional ruler ship institutions and leadership structure in rural youth
organizations. Some specific inadequate rural leadership issues include lack of traditional
leadership (0.51), intra/inter community conflicts (0.50), difficulty in linking youth
programmes to donor agencies (0.46) and inadequate relationship between traditional rulers
and youth associations (0.43). Lack of traditional leadership contributes to inadequacy inrelationship between traditional rulers and youth associations basically because of possible
weakness in leadership structures of the traditional institutions. The perceived weakleadership structures contribute to possible incessant intra/inter community conflicts.
Situations of intra/inter community conflicts aggravate difficulties in linking youth
programmes to donor agencies possibly because of perceived uncertainties and insecurity inthe study area. Joiyifo (2008) attributed high risk of youth restiveness to impatient due toprevalent insecurity in rural communities and inability of government to provide economic
resources to empower the youth.
Lessons for research, extension and farmers linkages for agricultural transformation
policy in Southeast, Nigeria
Youths possess regenerative energies, potential intelligence and skills which can motivatethem to participate in development initiatives of the ADPs and propel necessary linkages
between research, extension and farmers for sustainable Agricultural transformation inStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 147

Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
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Ezeh Ann N, S.O. Eze and Nicholas Ozor

Southeast, Nigeria. This study shows that rural youth in the study area have remarkabledifferences in their personal characteristics and socio-economic conditions. These
differences in personal characteristics of the youths constitutes a baseline information on
their socio-economic conditions and lessons for the ADPs for strategic planning andimplementation of linkages between research, extension and farmers for agriculturaltransformation policy in Nigeria. Thus, the differences in terms of age, gender, household
size, farming experience, preferred agricultural production, marital status, career status, levelsof formal education and estimated income can be employed by ADPs as necessary lessons in
categorizing the youths for mobilization. However, the diverse educational attainment among
the youths guides the role of ADPs in linking with research and farmers needed in
categorizing them along the lines of their preferred youth clubs and groups for purposes ofproviding group training on agricultural production and transformation. This situation
constitutes a critical issue to improve ADP extension services by overhauling structuralarrangement within the relevant LGAs as viable extension blocks in implementing necessary
linkages under various youth oriented extension programmes. This arrangement would
impinge on the ADPs to employ mobilization strategies such as organizing youth clubs,
provision of incentives/award to inter-youth competitions and linkage support to the youth
on the part of parents.
Moreover, the envisaged improvements in ADPs extension services and mobilization
strategies serve as guide to the ADPs on linkage issues related to extension staff training on
youth club dynamics in order to achieve meaningful motivation and mobilization of the
youth. This situation could be facilitated by linkages between research and ADPs extension
on issues related to regular extension staff training and contacts with the youth on relevant
agricultural production technologies. The envisaged regularity in extension contacts withyouth has lessons to government support to the ADPs linkages with research throughprovision of necessary extension facilities, logistics and basic rural infrastructure. Theseissues of regular support to ADP extension and development of rural areas demand
improved budgetary allocation on the part of Government and financial as well as otherresources support on the part of benefiting LGAs. The situation could involves increasing
number of extension staff of the ADPs, re-orientation and retraining of relevant community
development staff of the LGAs to complement agricultural production and transformation
efforts of the ADPs. This will assist the ADPs as rural-oriented organization to meaningfully
link with research and farmers in mobilizing the youth for participatory agriculturaltransformation policy in Southeast, Nigeria.
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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
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Ezeh Ann N, S.O. Eze and Nicholas Ozor

Furthermore, for the ADPs to contend with emerging improvements and linkage challenges
in mobilizing youth and overall agricultural transformation requires that the state
governments in conjunction with LGAs would employ a democratic philosophy as a strategy
under the ADPs. This measure will assist the ADPs towards stimulating existing and emerging
youth associations. This will overtly streamline their activities and mobilize them to work withthe existing local leadership under the ADPs and co-ordinating research institutions.
The foregoing measures require harmonization and organizational overhaul between youth
associations and traditional institutions necessary in facilitating research through the ADPs
extension activities to the youth as a formidable group. The envisaged harmonization would
be appropriate to the extent that it would involve re-orientation and improve group cohesion
to enable ADPs focus contacts on potential groups of youth for sustainable linkages with
farmers and participatory agricultural transformation policy in Nigeria.
Conclusion and Recommendations
The study investigated mobilization of youth under the ADPs and highlighted lessons for
effective linkages between research, extension and farmers for agricultural transformation inSouth-East, Nigeria. The study was based on the prevalent situation of inadequate utilizationof regenerative energies, potential intelligence, and skills among the youths in institutional
linkages for agricultural production under the ADPs in an agrarian economy such as Nigeria.
Results indicate that low performance of the ADPs on youth mobilization and limited
agricultural production and transformation process are attributable to critical constraints andweak institutional linkages.
The constraints include, lack of basic infrastructure, poor socio-economic conditions among
the youth and inadequate rural leadership. Based on the foregoing, the study recommends
improved extension services and staff training, budgetary provisions and resources support
on the part of the benefiting State Governments and relevant LGAs.
Other recommendations include, overhaul and improved cohesion on the part of ruralleadership institutions and youth associations, streamlining the structure and operations ofexisting youth clubs and ADPs focus of extension contacts on harmonized and mobilizedgroups of youths. In conclusion, youth mobilization under the ADPs for sustainableagricultural production depends on the extent issues raised and linkage lessons thereof
highlighted can be addressed and sustained.
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Youth Mobilization under the Agricultural Development Programme: Lessons for Effective Linkages
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Ezeh Ann N, S.O. Eze and Nicholas Ozor

References
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Lagos.
Ajayi, A.R. (1998). Role Perception of Ondo state agricultural teachers in YFC programme:
Journal of Agricultural Extension Vol. 2;39-47
Akinbile. L.A; O.R. Ashimolowo; and M.A. Oladoja; (2006). Rural youth participation in
infrastructural development of Ibarapa east local government area of Oyo state;
Nigerian Journal of Rural Sociology; vol. 6; Nos 1&2; PP.40-48.
Alimi, T; (1991). Influence of the socio-economic characteristics of small holder farmers on
resources availability in farming; Rural Development in Nigeria; Journal of the federal
Department of Agriculture, Abuja Nigeria, Vol. 4 No 1; June: PP. 1 - 5Anyanwu, C.N; (1992). Community development: The Nigeria Perspective; Ibadan Nigeria;
Toabesther Educational publishers; 62-6; 77-82.
Blum, A. (1991). “What can be learned from a comparison of the Agricultural knowledge
system? The case of the Netherlands and Israel,” Agricultural Ecosystem andEnvironment; 33; pp 25 -339.
Child, D: (1978). The essential of factor analysis; New York holt Rina Hanrt and Wilstarm
Ltd
Eremie, S; (2002). Youth A strong Hold for sustainable Agricultural extension delivery anddevelopment; In: Olowu T.A (ed); proceedings of Agricultural extension society of
Nigeria, pp 15-38.
Eze, S. O; (2000). Factors Limiting Infrastructural Development and Extension Contacts In
Farming Communities In South-Eastern Nigeria; Journal Of Agri-Business And Rural
Development; University Of Uyo, Akwa-Ibom State, Vol.2. PP.103 – 109
Jeiyifo, B; (2008). “Are there no good things to say about your country Nigeria?” The
Guardian Newspaper, 10th August.
Jibowo, A.A and A.O. Sotomi; (1996). The youth in sustainable rural development: A study ofyouth programmes in Odeda LGA of Ogun State; Proceedings of Annual Conferenceof the Nigerian Rural Sociological Association.
Laogun, E.A; (2002). Rural youth training needs for rural community development; Nigerian
Journal of Rural Sociology; (2); 57-63.
Madukwe, M.C; (1996). Restructuring field agricultural extension services in Nigeria: Issues
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Nwachukwu, Ike; (2008). Youth Development for Agriculture and Rural Transformation in
Nigeria; proceedings of the Seventeenth Annual Congress of the Nigeria Rural
Sociological Association; pp 11-14.
Ogunfiditimi, I. J. O; (1979). Construction of five factor attitude for Evaluation of the foodfor work programmes; Journal of Social Psychology; vol.187; 25-33.
Onuekwusi, G.C; (2005). Youth programmes in extension and rural development; In: Ike
Nwachukwu and Gedion Onuekwusi (eds.). Agricultural Extension and Rural
Sociology; snap press Ltd, Enugu; PP 197-210.
Onuekwusi, G.C and Ike Nwachukwu; (2006). Rural youth participation in infrastructuraldevelopment in Nembe Local Government Area of Bayelsa State, Nigeria; In: Ladele
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13. Effective Linkage between Researchand Policy Making in Soil Sustainability:
Building the Capacity of Youths andWomen via Collaborative
Mentorship/Training
Umeugochukwu, O.P1, Mkpado M2 and Nwakire J.N3
1
Department of Soil Science2
Department of Agricultural Economics
3
Department of Agriculture and Bio-resource Engineering, University of Nigeria Nsukka
Abstract
Poor capacity limits youth involvement in research and policy for sustainable soil and environment management.
The global outcry for environmental sustainability and climate change seem to elicit no reaction, because themajor part of the work force in agriculture, which consists of youth and women, do not have the capacity tocontribute reliably to research, policy and practice. Contribution to research becomes unrealistic when
understanding of the issues are lacking. The knowledge of the soil processes is very essential to its appropriate
use so as to maintain the balance in the ecosystem. Unsustainable farming practices and land use, including
land abandonment, have adverse impact on natural resources and climate. This study examined workshop
training programme on principles and applications of soil physics to development challenges in West Africa
organized by the collaborative effort of the Abdus Salam International Centre for Theoretical Physics in
Trieste, Italy; the Nigerian Special Program on Agriculture and Food Security of FAO; the Soil Science
Society of Nigeria; and Ahmadu Bello University. The purpose of the workshop was to build capacity in soil
physical processes among young, researchers catalyze a sub-regional network of scientists working in the areaof soil physics and closely related disciplines and to open avenues for collaborations and partnerships. The paper
examined modalities/strategies for selection of youth and cost sharing formulae with respect to accommodation,transportation, feeding, registration and workshop materials. The programme developed youth capacity tocarry out research on soil and water management amidst climate change scenarios, and other factors. The paper
also considered effective strategies to create viable and adequate linkages between the young researchers and
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Effective Linkage between Research and Policy Making of Soil Sustainability:
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Umeugochukwu, O.P, Mkpado M and Nwakire J.N

policy makers so as to effectively engage their research output in the developmental plans in the developing
countries. Furthermore, the linkages to donor agencies, professional bodies and government agencies werehighlighted. The paper concluded by examining the need to continue this type of capacity building and evolve
even more all-inclusive forums for all developing countries, especially Africa to ensure rapid development fromwithin.
Keywords: Youth, Capacity Building, sustainability, research and Policy.
Introduction
Poor capacity of the youth refers to inadequate skills, knowledge, awareness, motivation andpoor links to network of researchers and resources required for improved research that will be
acceptable to policy makers. Poor research capacities of youth have made it impossible forthem to contribute to policy for sustainable development. The complex nature of soil andnatural environment has made research the only solution for the continued use of this scarce
resource. The teaming population increase also has contributed to the abusive use of the soil
which is one of the causes of the alarming global warming problem. Improved research fordevelopment is a serious need to meet challenges posed by changes in the environment, global
market, social and political life. The work force therefore needs to be equipped substantially tocope with this challenge, by continuous training to update their knowledge.
Youth and women are agents of development yet they are not fully informed scientifically
about their environment, yet they are the group that does the practice in the field. Sustainable
development requires knowledge of the environment, knowledge of the damaging impactsof some actions, and application of knowledge to remedy the effects. African youth lack awide range of knowledge in research and policy. Nearly 140 million youth in developing
countries are classified as 'illiterate'. Generally, the preparation of youth for productive work ispoor (Atchorarena and Gasperini, 2003). The knowledge can only be acquired throughtraining/research to understand and address the problems of the society as well as develop
constructive ideas to advance a policy action plan. The youth can only increase their chancesof impacting policy in a way that benefits them and the society at large, by being as
knowledgeable as possible in key issues associated with the policy they want to impact. The
United Nations Conference on Environmental and Development (UNCED) Agenda 21
mentions women's advancement and empowerment in decision-making, including women's
participation in national and international ecosystem management and control ofenvironmental degradation as a key area for sustainable development (Wee and Heyzer, 1995,
Zoe and Baden, 1997).
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But most often the structure is devoid of the necessary equipment to aid this action. There islack of collaborative network, awareness, information sharing mechanisms, access to training
and institutionalized forum for developing the youth. The access to information is therefore
limited. The amounts of the information the youth have are then very limited and this results
in a wide difference in opinion between the desires and need for knowledge and theavailability of information. This incapacitates their participation in decision making
processes.
Lack of infrastructure and technologies are also another reason why the youth are notparticipating in research. The facilities that are available for their use are insufficient. The
University education is so stereotyped that it is not efficiently serving the youth in thisdynamic technology. The spate of reports commissioned by higher education stakeholders
over the past ten years (e.g., AC Nielsen Research Services, 2000; Business/Higher Education
Round Table [B/HERT], 1991, 1992, 1993; Coopers & Lybrand, 1998; Sausman & Steel,
1997; The Association for Graduate Recruiters, 1993, 1995) have all recognized that a strong
disciplinary knowledge base does not, of itself, guarantee a new graduate a job. The transfer
of technology to less developed countries is not enough to facilitate the capacity building of
the youth for sustainable development, hence the serious need for training in specific areas of
specialization to harness maximum performance.
Sometimes the youth are not participating because they lack interest in research or they lackthe skill to conduct a good research. Indeed, human capacity manifests in the skills, talents,
faculties, competences, proficiencies, and capabilities of human agents (Mcpherson, 2005).
The skills acquired during the undergraduate trainings for instance have been shown by(Crebert, et al; 2003) as not enough to give the required competence in work places.
Highly motivated youth develop personal and professional skills while living away from
home, travelling, doing voluntary or community work, and participating in clubs and societies,
that impact upon their confidence and consequently increase their employability (Atkins,1999). This lack of skills in the youths needs to be built up by several
trainings/workshops/mentorships in their special areas because of its relevance indevelopment.
Human capacity takes time to be generated and sustained. They depreciate throughinattention and non-use. As knowledge, technology, market conditions, and social
circumstances change, human capacities can become obsolete. As the change occurs, the154 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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relevant context for some areas becomes international and the need for linkages andnetworking arises. Education and trainings is a great way of returning the lost or reviving theobsolete knowledge either privately or socially. The areas that ignore education and training
waste their human capacities. So many people that are not working who are addressed as'working poor' are actually occupied in tasks that are below their physical and intellectual
capacities. This may be because they have not been given adequate training.
Improved capacity building is essential for the youth to participate effectively and contributemeaningfully in realizing sustainable development. It can be a way of arresting youth
restiveness, reduction in poverty, and creation of employment and wealth. Capacity building
for the youth is needed to reduce the large number of youth groups all over the world that
continue to disintegrate due to lack of capacity to sustain their operation and hence begin todevelop second liners. Improved capacity of the youth in soil and environmental issues isrequired to conduct research in areas of climate change, soil conservation as well as contributeto improved yield in agriculture. The improved capacity will be useful in urban planning anddesign of farm stead. These will result in better environmental management, improved land
resource allocation, climate change adaptation, and better policy options that will improve
human welfare.
The broad objective of the paper was to examine strategies of building the capacity of youth
and women via collaborative mentorship/training and their linkage between research andpolicy making in the area of soil sustainability. Specifically the study centred on description of
the following:(a) Strategies employed by a workshop on principles and applications of soil physics todevelopment challenges in West Africa to train youth.
(b) Effects of the programme.
(c) Derive lessons for improving capacity of youth in research and policy.
(d) Strategies for effective linkages of youth researchers to policy making.
Methodology
Research methods
The study was developed by literature review and qualitative analysis of the theme of theworkshop. The relevance of the different strategies used in the workshop was qualitatively
evaluated. The personal experiences of the capacity building workshop held in Ahmadu Bello
University Zaria, Nigeria were discussed.
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Results and Discussions.
Strategies
The strategies employed by the workshop on principles and applications of soil physics todevelopment challenges in West Africa to build capacity of the youth involved a call for
expression of interest, selection of possible trainees, cost sharing, lectures and discussions,networks and linkages. The call for the expression of interest for capacity building in soil
physical processes was advertised on the internet. The call invited participants that are notfully experienced but are at the early stage of their career from across the West Africancountries. The main objectives was to train young researchers in soil physics and build theircapacity in soil physical processes, catalyze a sub-regional network of scientists working in thearea of soil physics and closely related disciplines, and open avenues for collaborations andpartnerships. This method of call for expression of interest is also used by some otherorganizations like African Technology Policy Studies Network, Poverty and Economic
Research Network and lots of other organizations. The special aspect of this call was that itwas circulated by soil science societies of different West African Countries especially Nigeria
to all her registered members.
The workshop was a collaborative effort of the Abdus Salam International Centre for
Theoretical Physics in Trieste, Italy; the Nigerian Special Program on Agriculture and Food
Security of FAO; the Soil Science Society of Nigeria; and Ahmadu Bello University, Zaria,
Nigeria. The majority of the youth selected had limitations with respect to financial resources.
The collaboration made the workshop feasible in that the work/cost was shared.
The cost sharing approach helped most of the participants – both the employed andunemployed young researchers selected, to gain access to the programme. The fundingorganizations provided instruction materials, accommodation, registration and feeding while
the trainees cared for their transportation fees only.
The tool used for the capacity building of the young researchers was a training workshop.
Lectures were given from renowned scientists including Dr. Donald Gabriels (University of
Ghent, Belgium), Dr. Sjoerd Duiker (Penn State University, USA), Dr. Felix Salako(University of Agriculture, Abeokuta, Nigeria), and Dr. Bashiru Raji (University of Ilorin,
Nigeria). There were also invited papers, discussions, field trips, and presentations on grant
opportunities. The workshop gave the opportunity for scientists in the same field in West
Africa to come together brainstorm and exchange ideas on how to combat the challenges ofsoil sustainability. One of the lectures titled, “Soils of West Africa: Characteristics and
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properties, Management and Utilization,” examined characterization, properties andutilization of soils in West Africa. The lecture outlined how to determine characteristic andproperties so as to infer improved utilization of the soil. Another lecture examined models forclimate change. About 23 of the models were studied.
Emphasis was on objective driven action in the choice of a model to explain a phenomenon.
Features of models that can improve their predictability were examined. The flow of water insaturated and unsaturated soils was extensively discussed. The lecture explained theconditions of the soil that will require irrigation and also when irrigation is not required. The
processes going on in the soil during water movement was extensively discussed. This is astrong instrument that the field workers need to maintain soil quality and soil health. It will tell
the farmer to drain or to irrigate considering the properties of the soil. The workshop
extensively educated us on the uses and importance of no tillage practices. One important way
of conserving the soils physical properties is sown in plate 1. The interactive sessions were sointeresting that it not only made the points clearer but also enlarged the participants' thinking
horizons. Plate 2 shows the first author making contribution during an interactive session at
the workshop.
Participants had opportunity to discuss their personal research challenges and how these
could be addressed. Malcolm (2005) also emphasized the relevance of training in building
human capacity for economic growth. Participants were given training materials like books
and leaflets for deeper understanding of the lectures given and for reference purposes.
Networking, access to information and linking research to policy were the critical issues.
Linkage of network of young researchers to policy making will enable youth involved inresearch and policy to achieve success. The sharing of information, exchange of addresses
including phone numbers and emails was used in building the network. Effective strategies tocreate viable and adequate linkages between the young researchers and policy makers include
provision and sustainability of a living network that is admitting, training and mentoring
young researchers. The target is to develop young researchers who will become good
professionals, thus professional bodies are integral parts of the linkage. Such professional
bodies include Abdus Salam International Centre for Theoretical Physics in Trieste, Italy; theNigerian Special Program on Agriculture and Food Security of FAO; the Soil Science Societyof Nigeria; and Ahmadu Bello University. Linkage to donor agencies such as the Penn State
University for PhD scholarship is helping the youth have access to funds and equipment toexecute sound research projects.
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Effects of the training
The program which was on standardization of methodologies to address research problems
in the subject area within the West African sub-region realized a remarkable agenda ofwidening the horizon of the participants in solving the developmental challenges in the areaof soil physical processes. Internal (within country) and external (between countries)
collaborations and partnerships were established among participants to further build and/or
nurture capacity building and promote the exchange of information on the subject matter.
The programme developed youth capacity to carry out research in soil and water management
amidst climate change scenarios. It also provided a platform for scientists in the sub-region tokeep abreast of development challenges and promote the exchange of information.
One other good thing in the workshop was the setting up of a network of scholars, scientists,and students interested in the science of soil physical processes in West Africa. This network
will offer participants the opportunity to keep exchanging their progress with each other andlearn about the on-going impact of the experiences of participants and other scholars
interested in soil physical processes in West Africa. A 'list serve' which is a collection of names,
phone Numbers and e-mail addresses have been in use to improve networking among
researchers. Participants of the workshop discussed promoting capacity-building workshopsof this type once every two to three years. Further, the development of a research proposal
was approved to cover funding for workshops in two to three West African countries.
Some of the trainees have shown that they benefited from the workshop by putting theknowledge to good use. For instance Ogunwole (2011) has made a publication with theknowledge of the workshop. Others have conducted research with the knowledge acquired
from the workshop. There is an on-going call to sponsor some of the participants for a Ph.D.
programme in soil physics by the Department of crop and Soil science in Penn State
University in America.
Certificate of completion was given to successful trainees to indicate that they have acquired
certain capacities to conduct credible research which will be acceptable to policy makers. The
workshop included introducing trainees to donor agencies so that the youth will know how tosource funds through research grants. To make youth research acceptable to policy makers,
there is need to communicate research information to relevant ministries and agencies. Thisshould include the problem, objectives, methods results and acknowledgment of funding
source if available.
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Lessons and Implications of the Workshop
The lessons derived from the workshop include an appreciation of the fact that soil andenvironment are resources whose conservation and proper usage will improve income, social
wellbeing and economic growth of the nation. The threat of climate change demands anunprecedented improvement in youth capacity to adapt and conduct research for
identification of viable policy actions. The youth and women are the major part of theworkforce that actually put to practice whatever policy that is developed from any research.
The need for their holistic involvement in all the processes of generating the policy is very
essential. The case of antismoking policies that were made from research and was not
implemented because of lack of public opinion is a serious issue. The Macaulay land use
research institute 2008 in their study which Addressed Deforestation in Tropical areas:
Greenhouse Gas Emissions, to contribute to development, evaluated the drivers ofdeforestation and got them involved in the policy making processes. This action will definitely
enhance the practice of these drivers of the problem. They will better appreciate the need tostop deforestation. Building the capacity of the youths does not only improve practice but
also empower them socially and politically.
The provision of good quality post-school skills training (both pre-employment and jobrelated) remains very limited among the youths and women. Many governments would like toestablish extensive networks of youth training institutions, but do not have the necessary
resources to do this. The collaboration of the different bodies that organized this workshop
solved the problem of harnessing resources. The cost sharing helped the participants toattend. Some of the viable participants would not have been able to attend this enrichingworkshop that went a long way in building capacity of the participants. The Belgium
Government had a similar problem in the area of the cost of carrying out a research on
immigration. They solved it by establishing an extensive quantitative and qualitative survey on
the position of immigrants and their offspring within all institutions and spheres of Belgiansociety (employment, education, housing, politics, etc.) and this ought to be carried out every
three to five years. Such a survey required substantial funding and should be managed by therelevant Belgian scientific funding bodies (FNRS, FWO, SPST).
Networking explained developing of social capital. The Nigerian Special Program on
Agriculture and Food Security of FAO has already communicated the discussions of theworkshop to the appropriate quarters. The Penn State Cooperative Extension, Departmentof Crop and Soil Sciences and the Pennsylvania State University have already availed theparticipants of the workshop scholarship opportunity for a PhD study in Soil Science based
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on established partnership in the network, existing between the researchers and the donor
bodies. The programme effects showed the need to continue this type of workshop to
encourage research and development. There is need to continue this type of capacity building
and evolve even more all-inclusive forums for all developing countries, especially Africa toensure rapid development from within.
Conclusion and Recommendations
With “so little done and so much to do” to promote environmental development in Africa.
One might expect that human capacity would be employed as productively and intensively as
possible at all times. The use of human capacity depends on the ability of private individuals
and firms to generate and sustain a surplus, and by the public sector, at a minimum, to avoid
activities that destroy value.
Effective Strategies for Linking Researcher to Policy Makers.
> An improvement in networking for capacity building is hereby recommended. Cost
sharing approach shall be adopted to make the training programme accessible to lessfinancially buoyant young researchers and feasible for organizers.
> An extension of the capacity building programme to all disciplines and regions in Africa.
We recommend that there will be a continuous research among the youths so that they can
inform policy confidently on issues concerning them and the environment.
Development of youth centres or youth park where young researcher will be coming together
to share ideas and carry out research is also recommended. This youth centre will be admitting
and training young researchers in different disciplines. The centre will have a coordinator who
will be reporting directly to the appropriate government ministry. By so doing the issues
concerning the youth will be effectively linked to the appropriate policy makers. The youth's
problems of how to let the policy makers know about their researches or proposals will besolved. The effective link between the youth and the policy makers would have been
established. The selection for capacity building will be easier with the establishment of acentre where the youth can easily be reached. Following the Canadian experience, they set up
three centres of excellence in the field of migration, one for each region of the country. These
centres would involve the scientific community, the political community and the stakeholders(third community). The aims would be to generate better communication among these threecommunities, and to allow each community to redirect its own Immigration research andpolicy. The exchange of information and data between the different communities should be
improved as part of a reinforced cooperation. For example, researchers ought to have easier
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access to national statistics data. This will be wonderful if employed in this case, as it is notgoing to allow monopoly which may generate wrong results.
Another recommendation is the establishment of capacity building partnership with regionalorganizations and similar regional networks to increase region-wide knowledge sharing,exchange of experiences and expertise on commonly shares priority issues identified by theworkshop participants. Also to support institutional anchorage of capacity building activities
in existing regional centres.
Support knowledge sharing and exchange of experiences between organizations with similar
mandates. A good example is through study visits. To achieve good results, the visits should bebased on clear terms of reference that identify possible learning areas and which experiences
are relevant.
There should also be an encouragement from the government by selecting the youth in theestablished centres for very important works in the government. This is because the use ofhuman capacity depends on the organization, incentive for enterprises to expand
employment and the net return from using different combinations of skills and competences.
And also, the general level of confidence within the private sector regarding the future
prospects for growth and development.
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Ogunwole Joshua O. 2011. International Perspectives, 'Workshop Addresses Soil PhysicalProcesses in West Africa'. CSA Newsletter official monthly Magazine of SSSA, ASA andCSSA.
Sausman, C., & Steel, J. (1997). The Contribution of Graduates to the Economy. Report No. 7of the National Committee of Inquiry into Higher Education. London: HMSO.
The Association of Graduate Recruiters. (1993). Roles for Graduates in the 21st Century.
Cambridge: AGR.
The Association of Graduate Recruiters. (1995). Skills for Graduates in the 21st Century.
Cambridge: AGR.
Wee, Vivienne and Heyzer, Noeleen, 1995, Gender, Poverty and Sustainable Development,
Engender, Singapore
THE MACAULAY LAND USE RESEARCH INSTITUTE, 2008. Reducing emissions
from deforestation and degradation through alternative landuses in rainforests of theTropics (REDD-ALERT). Funded under 7th FWP (Seventh Framework Programme)

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14. Bridging the Gap between Research,
Policy and Practice: A Model forReal-Time Strategic Response
to Change
Abel Niyibizi
Petro Systems Limited,
8 Pilkington Road, Suite 35,
Colline House, P.O. Box 53229,
Kampala, Uganda
Email: abenibizi@yahoo.com, petrosystemsuganda@gmail.com.
Abstract
The bulk of management time in organisations is devoted to coping with uncertainties induced by theenvironment. It is therefore imperative that change management becomes a necessary pre-occupation of all key
players in policy research. Surprisingly, a new kind of turbulence, arising from unaccustomed and unfamiliar
sources, notably foreign technologies, foreign competition, and governments, has lately made itself felt. Suchchanges pose critical threats and opportunities to the organisation as manifested by the prevailing global crises.
The speed with which such threats and opportunities develop has been increasing to a point where periodic
planning systems may no longer be capable of perceiving and responding to them fast enough before the threat
makes significant impact or the opportunity is missed. When a discontinuous change impacts on theorganisation, two costs are incurred: the cumulative loss of gains and the cost incurred in arresting or reversing
the loss. Management must therefore develop and implement models that minimise the sum of these two losses
by either restoring productivity or profitability of the affected units, or at worst, shutting down the operation that
supports them. There is therefore need for not only describing and illustrating surprising changes, but also for asystem that detects, analyses and responds to them on real-time basis. This paper, based on the existing global
events, experience of change management systems and existing literature, analyses descriptive models of thedifferent approaches used to practically respond to surprising changes. It underscores scenarios and causes fordelayed response based on thresholds notably rational triggers and analyses, discontinuous changes in terms of
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turbulence levels, and explains how periodic planning, strategic issue management systems and weak signal
analyses are applied to manage strategic change at different turbulence levels. The paper concludes by illustratingthat when threats/opportunities become too high for periodic planning, strong signal issue management should
be added and when this becomes too slow, it should be replaced by weak signal issue management. This approach
will among others, enable timely anticipation of new developments and provide response to problems arisingfrom any source: political, economic, social and technological.
Keywords: Changes, Reactive versus Decisive Management, Planned Management, Strategic Issue
Management Systems, Decision Options.
Introduction
The bulk of management time is devoted to coping with uncertainties induced by theenvironment, notable among which include competitors' moves, economic fluctuations,availability of raw materials and labour demand (Ansof and McDonnel, 1990). Ansof and
McDonnel further contend that most managers would attribute most of their time to
management of strategic change since time immemorial and that change management is the'raison d'etre' of managers. Lately however, a new kind of turbulence has increasingly madeitself felt and this seems to be emanating from unaccustomed and unfamiliar sources notably
from foreign technologies, from foreign competition or from governments (Ansof, 1980a;
Taylor, 1979).
The surprising changes have persistently posed major threats or availed novel opportunities toorganisations manifested in form of proliferating obsolescence in the organisation's
technology, as major loss of market share, drastic increase in the cost of doing business, achance to get a major jump on competitors or a ground floor entry into a new industry (Ansof
and McDonnel, 1990). Business analysis and experience make it apparent that the speed withwhich such discontinuous changes develop has increased to a point where periodic planningsystems may no longer be capable of perceiving and responding to these discontinuities fastenough before the threat has dealt a major blow to the business or the opportunity has been
completely missed.
This paper aims at analysing and reviewing descriptive models of the different methods of
responding to surprising or discontinuous changes and delves into the associated constraints
and pathways of implementing responses to surprising changes.

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The basic Models of Management of Strategic Change

T is the time since inception of the discontinuity/surprising change (which may be a threat oropportunity). TD is the rational trigger point. Td is the procrastination delay time. TR is the timerequired by the organisation to respond to the threat/opportunity. O is the expected
operating loss incurred up to when the discontinuity is successfully arrested. C is the
expected cost of responding to the discontinuity.

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When a discontinuity begins to affect an organisation, its impact typically remains hidden
within normal fluctuations in its performance. Therefore, unless the threat or opportunity has
been singled out by a special forecast, the initial response is to treat it by measures which had in
the past helped the organisation to correct periodic reversals: cost reduction, efficiency
improvement or sales aggressiveness. When these historically successful measures repeatedly
fail to work, it is evident that the organisation is confronted with a discontinuous change. The
time TD, referred to as the rational trigger point, is the point at which cumulative data showswith a high degree of confidence, that decline in performance will not be reversed and thatspecial counter measures are required. If for example, lost sales are irreplaceable, the solution
is to stop the product line and to eliminate costs which no longer generate income. With morepositive options available, new products can be developed using the capabilities and capacities
made idle by the threat (Ansof, 1980b; Ansof and McDonnel, 1990).
The extreme solution would be to divest from the obsolete part of the operation while
replacing the lost profit with totally new activities (Ansof and McDonnel, 1990). Preferably,
the threat need be converted to an opportunity by devising a response that not only replaces
but enhances profits and sales. A proactive firm can thus timely anticipate a shift to newenergy sources for example, and use this foresight to change to new energy sources ahead of
the competition while exploiting this initiative to increase its market share. But in reality, by thetime strategic response is triggered, the threat has become a reality and substantial loss, OD,
has been incurred.
In reactive management, common in large, established organisations that have enjoyed a long
history of success, the more presence of persuasive data frequently fails to trigger prompt
response. Historical cases of such organisations that refuse to recognize the 'writing on thewall' of the impact of novel technologies such as replacement of drawn glass with float glass,or change in consumer preferences such as the shift of American preference from the 'gas
guzzling monsters' to smaller, more fuel-efficient cars, or of major political realignment suchas failure to pay attention to a scenario that predicted the petroleum shock, depict a
phenomenon of reactive management.
In such cases, start of response is delayed past the rational trigger point, TD, by another period,Td (the lag). Ansof and McDonnel (1990) attributed the procrastination of response to either
all or any of the following factors:> A systems delay, due in part, to the time consumed in observing, collating andtransmitting to the responsible managers. It is also partly due to the time consumed by
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>

>

>

>

the managers in communicating with their peers to establish a common understanding
as well as the time necessary for processing the decisions among the responsible groups
and decision levels.
A verification delay, invoked due to laxity of managers to read the 'writing on the wall'.
They argue that even though the level of impact has reached unacceptable levels, there isnever an ironclad assurance that the threat is real and that the impact is permanent. They
thus opt to wait a little longer for the threat to 'blow itself out'.
A political delay occurs if certain managers, whose domain contributes to the crisis, feelthat recognition of a crisis will reflect on their reputation and/or cause them to lose
power. Thus, even if they are convinced that the threat is real, they will try to fight adelaying action in order to avoid becoming scapegoats and to buy more time to develop
a line of defence or to line up a line of retreat.
An unfamiliarity rejection delay, would contribute to the foregoing three factors if, as is
typically the case in Western managerial culture, the managers are trained to trust priorand familiar experiences and reject unfamiliar ones as improbable and invalid.
These delays postpone the response beyond the rational trigger point and substantially
increase the total cost to the organisation: O + C

Typically, neither the political resistance nor the unfamiliarity rejection is likely to be overly
advanced as the reason for the delay since both carry perjorative implications for theconcerned managers. Thus, a need for verification before a major organisational disruption istriggered off, is often advanced as justification for the delay (Ansof, 1980c; Ansof and
McDonnel, 1990).
Some organisations, typically small and led by young, aggressive management, without
engaging in environmental surveillance or forecasting, are quick enough to learn from thefailure of conventional responses and are efficiently fast at cutting losses. However, theresponse does not commence until after the threat has become a reality and the loss, OD, issubstantial. Once countermeasures are started, the loss is gradually brought to zero. This isnormally at the expense of extraordinary cost in divesting the plant, liquidating the inventoryof obsolete materials and parts, or reduction of the workforce, among other tactics. These
costs usually spill over and above the normal operational costs. Thus, while the threat is beingarrested during period, TR, the two streams of cost are accumulated losses from unprofitable
operations plus the cost of liquidating these operations. As soon as data shows thatcumulative loss of profit cannot be due to normal fluctuations, management triggers a
response to avert the discontinuous change. Thus, response is triggered at exactly the rational
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trigger point, TD. This management phenomenon is called decisive management. By the time
the threat is arrested, the firm has incurred a cumulative operating loss, O, measured by thearea under the upper curve, as well as the cost of arresting the threat, C, measured by the area
under the lower curve. Thus, total loss: LT = O + C
Both reactive and decisive responses are after-the-fact: the response is triggered after the
threat has inflicted tangible losses on the organisation. These managerial behaviours arecommon in organisations in which the internally available information is confined tohistorical events and historically-based management information systems (MIS) are used indecision making (Ansof, 1985).
For firms which engage in forecasting, anticipation of threats is expected to be matched by
anticipatory response. However, observation and recent studies of the response to the oilcrisis (Ghosh, 2000) show that many organisations that engage in forecasting still exhibit thesame procrastination behaviour as the reactive organisations mainly due to the nature of theforecasted information. The forecasts of economic conditions, sales, earnings and costs are
extrapolative since they project past performance patterns into the future. This makes early
impact of discontinuous departures from historical trends to remain hidden behind normal
statistical fluctuations induced by economic and competitive activities. Only when the impact
is large enough to stand out from the historical pattern does management become aware of
the discontinuities, at which time, the advantages of anticipation are already lost (Coch andFrench, 1966).
In organisations using non-extrapolative forecasting, structural economic forecasting or
scenarios which specifically address early identification of threats /opportunities (T/O)
posed by strategic discontinuity, information is provided before-the-fact anticipatory
responses and hence, response is completed before the threat can do any harm or when theopportunity is still prevailing. This is typical of proactive, experienced managers and is calledplanned management. It is however evident from the figure 3 that even when nonextrapolative forecasting is applied, the results are rarely heeded and procrastination may still
last until after the threat has become a painful reality. Example: recent studies of postpetroleum crisis, behaviour show that advanced presence of an OPEC scenario frequently
made no difference as the responses were still after-the-fact even though results of theforecast had been availed to management (Ansof and McDonnel, 1990).

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In planned management, the rational trigger point, TD, is also the forecasting horizon andthe organisation starts its response as soon as the forecast has unambiguously identified an
impending threat. However, as seen from figure 3, procrastination delay, Td, that is present inreactive management but is absent in decisive management, still resurfaces in planned
behaviour due to the same factors, but for different reasons (Ansof, 1980d). But unlike
reactive management which uses historical data from past performance, planned
management uses primary input data (Ansof, 1980a; 1980c; 1980d). The individual
forecasting experts are not under pressure from other activities and thus, report identified
threat/opportunity directly or through a small chain of command to the responsible
managers. There are however large delayed responses due to verification, political resistanceand unfamiliarity rejection (Ansof, 1985; Dutton, and Duncan, 1987; Dutton andOthensmeyer, 1983; Mitroff et al., 1987). The triggering information is conjectural and nolonger based on painful experience as is the case in reactive management, providing
justification for the natural delay tendencies. The verification process, instead of questioning
whether the observed results will persist, is now concerned with whether the T/O will occur
after all, and if it occurs, which course of action to follow. The defensive political tendenciesof threatened managers are augmented by the argument that it is imprudent and 'foolish' torespond to mere speculation about the future. The managers garner the support of theirpeers who, on psychological rather than political grounds, would refuse to take seriously, avague threat with unprecedented experience (Ansof and McDonnel, 1990)’
These delays deprive the merits of forecasting and the damage done depends on therelationship between the forecasting horizon, TD, the procrastination delay, Td and the
response time, TR.
> If Td is controlled such that sufficient time is left to implement the response before thethreat begins to impact, the optimal situation results. The response is timely and the only
cost to the firm is the cost of implementing the response. This is described by theequation: Td= TD-TR.
·
If response is triggered before the threat begins to impact but too late to complete theresponse before impact starts, the cost is higher: combining response and operating
losses. The relationship is: Td> TD-TR
If Td is excessive such that Td> TD, most of the advantages of forecasting are lost andthe response moves into either the reactive or decisive category> In some cases, TR> TD-and response cannot be completed before the threat begins to
impact even if the procrastination delay Td, is eliminated.
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Management must thus control within limits, all the three determining factors, TD, TR, and Td
to ensure low cost but effective response. The three phenomena are summarised in figures
1.4, 1.5 and 1.6.

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As seen in figures 1.4, 1.5 and 1.6, management has two sequencing decisions to make:> That in which the strategic and operating problems are addressed> That in which the specific measures are taken within each problem.
The reactive behaviour is doubly sequential: strategic responses do not commence until after
the operating options have been exhausted. Within each class of response, the specificmeasures are tried sequentially, one-at-a-time, and the behaviour is an experience-dependent
trial-and-error process.
Decisive management is sequential-parallel: operating-strategic problems are addressedsequentially. When it comes to specific measures, an analytic approach is used. Alternatives
are identified and compared and if necessary, several measures are implemented in parallel.
Planned management is a parallel-parallel approach: Responses and measures are selected
through comparisons and analysis and a number of parallel action programmes is initiated.
Table 1 gives a comparison of behaviours in confronting a strategic threat. All the threemanagement behaviours are observable in practice. The question is to determine the mode of
response that management should be advised to pursue. The answer is that the cost-effective
choice depends on the level of environmental turbulence. At stable, repetitive situations(turbulence level 1-2), reactive response is adequate since the speed of technology change is
low and strategic discontinuities are rare. At levels 2-3, strategic discontinuities are infrequent
but the speed of change makes a rapidly operating response. Decisive management isadequate here. At levels 3-5, strategic discontinuities are frequent and thus, both operating
and strategic responses must be made expeditiously and this calls for planned management.
Strategic Issue Management Systems (SIM) as Approaches to Management of
Discontinuous Change
A strategic issue is a forthcoming development either inside or outside the organisation, thatis likely to have significant impact on the organisation's ability to meet its objectives (Renfro,
1987; Schneider, 1985; Wartick and Rude, 1986; Weick, 1988; Nelson and Health, 1986;
Dutton and Duncan, 1987; Ansof and McDonnel, 1990). An issue may be welcome: anopportunity to be grasped in the environment or an internal strength to be exploited toenhance the competitive advantage of the organisation (Dutton et al., 1983; Ansof and
McDonnel, 1990). An issue can also be unwelcome: an external threat or an internal weakness
either of which imperils the continuing success or even survival of the organisation.
Frequently, external threats which signal significant discontinuities in the environment can be
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converted into opportunities by aggressive and entrepreneurial management (Wartick, 1988).
This has been one of the most prizing characteristics in the history of the US firms (Ansof
and McDonnel, 1990). Strategic issue management has lately been forwarded as one of theapproaches for management of discontinuous change in special cases that require nonroutine monitoring and review. The rationale for strategic issue management lies partly in thesize of the organisation and partly the speed of emergency of the discontinuity (T/O). Ansof
and McDonnel contend that:> Some organizations cannot afford or do not need the cumbersome paraphernalia ofannual strategic planning: for example, small and micro enterprises which cope withenvironmental turbulence but do not have the managerial capacity nor resources toengage in comprehensive strategic planning, represent the former case, while stableorganizations with clear strategic thrusts in the turbulent environment represent thelatter case
> A growing incidence of events emanating from unexpected sources and impacting
quickly on the organization, combining speed with novelty to make such issues to appear
too fast to permit timely perception and response within the annual planning system.
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There may also be some issues that occur between the planning cycles and which may
impact too quickly to be delayed until the next planning cycle. Other issues occur during
the planning cycle and may thus impact before the planning period is over.
With either or both of the foregoing scenarios, it is imperative that issue resolution isseparated from the annual planning cycle. One such approach for effecting this is theapplication of the strategic issue management system (SIM), which is a systematic procedure
for early identification of and fast response to surprising changes both within and external tothe organisation (Ansof, 1985; Wartick, 1988; Health and Associates, 1988).
Following are the tactics that can be used to effect early identification of strategic issues(Ansof and McDonnel, 1990):> Real-time and continuous identification of issues throughout the year with periodic (say,monthly) review and updating of a key issue list
> Continuous surveillance both inside and outside the organization for fast issues which
may arise in between the reviews and signaling a 'red light' to alert management of theneed for immediate action
The strategist also needs to employ some tactics for enhancing fast response to emerging
trends:> Engagement of senior management groups with adequate resources and authority toinitiate prompt action without unnecessary delay> Application of SIM in cross-cutting manner: assignment of individual issues directly tounits best equipped to deal with them, even if it means reaching several hierarchicallevels, and forming ad hoc projects of affected and expert individuals to handle thoseissues not specific to particular units. Resources can then be assigned to the ad hoc
projects which may report its results directly to senior management> Applying SIM as a management action system, not a planning system, by emphasizing
identification and resolution of issues in tandem
But how should responsibilities for the system be assigned? Who should be involved instrategic issue management?
Ansof and McDonnel (1990) suggest the following solutions to the foregoing questions:> There should be staff group concerned with trends detection, impact evaluation, timing
for the response and alerting of decision makers about sudden and important issues.
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This group is also responsible for maintaining a 'war room'- an up-to-date display of the
key issue list, their priorities and the project status. The staff group may also domonitoring of the progress of the various projects towards assigned goals
A general management group, which may be the same as the staff group in small andmicro enterprises, to assess the relative importance of the issues, selection of thestrategic issue list, deciding how respective issues should be treated and assigning
responsibilities for issue resolution
The workers, who may be either units or ad hoc projects with assigned responsibility for
respective issues

These groups may also act as planners and are responsible to top management. They may berequired to submit their action recommendations. The success of each responsible groupdepends on making these projects resolvers, not planners, of the issues. Otherwise, SIM may
degenerate into 'Paralysis by Analysis' (Ansof and McDonnel, 1990).
A Conceptual Model for Strategic Issue Analysis
It is important to control the project team, not only for their operating results, but also for
their success in clarification of the strategic implications. If general management fails to
exercise strategic control, experience shows that, once started, projects tend to acquire a life of
their own, and may continue even when it is obvious that their impact on the organisation will
not be significant. Therefore, it is imperative that a rational criterion of synthesizing strategic
issues should be applied to enable effective direction of effort and application of resources.
The decision criterion commonly applied for this is based on three possible sources of
information about impending issues: the trends in the external and internal environments, andtrends in organisational performance (Ansof and McDonnel, 1990). There is thus need to
identify all major future discontinuities or breakthroughs in technology. The Approach should
start with broad listing of issues, cross out irrelevant ones (that do not apply to theorganisation), and add new issues identified from the environment through environmental
scanning. This should be supplemented by internal trend analysis to identify internal trends
and events expected to have important impact on organisational performance. Consideration
should be given to organisational culture, management structures, systems and capacity toidentify positive and negative impact on efficiency and/or responsiveness to the environment(Ansof, 1985).
This is particularly important in fast growing SMEs that are likely to suffer from scalediseconomies. The identified issues are resolved in light of the organisational objectives with
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view to identification of objective gaps. The identified gaps are then diagnosed to determine
the causes which are commonly traced to inefficiencies in performance or strategy
ineffectiveness. Corrective measures are then programmed into annual plans.
Approach: SIM applies environmental scanning and internal analysis continually throughout
the year to ensure identification of sudden, fast and potentially surprising changes.
The next step is to assess potential future impact of the trends on the future performance ofthe organisation, usually by identifying the impact on the attainment of organisational
objectives.
You can assign on judgemental basis, a single impact number (say on a scale of -10 to +10) to
the impact of each trend or event using expert methods (e.g. The Delphi technique) as well as
the probability of and timing of impact strength. Negative impact indicates a range of
uncertainty in the evaluation or the expectation that the trend will be both beneficial inmeeting some objectives and harmful in depressing performance on other objectives.
The procedure for estimating urgency is based on the state of knowledge in table 1.3. A threepoint scale is useful for classification of urgency:> If the difference between the timing of the events and the response time is such that thefirm must respond immediately, the event is labelled urgent> If the response can be delayed until the next planning season, the event is labelled
delayable> If the response can be delayed indefinitely until better estimates of impact can be made,the event is labelled postponable.

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The three levels of urgency and issue assignment are illustrated in table 1.2 below:

Issues whose impact is + 3 or less are labelled minor and dropped from the list. The remaining
issues are categorized into three levels and action taken in form of key issues and prioritizationof resources for action done according to their urgency as shown in table 1.2 and figure 1.1.

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A somewhat more complex procedure called the cross-impact analysis can be added in orderto estimate the likelihood of simultaneous occurrence of several events/trends likely toimpact together on the organization and permit identification of probable future disaster
scenarios in which the firm may be severely damaged by a series of threats/weaknesses. Thisshould also estimate possible opportunity scenarios where the firm is likely to enjoy a series of
attractive opportunities/strengths.
Impact and cross-impact analyses respond to issues on the basis of their urgency and impact
on the organisation (Ansof, 1985; Schneider, 1985). A complementary method commonly
applied by American managers is the SWOT analysis and this matches external threats andopportunities to the internal strengths and weaknesses and is illustrated in table 1.3.

The summary SWOT analysis approach in table 1.3 shows that:> Opportunities which can be captured using the organization's relevant strengths should
be given high priority> Opportunities requiring capabilities which are weak in the organization are not pursued
since they do not enhance the organization's core competences> Threats which can be avoided using the organization's strengths are vigorously avoided> Capabilities which are too weak for response to serious threats are built up andconverted into strengths (Ansof and McDonnel, 1990).
SWOT analysis results into identification of decision on opportunities to be pursued, threats
to be encountered and organisational weaknesses to be avoided. However, this approach isbased on the assumption that historical strengths and weaknesses remain as such in the future.
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Thus, it is not applicable at high turbulence levels 4 and 5. A modified SWOT matrix is appliedat these levels and one such a matrix is the Eurequip matrix which has two components asshown in table 1.4 (a) and (b).

The first case of the Eurequip matrix has both strengths and weaknesses turning out to be
useful for the pursuit of future opportunities or minimizing the impact of threats. The entries
are the kinds of shift desirable in the priority, previously established by estimation of impact.
For example, when a historical strength of an organisation is applicable to the development ofan opportunity, two consequences follow:> The opportunity is likely to yield better than average positive impact> The strength will appear more attractive than it was before
The result is to increase the expectations and priorities assigned to the opportunities andstrengths. Interesting case shown on the lower left cell of matrix 2.4(a) is the possible
discovery that certain capabilities which had previously been regarded as weaknesses become
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strengths in the perspective of new T/O. These 'weaknesses' should thus not be eliminatedbut enhanced. For example, lack of tight controls, previously considered to inhibitorganisational efficiency, may become advantageous if new opportunities demand fastorganisational response and entrepreneurial risk-taking. The absence of a well-developed
financial control function, considered as a weakness in mass production, made it easy for
European firms to introduce more advanced forms of planning and control that are essential
in the turbulent post-industrial environment (Ansof, 1985). Table 2.4 (b) shows theconsequences of negative cross-impact. Historical strengths have become less attractive andso, threats must be taken more seriously than in the past as new opportunities lose appeal.
This necessitates the need for identification of new capabilities that must be developed tocope with new environmental challenges. The results of the Eurequip cross-impact analysis
are summarised in table 2.5.

Environment and Choice of System
Well-coordinated organisations or those which are too small to have coordination problems,with well-developed and promising strategic thrusts, may need only simple periodic planningsystems such as financial control or long-range planning (LRP). If the environments are
turbulent, then the organisation may use SIM. SIM is addressed to dealing with deviations
from thrusts which occur as a result of new opportunities/threats/weaknesses/strengths(Schneider, 1985; Ansof, 1985; Ansof and McDonnel, 1990).Periodic planning determines
the basic thrusts within an organisation and assures coherence and cooperation among
different parts of a complex organisation. When both future thrusts and turbulence present
problems, a comprehensive system such as strategic management is coupled with SIM toensure effective response. Such organisations cannot be limited to SIM without theaccompanying strategic planning since SIM would instead, create a false sense of security, as
for example, the sense of security that is created by patching holes in the hull of a leaking ship
which is about to explode (Ansof and McDonnel, 1990).

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Table 2.6 provides guidelines in choosing an appropriate response system.

SIM is apparently an easy, lightweight system to introduce and manage, with minimum
apparent 'make work' observed in periodic planning systems. It also addressed pressing issues
and is compatible with other systems and organisational structures. It is responsive to change
and does not have many of the bureaucratizing self-perpetuating tendencies of periodic
systems However, introduction and institutionalization of SIM is not easy. Ansof and
McDonnel (1990) argue that SIM is difficult to implement due to:> Refusal of top management to submit itself to the discipline of SIM> The mentality problem: refusal by top management to accept new and unfamiliar issues
as relevant to the business of the organization
So, how then can SIM be introduced and institutionalized in an organisation?
A comprehensive 'sales campaign' must be carried out by the 'converted' subgroup to solicit
buy-in of other managers. Other promising courses of action include careful education andinvolvement in confrontational management. In extreme cases where new realities require atransformation of mentality of key managers, the services of an external consultant may besought to facilitate the introduction of SIM.
Strategic issue management enhances the timeliness of the firm's response by:> Real-time detection and resolution of surprising changes> Responding in real time without waiting for the annual planning exercise> Using a cross-organizational task force approach to expedite issue resolution
However, as the speed of surprising changes increases, predictability drops.
Thus by the time information about the change becomes sufficient, enough to permit a wellconsidered response, the remaining time may be inadequate to complete the response before
the threat strikes or the opportunity is missed. There is thus an apparent paradox: waiting until
the information is adequate for a decisive response may lead to crises; accepting vague
information may not give specific analysis and well considered resolution to the issue. Thus,
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determine what progressive steps in planning and action are feasible as strategic information
becomes available in course of the evolution of a T/O.
Early in the life of a threat when the information is vague and its future course unclear, thesystem is correspondingly unfocused and aims at increasing the flexibility of the firm. As theinformation becomes precise, so will the response, eventually terminating into a direct attackon the T/O. But prior build-up of flexibility will make this attack occur earlier and better
planned and executed. This is the phenomenon of graduated approach through amplification
and response to weak signals.
Management of Surprising Changes: Application of the Weak Signal Approach
The next goal of this paper is to construct a practical method using such graduated responseby first exploring the range of weak signals that can be typically expected from a strategic
discontinuity. This requires strategic thinking and creativity with an aptitude for keeping the'ears on the ground'.
State of knowledge and Detection of Weak Signals

There are five states of knowledge as illustrated in box 3.1. Level 5 is the highest state ofknowledge while level 1 is the lowest. At level 5, exact information necessary for strategicplanning is available. Here, enough is known to compute both probable profit impact of the
discontinuity and the profit impact of the response. At the other extreme (level 1), is the
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highest state of ignorance that can be of any use to strategic management. All that is known
here is that some threat/opportunity will undoubtedly arise, but their shape, nature andsources are not yet known.
Having experienced shocks of change in the recent past, managers are convinced that new
shocks are coming but they cannot identify the source at this level. As the state of knowledge
increases to higher levels, matters are gradually improved in terms of precise decisions to take,the timing of the discontinuity and the anticipated profit impact. This analysis is illustrated inbox 3.1.

When the remaining time at level 5 is sufficient for a calculated response, this is a strong signal
problem. When the time at level 5 is insufficient for a calculated response, this is a weak signal
problem. With weak signal approach, instead of making a definite commitment to a course ofaction, management must choose actions which prepare the organisation for the ultimate
response while at the same time, keeping his options open.
Conversion to weak signals approach requires individuals responsible for identifying issues tobegin to listen with their 'ears close to the ground' for early warning of T/O. For example, inthe environment of the 1990's, potential surprise sources included explosive tension in the
middle east, instability of the global military 'balance of error', chronic unemployment,
relations between the 'have' (developed) and 'have not' (developing) nations, andStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 185

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consequences of limited growth. On the industry-wise basis, weak signals of the 1990's were
the future of banks as financial institutions, impact of CAD/CAM revolution on theautomobile industry and that of microprocessor technology on the electronics industry.
Detection of weak signals requires sensitivity and expertise (Ansof, 1985). This necessitates'casting wide' the detection net, and involvement of numerous people in addition to thecorporate staff charged with issue management. One source of weak signal detectors is thesocio-political/economic/technological experts outside the organisation. These are advisorygroups used to provide weak signal inputs on a systematic basis. Other sources of detectors
includes managers and workers in the interface functions (marketing, purchasing, legal PR's,
R & D) while a source of internal weak signals includes staff individuals with broad contacts
inside the organisation, notably, personnel and management developers, organisational andstrategic planners (Renfro, 1987; Wartick, 1988;Ansof and McDonnel, 1990).
Ansof and McDonnel provide a methodology for estimating impact and following are its
highlights:> Recognise the state of knowledge about a trend or event and provide some latitude inaccuracy of the estimates. Apply judgemental or expert opinion techniques, e.g. theDelphi technique, at lower states of knowledge. At higher knowledge states, apply
quantitative forecasting and modelling techniques.
Table 9 illustrates a format for estimating impact using a simple case of a four-SBA firm andone important signal per SBA.
Each trend is placed in a column according to the present state of knowledge and further
described along three dimensions:> Whether it is a threat or an opportunity> The time remaining (from high probable to low probable - a 2o range)> The range of impact on the profits presently derived from the SBA (from high probableto low probable).
In each box, the responses are: (i) identify as T/O, (ii) Time of probable impact, (iii) Fractionof profit affected.

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The range of timing and profit impact estimates becomes wider as the state of knowledge
decreases (level of ignorance increases). Thus, the impact on SBA2, which is 10-15 years off,
may turn either into a threat or an opportunity, but it is clear that the impact is likely to be very
serious. The profit estimate of SBA3 can be estimated within a narrow range of both accuracy
and impact. Management responses are categorized into weak and strong. These include
responses that change the organisation's relationship with the environment and those thatchange the capability of the organisation. For each group, there are three progressively
stronger strategies: one that enhances the organisation's awareness and understanding, onethat increases the organisation's flexibility and one that directly attacks the threat or exploits
the opportunity as illustrated in table 3.3.

The strongest external strategy mounts a direct attack counteraction against identified T/O
by selecting the type of counteraction, preparing programmes and budgets, and budget
implementation. Thus the threat is averted or opportunity is enhanced for potential future
profit.
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The degree of environmental awareness is provided through economic forecasting, sales
forecasting, and competitive behaviour analysis. All these are extrapolative and based onsmooth extension of the past into the future, hence provide no information about strategic
discontinuities, hence, the need for other strategic forecasting measures notably
environmental monitoring, technological forecasting, socio-political forecasting and T/Oanalysis (Ansof, 1985).
External direct strategic action must be supported by the development of appropriate
internal readiness. Flexibility strategies are internal: involving configuring resources andcapabilities of the organisation to permit quick and efficient repositioning of new products
and markets and flexibility of managers including psychological readiness, environmental
awareness and ability to resolve unfamiliar issues. It also encompasses the creativity ofmanagers and flexible response to change. External awareness involves diversification of theorganisations in the environment in a way that that positions it to exploit major opportunities
arising in turbulent SBAs and minimises the impact of catastrophic reversals which may
occur in an SBA. The latter requires level 5 information input. At states lower than 2, there isneed to balance technological, political, business and geographical risk planning andimplementation and this can be achieved by the application of special-purpose capitalintensive investments (Ansof and McDonnel, 1990).

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The shaded areas represent areas of feasible response. The partly shaded boxes mean that
only some of the particular type of measures becomes feasible at the particular state ofknowledge. All of the internal flexibility, all of the environmental awareness and a substantial
part of the external flexibility can be put in place before the threat becomes clear and definite.
Thus, electronic component manufacturers could have attained high state of readiness forcoping with the transistor before it was invented (Ansof and McDonnel, 1990). For direct
response, it is necessary to have a good idea of the T/O that is proposed to be attacked but thisalso requires a sufficiently clear idea of the origin and shape of the threat is adequate to launch
substantial percentage of internal readiness measures, including acquisition of necessary
technological production, marketing skills, new product development and development of
supply sources.
Direct external action need not, and practically does not, await information that makes
possible reliable cash and profit calculations. This differentiates entrepreneurial risk takers
from cautious followers. Adventurous firms typically launch their entry into a new industry atlevel 4, before the technology, market and competition are well enough defined to permit suchcalculations. More conservative firms will prefer to wait on the side-lines until the 'ball game' isbetter defined.
Figure 3.1 further illustrates the dynamics of response, and provides underpinning for theforegoing discussion.

The vertical scale shows the time needed for the organisation to complete the response after
eliminating or stabilizing operating losses or making viable the identified opportunity. The
horizontal scale limits the states from which the organisation may launch its response. Fromthe curve, it can be deduced that the better prepared the firm at start, the less time needed tocomplete the response. The upper curve traces the normal response in which the T/O isStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 189

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treated routinely by existing processes, structures, systems and procedures. The lower solid
curve, the ad hoc crash response, shows the time savings that can be effected when everything
possible is done to speed up the response: normal rules and procedures are suspended, otherpriorities are pushed into the background, organisational lines are crossed, activities are
duplicated and overtime is incurred.
Preplanned crisis response is effected to lower response time further: investment in a training
programme in crisis management is worthwhile in the same way a fire-fighting organisation
invests in capability to fight unexpected type of fires (Ansof and McDonnel, 1990). The
envelope of response times defined by the three curves differs from organisation toorganisation and from one discontinuity to another and will depend on size, complexity, andrigidity of organisational structures as well as the nature of the T/O ((Weick, 1988). Other
factors affecting the size of the response time envelope include size of the discontinuity andthe degree of unfamiliarity, both of which affect the response effort (Ansof and McDonnel,1990).
Next, there is need for diagnosing preparedness to elucidate the level of effort expended in
effecting the response for each SBA and this is illustrated in table 3.5.

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Five or six response strategies are feasible in this advanced stage (single, clearly visible T/O,
concrete stage, SBA1). This is recorded as feasible (F) or infeasible (I). Next we diagnose thestate of readiness in each of the feasible strategies. Let 100 % represent the maximum that canbe done to respond to the T/O in the current state of knowledge (ignorance). The entry is an
estimate of the current readiness in each of the categories. The roughly 15 % of selfawareness suggests that while the threat is concrete enough, the organisation has done
relatively little to determine the usefulness of its own capability for dealing with the threat.
This might have been the case for example, in the vacuum tube firms which, having learnt
about the existence of the transistor made no effort to analyse the applicability of its
technology and organisation to the emerging transistor industry. On the other hand, theorganisation appears to be well advanced in understanding the market potential, competition
and future of the transistor. The low rating of internal flexibility is due to the organisation's
dependence on highly specialized resources/capabilities. The low rating of the external
flexibility is due to overdependence of the firm's profits on the single technology (e.g. thevacuum tube) with low adaptability to emerging and novel technologies.
Next, we estimate the time required to carry the state of response to 100% for each
preparedness category. Both normal and crash times are estimated using expert judgement.
The overall time of 4-8 years means the expected range of divesting from the technology (e.g.
vacuum tube) or making a successful entry into the novel one (the transistor) or narrowing thescope to a market that will make the prevailing technology (vacuum tube) more profitable(focus).
Finally, we estimate the cost-effectiveness of the total response as a fraction of the percentageof the profits contributed by the SBA. Thus, a crash programme will cost 4 times the current
contributed profit and to prevent loss of 0.15-0.40 of this profit annually, the organisationneeds to amortise itself in 10 to 27 years. The cost-effectiveness is low implying the threat
should be written off and allowed to run its course. The normal response costing 1.0 is much
more cost-effective since the amortisation period is only 2.5 to 7 years. The decision to
respond should not be based on the response cost alone, or on the amount of profit / loss orgain at stake, but on the return on the cost incurred (Ansof and McDonnel, 1990). The simple
payback period can be used to measure this return but with better data, more accurate
methods like internal rate of return, net present value or risk-adjusted discount rate, should be
used. The selection of the counteraction in the range between normal and crash responses
cannot be made independently of the timing of the T/O. A comparison must be made using
the opportunity/vulnerability analysis shown in figure 3.2.
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The respective shaded rectangles enclose regions of probable impact on the respective SBAs.
Rectangles below the horizontal axis spell potential losses in profitability due to the threats,
those above spell potential gains offered by the opportunities. The height of the rectangle
spans the probable range of gain or loss while the base spans the probable times when theimpact of the discontinuity reaches critical levels. The diagnosis is based on the T/O analysis.
The horizontal dotted lines obtained from the readiness diagnosis spans the time of probablecompletion of successful response. Thus normal response for SBA3 would be late but theorganisation can assure itself of capturing the opportunity through a crash programme.
SBA2 is safe: normal response will capture the T/O provided the organisation continues tothe development of the contingency (Ansof, 1985). SBA1 is in trouble since even a crash
response may be late. SBA1 and SBA4 are expected to reach critical impact at the same time
but because of the longer response time needed, SBA1 must be handled on an all-out crisis
response basis while moderately urgent response suffices for SBA4. Only BSA2 seems to callfor no immediate aggressive action. But the potential impact is so great that a vigorous
monitoring programme should be spotlighted on trend development.
Strong signal management divides issues into four categories: no action, continue monitoring,
delayable, and immediate action through priority projects (urgent) (Ansof and McDonnel,1990).
Weak signal management adds the strategic learning or gradual commitment option underwhich the firm responds step-by-step as the issue progresses to higher states of knowledge.
Thus, if the potential impact has been estimated as major, then the next question is whether
the signal is strong or weak. In both cases, the next step is to evaluate the urgency. Delayable
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and postponable issues lead to the same action priorities for both strong and weak signals.
However, when the issue is urgent, strong signal issues trigger a priority project while the weaksignal issues must be treated through a gradual commitment project.

The times period required to complete response in the respective modes are normal responsetime (T) and issue management response time (T1). Choice of response depends on the speedwith which a particular T/O develops in the environment (Ansof and McDonnel, 1990).

In figure 3.4, the vertical scale is the state of information available about a T/O while thehorizontal scale is the time which elapses since state 1 awareness has been reached about a
T/O. T/O's develop at different speeds with D being the fastest and A the slowest. A arrives atlevel 5 state of knowledge and permits a normal response, thus, there is no need for an issue
management system and the T/O can be handled by periodic planning and implementation
systems. In B, the T/O arrives at level 5 too late to permit the use of periodic planningsystems. The response will thus only be timely if strong signal issue management is used. C
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applicable. Normal response would be started between knowledge levels 1 and 2 and issue
response at 3.5. Thus, weak signal detection must be used. D is a T/O which is an unavoidable
surprise; because even issue response would have to be started before the sense of theimpending T/Os (level 1) is perceivable in the environment.
If d is the time remaining at level 5 to full impact (level 6) and F is the time from inception of
T/O to full impact, then, if:
T < d use only periodic planning;
T > d and T1 < d use strong signal issue management;
T1 > d < F use weak signal issue management;
T1 > d use crisis management;
How Resistance to Strategic Change is managed
Behavioural Resistance Management
Let DC and DP be the cultural and political disturbances implied by the change and let DC +DPT be the time over which the change is introduced, then behavioural resistance,
Rbehaviourial a + DC + DP (Ansof and McDonnel, 1990)
DT
Behavioural resistance includes resistance by individual managers and resistance by groups ofmanagers.
Individuals will resist strategic change when it makes them insecure under the following
conditions:> When a manager is uncertain about the implications of the change> When a manager is called upon to take risks which are uncongenial to him/her> When s/he feels incompetent to perform in the new role defined by the change> When he feels he will lose face with his/he peers> When he is incapable and/or unwilling to learn new skills and behaviours (the difficultyof teaching new tricks to an 'old guard'
Individual resistance to strategic response to change arises from the threat of their position of
power:> The manager expects his/her share in organizational rewards to be reduced as a result of
the change
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S/he feels his/the change will diminish his/her position of influence in organizational
decisions
S/he feels the change will diminish his/he control over organizational resources
S/he feels the change will diminish his/her personal prestige

All these reactions are because of the different behaviours of managers: some are personallyinsecure, some are prone to anxiety, some are proud, others less so. Some actively seek power
and prestige while others are indifferent to the trappings of power. Some managers are bornleaders and always want to influence policy decisions, some are content to follow, and someare set in their ways while others are open to change and are thus eager learners. Therefore,
managers' behavioural resistance to change depends on their personality strengths andpersonal flexibility. Resistance will depend on the strength of the managers' convictions, their
preparedness for self-defence, power drive and predisposition to learn and change.
Group resistance arises from both individual perceptions of members and:> Their commonality of behaviour about change> Establishment of norms and values that reward certain behaviours and punish others ,for example, orientation towards novelty in organizational values> Development of consensus in information pertinent to their common tasks and thosewhich are irrelevant , for example, the irrelevance of social and political phenomena inbusiness organizations> Allegiance to the common culture and values of the group, which necessitates the group
to jointly defend these against encroachment of influence of other culturesThus, groups:> Coalesce and act as power centres within the rest of the organization> Seek to accommodate power and influence> Defend their power positions
Group resistance against change depends on:> The extent to which the change threatens the power of the group> The extent to which the change violates accepted values and norms> Whether the change is based on information that is considered irrelevant by the group> If the change is based on a model of reality that differs from that held valid by the group

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There is thus need for moderating political resistance in proportion to:> Perceived nearness of a survival crisis> Level of negative loyalty that individuals and groups have for the organization
The strategic change managers should therefore: avert the change to positive support inproportion to:> The degree of performance improvement promised by the change, and> The level of positive loyalty within the organization.
The level of resistance to change is determined by:> The degree of discontinuity in the historical culture and power structure implied by thechange> The length of period over which the change is introduced> The threats/insecurities/loss of prestige/loss of power implied by key individuals> The expected contribution by the change to the success/survival of the organization> The strength of positive/negative loyalty towards the organization felt by theparticipants> The strengths of the cultural and power drivers at the respective power centres.
A model for strategic response to effectively manage behavioural resistance to change has
been suggested by a number of behavioural managers (e.g. Ansof, 1980a; Ansof and
McDonnel, 1990; Coch and French, 1966) and following is a summary of the sequence thatcan be followed to realize effective management of behavioural resistance to change:
Step one: Build a launching platform in order to minimize start-up resistance, marshal apower base adequate to give momentum and continuity to the change, prepare a detailed planfor the change process by assigning responsibilities, resources, steps and interactions throughwhich to implement the change and designing into the plan, the behavioural features which
will optimize acceptance and support for the new strategies and capabilities
Step two: Diagnosing the nature of the change by deciding whether the change is singularand won't recur in the future or whether it is one in a series which will recur and represent anenvironmental shift to a new turbulence level. The change management should also
determine the available time for effective response to the discontinuity and the extent of needof change in capability for the new strategy and the organizational units likely to be affectedby the change
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Step three: Diagnose behaviours to determine the extent of political/cultural disturbancelikely to occur in the affected units, the key individuals expected to support/resist the change
and the reasons for their positions, the anticipated support/resistance by culturally/politicallycoherent groups and the relative importance of the individuals/groups to the success of thechangeStep four: Build a supportive climate by eliminating misconceptions and exaggeration
through clarification of the need for the change and the associated beneficial consequences
towards organizational performance. The manager should also drive out fear and anxiety byclarifying to individuals and groups the positive/negative impact of the change on them andhe/she should also use the political information from the foregoing mapping to build a prochange power base as follows:> To the extent possible within available time, make changes in the power structure toincrease the power behind the change> Form coalitions of the beneficiaries to the change and seek to enlist would-be'lukewarm' supporters> Offer rewards for the support of change> Neutralize key points of potential resistance through side bargains, payments and for
extremities, purging of managers
The manager should also endeavour to design behavioural features in the plan for change by:> Excluding from the process individuals and groups that will continue to resist thechange> Including into decision-making, all individuals who will be involved in theimplementation of the change and making them responsible for the corresponding
decisions> Spreading the change over the longest possible time compatible with the urgency of theexternal T/O> Use the contagion approach if possible by starting with committed groups, rewarding
and recognizing these groups and then spreading to other units after initial success> Not assuming managers have the knowledge and skills for solving novel issues, thus,building into plan the necessary education and training programmes to produce
effective solutions and relieve fear and anxiety to enhance acceptance.

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Managing Systemic Resistance
Ansof and McDonnel (1990) assert that systemic resistance to change occurs when operating
and strategic activities within the firm compete for organizational capacity whereby
operations work tends to pre-empt strategic work. Ansof (1980b), Ansof (1985), Ansof &McDonnel (1990) and Taylor (1979) suggest the following framework for management ofsystemic resistance to change:> Provide a dedicated capacity for the change process by budgeting for it, assigning
specific shares of individuals' time and programming capacity build-up> Integrating management development programmes into the change process preferably
by preceding the change with a training course. Also the change manager should divide
the change into distinct steps or modules and preface each module with a training
experience.
> As far as possible, use the sequence:
Behavioural development -------> Systemic build-up-------> Strategic action

Sketch the duration of change to the longest possible period which will ensure effective andtimely response to the environmental T/O.
Alternative Approaches of Managing Discontinuous Change
Ansof (1980c), Ansof and McDonnel (1990) and Buchanan (1974) provide four alternative
approaches of managing discontinuous change, namely:> Coercive change management,> Adaptive change management'> Crisis management, and> Managed resistance ('Accordion') method.
Coercive Change Management
This method follows a resistance-induction sequence and uses power to overcome resistance(Ansof and McDonnel, 1990). From the structure and procedural applications of thisapproach to change management, the following pitfalls are prevalent:> Failure to muster the amount of power necessary to assure the completion which may
result into frustration of the change> Failure to anticipate sources and strengths of behavioural resistance which results into
unanticipated confusion, costs and delays> Failure to attack root causes when resistance surfaces, resulting into 'paralysis by analysis'
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Premature removal of the political support behind the change, resulting into regressionof the change> Failure to follow up implementation instructions issued to resisting units/individuals,
resulting into sabotage of the change> Failure to recognize the need for new competence and capacity, resulting into
suppression of the change in favour of operating concerns, low quality of strategic
decisions and ineffective implementation.
Ansof and McDonnel (1990) provide the following approaches to managing thesepitfalls:> Performing behavioural diagnosis before launching the change in order to identify
potential sources of cultural and political resistance/support> Building the necessary political platform for change and mustering enough power
behind it to assure successful completion> Monitoring the process during implementation, for imminent signs of resistance anddealing with them before they erupt into actual resistance> Turning attention to capability/capacity after implementation, and continuing to apply
power until the new strategy and capability match.
Adaptive Change Management
This approach arises from 'organic adaptation', which is unmanaged from the top and usuallyoccurs in response to successive adaptation through trial and error (Ansof, 1980c; Ansof and
McDonnel, 1990). This approach tends to resolve conflicts in power and resistance throughcompromises, bargains and power shifts (Taylor, 1979). The introduction of the strategicchange is effected through a series of incremental steps spread over time and is called
Adaptive Change Management. The approach is slow but has the virtue of minimizing thelevel of resistance at any given time (Ansof and McDonnel, 1990). It is applicable when little
power is availed to the proponent of strategic change.
Crisis Management
When a change appears to imperil the firm's survival and places the firm under severe timepressures, the firm is said to be confronted by a crisis (Mitroff et al., 1987; Crane, 1987;
Beaudoin, 1988; Weick, 1988; Ansof and McDonnel, 1990). Here, behavioural resistance isreplaced by individual and group support as they all work together to ensure the firm gets outof the crisis as soon as possible. The approach by strategic managers under the foregoing
circumstances is to act brilliantly enough to prevent panic and generate a rapid and effective
response. As the firm emerges from the crisis, management must anticipate and counteract
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premature revival of resistance which usually accompanies early signs of recovery (Ansof
and McDonnel, 1990). Thus, managers who are foresighted enough to perceive early signs ofa crisis must:> Make a determined effort to convince others of the crisis and launch an anticipatory
response> Resign themselves to the inevitability of the crisis and prepare to play the saviour role
when crisis strikes. They must also trigger off an early artificial crisis and demonstrate
the prevention of an external enemy who threatens the survival of the organization.
This tactic is common in political leadership
The above tactics are expected to drastically reduce resistance, engender support of thesolution and enhance the chance of successful recovery from the crisis.
Managed Resistance ('Accordion') Method
This is intermediate between the coercive and adaptive approaches to strategic change
management (Ansof, 1985; Ansof and McDonnel, 1990). It is more radical than the adaptive
method as it employs reasonable power but not to the same extent as in coercive change
management.
It thus oscillates between the adaptive (no power) and the coercive approach (extreme power)
and tends to the former when the urgency of response is low and to the latter when urgencyof response is high. Ansof and McDonnel called this the 'Accordion approach due to thehigh level of flexibility or stretchability involved. This approach is useful under the following
conditions:> There is moderate urgency in the discontinuity: There is more time than necessary forcoercive methods, but not enough time for adaptive methods. Thus, as urgency
increases, it tends to the coercive extreme and as urgency decreases, it tends to theadaptive extreme.
> It uses the modular approaches: the planning process is subdivided into modules or
steps and at the end of each module, change implementation projects are launched. It isthus a graduated approach and applies systematic methods on a step-by-step basis toenhance effective implementation of the strategic response to change.
> It uses parallel planning and implementation: the implementation process commences
as soon as a particular stage of the response planning is accomplished but does not wait
until the planning process is completed, as with other approaches which apply sequential
methods

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It has high prospects of controlling and minimizing resistance by building a launching
platform, using the change motivating sequence with each module, developing
implementability during the planning process and controlling resistance during thechange implementation process.
The 'accordion' approach thus tailors or customizes the firm's response to the external timing
imperatives and internal power realities (Buchanan, 1974; Ansof and McDonnel, 1990),
However, it is more complex than either of the extreme approaches. It also requires
implementers to be the planners due to the parallel nature of planning and implementationand this enhances acceptance. However, external assistance may be sought from consultantsin order to supply analysis tools, train managers, help monitor the process, and play the 'devil's
advocate' (Ansof and McDonnel, 1990). Table 4.1 provides a comparison of the four
approaches.

Choice of strategic change management method> Choice of strategic change management method Use strategic posture analysis todetermine the gap between the organization's management capability and the capability
needed to introduce and support the change> Taking into account the speed of development of the change and probable competitive
dynamics, estimate the time to impact, ti, for a timely response. For example, if thechange is an opportunity, then ti depends on whether the firm is a market leader orfollower> Make power and resistance diagnoses to determine the maximum power base, Pmax andthe minimum resistance, Rmin, to be overcome after platform building.
> Estimate the time, tc, needed for response. Estimate the time, ta, needed for adaptive
response.
> Compare the power base, Pmax, to the minimum resistance, Rmin, and decide whether
the available power is sufficient to push the change through the firm using the adaptive
method.
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Bridging the Gap between Research, Policy and Practice:
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Abel Niyibizi>>>

If the power is insufficient and failure to introduce change will trigger a crisis, one ormore preparatory approaches for crisis management should be taken
If the power is insufficient but the change is likely not to trigger a crisis, continuebuilding support until it reaches the minimum necessary level to assure pushing thechange through the organization
If Pmax is adequate, estimate the urgency from the model:
Urgency: a>1ti - tc

Choose the response strategies according to the following decision rules:(a) If ti > ta use the adaptive method(b) If ta > tc use the accordion or managed resistance method(c) ti @ tc use the coercive method(d) ta < tc prepare for a crisis

Conclusions
The paper has illustrated that when threats/opportunities become too high for periodic
planning, strong signal issue management should be added and when this becomes too slow, it
should be replaced by weak signal issue management. This approach will among others,
enable timely anticipation of new developments and provide response to problems arisingfrom any source: political, economic, social and technological.
The paper has also underscored the levels of aggressiveness needed to pursue timely responseto strategic change. It has emphasized that in the pursuit for responses to strategic change,
there are two kinds of resistances which must be overcome: behavioural and systemic
resistance. Behavioural resistance arises from individual mind-set due to fear of theunanticipated impact of the change on the power and security of individual territories in theorganization as well as group dynamics. Systemic resistance arises mainly due to conflict inallocating organizational resources and capabilities towards strategic and operational
activities. Operational allocations usually take precedence mainly due to familiarity of the
expected monetary gains from their pursuit using past experience and this is likely to deprive
strategic budgets. Management of resistance to strategic change requires a rational approachfor managing the internal power politics and cultural orientations as well as optimal
rationalization of resources between operational and strategic activities. This depends on the
management style (for example, coercive response for example, may be the preferred option
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Abel Niyibizi

by authoritarians), level of uncertainty and urgency of response. The risk propensity of the
manager will also have an influence on the kind of approach preferred, thus, entrepreneurial
orientation for timely exploitation of emerging breakthroughs.
References
Ansof, H.I. 1980a. 'Managing the process of discontinuous change. Part 1: Behaviouralresistance', EIASM Working Paper 80-26 July.
Ansof, H.I. 1980b. 'Managing the process of discontinuous change. Part 2: Systemic
resistance', EIASM Working Paper 80-36 Sept.
Ansof, H.I. 1980c. 'Managing the process of discontinuous change. Part 3: Alternative
approaches', EIASM Working Paper 80-37 Oct.
Ansof, H.I. 1980d. 'Managing the process of discontinuous change. Part 4: The learning
action approach', EIASM Working Paper 80-38 Oct.
Ansof, H.I. 1985. 'Conceptual Underpinnings of Systematic Strategic Management',
European Journal of Operational Research (Netherlands), Vol. 19(1)Ansof, H.I. and McDonnel, E.J. 1990. Implanting Strategic Management. Prentice Hall
EuropeBeaudoin, T. 1988. 'Planning for the worst: crisis planning', Management Review, Vol. 77(8)Crane, T.Y. 1987. 'How to prevent a crisis', New Management, Vol. 5(1)Buchanan, B. 1974. 'Building organizational commitment: the socialization of managers inworking organisations', Administrative Science Quarterly, Dec.
Coch, L. and French, J.R.P. 1966. 'Overcoming resistance to change', in Proshanski, H. andSeidenberg, B. (eds), Basic Studies in Social Psychology, New York: Free Press
Dutton, J.E. and Duncan, R.B. 1987. 'The creation of momentum for change through theprocess of strategic issue diagnosis', Strategic Management Journal, Vol. 8
Dutton, J.E .and Othensmeyer, E.1987. 'Strategic issue management systems: forms,
functions and contexts', Academy of Management Review, Vol. 12(2)Ghosh, P.K. 2000. Strategic Planning and Management. Sultan Chand and Sons of new Delhi
Health, R.L. and Associates. 1988. Strategic Issue Management. San Francisco: Jossey-Boss
Mitroff, I.I., Shrivastava, P. and Udwadia, F.E. 1987. 'Effective Crisis Management', Academyof Management Executive, Vol. 1(4)Nelson, R.A. and Health, R.L. 1986. 'A System Model for Corporate Issues Management',
Public Relations Quarterly, Vol. 31(3)Renfro, W.L. 1987. 'Issue management: the revolving corporate role', Futures, Vol. 19(5)Schneider, B.L. 1985. 'Issue Management- it counts', United States Banker (NE Regional
edition), Vol. 96(6)Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 203

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A Model for Real-Time Strategic Response to Change
Abel Niyibizi

Wartick, S.L. 1988. 'How issue management contributes to corporate performance', Business
Forum, Vol. 13(2)Wartick, S.L. and Rude, R.E. 1986. 'Issue management: corporate function?' California
Management Review, Vol. 29(1)Weick, K.E. 1988. 'Enacted sense-making in crisis situations', Journal of management
Studies, Vol. 25(4).
Taylor, D.E. 1979. 'Strategic Planning as an Organisational Change Process: Some Guidelines
from Practice', Long Range Planning, Oct.

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15. ICT-Enabled SMEs:
The Case of Kenya
Prof. Atieno Ndede-Amadi1 and Prof. Michael Ogembo Kachieng'a2
1
Associate Professor of Information Technology
Department of Management Science and Technology, andAssociate Dean / Head of School of Business and Management Studies
Kenya Polytechnic University College in Nairobi, Kenya
2
Professor of Engineering and Finance, and
Deputy Principal in charge of Research, Innovation, and Entrepreneurship
Kenya Polytechnic University College in Nairobi, Kenya
Abstract
It has long been acknowledged in the literature that Information and Communication Technologies (ICTs) playa strategic role in the growth and competitiveness of Small & Medium Enterprises (SMEs). The integrationof ICTs in business processes and infrastructure development has catalysed production processes and enhanced
efficiencies in service delivery and customer care. At a macro level, many studies have demonstrated theimportance of ICTs in facilitating both business growth and economic development. Moreover, SMEs havebecome key sources of employment and wealth creation in many countries including developing ones. In Kenya,
ICTs have been found to play a major role in the growth and development of SMEs including in their transition
from small to medium to large enterprises. This study has attempted to examine ICT-related and otherchallenges facing the MSE fraternity in Kenya and at their potential solutions. The study has concluded thatthe challenges facing SMEs are many, but that they can be adequately addressed by a policy and regulatory
framework that focuses on improving the business environment as it relates to access to technology, finance,
education, and growth and development support. Business incubation is posited as a possible intervention
mechanism that can help address the entire spectrum of the SME business environment challenges. Businessincubation, like any other method of intervention, however, can only be effective in the face of enabling policies
and regulations. Brazil is discussed as a case study of a country where research has informed policy that has inturn informed practice with tangible successful results.
Keywords: ICT, SME, technology, incubation, financing, support
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ICT–Enabled SMEs: The Case of Kenya
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Introduction
In many developing countries, SMEs account for a significant share of economic productionand employment and are therefore directly associated with poverty eradication and wealthcreation. In today's global economy, the importance of technology, especially ICTs, as a
strategic resource for competitiveness and productivity in business is no longer an issue fordebate. This is also true of the SME sector. ICT is acknowledged to play an important role in
the growth of SMEs by providing foundations for the evolution of operations that catapult
them from micro, to small, to medium, to large enterprises and by contributing directly to
profitability. But whether SMEs are able to optimize their utilization of ICTs remains an issue
for debate. This is an important debate in light of the value addition of ICTs to the SME.
There are a great number of models, standards, and techniques existing in the ICT arena
which mostly confuse SMEs, who are frequently faced with the challenges of getting the mostout of their technology platforms in the face of not only limited resources but also of limitedaccess to knowledge and implementation skills.
The basic questions are whether the use of ICTs (as a production technology, as an
information processing technology, and as an information and communication technology)
can help SMEs cope with challenges in their environments and whether SMEs are using ICTs
optimally. Challenges in the SME environment are many, and include the globalization of
production and the shift in the importance of the various determinants of competitivenesssuch as speed to market, service delivery, customer care, and economies of scale, all of which
can be seen as business processes poised for facilitation by ICTs. ICT as a production
technology will, for example, enhance the productive capacity of the SME. As aninformation processing technology, ICT will enhance both service delivery and customer
care. As an information and communication technology, ICTs will enhance not only theinternal operations of the SME but also its market reach and efficiency. ICTs are at the coreof the demand and supply chains of many SMEs. For some, ICT is an enabling tool while forothers it may be at the core of their very business. Even for those whose core business it is,however, it still remains an enabling tool. According to a study by Matambalya and Wolf
(2001), a complex system of factors encompassing environmental, technical, and human playa role in the successful deployment of ICTs for the growth of SMEs. Both inside and outsideof core ICT products and services, there is need for a methodological approach to supporting
SMEs in order to facilitate management of their ICT infrastructures and services. The
current study looks at some contravening factors, discusses their possible effects on thegrowth of SMEs, and proposes some possible solutions.

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Impact of ICT on SMEs
Through the rapid spread of ICTs and the ever decreasing costs of communication, markets
in different parts of the world have become more integrated. The benefits of integrated
markets include removal of transactions costs, opening up of competition, and improved
security of supply. These allow SMEs to participate in platforms and to compete in andsupply to markets that were otherwise out of their reach. In Kenya, there has been a growing
concern about the impact of technological change on the work of SMEs since the mid-1990s.
For example, it has been observed that many SMEs are unaware of new technologies and thatfor those that are aware the technologies are not locally available, not affordable, or not suited
to local conditions. Outpaced and under-resourced, these SMEs are not able to keep up withtechnological changes that are due to obsolete technology, thereby impairing their ability togrow sustainably. Then there is the issue of the digital divide between rural and urban Kenya.
With no power supply in much of rural Kenya, it is next to impossible to have Internet
connectivity and access to information and networks, components of ICTs that are core to
their operations and key to their success (Wanjohi and Mugure (2008). In a sample survey of
300 SMEs in Kenya and Tanzania, Matambalya and Wolf (2001) found that SMEs are an
important factor in the growth and development of the two East African economies of Kenya
and Tanzania, especially with respect to employment creation. The authors were able to showthat computer applications are considered by 88% of users to considerably increase
management efficiency, by 76% of users to considerably increase competitiveness, and thatthose enterprises that use different forms of ICT rate their effects mostly positively. Mobile
phones were found to contribute significantly to regional market expansion by most SMEs,
followed by fixed phones and faxes. For all economic sectors in both Kenya and Tanzania, theaverage size of enterprises was found to be generally bigger for users of more advanced ICTs.
The average years of schooling also seemed to increase with the use of advanced ICTs with
only small differences between sectors. With respect to exports, the association with ICT was
positive and similar for all sectors. The use of fax machines that gives managers access toformal information had a significant positive relationship with productivity in both countries.
Challenges faced by SMEs
In spite of its substantial contribution to economic growth and development, the SME sector
in Kenya still faces many challenges that affect its growth, expansion, and ability to feed into
sustainable socio-economic development. A study by Wanjohi (2010) noted that some of thechallenges facing SMEs in Kenya include lack of managerial training and experience,
inadequate education and skills, lack of credit, poor national policy and regulatoryenvironment, technological change, poor infrastructure, and scanty market information.
Many SME owner managers lack managerial training and experience. As an example, theStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 207

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typical owner manager develops his own approach to management through a process of trial
and error. As a result, his management style is likely to be more intuitive than analytical, moreconcerned with day-to-day operations than with long-term issues, and more opportunistic
than strategic in its approach. These assertions are supported by an earlier study by Hill
(1987) which concluded that although this SME approach is the key strength at the start-up
stage of the enterprise because it provides the necessary creativity, it often presents problems
when complex decisions have to be made. As a consequence, SME owner managers are ill
prepared for changes in the business environment as well as in technology. These findings aresupported by the King and McGrath (2002) study which concluded that a majority of SME
owner managers are not well equipped to carry out managerial routines for their enterprises.
Lack of access to credit has been indicated almost universally as a key problem for SMEs.
According to Wanjohi (2010), lack of access to credit affects technology choices by limiting
the number of alternatives that can be considered by an SME. As a result, many SMEs may
use inappropriate technology because it is the only one they can afford.
Even where credit is available, however, the entrepreneur may lack freedom of choicebecause the lending conditions may force the purchase of heavy, immovable equipment thatcan serve as collateral for the loan as opposed to what is really needed by the entrepreneur. In
some cases, under developed capital markets may force entrepreneurs to either rely on selffinancing or borrow from friends or relatives, all of which lack long-term sustainability.
Wanjohi and Mugure (2008) found that lack of access to long-term credit often forces SMEs
to rely on short term finance with high costs of credit, and with high bank charges and fees.
Poor infrastructure poses a major challenge to SMEs and infringe upon their ability to
produce and deliver goods and services. These include poor road and rail systems, inadequate
power and water supply, and inadequate internet connectivity. According to proceedings of
the National Investment Conference (November 2003), Kenya still stands in need of better
infrastructure. Today, Kenya's infrastructural issues remain largely unresolved.
Available market information is scanty at best. Lack of market information poses a greatchallenge to SMEs. Despite the vast amount of trade-related information available online andthe possibility of accessing national and international databases, many Kenyan SMEs
continue to rely heavily on private or even physical contacts for market related information.
According to Muteti (2005), this is due to two primary factors: inability to interpret statistical
data and poor connectivity, especially in rural areas.

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The Ngahu (2000) study argues that although it is possible to develop policies designed to
improve the circumstances of SMEs, it may be more feasible to support the development oftechnologies compatible with the SMEs' circumstances. For example, SMEs are said to facethe "liability of smallness". Because of their size and resource limitations, they are unable todevelop new technologies or to make vital changes in existing ones. This notwithstanding,however, there is still evidence that SMEs have the potential to initiate minor technologicalinnovations to suit their circumstances. For SMEs to fully develop and use this potential, theyneed specific policy measures that ensure that technology services and infrastructure areprovided. Further, research and development institutions that are publicly funded should be
encouraged to target the technology needs of SMEs. The study recommends that policies
should aim to encourage and promote development of local technologies, with emphasis on
promotion of the local tool industry to reduce reliance on imports.
National Policy and Regulatory Environment
The legal and economic framework in which enterprises operate is crucial to theirperformance. In the literature on enterprise development, it has often been argued that thelegal frameworks of many countries serve as barriers against enterprise development. Kingand McGrath (2002) have argued, for example, that in many cases across Africa, the reductionof open hostility has been more important for SMEs than any positive programme ofengagement from the state. Policy should promote the development of technologies
appropriate for SMEs and encourage development of assistance programmes to facilitate
SMEs' access to resources, information, training, and technology. National policy and theregulatory environment have been found to have an important impact on technology
decisions at the enterprise level (USAID, 1991), thereby affecting the business environment.
The business environment is among key factors that affect the growth of SMEs. Wanjohi and
Mugure (2008) found that unpredictable government policies coupled with 'grandcorruption,' and high taxation rates, continue to pose great threats, not just to thesustainability of SMEs but to the Kenyan economy at large.
According to Karanja (2010), a survey of 2,035 SMEs in early 2010 by Strategic Public
Relations and Research showed that 58% of Kenyan SMEs feel that the business, social, andpolitical environment does not favor SME growth and is only adequate for basic survival.
Specific challenges reported by these SMEs include highly priced inputs, high cost of doing
business, stiff competition from larger companies, and unavailability of credit. Lack of
information on where to access professional and financial services was also reported as amajor impediment to growth. Asked whether bigger businesses should come to their aid,
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the form of provision of start-up friendly loans to SMEs as well as access to credit facilities
and training. Membership in and representation by national level organizations was also
found to be a major factor in the SMEs' inability to grow and prosper. The survey noted that
SMEs were too poorly organized to effectively push for their agenda to be addressed at thenational level. The survey report indicated that 75% of SMEs were not represented by any
national body through a membership or association group. Political instability also emergedin the survey as a major deterrent to growth of the SME sector. It was observed that manybusinesses had to shut down completely following the post-election violence of 2007-2008,
while others were still struggling to remain afloat. Sixty percent (60%) of those surveyed said
they feared a reoccurrence of the post-election violence in 2012. Twenty seven percent(27%) expressed concerns that the government did not seem to be doing enough to preventthe repeat of a similar outcome.
According to Wanjohi (2010), because SMEs have the potential to transform the economy ofa crippling nation, every effort should be made to bolster their growth and development. In
that study, the author attempted to develop a list of solutions for Kenya's SME: For one,policies should aim to encourage and promote the development of local technologies.
Secondly, the problem of access to information may be attributed to the inadequacy of SME
support institutions, which points to the need for a supportive policy environment toencourage the establishment of documentation centres and information networks to provide
information to SMEs at affordable costs. Thirdly, the government should come up withtraining centres for training managerial and technical courses for the SME entrepreneurs.
There should also be available business information centres. Fourthly, government shouldcome up with proper regulatory policies that are SME friendly since much of what is alreadyavailable tend to frustrate the effort of a new entrepreneur. The author asserts that policies
already in place tend to cater more for the well-established business than for SMEs. Since alarge majority of SMEs lack finance, governments should establish SMEs friendly financing
institutions and loaning systems that include low interests rates to ensure the continuity ofthese businesses.
Kenya's ICT SME Landscape
There is sufficient evidence to demonstrate that ICTs, in its many forms, have made major
impact in the growth and development of SMEs. According to an article in the CIO
magazine by Wanjiku (October 6, 2008), technology companies won accolades at theinaugural awards for Kenya's top 100 SMEs, showing a shift in emphasis away from thecountry's traditional agricultural and manufacturing sectors. Cellulant Kenya, a mobile
technology firm, won top honours as the best-run company, followed by Techbiz, a software
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development company, and Dimension Data, an ICT infrastructure solutions provider. That
article pointed out that according to available statistics, SMEs provide over 80% of Kenya's
jobs and over 75% of the country's wealth, showing a slow but sure change from thepreviously recognized trend where the country's main economic drivers were agriculturerelated companies.
A study by Wanjohi (2011) looked at the main opportunities open for the growth of SMEs in
Kenya and found that with the advent of ICTs, Kenya is slowly and steadily embracing ICTs asis evident in the major cities and towns by the rate at which cyber cafés and other ICT
businesses are springing up. Even then, the ICT sector as an economic industry ranks only
third at 44% behind construction at 61% and services at 46%, according to a survey by
KPMG Kenya (Juma, 2010).
According to a Business Daily article by Kinyanjui (July 20, 2009), an annual SME survey by
KPMG determined that ICT SMEs have had the highest rate of graduation from SME tocorporate status of all other sectors combined by passing the Sh1 Billion revenues threshold,pushing them out of the SME league. The reported survey ranked Kenya's SMEs with aturnover of between Sh70 Million and Sh1 Billion based on profitability, liquidity, return on
equity and level of indebtedness, among other performance indicators. In 2009 the four
SMEs that braved the turbulent economic environment after the political skirmishes to makeit to the Top 100 roll of honour and to enter Kenya's top corporate league were Dimension
Data, Cellulant, Jetlink and InterConsumer. Kenya's telecommunications sector growth had
been particularly robust and had aided the graduation of Dimension Data and Cellulant, both
ICT SMEs, to the top league.
The other two companies, InterConsumer and Jetlink, are in the fast-moving consumer goods
and transport sectors respectively. Dimension Data had launched its operations in Kenya
three years prior, with acquisition by a South African firm of the majority stake in ICL Kenya,and had grown its revenues by a margin of 8.1% to stand at Sh1.95 Billion. Moreover, the
KPMG survey report stated explicitly that the list of companies that passed the Sh1 Billion
mark consisted mainly of players in the ICT sector, pointing to their robustness despite thesteep decline in economic activity that saw economic growth plummet from 7.1% in 2007 to
1.5% in 2008. The study pointed out further that graduation of SMEs in the ICT sector into
the top corporate league despite the hostile economic environment was in line with findingsof the year's Economic Survey, which indicated that ICT was among the few facets of the
Kenyan economy that recorded significant growth in 2008.

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SME Support Mechanisms – Business Incubation
In many more competitive economies than Kenya, business incubation is often listed among
tools that have been used successfully in creating new entrepreneurs and new businesses bydramatically reducing the high early stage failure rate of small businesses. Businessincubation programs help develop new entrepreneurs through support mechanisms thatenable them to start and grow businesses to become sustainable. Business incubators withinsuch programs serve as places where entrepreneurs receive value-added support and access tocritical tools, information, education, contacts, capital, and other resources that mayotherwise be unaffordable, inaccessible, or unknown to the supported entrepreneurs but thatare able to fill gaps that have been identified in SME support needs. These gaps include
managerial and other education and skills development trainings, lobbying for better national
policy and regulatory environment, technological capacity building, infrastructure such as
shared facilities, market information, capacity building in entrepreneurship, businesscounselling, bookkeeping, back office support services, better linkages between the academic
community and industry, between SMEs and large corporations, and between local SMEs andforeign companies such as multinationals, credit and increased innovative approaches to SME
finance, and better and quicker commercialization of innovations. Well-structured businessincubators are known to provide links to industry, support services that enhance and develop
the business, technological advice, technical assistance, intellectual property protection,
financial resources for research and development (R&D), initial marketing expenses, access topotential private investors and strategic partners, and upgrades in skills and techniques.
Business incubators target small entrepreneurs that want to grow, new graduates from tertiary
institutions with entrepreneurial ambitions, and anyone else who would like to develop ideas,
products, and services to full commercialization. Business incubation research shows thatindependent (non-incubated) new and start-up businesses have a survival rate of less than
50% five years on, while incubated new and start-up businesses have a survival rate of greaterthan 87% five years on. Although there is what is ideal for a business incubation program,different business incubators offer different support services to their clientele in line witheach one's interests and capacity, often determined by its own sources of support. According
to research by the National Business Incubation Association (NBIA), a large majority ofbusiness incubators (about 80%) are government funded while the remaining 20% are either
privately or development agency funded.
Business Incubation in Kenya
In Kenya, there have been several business incubation initiatives with different levels of
success. The majority of Kenyan business incubators are privately owned and operated.
These include the Kenya Kountry Business Incubator (KeKoBI), and the IFC's Small
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Business Support Centre Business Incubator. There are several fully government supported
initiatives, which include the Kenya Industrial Estate (KIE), the Kenya Industrial Researchand Development Institute (KIRDI) Business Incubator, and the Export Processing Zone
Authority (EPZA) Business Incubator. The primary challenge of these business incubation
initiatives is lack of a regulatory framework. The Business Incubation Association of Kenya(BIAK) is a business incubator membership organization with the primary focus of building
the capacity of business incubators in the country.
Discussions
There is no doubt that ICTs have contributed positively to SME growth, not only in Kenya,but throughout the globe, and that the growth of SMEs has had positive contributions toeconomic development. In Kenya, however, the business environment has been hostile to
SME growth due to a number of factors including a poor policy and regulatory environment,poor financial systems, technological challenges, and lack of development support services –which include education and training. With regard to development support services, forexample, the King and McGrath (2002) study maintains that SME owner managers with moreeducation and training are more likely to be successful than their counterparts with lesseducation and training. A study by Wanjohi and Mugure (2008) supports this assertion bydemonstrating that owner managers of most SMEs in the ICT sector tend to take advantageof the many sprouting commercial colleges offering various computer applications, attaining
at least college level education, and appear to be doing much better than their counterparts inother sectors, as a result. With regard to technological challenges, a study by Ngahu (2000)
found that SMEs are incapable of sourcing, evaluating, and adapting technologies effectively
independently and so government policies should aim to develop these capabilities in SMEs
through supportive institutions. With regard to finance, Wanjohi and Mugure (2008) foundthat the combined need for finance and the lack of access to SME friendly lending has led to
the rise of Pyramid Schemes that promise hope for SMEs seeking alternatives. Pyramid
schemes have been found to be detrimental to the success of SMEs.
Research, Policy, and Practice:
Research plays a pivotal role in informing policy, which in turn plays a pivotal role in
information practice. Where there is no research, policy is often missing, and practice fails asa result. Take the case of business incubation in Kenya, for example. The Kenya Industrial
Estates (KIE) was established in 1967 by the Kenya Government as a business incubator
initiative. Forty-five years later, there is no success story of business incubation as an initiativein Kenya in spite of its pivotal role in sustainable economic development. The single mostsignificant reason for failure of business incubation programmes in Kenya can be attributed
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to absence of policy directions on the same. If there had been a business incubation policy in
1967, KIE would probably have become a major business incubation success story instead of
the real-estate management agency that it is today, and the Kenya Industrial Research
Development Institute (KIRDI) would today be a success story in both ICT and
Biotechnology business incubation. In the case of Kenya, as it relates to business incubation,
we can say that there has been no research to inform policy, and therefore there has been nopolicy to inform practice, and so practice has failed – 45 years on.
The Case of Brazil
We want to show, using the case study of Brazil) that:
1) Strong business incubation programmes can lead to speedier sustainable economic
development; and that
2) Research in business incubation leads to greater success in business incubation
programmes.
For this purpose, we have developed the following hypotheses:
Hypothesis#1: There is a strong positive association between a strong business incubation
programme and sustainable economic development in a country (however measured)
Hypothesis#2: The large failure rate of incubation programmes in Kenya has a strong andnegative association with research in the subject matter.
The government of Brazil clearly made SME support, especially business incubation, apriority with the launch of the National Programme for Incubators and Technology Parks(PNI) (2005), a regulatory framework for business development and innovation. In light ofthe policy framework, government, university, industry and incubator associations andnetworks work in concert to achieve common goals thus ensuring good coordination of
initiatives launched to support development of the business environment within the SME
sector. To facilitate the process of new business creation, the Brazilian legislature passed
several laws, such as FACIL (The Easy One), which simplifies laws to open and register abusiness and SIMPLES (The Simple One) – a single tax rate for small business to reduce thetax burden on small businesses under the Statute of Micro and Small Enterprises (SEBRAE,
2007). The launch in 2005 of PNI was a policy watershed indicating a major change ininnovation policy. The subsequent passing of the Positive Law modified and simplified
regulatory frameworks and fiscal incentives. For example, with this law, a 160% tax
exemption on research, development, and innovation (RD&I) expenditures was granted.
The law also added and amended legislation that allowed the creation of complementarymechanisms to implement some of the main provisions of the Innovation Law. A new
214 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in AfricaICT–Enabled SMEs: The Case of Kenya
Prof. Atieno Ndede-Amadi and Prof. Michael Ogembo Kachieng'a

Innovation Law passed in 2005 legalized the act of a researcher at a federal university setting
up a company in his/her name. The most innovative element of the law is the possibility ofusing money from the government to support companies. Under the law, Financing Agency
for Projects and Studies (FINEP), a government agency, is authorized to provide federal
grants to companies for specific research. These research grants, probably the mostinnovative aspect of the law, aim to foster innovation. SEBRAE (Servico Brasileiro de Apoioa Micro e Pequenas Empresas) is a small business development stakeholder forum which
utilizes a network of over 4,000 employees and 9,000 consultants, is associated with 400
incubators, technology and innovation centres, financial institutions, and many otherenterprise support organizations. In collaboration with stakeholders from all the three sectorsof government, university, and the private sector, SEBRAE has developed a range oftechnology support‖ tools, products and services for small businesses. The survival rate of
new technology-based firms in Brazil is well above 90% over a five-year period (which is alsosignificant in terms of savings from the cost of failed businesses). By 2009, Brazil was able toattribute part of its GDP growth to the higher survival rate of small businesses – especially inthe technology sector.
Conclusions
Studies on ICT's support to business have shown that strategic investments in ICTs canenhance growth, profitability, and competitiveness and that the role ICT has played in SME
growth and development has been major. This study has reviewed the strategic utilization of
ICTs in the SME sector in Kenya. The goal was to identify ICT utilization trends in the SME
sector and how it has influenced business growth and competiveness. In spite of the relative
success of ICT SMEs, the study has observed that inadequate financing of SMEs in Kenya
has curtailed ICT's leverage in business development. Attempts by SMEs to seek alternative
financing instruments have largely failed due to lack of supportive regulations in the financial
markets. In general, financial institutions are reluctant to provide financing at the infancy
stages of a business, with most of them waiting to finance SME at growth stage, when the
future is more predictable. The study has also observed that financing institutions are
reluctant to finance technology start-ups, probably because technology does not provide forgood collateral. But the SME sector needs a more responsive and more supportive financial
environment than this. Among the challenges facing SMEs is lack of growth anddevelopment support services. For example, business owners have been found to haveinadequate ICT skills and access and, therefore, fail to take leverage from their technologicalinvestments. Business incubation has been identified in this study as an intervention
mechanism that can help alleviate much of the ailments in the SME sector. In Kenya thepolicy and regulatory environment regarding SMEs has been found to be either structurally
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ICT–Enabled SMEs: The Case of Kenya
Prof. Atieno Ndede-Amadi and Prof. Michael Ogembo Kachieng'a

weak or non-supportive. A robust supportive environment made possible by adequate
business incubation policy frameworks is necessary.
Recommendations
There will be no policy guidelines where research has not been done. Following this logic, it
can be argued that part of the reason for lack of a policy framework for the SME sector in
Kenya, is lack of research in that area. Since research generally comes from universities, it isimportant for universities to be in tune with and responsive to matters that affect economic
development and to focus their research in those areas, such as the plight of SMEs. Businessincubation is a very expensive proposition and no one individual or organization can do italone successfully – necessitating strong partnerships between several stakeholders. It
succeeds when several stakeholders come together to pull resources for the support of new
and start-up companies – as Brazil has done with some level of success. In addition toresearch, universities generally provide space (real-estate) for business incubation.
References
Matambalya, Francis and Wolf, Susanna, The Role of ICT for the Performance of SMEs, inEast Africa - Empirical Evidence from Kenya and Tanzania (2001)
Karanja, Michael (March 24, 2010), Kenyan SMEs Frustrated. Capital Business: Businessand Politics in East Africa,
http://www.capitalfm.co.ke/business/Kenyabusiness/Kenyan-SMEs-frustrated.html(Accessed May 23, 2011)
Africa Report Team, Entrepreneurship Skills for Creative SMEs in Kenya - The Strathmore
University Enterprise and Development Centre (SEDC) train SMEs in the creative
industry how to merge artistic talent with entrepreneurship skills, September 27, 2010
http://www.africareport.com/business-news/2010/09/27/entrepreneurship-skillsfor-creative-smes-in-kenya/ (Accessed May 20, 2011)
Kinyanjui, Kui, SMEs join corporate Kenya's top league, allAfrica.com, July 20, 2009http://www.businessdailyafrica.com/Company%20Industry/-/539550/626464//u8ydhyz/-/index.html. Accessed 23rd May 2011
Wa n j o h i , A n t h o n y M . ( 2 0 1 0 ) , C h a l l e n g e s Fa c i n g S M E s i n K e n y a ,http://www.buzzle.com/articles/challenges-facing-smes-in-kenya.html
Hill, T. (1987). Small business production/operations management. Macmillan Education
Ltd.
King, K. and McGrath, S. (2002). Globalization, Enterprise and Knowledge. Symposium,
Oxford.

216 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in AfricaICT–Enabled SMEs: The Case of Kenya
Prof. Atieno Ndede-Amadi and Prof. Michael Ogembo Kachieng'a

Wanjohi, A. M. and Mugure, A. (2008), Factors affecting the growth of MSEs in rural areasof Kenya: A case of ICT firms in Kiserian Township, Kajiado District of Kenya,referenced by Wanjohi (2010), http://www.buzzle.com/articles/challenges-facingsmes-in-kenya.html
Muteti, J. (2005). SME Lecture Notes. Nairobi: The Catholic University of Eastern Africa(CUEA), referenced by Wanjohi (2010) http://www.buzzle.com/articles/challengesfacing-smes-in-kenya.html
USAID (1991). Gender and Adjustment. Mayatech Corp., referenced by Wanjohi (2010),
http://www.buzzle.com/articles/challenges-facing-smes-in-kenya.html
Waithaka, Wanjiru May 17, 2011), Kenya: Firm's Funding Solutions Offer Local SMEs Hope,
http://allafrica.com/stories/201105170766.html
Juma, Victor. Kenyan SMEs tap cross border trade for growth, Business Daily, October 8,2010.
http://www.businessdailyafrica.com/Corporate/News/Kenyan/SMEs/tap/cross/border/trade/for/growth/-/539550/1028240/-/94sj6yz/-/index.html (Accessed May
18, 2011)
Wanjohi, Antony (with Njoroge, Gachoya E.) (January 13, 2011), SMEs Opportunities for
Growth: A Kenyan Context http://www.buzzle.com/articles/smes-opportunities-forgrowth-a-kenyan-context.html (Accessed 23rd May 2011)
Wanjiku, Rebecca. CIO, October 06, 2008
http://www.cio.com/article/452988/Technology_Companies_Honored_As_Kenya_
8217_S_Top_100_SMEs (Accessed 23rd May 2011)
Nair, Ajar and Kloeppinger-Todd, Renate (2007), Reaching Rural Areas with Financial
Services: Lessons from Financial Cooperatives in Brazil, Burkina Faso, Kenya, and Sri
Lanka, http://papers.ssrn.com/sol3/papers.cfm?abstract_id=990790(Accessed May 24, 2011

Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 217

16. Critical Actors and their Roles inScience, Technology and Innovation:
Matching Expectations with Reality in
Ghana
Adelaide A. Asante1 and Dr George Owusu Essgbey2
1
Research Officer, Science Technology and Innovation Directorate,
Ministry of Environment, Science and Technology
2
Director, CSIR-STEPRI
Abstract
In its quest to formulate and implement a Science, Technology and Innovation policy, Ghana has realized theneed to strengthen linkages between the scientists/researchers and policymakers on one hand and practitionerson the other hand. These critical players' roles and functions are important in developing and harnessing STI in
Ghana. However, the linkage between the various actors of STI in Ghana is weak. One reason for this weaklinkage is the one-way communication that exists between the actors which does not leave room for feedback andconsultations. The result in an output that rarely satisfies the needs or requirements of the stakeholders
involved. Nonetheless, the status of Ghana's development in STI is steadily developing and progressing. Thereis also a need to develop strong partnerships between the government and scientists; as well as between
policymakers and R&D institutions. Emphasis should also be put on effective communication amongst thecritical actors as well as finding a suitable communication mode to transmit policies and regulations topractitioners and R&D institutions and vice versa. In all, the commitment of critical actors in performing theirroles effectively will provide a framework within which to consider research collaboration, teaming for capacity
building, joint research, technology transfer, funding and investment priorities among R&D institutions aswell as in partnerships with industry.
Introduction
In recent times, Ghana has embarked on a journey of formulating and implementing a
Science, Technology and Innovation policy which stresses on revitalizing the country by
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Critical Actors and their Roles in Science, Technology and Innovation:
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Adelaide A. Asante and Dr George Owusu Essgbey

linking all critical actors as the primary productive force, thereby bringing their roles into fullplay to enhance productivity, increase competitiveness and develop the economy of thecountry. The quest for economic development is a true vision of the nation as clearly spelt out
in several national development plans since independence in 1957. The vision which fuelled
the passion for science-led development considerably waned after the fall of the firstnationalist government of Dr. Kwame Nkrumah in 1966 (MEST, 2010). From the Innovation
Systems perspective, there are critical actors in the development and application of Science,
Technology and Innovation (STI), whose roles and functions are very crucial in achieving
goals and objectives outlined in national development plans. The effective performance ofthe roles determines the state of the national STI. This paper discusses the roles of the criticalactors in Ghana's national innovation system assessing the relevance of roles in the country's
current development context, the nature and strength of linkages among the critical actors
and the options for enhancement.
The paper specifically analyses the linkages between the scientists/ researchers and policy
makers on one hand and practitioners on the other hand, taking into account the peculiar
functions of these critical actors and the implication of effectiveness for national
development. Indeed the latest development blueprint of Ghana – the Ghana Shared Growthand Development Agenda (GSGDA) – states that the national development objectives will be
pursued on the wheels of STI. There is the National Science, Technology and Innovation
Policy document which also elaborates extensively on the connection between the broad
national development aspirations, the sectoral goals and objectives and STI applications. All
these define for the nation the expectations for STI development and applications. The
expectations also extend to the roles and functions of the critical actors. However, the realityof the performance of roles of the critical actors cannot match or justify the expectations due
to a number of factors. The scientists for example are constrained in their roles by inadequate
infrastructure, limited human resource development strategies in the new technologies, weaklinkages with the private sector and weakening incentive systems. Policy makers are also
hamstrung by inadequate national resources, political expediency and poor linkages withother critical actors.
Private sector actors are constantly bemoaning unfavourable economic conditions andlegislative systems. All factors considered, reality may continue to mismatch expectations andthe possibilities for change. The paper discusses all the factors raised and concludes that
overall, there are some positive signs such as the commitment of some of these critical actors
to bring change and the improving prospects of Ghana's economy and democracy. The paper
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Critical Actors and their Roles in Science, Technology and Innovation:
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Adelaide A. Asante and Dr George Owusu Essgbey

further emphasizes the need for the amplification of the possibilities and strengthening ofefforts in performing roles on the part of scientists, policy makers and entrepreneurs.
National Innovation System (NIS)UNCTAD defines the NIS as the system of organizations, institutions and policies that,combined with the country's physical infrastructure and human capital, together create
innovation. Ghana's National Innovation system is relatively small and not well developed.
While its overall economic and political governance framework has been improved
considerably during the past eight years or so, its policies and institutions for science,technology and innovation have not been modernized and aligned to economic growth andhuman development goals (UNCTAD/World Bank/CSIR-STEPRI, 2011). The National
Innovation System of Ghana comprises the institutions for innovative performanceencompassing policies and programmes, knowledge institutions and entrepreneurs of allscales.
Critical Actors, Roles and Linkages in the National Innovation System
The three defined critical actors namely scientists/researchers, policy makers and thepractitioners are the prime movers of the NIS of any country. However the roles of one actor
at any particular stage of development of the NIS are performed without a linkage with otheractors. Innovation is the fundamental task of the private sector and the entrepreneurs, but
history has shown that in a moment of major transformations and crises, the role ofgovernments has always been crucial (World Bank, 2010).
World Bank in 2007 discussed that, the innovation systems concept recognizes that:
1. There are important roles for broad spectrum of actors outside Government;
2. The actors' relative importance changes during the innovation process;3. As circumstances change and actors learn, roles can evolve; and4. Actors can play multiple roles
Table 1 describes the three prime critical actors of STI in Ghana their roles and their key
outputs.
Linkages between STI actors are one of partnerships between two or more organizations topool knowledge and resources to produce a product and render a service. Thus partnerships
can be developed between practitioners and R & D institutions (for example on commercial
transaction where an organization can purchase the technology); between policy makers and
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Critical Actors and their Roles in Science, Technology and Innovation:
Matching Expectations with Reality in Ghana
Adelaide A. Asante and Dr George Owusu Essgbey

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Critical Actors and their Roles in Science, Technology and Innovation:
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Adelaide A. Asante and Dr George Owusu Essgbey

practitioners (where policies and regulations on technology transfer, consumer protection are
implemented); between policy makers, R &D institutions and practitioners (wherepartnerships leads to the provision of resources to develop and promote a specific technology
necessary for economic development of a country); between two or more R & D/Academic
Institutions (leading to a development of a new product or process) and many more.
According to the World Bank, Linkages may also take the form of networks, which provides
an organization with markets and other early warning intelligence on changing consumer
preferences or technology. They further stated that networks also embody the “Know-who”
of knowledge sources which can be tapped when the need arises and that these linkages andrelationships that govern organizations/institutions concerns knowledge flow.
The linkages between the various actors of STI in Ghana are one that can be described as
weak. Weak linkages between public research organizations and industry is obvious in theoften mismatch demands from industry. The quest for technology by industry is a dynamic
need that must be fulfilled constantly. Due to the limited resources available to carry out bothbasic and applied research in Ghana, R & D institution mostly rely on donor support toconduct their research activities. This leads to research output that is most often isolated fromlocal industrial needs.
Diagram 1 below shows the current linkages between the critical actors in STI in Ghana. The
diagram shows a linear linkage amongst the actors. The linkage is one way and not two ways.
Thus policy makers perform their roles and develop outputs for R & D institutions/academic
institutions to implement.

The linkage of R & D institutions with practitioners can be described as one where roles are
performed for practitioners but with no feedback from the practitioners. This means forexample that research outputs mostly does not satisfy industrial needs or requirements.
The lack of a two way communication is as a result of inadequate management of the STI
system. The policy making body in charge of Science and Technology has never been
consistent. From the Ministry of Industry Science and Technology in the 1980s, it was
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Critical Actors and their Roles in Science, Technology and Innovation:
Matching Expectations with Reality in Ghana
Adelaide A. Asante and Dr George Owusu Essgbey

transformed to the Ministry of Environment Science and Technology in the 1990s. Thenlater in 2003, the ministry became the Ministry of Environment and Science with thetechnology added to communication to become the Ministry of Communication andTechnology. In 2006, there was no separate Ministry for Science and Technology as science
policy issues were mandated to the Ministry of Education, Science and Sport and Technology
policy was primarily the mandate of Ministry of Trade, Industry and Technology. Thus there-establishment of the Ministry of Environment, Science and Technology seems to resolve
the issue of “one stop shop” for science, technology and innovation. However there is still
the gap of an appropriate institutional mechanism to manage and coordinate all STI policies
and programmes in the country be it R & D institutions, institutions of higher education,industries, professional bodies and other STI organizations.
Status of National Development in STI
In 2009, under the African Science, Technology and Innovation Indicators programme
initiated under the New African Partnership for African Development (NEPAD), the Ghana
Innovation Survey Report was produced (MEST, 2009). This survey is to contribute to theoverall development indicators and the production of an African Innovative Outlook (AIO),
which would enable Ghana and other African countries to compare and improve the qualityof their national policies and related innovation systems. The report indicated that there aresubstantial innovations in terms of products, process, organization and marketing. In the2009 Ghana Innovation Survey, out of a total of 116 firms or enterprises (i.e. Large-62%,
Medium- 28.5% and Small- 9.4%) surveyed, 75% initiated their own product innovation in
Ghana, 88% introduced goods and services new to the market, and 81% introduced goods
and services new to the firm. Meanwhile, only 44% of the firm performed process innovation
with 85% of them developing their process innovation within the country.
The status of Ghana's development in STI is one that can be described as progressive andencouraging. However, the challenges within the national innovation system in delivering
outputs relevant to economic development are to be addressed. Indeed, the need to provide
adequate resources to the various actors of STI in Ghana should be addressed by ensuringthat funds are provided for activities that contribute to the national priority sectors as definedin Government Development Plans.
Matching Expectations with Realities for STI development
As countries have made considerable progress in improving their institutional andmacroeconomic framework, attention turned to other drivers of productivity, and without
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Critical Actors and their Roles in Science, Technology and Innovation:
Matching Expectations with Reality in Ghana
Adelaide A. Asante and Dr George Owusu Essgbey

doubt, technology and innovation have been at the top of the list (Lopez-Claros, 2010). In
Ghana, the private sector drives industrial innovation with some input from national R & D
institutions. Industrial Innovation in Ghana is achieved more through technology transfer in
new investments or expansions through R & D from research institutions (Gyekye, et. al,2005). The emphasis on increased productivity leading to economic growth through STI
development is an expectation that should be matched with the realities. Factors contributing
to decreased performance of critical actors in Ghana are realities that cannot be overlooked.
These according to (MEST, 2010) involve:> The inadequate scientific expertise in the country;> Lack of advocacy for S & T at high political and policy levels;> Low science culture among the population;> Weak mechanisms for the management of S & T;
> Ineffective coordination;> Inadequate budget and resource allocation;> Weak linkage between policy formulation and national development planning;> Weak mechanisms for implementation, evaluation and review;> Weak linkages between various agencies and organizations in S & T;
> Weak linkage between industry and S & T;
> Over reliance on the use of foreign expertise to the neglect of the use and developmentof local expertise;> The narrow base of quality in our pre-tertiary education system;> Poor remuneration and conditions of service for science and technology personnel of
Research Institutions.
A partnership between government and the science and technology research community thatemphasizes such projects and cooperates to identify and develop new research areas andtechnologies for supplying and expanding government provision of basic needs and services,within a comprehensive framework of process, and respect for people's rights andexpectations, could significantly affect social development in the Hemisphere (OEST-OAS,
2004) The model described above of partnerships is used in most developed countries acrossthe world where for example a partnership between R & D/ high academic institution andindustry lead to the birth of Silicon Valley in United States of America. One of theadvantages of partnerships for developing countries like Ghana is the opportunities formobilizing resources for STI. With industry involvement in policy making, there will be aclear understanding and support in formulating STI funding mechanisms. Partnerships
between policy makers and R & D institutions will ensure that current research activities are
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Critical Actors and their Roles in Science, Technology and Innovation:
Matching Expectations with Reality in Ghana
Adelaide A. Asante and Dr George Owusu Essgbey

reflected in the formulating of R & D policies. The partnerships between critical actors can belocal or international. Encouraging international partnership with other STI critical actors
from other countries especially in Africa will definitely be a stronger base for successful andinnovative outputs.
Effective communications amongst critical actors when the partnerships are established is a
key ingredient in achieving innovation and economic development. Appropriate
communication channels need to be defined for each partnership. Policymakers should findthe suitable communication mode to transmit policies and regulations to practitioners and R& D institutions and vice versa. It is very important for R & D institutions to communicate
effectively their outputs to industries and consumers. The media is to be seen as an actor inlinking critical actors of STI development in Ghana by providing the mode of effective
communication; package and disseminate STI information among STI actors. Building thecapacity for actors of STI communication is necessary in Ghana.
The newly developed STI policy and development plan is expected to transform Ghana into ascientific and technological nation driven primarily by innovation. The long, medium andshort term objectives outlined in the policy can only be achieved if the main actors of Ghana's
STI system play an equal role in implementing the policy. Matching the expectations of
Ghana's STI policy with the realities existing in the country, the critical actors must be guided
by the principles outlined in the policy including: Relevance, Cost-effectiveness, Realism, andSynergy, Partnerships, Job and wealth creation and Demand driven.
Conclusion
There is need for stronger linkages amongst critical actors of STI in Ghana to address the
economic developmental challenges facing the country. Having established partnerships withcritical actors within the country, there is also a need for well-established linkages with theinternational partners to promote STI development. The political stability existing now gives
Ghanaian institutions and organizations the opportunity to attract international partners toincrease STI activities there by fostering learning exchanges and technology transfer.
The National Innovation System in Ghana is one that is not strong but also not discouraging.
As discussed, there are adequate institutions to perform the necessary R & D activities andnational policies, plans and regulations to bring about the desired economic development.
The commitment of the critical actors in performing their roles effectively will provide aframework within which to consider research collaboration, teaming for capacity building,Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 225

Critical Actors and their Roles in Science, Technology and Innovation:
Matching Expectations with Reality in Ghana
Adelaide A. Asante and Dr George Owusu Essgbey

joint research, technology transfer, funding and investment priorities among R & D
institutions as well as in partnerships with industry. It is important to note that through strong
linkages and partnerships even between two or more R & D institutions, limited resources
available will be utilized effectively and productivity will be maximized.
References
Aryeetey Bortei-Doku E, Doh D and Andoh P. 2011. From Prejudice to Prestige: Vocational
Education and Training in Ghana. City & Guilds Centre for Skills Development
Gyekye K, Osae E, Effah P. 2005. Harnessing Research, Science and Technology for
Sustainable Development in Ghana. Proceedings of the First National Forum on
research, science and technology held in Accra March 15-19, 2004
Lopez-Claros A. 2010. The Innovation for Development Report 2009-2010: Strengthening
Innovation for the Prosperity of Nations. European Business School
Larsen K, Kim R and Theus F. 2009. Agribusiness and Innovation Systems in Africa. A WorldBank Publication
Juma Calestous and Yee-Cheong Lee. 2005. Innovation: Applying Knowledge in
Development. UN Millennium Project- Task Force on Science and Technology
Ministry of Environment, Science and Technology (MEST) and CSIR-STEPRI. 2010. The
Ghana Innovation Survey Report 2009.
Ministry of Environment, Science and Technology (MEST). 2010. National Science,
Technology and Innovation Policy. Unpublished
Ministry of Environment, Science and Technology (MEST). National Science, Technology
and Innovation Development Plan 2011-2015. Unpublished
Ministry of Trade and Industry. 2011. Ghana Industrial Policy.
Office of Education, Science and Technology (OEST). 2004. Science, Technology,
Engineering and Innovation for Development: A Vision for the Americas in the Twenty
First Century. Organization of American States (OAS). Available at:
http://www.science.oas.org/ministerial/ingles/documentos/Document_001.pdf
UNCTAD/World Bank/ CSIR-STEPRI. 2009. Science, Technology and Innovation
Policy Review for Ghana
World Bank. 2007. Enhancing Agricultural Innovations: How to go beyond the strengtheningof research systems.
World Bank 2010. Innovation Policy- A guide for Developing Countries. Conference edition
Venture Capital Trust Fund (VCTF). 2009. Annual Report

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17. Innovative and Authentic Ways ofDeveloping Traditional Medicine inLesotho for Production ofComplementary Medicines in
Local Communities
Eric B. MalieheManaging-Director
Ethno-Herbal Products, Lesotho
Abstract
In the late 1970s, the international community started taking steps aimed at developing traditional medicine for
the 'benefit' of local and indigenous communities around the world. From the 1990s to the present, this interestin developing traditional medicine intensified. This is because traditional medicine is both effective andaffordable, and its use in the western countries increased phenomenally. It is within local communities' reach,and its efficacy has been tested across generations. To that end, resources and efforts have been channelled toachieve 'best' ways of reaping the benefits of traditional medicine for the impoverished and disease-struck local
communities.
Despite such initiatives, these 'promises' of the contemporary renewed interest in traditional medicine seem not
to filter to local communities and custodians of traditional medicine in Lesotho. Instead, there are signs that theperceived benefits persistently gravitate away from their rightful beneficiaries, the local communities andcustodians. It is proposed that traditional medicine should be included in agricultural extensions and advisory
services for production of complementary medicines for authentically ensuring that local communities andcustodians of traditional medicine benefit from their heritage. We suggest that already existing infrastructure
for agricultural extension and advisory services should be used to integrate traditional medicine. Thus, the paper
is geared towards suggesting innovative and authentic ways of integrating traditional medicine in Lesotho into
existing extension and advisory services' policy and programmes for production of complementary medicines forStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 227

Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Maliehe

local communities. It is mainly cantered on investigating characteristics of the Basotho society which areadvantageous for co-operatively producing complementary medicines and plant species which can be harnessedby local communities.
Keywords: Local Communities, Extension and Advisory Services, Contemporary Interest in Traditional
Medicine, Beneficiaries, Complementary Medicines
List of Acronyms
AIDS
CPZ
CCZs
EHP
HQ
HIV
NEPAD
NGO
NUL
R&D
RPZ
SANBioWHO

Acquired Immune Deficiency Syndrome
Central Processing Zone
Community Co-operate Zones
Ethno Herbal Products
Head Quarters
Human Immunodeficiency Virus
New Partnership for Africa's Development
Non Governmental Organization
National University of Lesotho
Research and Development
Regional Processing Zones
Southern Africa Network for Biosciences
World Health Organization

Introduction
Like other African societies, Basotho have relied on traditional medicine for healthcare.
Historically, Traditional Healers in Lesotho held a high status not only as respected healers,
but also as rain-makers, philosophers, leaders, advisors, and intelligence gatherers21. Despite
persistent usefulness, traditional healing faced stigmatisation across time. In Lesotho, major
culprits and pioneers of these stereotypes were European Christian Missionaries who firstarrived in Lesotho in 1833. Without fully understanding the essence of African traditional
culture, they viewed Africans as pagans and barbarians. They aggressively introduced
Christian norms and European “civilisation”. Some Basotho accepted the new culture
introduced by the missionaries and were accordingly initiated22. Like their European mentors,
21

Eugène Casalis, The Basutos; or, Twenty-Three Years in South Africa (London: James Nisbet & Co., 1861), pp. 270-299;
Hugh Ashton, The Basuto: A Social Study of Traditional and Modern Lesotho (London: Oxford University Press, 1967),
p. 282.
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Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Maliehe

they shunned traditional healing. In 1868, Lesotho became a British protectorate, and in 1871
colonial laws meant to dismantle Basotho's pre-colonial formations and culture waspromulgated. In what came to be known as the Gun War, Basotho resisted and fought theCape Colonial government against the introduction of blatant colonial laws. These laws
further assisted the Christians in the mission of “civilising” Basotho. Europeans in Lesothoand their new disciples strengthened their stereotypes against traditional healing throughout
the colonial period23.
In 1966, against the background of the peak of modernisation and bi-polarity of the world
into the west and the east, known as the Cold War, Lesotho gained independence. The newly
independent government of Lesotho sought to develop the country through capitalism andliberalism. The necessary condition for that was the transition to modernity from traditional
ways of living. That further marginalised and deepened stigmatisation towards traditional
healing. However, modernisation promises failed to deliver anticipated results and like other
African traditional cultural practices, traditional healing continued to be relied on by Basotho
because it is part of how they co-exist reciprocally as a society and as part of their identity
forged over generations.
In the late 1970s, the international community attempted to incorporate and develop
traditional medicine. Since then, to the present, many attempts have been undertaken in thename of developing traditional medicine. However, a striking feature about this renewedinterest in traditional medicine, as has been the case historically, is lack of adequate and proper
understanding and appreciation of traditional healing24.
In Lesotho, attempts aligned with these international initiatives were made by the Ministry of
Health and Social Welfare. For example, in-line with the Alma-Ata Declaration of 1978, theMinistry designed what was labelled as “Traditional Medicine Programme for Lesotho”. The
main aim of the Programme was to identify safe medicinal plants for Primary Health Care25.

22

Casalis, The Basutos, pp. 270-271.
Motlatsi Thabane, “Aspects of Colonial Economy and Society, 1868-1966”, in Neville W. Pule and Motlatsi Thabane (eds),
Essays on Aspects of the Political Economy of Lesotho, 1500-2000 (Roma: Department of History, National University of
Lesotho, 2002), pp. 104-105.
24
See for example, WHO Technical Report Series, NO. 622 of 1978; Resolutions of the 30th World Health Assembly of 1977
and the Alma-Ata Declaration of 1978; J. M. Varela, Traditional Medicine in Lesotho: A Study in Perspectives of its
Integration into Primary Health Care with Emphasis on Management of Neuropsychiatric Disorders(Antwerp: A. N. Research Programme, 1985).
23

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Eric B. Maliehe

To implement this programme, they further assisted Basotho traditional healers to form anorganization of their own. However, attempts by the Ministry of Health and Social Welfare toincorporate traditional medicine in Lesotho Primary Health Care policies and programmes
failed26. A more recent example can be provided and the same story of unsuccessfulness will
be re-painted. From the early 2000s, the Ministry of Communications, Science andTechnology took to the idea of developing traditional medicine and indigenous knowledge inLesotho. In 2008, the Southern Africa Network for Biosciences (SANBio), in collaboration
with New Partnership for Africa's Development (NEPAD) funded Lesotho to identify
medicinal plants to be used for treatments of HIV\AIDS and opportunistic infections.
What emerges in Lesotho is that, there is lack of adequate infrastructure for the developmentof traditional medicine, resulting in a situation where development initiatives in traditional
medicine have been alternating between government Ministries. It is therefore argued that
due to lack of resources on the one hand, and the non-existence of infrastructure in existing
government Ministries27 and respective NGOs and organizations which deal with traditional
medicine and indigenous knowledge on the other hand, resources should be pooled andsynchronized to ensure that traditional medicine benefits its consumers and custodians
economically and in terms of health.
It is advised that efforts aimed at developing traditional medicine into Lesotho should be
consolidated and developed into a long-term programme which is locally-oriented; which
precisely address problems that exist in and benefit local communities. This is because
development efforts in Lesotho's traditional medicine are ad hoc initiatives meant to respondto, and benefit from, international funding opportunities. Often than not, when anticipatedoutcomes are not realized, initiatives are left to lapse.
Specifically, it is proposed that, traditional medicine should be incorporated in Lesotho
Agricultural Extension and Advisory Service which is under the Ministry of Agriculture,
Marketing and Co-operatives to produce complementary medicines and herbal beverages.
Infrastructure, equipment, training programmes and advisory services under this Ministry

25
T. K. M. Letsie, “Position Paper on Traditional Health Practice in Lesotho”, paper presented to the Ministry of Health inpartnership with the Private Health Association of Lesotho, Maseru, November, 1991; T. K. M. Letsie, “Traditional Medicine
Programme Brief to the Minister of Health, n.d.
26
See the 1986 Commonwealth Expert Meeting on Evaluation of Traditional Medicine Practice in Africa as quoted in T. K. M.
Letsie, “Traditional Medicine Programme Brief to the Minister of Health”.
27
Especially, the Ministry of Health and Social Welfare, the Ministry of Science, Communications and Technology, the Ministryof Agriculture, Marketing and Co-operatives and the Ministry of Tourism, Culture and Environment.

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Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Malieheshould be used for propagation of medicinal plants to be sold in local and international
markets. There are advantages associated with propagating medicinal plants in sustainable
manner. Also, commercialization of these medicinal plants will attract higher revenue to thepeople who are engaged in this enterprise and the nation.
This paper is structured into three main sections. The first section deals with the nature of the
Basotho society in relation to co-operative production of complementary medicines by local
communities. It also highlights the macro-aspects of a country-wide programme structure for
production of complementary medicines. The second section profiles four medicinal plants
which can be used for such a programme.
The last section is the conclusion and recommendations. The paper is intended to present asummarized analysis of innovative and authentic ways of developing traditional medicine for
local communities in Lesotho.
Basotho Society and the Spirit of Co-operation: Prerequisites for Developing
Traditional Medicine for Income Generation in Local Communities
Among important prerequisites of any development initiative is its applicability to local
conditions and its acceptability by local people. A development programme informed by local
communities is virtuous because it addresses existing problems. It is therefore not surprisingthat J. D. Wolfensohn, the former President of the World Bank, advised as follows: “… Learn
from local communities to enrich development process”. Traditional medicine in the Basotho society is asensitive part of their cultural belief and health practices which are anchored on noble
grounds of healing communities, instead of being based on high profit aspirations. Be that as
it may, local communities and custodians of traditional medicine seem to have responded
positively to past development initiatives. By that token, it gives us confidence to suggest thatan initiative meant to benefit them economically and in terms of health, will be welcomedwith both hands.
Due to the traditional character of reciprocity in extended families and co-operation among
Basotho society, it is assumed that the proposed programme will be successful since it also
involves formation of Co-operatives. Historically, Basotho people have engaged in cooperatives persistently and still continue to do so despite many problems that they encounter.
Defining the nature of Basotho's society and the rise of the co-operative movement inLesotho, Sir Alan Pim's Commission asserted that:
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Eric B. Maliehe

The conception of co-operation is by no means foreign to life under tribal conditions inwhich a practical working communism is a striking feature. The native family, in the large
sense of that term, may almost be described as a ready-made co-operative28. A criticalappreciation of these two characteristics of the Basotho society is of paramount importancefor the proposed initiative to be conceived as well as for it to be successful. These twoelements also nullify the allegation that Basotho are not motivated by profit. Therefore, they
will respond positively to initiatives aimed at increasing their financial position and geared
towards 'genuinely' developing their cultural and environmental heritage, in this case,traditional medicine.
Selected Plant Species for Commercial Propagation
Plant selection is based on availability and easy propagation of the plants. These plants are
weeds which do not affect the conservation programmes in Lesotho. Again, they also containactive properties for treating most HIV/ADIS opportunistic infections, immune systems
and circulatory problems.
Enumeration
A.
Family: Solanaceae
Botanical Name: Withania somnifera
Common English Name: Winter cherry
Common Sesotho Name: Moferangope
Usage
Most circulatory problems such as pins andneedles are easily treated with an extract of
the aromatic tubers.
Traditional practitioners use this plant for
many purposes such as physical and mental conditions. For treatments of motor anddegenerative diseases of the brain, this medicinal plant is very important. Tuber extracts ofthis herb are also used to treat sexually transmitted diseases29.
28

Financial and Economic Position of Basutoland: Report of the Commission Appointed by the Secretary of State for Dominion
Affairs (London: His Majesty's Stationery Office, 1935), p. 174. The Pim's Commission came to Lesotho in the mid-1930s
against the background of the world-wide depression to survey the economic and financial position of Basutoland.
29
See, Ben-Erik Van Wyk, Bosch Van Oudtshoorn and Nigel Gericke, Medicinal Plants of South Africa (Pretoria: Briza
Publications, 1997), pp. 274-275.
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Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Maliehe

Anti - Inflammatory /Anti-Rheumatic Activities of Withania somnifera
Arthritis is a manifestation of severe inflammation which affects the elderly, and patients
suffering from degenerative diseases such as suppressed immune systems. Infecting organism
moves to joints through the blood stream (Infectious Arthritis), affecting the synovial
membrane.
Systemic lupus erythematosus symptomizes as arthritis, as well as ulcerative colitis. Infections
such as Chlamydia often cause arthritis which causes arthritis in many young HIV/AIDS
patients. Ulcerative colitis mimics symptoms of arthritis and angina pectoris. Degenerative
diseases such as osteoarthritis often damages cartilage covering bones. This is linked tomalabsorption through defect in protein that forms the cartilage. Withania somnifera has
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Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Maliehe

proven very effective30. This plant has been used in treatments of gastric ulcers, dermatitis andhypercholesteramia.
Anti - Microbial Activities of Withania somnifera
Many diseases in Lesotho are of microbial origin e.g. diarrhoea, skin infections andtuberculosis. Most patients suffering from degenerative / chronic diseases have bacterial andfungal infections in addition to high viral loads. Therefore, this plant is effective for treating
bacterial and fungal infections with good results.
Saponins
These compounds are known to cause haemolysis of blood cells and produce antimitotic,
antimicrobial, and anti-inflammatory functions. Saponins are known for their high watersolubility and general widespread distribution.
They are characterized by foaming when shaken in water and are capable of lowering water
surface tension. Most of these antioxidants have the ability to arrest the physiological
functions of a target micro-organism and kill it.
B.
Family: Fabaceae
Botanical Name: Sutherlandia frutescens
Common English Name: Cancer bush
Common Sesotho Name: Musa- pelo, Matlepelo
Usage
When a Mosotho widow is in traumatic shock, a strong
tisane is prepared as a depressant. The name Musa-pelomeans “to calm down the heart”. It means that the
medicine has always been used as a sedative for relatedheart conditions, such as tremors, or vertigo in Lesotho. Basotho have also used this plant forchest problems, and affections. It was also used for Lymphogranuloma venerium(Mofufutso/Mahae/Mashoa) after burial of husband, or wife. Many sexually transmitted
diseases were treated with an infusion, or tisane of this plant extract. Various combinations
30

Maliehe, Eric B., “The Plant Culture of the Basotho” Unpublished Research Work funded by Helvetas (Swiss NGO) Lesotho, 1998.
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Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Maliehewere done to enhance efficacy or potency with other herbs. The mixture was commonly usedwith sorghum grains (Mabele)31.
C.
Family: Lamiaceae
Botanical Name: Mentha longifolia
Common English Name: Wild mint,
Penny royal
Common Sesotho Name: Kuena
Usage
Mentha-longifolia has been used in cases ofanti-diarrheal. It is carminative as well as
sedative. An extract of the plant is used forintestinal worms in children. It is also commonly used for fever / influenza. It is either inhaled,
used through steaming, or drank as a hot tisane32.
D.
Family: Polygonaceae
Botanical Name: Rumex crispus
Common English Name: Common dock,
Sheep sorrel
Common Sesotho Name: Khamane,
Khama-khamane
Usage
An infusion of the root is used fordysmenorrhoea and many female ailments
such as heavy menstruation. The same
extract is used for treating gum infections, toothache and ear problems. A strong tisane isoften taken to treat stomach indigestion, or used as a laxative to remove stomach impurities.
31
Maliehe, Eric B., “The Plant Culture of the Basotho” Unpublished Research Work funded by Helvetas (Swiss NGO) Lesotho, 1998; See also, Ben-Erik Van Wyk, Bosch Van Oudtshoorn and Nigel Gericke, Medicinal Plants of South Africa,
pp. 246-247.
32
Eric Bataung Maliehe, Medicinal Plants and Herbs of Lesotho: a Guide to 60 Species around the Country (Maseru:
Mafeteng Development Project, 1997), p. 18.

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Eric B. Maliehe

As a tincture or common infusion, this plant extract is used to remove bacterio-stasis in the
body. The leaves are dried and used as green tea for better health in cases of blood
detoxification. People living with HIV/AIDS often find the remedies prepared from thisplant helpful in treating high viral loads and systemic fungal infections. The roots are often
roasted and applied on open wounds or rash. A tisane made from the rootstock is also
commonly used for treatment of the prostate/prostatitis (Bacterial infections of the prostate
gland – male genitourinary system) problems. The same plant extract is used in veterinary
medicine for anti-biliousness in animals33.
Conclusion and Recommendations
Basotho can sustainably benefit from their natural environment by harnessing the potentialsof plants-based remedies for health improvement and income generation. They can do so by
propagating plant species, found in their wild or fields, and specially designated areas likebotanical gardens, conservations areas and nurseries. Based on the evidence presented in thisresearch paper, it is recommended that local communities in Lesotho should be assisted to cooperate and implement projects based on these medicinal plants. They should do so to
produce complementary medicines for health and income generation.
Complementary medicines have a number of sustainability advantages. They are effective;
not toxic; have no dependency, have a longer shelf-life when properly processed, and theirproduction does not have a detrimental effect on the environment. Communities that haveproduced certain remedies will have full ownership of their products. By that token, they will
be well positioned to fully reap the benefits of their efforts.
Due to lack of adequate resources, their projects should be integrated into the Agriculturaland Extension Service under the Ministry of Agriculture, Marketing and Co-operatives. This
Ministry offers wide opportunities for such projects. However, other relevant Ministries andstakeholders should also be utilized and synchronized, to form a long-term programme fortraditional medicine development for local communities.

33

Maliehe, Eric B., “The Plant Culture of the Basotho” Unpublished Research Work funded by Helvetas (Swiss NGO) Lesotho, 1998; See also, Ben-Erik Van Wyk, Bosch Van Oudtshoorn and Nigel Gericke, Medicinal Plants of South Africa,
pp. 218-219.
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Innovative and Authentic Ways of Developing Traditional Medicine inLesotho for Production of Complementary Medicines in Local Communities
Eric B. Maliehe

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Ashton, Hugh, The Basuto: A Social Study of Traditional and Modern Lesotho (London:
Oxford University Press, 1967).
Casalis, Eugène, The Basutos; or, Twenty-Three Years in South Africa (London: James Nisbet& Co., 1861).
Commonwealth Secretariat, A Guide to the European market for Medicinal Plants andExtracts (London: Commonwealth Secretariat, 2000).
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the Secretary of State for Dominion Affairs (London: His Majesty's Stationery Office,1935).
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Africa (Craighall: Delta Books (PTY) LTD, 1982).
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to the Ministry of Health in partnership with the Private Health Association of Lesotho,
Maseru, November, 1991.
Letsie, T. K. M., “Traditional Medicine Programme Brief to the Minister of Health, n.d.
Maile, N., “Indigenous Forests, Trees, Shrubs and Afforestation”, in Q. K. Chakela (ed.), Stateof the Environment in Lesotho 1997 (Maseru: National Environment Secretariat,1999).
Maliehe, Eric B., Medicinal Plants and Herbs of Lesotho: A Visual Guide to 60 Species
around the Country (Maseru: Mafeteng Development Project, 1997).
Maliehe, Eric B., “Resilience through Sustainable Use of Medicinal Plants (Ethno-Herbal
Products Lesotho” in Luke E. Mumba and Vinesh Maharaj (eds), Proceedings of theFirst NEPAD/SANBio Workshop on Scientific Validation of Traditional Medicine for
Affordable Treatments of HIV/AIDS and Opportunistic Infections, 15-16 March
2007, Lusaka, Zambia.
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Helvetas – Lesotho, 1998.
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Marshall, Nina T., Searching for a Cure: Conservation of Medicinal Wildlife Resources in Eastand Southern Africa (Cambridge: TRAFFIC International, 1998).
May, E. D., The Indigenous Forests of Lesotho: Their Former Occurrence - The Current
Distribution of Groves and Patches of Wild Indigenous Trees and Shrubs and their
Management Options (Morija: Morija Printing Works, 2000).
Mokuku, C., “Biodiversity and Protected Areas”, in Q. K. Chakela (ed.), State of theEnvironment in Lesotho 1997 (Maseru: National Environment Secretariat, 1999).
National Environment Secretariat, Biological Diversity in Lesotho: A Country Study (Morija:
Morija Printing Works, 2000).
Phororo, R., “Rangeland and Livestock”, in Q. K. Chakela (ed.), State of the Environment inLesotho 1997, (Maseru: National Environment Secretariat, 1999).
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Thabane, Motlatsi, “Aspects of Colonial Economy and Society, 1868-1966”, in Neville W.
Pule and Motlatsi Thabane (eds), Essays on Aspects of the Political Economy ofLesotho, 1500-2000 (Roma: Department of History, National University of Lesotho,2002).
van Oudtshoorn, Frits F. P., Guide to Grasses of South Africa (Cape Town: Briza
Publications, 1992).
van Wyk, Ben-Erik, Bosch van Oudtshoorn and Nigel Gericke, Medicinal Plants of South
Africa (Pretoria: Briza Publications, 1997).
van Wyk, Ben-Eric and Michael Wink, Medicinal Plants of the World (Pretoria: Briza
Publications, 2004).
van Wyk, Braam and Piet van Wyk, Field Guide to Trees of Southern Africa (Cape Town:
Struik Publishers (PTY) Ltd, 1997).
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238 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

18. Swaziland's Experiences with
Developing a National Policy for Science,
Technology and Innovation: Implications
for Linking Policy Research with Policy
MakingProf. Mgidi D. Dlamini1 and Dr. Musa M. A. Dube2
1
Faculty of Science2
Faculty of Agriculture
University of Swaziland
Abstract
The absence of a national policy for science, technology and innovation (STI) in most developing countries has
been alleged to be a major setback for national development. Hence, developing an STI policy becomes a prerequisite for creating a close link between sector policies and a national STI policy, including the institutionalframework for the implementation, application, monitoring and evaluation of the STI Policy. The national
STI policy ensures that a systematic strategy as well as a suitable environment for efficient use of scarce resources
is created. The purpose of this paper is to share experiences and insights gained from developing a national STI
policy for Swaziland, after many years of operating without a national policy. The approach to develop thepolicy was through the use of six stakeholders' workshops and consultative meetings using the SWOT analysis
strategy. The workshops were preceded by two separate studies on the status of S&T in Swaziland which wereconducted by the authors. From the said workshops and consultative meetings, including the two researchstudies, (i) key S&T issues emerged, which formed the core of policy statements; which included example, issues
on public understanding of Science and Technology (S&T), S&T education and training, Research andDevelopment, S&T priorities and policy initiatives, S&T management, S&T investment, S&T
coordination and collaboration, S&T culture, industrial development, and indigenous knowledge systems (ii)cross-cutting issues and related policies also emerged, namely: Information and Communication Technology,
intellectual property rights, standards for quality assurance, biotechnology, brain drain, gender equity,
collaboration and cooperation, environmental management, social and human scientists (iii) a close link
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Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
Implications for Linking Policy Research with Policy Making
Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dubebetween sector policies and the national STI policy were noticeable. It was concluded that a national STI policy
cannot be complete without establishing the links and gaps between sector policies and the national STI policy,
including key issues and cross-cutting issues. The Swaziland experience was instructive and countries that plan
to develop revise and evaluate their national STI policies, should engage the public and a wide range ofstakeholders in order to capture key issues, including cross-cutting issues that are important in developing aholistic national policy – one that nurtures a close link between and among many sector policies.
Keywords: science, technology and innovation, policy, cross-cutting issues.
Introduction
S&T Policy Development
As early as the seventies, a number of regional and international organizations, such as theSouthern African Development Community (SADC), the United Nations Educational,
Scientific and Cultural Organization (UNESCO), the United Nations Economic
Commission for Africa (UNECA) and many others have reiterated the need for Africancountries to develop national Science and Technology (S&T) policies, and use them toeradicate the scourges suffered by developing nations, such as endemic diseases, hunger,
illiteracy, environmental degradation, energy inefficiency, and so on. For instance, in 1974,
Ministers of African States responsible for the application of S&T for development
recommended that each member state should establish a system of national science policy. In
1991 and 1993, the Southern African Development Coordinating Conference (SADCC) and
SADC, emphasized the need for Member States to formulate national S&T policies (SADCC,
1991; SADC, 1993).
Most African countries developed their S&T policies in the seventies and eighties. Of late, theemphasis is not on S&T only but on a combination of Science, Technology and Innovation(STI). In 1995, for example, UNECA recommended the promotion of competitive S&T
policies that focus on innovation systems (UNECA, 1995). In 2003, at the New Partnershipfor Africa's Development (NEPAD) Ministerial Conference on S&T held in Johannesburg,
Republic of South Africa, the Ministers encouraged all member countries of the African
Union (AU) to develop comprehensive national STI policies, with emphasis on National
Systems of Innovation (NEPAD, 2003). The Ministerial Council advised Regional Economic
Communities to compile indicators on scientific research, technological development andinnovation in countries within their sub-regions in support of national efforts in theformulation of national policies.
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Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
Implications for Linking Policy Research with Policy Making
Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dube

Mugabe (2009) observed that many countries in Africa tend to organize STI policymaking as
isolated events rather than processes. The events, according to Mugabe, are frequently not
well aligned with national economic development policy processes and overall poverty
reduction strategies. In a similar vein, the African Technology Policy Studies Network (ATPS)
noted the need for African S&T to be driven by the needs of the African people andrecommended that institutional and policy reforms should be undertaken to achieve this goal
(ATPS, 2010).
ATPS also called for urgent action by African governments and African people to enact
policies that support capacity development and effective capacity utilization in Africa for
African development, that is, policies which will encourage African STI experts to develop
home-grown solutions to the wide variety of Africa's STI challenges, and not aim for outputs
that have international relevance with little or no practical application in Africa. ATPS was ofthe view that local priorities and needs such as poverty reduction and environmental
sustainability should drive the STI agenda within the context of global agendas and not viceversa. Therefore, the need to ensure that policy development is based on empirical evidencecannot be overemphasized, hence the importance of the ATPS Annual Conference 2011.
Swaziland: Geographical, Economic and Social Context
Swaziland is a small, landlocked country of about 17 365 km2 situated in the Southern regionof Africa and shares a border with Mozambique and South Africa respectively. The country
has a population of 1.2 million people (PRB, 2011). The economy is fairly diversified, with
agriculture, forestry and mining accounting for about 13% of GDP. Manufacturing (textiles
and sugar-related processing) represents 34.3% of GDP.
The country is well known for its agribusiness. The sugar sector is central to the economy of
Swaziland and constitutes 59% of agricultural produce and constitutes 18% to GDP. The
sugar industry, based solely on irrigated cane, is Swaziland's leading foreign exchange earner.
Sugar is also sold domestically, particularly to industries that produce soft drinks,
confectionery and jam. Soft drink concentrates (a U.S. investment) is another large export.
Purpose and Objectives of the Paper
PurposeThe purpose of the paper is to share experiences the authors had while conducting policy
research and developing a National STI Policy in Swaziland.
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Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
Implications for Linking Policy Research with Policy Making
Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dube

Objectives>>

Describe insights gained from developing the National STI Policy in Swaziland.
Share lessons learnt and highlight linkages between policy research and policy
development.

Attempts to Develop a National S&T Policy During the Past Fifteen Years
The history and current status of science and technology (S&T) in Swaziland may,respectively, be obtained from official national documents such as the Science andTechnology Issues Paper which coincided with the formulation of the National
Development Strategy in 1996 (Makhubu, 1996), the Consultancy Exploratory Documentfor UNESCO (Makhubu, 2006), the Proceedings of the Seminar pertaining to sensitizing the
public on the need for the development of a national S&T policy held at the University ofSwaziland [Edje et al (Editors), 2006], the Proceedings of the Consultative Workshop on
Science and Technology held at Esibayeni Lodge [Edje (Editor), 2007], a Consultancy Reporton the Current State of Science, Technology and Innovation in Swaziland (Dlamini andDube, 2008) and a National Profile of Science and Technology (S&T) in Swaziland (Dlamini,2009), amongst other documents produced by local scientists.
The Government of Swaziland has, over the years, engaged UNESCO in the development ofa national STI policy. The initial stages of the formulation process began towards the end of
the year 2005, leading to the production of the Consultancy Exploratory Document for
UNESCO (Makhubu, 2006). As part of the S&T policy formulation drive, the then Ministryof Education of the Government of Swaziland which was responsible for S&T at that time,
hosted a National S&T Seminar in August 2006, with the aim of bringing together all
stakeholders in S&T. It was financed by UNESCO. UNESCO also engaged a consultant for
purposes of guiding the seminar and giving an overview of S&T in relation to implications forpolicy formulation [Edje et al (Editors), 2006].
In June 2007, the said Ministry hosted a workshop on S&T Policy Consultation. It was once
again funded by UNESCO. An S&T Adviser was assigned to facilitate the workshop as well as
provide leadership until the policy is submitted to relevant Government structures [Edje(Editor), 2007]. In June 2008, the Ministry commissioned a survey that was once again funded
by UNESCO. The purpose of the survey was to assess the current state of science,technology and innovation in Swaziland. It was conducted by two local consultants and areport was submitted to the Swaziland National Commission for UNESCO (Dlamini and242 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
Implications for Linking Policy Research with Policy Making
Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dube

Dube, 2008). In 2009, another study which led to a National S&T Profile was undertaken andsubmitted to the UNESCO Office Windhoek (Dlamini, 2009). It was also commissioned by
the then Ministry of Education and funded by UNESCO.
In April 2011, the Ministry now responsible for research, science and technology, namely, theMinistry of Information, Communication and Technology, commissioned the developmentof a National STI Policy. The activity was financed by UNESCO. Initially, four consultative
meetings were conducted by the authors, with full support from this Ministry and the
National Commission for UNESCO, by engaging a broad spectrum of stakeholders,
including Members of both houses of Parliament, Government Ministries, PublicEnterprises (Parastatals), the Private Sector, Tertiary Institutions, S&T Associations, theMedia Houses, Non-Governmental Organizations and Individuals, to name a few. The
objective of the meetings was to elicit the views of the stakeholders in order to develop a
viable National STI Policy. The first meeting was targeted at individuals in their capacities as
eminent scientists and engineers, as well as persons who have supported S&T initiatives over
the years and are passionately interested in S&T issues.
The second meeting involved Government Ministries, Public Enterprises and nongovernmental organizations. The third meeting was attended by institutions of higher
learning, S&T associations, the Private Sector and the media houses, whilst the fourth one wassolely targeted at Members of both Houses of Parliament. The proceedings of the four
meetings were presented at a workshop which was concluded by a presentation of the
proposed template of the draft STI policy so as to receive comments from the participants.
The first draft of the policy was presented in another workshop held seven weeks later. The
participants' inputs were incorporated into the first draft. The second and final draft waspresented to the Ministry, revised thereafter, and is ready for submission by the Ministry to
Cabinet (Dlamini and Dube, 2011). In summary, there are as many as sevenmeetings/workshops which were conducted during the development of the final draft of the
National STI Policy. The Ministry and National Commission for UNESCO supported theauthors throughout the exercise.
Summary of Findings of S&T Studies Undertaken in Preparation for Developmentof National STI Policy
Science and technology issues paper (1996)
This study provides highlights of salient aspects of the application of S&T to development in
the context of Swaziland's experience relative to other African countries. It recommended
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Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
Implications for Linking Policy Research with Policy Making
Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dubethe establishment of a strong S&T body to be called the National Research, Science andTechnology Council - a central organ to serve as a national forum for policy evolution andanalysis. The Council would also serve as a think-tank to initiate national debates on R&D, thepopularization of S&T for development, and the involvement of government, the private
and informal sectors and the general public in harnessing science and technology fordevelopment (Makhubu, 1996).
Consultancy exploratory document for UNESCO (2006)
This document provides information about the challenges that Swaziland has been facing
over the years, in an attempt to resuscitate the national research coordinating body called the
National Research Council (NRC). The Council was established as early as 1972 with the aimof promoting and coordinating all matters on research and application, as well as influencing
public policy. It was anticipated that the NRC would, at a later stage, develop a national STI
policy. However, shortly after its establishment, it became ineffective due to the absence of afull-time secretariat to manage the NRC and lack of interest from its members. Moreover,there was no established funding mechanism for research at the national level. The author
acknowledges that efforts to develop a science and technology policy for the country had
been going on for over a decade (Makhubu, 2006).
This consultancy also assessed the S&T status of various organisations in Swaziland as acontinuation of discussions that started during the formulation of the National
Development Strategy and the subsequent production of the Science and Technology Issues
paper (1996). Three recommendations of the future direction were made and a budget
estimate was proposed for the year on which the NRC would be activated. The
recommendations are as follows: (i) in order to provide a focus for S&T and innovation, a
Ministry of Science and Technology should be established and a Director-General, an
administrative assistant and secretarial staff, recruited, (ii) the NRC must be established by an
Act of Parliament so as to provide direction for national research and development, andinnovation, and (iii) in order to sensitise policymakers to the critical role of STI in
development, a forum for exchange between government, parliament and scientists shouldbe established by the NRC as part of its committees/institutes.
Consultancy report on the current state of STI in Swaziland (2008)
This consultancy report provides information about the current state of Science, Technology
and Innovation (STI) in Swaziland (Dlamini and Dube, 2008). Fifty participants wererandomly selected from institutions or organisations considered to be users of Science and244 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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Technology (S&T) in their daily operations. A questionnaire was designed, reviewed toestablish validity, pilot tested to ensure reliability (r = 0.83) and used to collect data. In anutshell, the purpose of the survey was to identify opportunities and best options for
Swaziland to increase value addition to products and services from a strategic S&T base so as
to direct local production, research and trade initiatives. Findings of the survey revealed that
85.7% of the institutions used S&T in their daily operations. Leading role players in S&T
were the Swaziland College of Technology (57.1%) and the University of Swaziland (80.0%).
The major constraints affecting S&T applications in Swaziland included (i) shortage ofcompetent S&T personnel, and information on users of S&T, (ii) absence of a national S&T
policy, (iii) absence of an S&T institutional framework, and (iv) non-availability of an
institution to coordinate S&T. Mean scores relating to the constraints, ranged from 4.27 to
4.72 in a scale of 1 to 6. The conclusion was that the state of STI was not satisfactory. As aresult, it was recommended that the institutions that regarded STI to be important, should
champion the development of a national STI policy to guide national development.
The survey also revealed that there were serious constraints currently affecting S&T andvalue-added products and services. The study recommended that appropriate systems be put
in place in order for S&T institutions/organizations to contribute meaningfully to sustainablegrowth, including the establishment of a body responsible for S&T, the formulation of anational STI policy, adequate budgeting for S&T by Government in particular, and S&T
institutions/organizations in general, and for the purchase of modern equipment. It was also
recommended that the Private Sector and International Donor Agencies or Co-operating
Partners should be approached for financial assistance in this endeavour. The survey also
revealed that suitable systems should be provided for training, retention and recruitment of
S&T personnel, as well as the improvement of systems for S&T information dissemination. A
number of opportunities were identified as possible contributors to value addition, withrespect to products and services, for purposes of economic growth and job creation. It wasconsidered essential, therefore that Government should provide a suitable environment for
S&T advancement to ensure that the economy of the Kingdom of Swaziland thrives on asustainable basis. A conducive environment, for example, could be provided throughdevelopment of a National Policy for Science and Technology that should provide direction
and guidance.
National profile of S&T in Swaziland (2009)This study was aimed at providing statistical data on the state of human and financial
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Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
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Prof. Mgidi D. Dlamini & Dr. Musa M. A. Duberesources for the year 2008 and, where possible, for the year 2009, for purposes ofcomparison (Dlamini, 2009). Data collection on human resources targeted institutions ofhigher learning, that is, the University of Swaziland and Colleges engaged in S&T education,
the industrial and service sectors, and Government departments involved in S&T/R&D. A
questionnaire was designed, reviewed to establish validity and pilot tested. At least 55
institutions were requested to participate in the survey.
The survey revealed that in 2000 and 2008 respectively, Swaziland spent only 0.1% and 0.2%
of its gross domestic product (GDP) on R&D. These results are in line with the observationthat most African countries spend less than 0.5% of their GDP on R&D (Mugabe, 2006).
This figure is too low in relation to the declaration made by African States at the Organizationof African Unity (OAU) summit held in Lagos, Nigeria in 1980, where the Lagos Plan of
Action for Economic Development of Africa 1980-2000 was adopted. The declaration was tothe effect that each country would allocate at least 1.0% of its GDP to research anddevelopment. It was noted though that more studies need to be undertaken to substantiate thelevel of financial contributions made by Swaziland's cooperating partners in the area of
research. This recommendation is based on the fact that not all the institutions that had been
identified for the survey responded to the questionnaire. The largest number of researchers in2000 was found to be in Agricultural Sciences followed by Natural Sciences and the lowest wasin Engineering and Technology. Male researchers and students were found to dominate theirfemale counterparts in 2000 and 2008, particularly in the Natural Sciences, Engineering andTechnology disciplines. For example, there were only 15% female researchers in the Natural
Sciences in 2008. The percentage of female graduates in Engineering and Technology in 2008
was found to be only 12.5%.
Development of National STI Policy
Methodology
The approach used to develop the National STI Policy of the Kingdom of Swaziland,
subsequent to the policy research undertaken in 1996, 2006, 2008 and 2009, as highlighted
above, was as follows:(i) desk literature review of S&T issues, in general;(ii) review of the consultancy reports produced since 1996;(iii) identification of stakeholders to be invited to participate in the survey;(iv) conducting a series of consultative meetings and workshops(v) identification of key S&T issues as well as cross-cutting issues that provided afoundation for socio-economic development;
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Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dube(vi) undertaking a SWOT analysis of each key cross-cutting issue through group discussions
and reports from working groups;(vii) drawing up recommendations on the basis of the identified strengths, weaknesses,
opportunities and threats that had been identified;(viii) compiling proceedings of the meetings/workshops;(ix) presenting the proceedings to the stakeholders, together with a template of the draft STI
policy, for comments;(x) preparing the first draft of the National STI Policy, in consultation with the Public Policy
Coordinating Unit (PPCU);(xi) presenting the first draft of the policy to the stakeholders;(xii) preparing the second and final draft;(xiii) presenting the final draft to the Ministry responsible for science, technology andinnovation;(xiv) submission of the policy document to Cabinet by the said Ministry.
Key STI issues identified by stakeholders
The S&T stakeholders identified ten key STI issues as follows: (i) Public Understanding of
S&T, (ii) S&T Education and Training, (iii) S&T Priorities and Policy Initiatives,(iv) R&D and
Innovation, (v) S&T Management, (vi) Investment in S&T, (vii) Coordination andcollaboration, (viii) S & T culture, (ix) Industrial Development, and (x) Indigenous
Knowledge Systems. Furthermore, the stakeholders noted that there are several importantcross-cutting issues.
Cross-cutting STI issues identified by stakeholders
Experiences of Swaziland and elsewhere have revealed that there are many cross-cutting
issues that must be included when planning socio-economic development programmes. Suchissues are countless to enumerate, yet they are pre-requisites to effective and efficientdevelopment initiatives. The cross-cutting issues are listed below:(I) Information and communication technology (ICT), (ii) Intellectual property rights (IPR),(iii) Standards for quality assurance, (iv) Biotechnology, (v) Brain drain, (vi) Statistical data,(vii) Gender equity, (viii) Collaboration and cooperation; (ix) Environmental Management,and (x) Social and human scientists.
Application of SWOT analysis
A SWOT analysis approach was then employed to assess the status of STI in Swaziland,
having identified STI issues that are of critical importance to socio-economic development.
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Each of the ten key S&T issues and the ten cross-cutting issues were analysed by identifying
the Strengths, Weaknesses, Opportunities and Threats (SWOT), based on empirical evidence.
The SWOT analysis led to a number of recommendations which formed the basis for the
National STI Policy framework and made it possible to derive policies related to the issues
highlighted above.
Link between sector policies and national STI policy
The authors found it essential to ascertain whether there were linkages between the sector
policies which were enacted by Cabinet since 1995 and the National STI Policy being
developed. The sector policies in question are as follows: (i) Comprehensive Agricultural
Sector Policy (CASP) which encompasses four subsector policies pertaining to Food Security,
Forest, Irrigation, and livestock (ii) Education and Training Sector Policy, (iii) National
Energy Policy, (iv) National Environmental Policy, (v) National Gender Policy, (vi) National
Health Policy; (vii) National Information and Communication Infrastructure (NICI) Policy,(viii) National Mining Policy, (ix) Non-Governmental Organization Policy, (x) National
Regulatory and Quality Policy, and (xi) Technical and Vocational Education and Training andSkills Development (TVETSD) Policy. Given the importance of nurturing a close link
between each of the sector policies and the National STI Policy, it was mandatory to compareand contrast the two so as to identify similarities. A close link between the sector policies andthe National STI Policy was noticeable.
Institutional Framework for Implementation, Application, Monitoring and
Evaluation of National STI Policy
Implementation and Application: It was recommended that the implementation andapplication of the National STI Policy be the responsibility of the Ministry responsible forresearch, science and technology. At present, this is the Ministry of Information,
Communication and Technology. The recommendation of establishing a Directorate within
the Ministry was considered to be ideal and mandatory. The Director's Office would be
responsible for driving the implementation of the National STI Policy and would take theoverall responsibility of coordinating with all other sectors.
Monitoring and Evaluation: The Directorate would be responsible for monitoring andevaluating the National STI Policy. The Director would be expected to design a monitoring
strategy in order to ensure that the implementation goes ahead as planned. This strategy canbe designated as a monitoring index. A simple and user-friendly evaluation form would bedesigned to determine the impact of the implementation and application of the National STI
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Policy. The evaluation form would include the problems or issues that the policy attempts toaddress. There would also be a need to establish a committee to monitor the implementation
as well as to evaluate the process. It was recommended that the committee be composed ofrepresentatives from relevant Government Ministries, Public Enterprises, the Private Sector
and Non-Governmental Organisations. The Directorate of the Ministry would provide thesecretariat.
Legal framework for implementation of the national STI policy: It was recommended that a
National STI Act be enacted in order to provide a foundation for the implementation of the
National STI policy. The Act would provide for the establishment of the National STI
Directorate as a body corporate to serve as the apex body for guidance and coordination of all
STI activities under the Director's Office in the Ministry responsible for research, science andtechnology. The Act would spell out the powers, functions and administration of the
Directorate for the implementation, application, monitoring, evaluation and review of the
National STI Policy. Furthermore, it would provide for funding, support and establishment
of STI institutes, including the Science and Technology Park, and other related matters.
Review of National STI Policy
It was recommended that the National STI Policy be reviewed after a period of five years, tobe in line with the national development plans. This presupposes that monitoring andevaluation would have taken accurate and close analysis during the implementation andapplication of the National STI Policy. The review would also take into account adherence tothe policies on each STI issue, as well as collaboration and cooperation among key
stakeholders.
Lessons from the Swaziland Experience
Scanning the environment
Scanning the environment is usually considered essential and fundamental. Why? This action
enables one to better understand the surrounding or environment in which a policy is to be
designed and implemented. Furthermore, it provided possible answers or responses to all key
questions.
Recognition of existing sector policies
It is usually recommended that all existing sector policies must be recognized and considered.
The rationale is that (i) they provide guidance in identifying gaps and overlaps in the policies,(ii) one gets the opportunity to know which sector policies exist in the country, (iii) it isStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 249

Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
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Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dubeestablished which Ministries are in-charge of each sector policy, and (iv) it is established
whether or not the sector policies have been approved.
Identification of stakeholders
Identification of STI stakeholders serves several purposes. It provides insights into (i) those
who are interested in STI, (ii) the public opinion regarding STI, and (iii) value the public places
on STI.
Consultation with Stakeholders
A wide consultation with many stakeholders opens up very rich insights into planning future
actions such as the policy development process, development of an Act and debate of bills.
Involvement of stakeholders
Involvement of stakeholders, including politicians, serves several purposes. First, the conceptof the buy-in is served. Furthermore, it emphasizes the departure from planning for thepeople to planning with the people. According to Boyle (1981), involvement of stakeholders
serves the following: (i) educability of people, (ii) securing consent of the stakeholders, (iii)
gaining better insights about wishes and needs of stakeholders, (iv) social therapy, that is,

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Swaziland's Experiences with Developing a National Policy for Science, Technology and Innovation:
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Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dubeenabling everyone to speak out, (v) opportunity to teach stakeholders, (vi) a means to alter
power structure, (vii) a strategy to legitimize any programme, (viii) mobilizing resources, and(ix) an end in itself.
Summary of Policy Development Processes
In Figure 1, the process of developing the Swaziland National STI Policy is presented. The
representation is in terms of inputs and outputs. This diagram is referred to as the interactivemodel and a proposed roadmap to guide the process of developing the policy.
Conclusion
The aim of this paper was to share experiences and insights gained by the authors when
undertaking national surveys, in 2008 and 2009, pertaining to the state of STI in Swaziland.
The two surveys made it possible to identify potentials and constraints for STI in the country
and provided a base for the authors to develop the Final Draft of the National STI Policy
which was presented to the Ministry responsible for S&T in July 2011. The use of SWOT
analysis in the course of developing the policy was found to be invaluable and very
informative. Deliberations and debates by stakeholders drawn from a wide cross-section of
the Swaziland economy led to recommendations that enabled the authors to come up withconcrete policies for each of the key and cross-cutting S&T issues that had been identified.
The involvement of Members of both Houses of Parliament and the Public Policy
Coordinating Unit from the initial stages of policy formulation was paramount, as bothparties play a critical role in the final stages of policy development. The need to link policy
research with policy development cannot be overemphasized.
Recommendations
On the basis of the Swaziland experience, the authors consider the following to be, key topolicy development:(i) A survey should be conducted to identify potentials & constraints for STI policy
development.
(ii) Research policy should precede policy development as a foundation.
(iii) There is need to use, among other tools, a SWOT Analysis to pull out key and crosscutting issues.
(iv) Engagement of a cross-section of stakeholders, including Parliamentarians, isinevitable.

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References
ATPS. (2010). The African manifesto for science, technology and innovation. Prepared by:
The African Technology Studies Network (ATPS) under the auspices of the Science,
Ethics and Technological Responsibilities in Developing and Emerging Countries(SETDEV) Project.
Boyle, P.G. (1981). Planning better programs. McGraw-Hill Book Company, New York, USA.
Dlamini, M.D. (2009). National profile of science and technology (S&T) in Swaziland.
http://portal.unesco.org/en/files/47471/12668433931NationalProfileOfS/National
ProfileOfS.
Dlamini, M.D. and Dube, M.M.A. (2008). A consultancy report on the current state ofscience, technology and innovation in Swaziland. Draft Report submitted to the
Swaziland National Commission for UNESCO. Mbabane. Swaziland.
Dlamini, M.D. and Dube, M.A. (2009). Current state of science, technology and innovation in
Swaziland. UNISWA Research Journal of Agriculture, Science and Technology
12(2):110-117.
Dlamini, M.D. and Dube, M.M.A. (2011). Final Draft: National science, technology andinnovation policy. Ministry of Information, Communication and Technology,
Swaziland Government. Mbabane. Swaziland.
Makhubu, L.P. (1996). Science and technology issues paper. Final Report. National
Development Strategy, Government of the Kingdom of Swaziland.
Makhubu, L.P. (2006). Science and technology policy formulation in Swaziland. A
consultancy exploratory document for UNESCO. Government of the Kingdom of
Swaziland.
Mugabe, J. (2006). Science and technology for Africa's future: Challenges and opportunities.
pp. 13-16. In: Edje, O.T., Dube, M.A. and Dlamini, M.D. (Editors). Proceedings of aseminar on sensitising the public about the need for the development of a national
science and technology policy. Main Conference Room, University of Swaziland,
Kwaluseni Campus. Swaziland. 16 August, 2006.
Mugabe, J. (2009). Knowledge and innovation for Africa's development (priorities, policies
and programmes). Paper prepared for the World Bank Institute, February 2009.
NEPAD. (2003). NEPAD Ministerial conference on science and technology. Draft outline ofa plan of action. Johannesburg, Republic of South Africa, 6-7 November, 2003.
Proceedings of a Seminar on Sensitizing the Public on the Need for the Development of a
National Science and Technology Policy, Main Conference Room, University ofSwaziland, Kwaluseni Campus, Swaziland, 16 August, 2006. Edited by Prof. O.T. Edje,
Dr. M.A. Dube and Prof. M.D. Dlamini.
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Implications for Linking Policy Research with Policy Making
Prof. Mgidi D. Dlamini & Dr. Musa M. A. Dube

Proceedings of a Workshop on Science and Technology Policy Consultation, Esibayeni
Lodge, Matsapha, Swaziland. 28-29 June, 2007. Edited by Prof. O.T. Edje,
SADC. (1993). Report: Management workshop on science and technology. Lusaka, Republicof Zambia.
SADCC. (1991). Main report: Study of science and technology, Part 1, March 1991.
Siamwiza, M.N. (1988) Science and technology policy machinery. National Research Council.
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UNECA. (1995). Development of appropriate science and technology indicators for Africa.
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Economic Commission for Africa.
PRB. (2011). The world at 7 billion. World Population Data Sheet. Population Reference
Bureau (PRB). Washington, D

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19. Linking Livestock Research to Policyin Nigeria: Lessons from the Nigeria
Institute of Animal Science
Onyimonyi, Anselm Ego1 and Nicholas Ozor2
1
Department of Animal Science, University of Nigeria, Nsukka
Email: onyimonyi@yahoo.com
2
African Technology Policy Studies Network [ATPS], 3rd Floor, The Chancery, Valley Road
P.O.Box 10081-00100, Nairobi-Kenya
Email: nozor@atpsnet.org; sunny_ozor@yahoo.com
Abstract
The present study examines the role of the Nigerian Institute of Animal Science in midwifing and nurturing
the links between university research and industry. The Institute was established by Act No. 26 of 2007 as anagency to regulate the profession of Animal Science in Nigeria. Amongst other functions of the Institute is topromote and coordinate research efforts and other studies for the advancement of any of the aspects or branchesof Animal Science and to disseminate information relating to research results and modern Animal Production
skills and technology. The Institute is run by a Council which has in its composition, the country's Ministers ofAgriculture, Education, Water Resources, Science and Technology, and Environment or their representatives.
Also on the Council are representatives of the Nigerian Chamber of Commerce, Industry, Mines andAgriculture, Agro-allied Industries and State Directors of Livestock Services. The composition of theInstitute's Council is the first enabling interphase that has brought all stakeholders in the livestock sector
together.
The Institute is thus in the forefront of providing an institutional arrangement to midwife and nurture thehitherto missing links between university research and industry. Through the interaction at Council meetings,
researchers get acquainted with the problems of the industries and in turn re-direct their researches towards
solving these problems. It is concluded that the Nigerian Institute of Animal Science by creating an enabling
platform for practitioners in livestock sector and the universities to meet have helped Animal Scientist in
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Linking Livestock Research to Policy in Nigeria: Lessons from the Nigeria Institute of Animal Scienc
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Nigeria to do more demand driven research. This is a great result and lesson to be copied if we must advanceresearch to the end users.
Keywords: Linkage, Livestock, Research, Policy, Intervention, Nigeria
Introduction
Animal Scientists in Nigerian Universities, research institutes, governmental and nongovernmental outfits have researched vigorously into improving the genetic, nutrition,
physiology and environment of the various livestock species found in the country.
Unfortunately, these research outputs in most cases end up as hard copies of project reports,
technical papers, conference proceedings and journal articles. The import is that the potential
end-users of these important research outputs and the forerunners of these outputs such as
the agricultural extension agencies are totally disconnected from the research results. Theseend users not aware of the research findings are left with no other option than to continue
animal production the former ways they were used to. There is a disconnect between livestock
research and policy.
It has been observed that innovation, whether in technological, management ororganizational forms is a requisite for accelerated productivity and sustainable growth of theeconomy. There is today increased paradigm shift from a 'knowledge pipeline' approach toinnovation web model of knowledge generation, transmission and utilization (Eboh, 2011).
Nigerian Universities appear to be under-providing scientific and research products andinnovations to industry (profit enterprises, including agriculture, manufacturing,
construction, trade and services).
The situation is also exemplified by the under-utilization of research in policy making while
the former situation is attributable to lack of effective linkages between research and private
enterprise, the latter similarly reflect poor links between research results and policy making.
This undesirable situation is underpinned by cross-cutting weaknesses in communication,organization, institutional frameworks and incentive structures. Existing innovations andproducts are not properly and adequately communicated and disseminated to end users informs and manners that will elicit desired buy-ins. Very often, the organized private sector
depend on research and innovation systems other than the universities for scientific solutions
to practical productions, business and management tasks. Eboh (2011) reported that there iscurrently inadequate and in some cases, non existing operating framework for multilateral
partnering and innovations networking of the Universities, business community andgovernment. As a result, the Universities are not sufficiently serving the needs of industry.
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Essentially there is poor correspondence between expectation/needs of the private sector
and the research priorities in the Universities. Where they exist, they are dominantly weak andunorganized.
The above assertion by Eboh reflects the general research – policy divide in Nigerian
Universities. It is in realization of this research policy disconnect that the Nigerian Institute ofAnimal Science (NIAS) has taken the bold step to bridge the research policy divide asconcerns livestock research in Nigeria. The present paper examines the possible lessons to belearnt from the activities of NIAS in bridging the research – policy divide in Nigeria.
Historically, livestock development was heralded in Nigeria in 1900 with the establishment ofa sheep and goat centre in Olokemeji, near Ibadan. The primary attention of the then colonial
livestock administration was focused on animal health and disease control. A veterinary
research laboratory was established in Vom in 1922 which later became a centre for researchin vaccine production (Ayoola, 2001). In 1954 – 1967 only the regions had constitutional
mandate to pursue agricultural development including livestock. Ayoola 2001 further
submitted that livestock development with veterinary component subsumed was part of thegoal of regional Agriculture Ministries. However, following the creation of the first
Agriculture Ministry at the Federal level in 1967, the Federal Livestock Department (FLD)
was established.
What appears to be a conscious articulation of a policy document for livestock development
in Nigeria was launched in 1988 by the then Federal Ministry of Agriculture, Water Resources
and Rural Development. The livestock policy objectives as contained in that policy document
according to Ayoola (2001) are to:> Make Nigeria self-sufficient in the production of livestock products> Improve the nutritional status of Nigerians through the domestic provision of highprotein rich livestock products> Provide locally all necessary raw materials inputs for the livestock industry> Allow for a meaningful and efficient use of livestock by-products> Improve and stabilize rural income emanating from livestock production and processing> Effectively protect the rural livestock farmer from the unpredictable vagaries and risks
incidental to livestock production> Provide rural development opportunities through expanded livestock production andprocessing and> Effect proper land use and maintenance of the ecosystem for expanded livestock
production.
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Ayoola (2001) further observed that Nigeria has implemented four official plans in the postindependence period, but it still fails to meet the stated livestock objectives. Each plan has
consisted of programmes and projects which are articulated within the existing policy
framework and financed systematically on annual basis through the budget. In many instances
the implementation is carried out directly by the livestock department of the Agriculture
Ministry (state/federal). In some other instances separate self-accounting parastatals may
serve as implementation agency having an autonomous management status.
It is established that there is a disconnect between plan allocation and budget allocation
revealing a poor funding or implementation commitment of government in the medium
term, divergence between the actual release and the actual expenditures which suggest weak
programme accountability among the executors (Ayoola, 2001).
Bridging the Livestock Research – Policy Divide: Lessons from the Nigerian Instituteof Animal Science
The Nigerian Institute of Animal Science was established by Act. 26 of 2007,as a regulatory
agency for the practice of Animal Science in Nigeria. Persons holding Bachelor's Degree in
any Animal Science discipline or such degree recognized by the Council of the Institute asequivalent from any accredited Institution in Nigeria or abroad and has in addition had five
years approved post-graduation or post qualification working experience are eligible to beregistered as members of the Institute.
The Institute is run by a governing council which has in its composition the country's
Ministers of Agriculture, Education, Water Resources, Science and Technology andEnvironment or their representatives. Also on the Council are representatives of the Nigerianchamber of Commerce, Industry, Mines and Agriculture, Agro-allied Industries and State
Directors of Livestock services. There is also a representative of the Universities on theCouncil. This Council's composition is the first enabling interphase for all stakeholders in the
livestock industry. This common meeting point is in tandem with recommendation of theOverseas Development Institute that for RAPID outcome mapping approach there should
be an effective link between institutional partners and practitioners working on evidence
based policy processes (Overseas Development Institute, ODI, 2009). The Institute since
inception has held several stakeholders meeting with livestock practitioners on a yearly basis in
the six major geopolitical zones of the country. At its 2nd Annual General meeting held in
Kano on 27th July 2010, the President of the Institute (Prof. Placid Njoku) reported that thefollowing National livestock stakeholder's summits were held:-

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>
>
>
>
>
>
>

Poultry farmers summit, Ibadan
Pig farmers summit, Lagos
Sheep and Goat farmers summit, Katsina
Cattle farmers summit, Maiduguri
Feed millers summit, Benin City
Micro – livestock farmers summit, Enugu
Feed Ingredients manufacturers and suppliers summit, Kano

These fora enable practitioners in the livestock sector to benefit from the immense research
output of experts from universities and research institutes. It is also an avenue for researchers
to have first-hand information of the problems of the practitioners. It is the proceedings ofthese fora that brought to bare how deficient and ill equipped most Animal Science graduatesfrom our universities were to handle the problems of the farmers. Council has thus amended
the undergraduate curricula to have more practical components. Animal science graduatesmust have a one year internship in a farm to qualify as graduate members of the Institute. Thisaction of NIAS is in agreement with International best practices. For example one of themechanisms of the Medical Research Council of the United Kingdom is to bring together it
researchers with industry, include networking events for academics and industry
representatives, funding joint projects and linking units and industries[www.mrc.ac.uk/sciencesociety/Researchbenefits society/index.htm].
The Institute established centres of excellence in six universities in the country. These centresof excellence are properly equipped with the state of the art laboratory equipment that will
help researchers do better work. This has helped to upgrade the quality of Animal Science
graduates from the Universities and make them better qualified to meet the needs of theIndustries and farmers.
In 2010, the Institute initiated Mandatory Continuing Professional Education (MCPE)
Program which is aimed at enhancing the professional competences for Registered Animal
Scientists. The President of the Institute in his address during the 2nd AGM of the Instituteobserved that the MCPE program will ensure that members are up to mark with current
trends and practices in the profession. This programme will further enable members to
update their knowledge and thus better equipped to meet the needs of their numerous
clienteles.
The Institute has also established collaboration with the following bodies:> American Registry of Professional Animal Scientist.
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Linking Livestock Research to Policy in Nigeria: Lessons from the Nigeria Institute of Animal Scienc
Onyimonyi, Anselm Ego and Nicholas Ozor>>>

American Dairy Science Association
Poultry Science Association
Canadian Society of Animal Science

At the 2nd AGM of the Institute, the Institutes President reported that the collaborations will
be for purposes of cooperation in education, programs and joint certification. He further
submitted that the Institute proposed joint activities such as mutual recognition, concurrent
registration, exchanges of regulatory information between the Institute and collaborating
partners. The Institute had also submitted a memorandum to ALCORN State University
Mississippi for a partnership with the Institute in staff and student exchanges, collaborative
research and in establishment of a Swine Research and Development centre at Enugu.
It is interesting to note that these collaborations will enable the Institute in contributing totraining of practitioners that will be fit and proper to practice Animal Science in Nigeria andeven globally.
The Institute in 2010 began a comprehensive livestock Audit in Nigeria. The Audit will help toidentify and locate the various livestock husbandry practices obtainable in the different statesof the federation. The result of such audit is already being felt. There is already a bill before astate house of assembly seeking to regulate the manufacturing and sale of livestock feeds inthe state.
Such a policy will help ensure that only qualified persons are into the business of livestock
feeds manufacturing, thus promoting animal production and ensuring that only safe animal
products get to the final consumer. Agricultural extension agencies can utilize results from thereport to target development initiatives and programs for livestock farmers with the aim toboost production, minimize animal health problems and encourage the utilization of animal
products in Nigeria.
Conclusion
The activities of the Institute have helped to bridge the research-policy divide in the country
as it affects livestock industry. The emergence of the Institute has helped to create an enabling
platform for practitioners in livestock sector and the universities to meet. Animal Scientists in
Nigeria working with other stakeholder actors already identified above are now better
repositioned to do more demand driven researches that will provide answers to the problemsof the livestock industry.

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References
Ayoola, G.B. (2001). Essays on the Agricultural Economy 1: A Book of Readings on
Agricultural Development Policy and Administration in Nigeria. Farm andInfrastructure Foundation. Pp. 374-384.
Eric Eboh (2011). Linking University Research and Industry in Nigeria. Programme of
Action. African Institute for Applied Economics. Enugu.
ODI (2009). Helping Researchers become Policy Entrepreneurs. Retrieved fromwww.odi.org.uk on the 24th day of August, 2011.

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20. Women Entrepreneurship as a
Cutting Edge for Rural Development
in Nigeria
Ezeibe, Adaku Bridget Chidi
Centre for Entrepreneurship and Development Research (CEDR)
University of Nigeria, Nsukka
Email: adakuezeibe@yahoo.com
Abstract
Rural development is more than ever before linked to entrepreneurship. Institutions and individuals promoting
rural development now see entrepreneurship as a strategic development intervention that could accelerate ruraldevelopment process. Furthermore, institutions and individuals seem to agree on the urgent need to promoterural enterprises; development agencies see rural entrepreneurship as employment potential, politicians see it as
the key strategy to prevent rural unrest; farmers see it as an instrument for improving farm earnings; andwomen see it as employment possibility near their homes which provides autonomy, independence and reduced
need for social support. To all these groups, however, entrepreneurship stands as a vehicle to improve the qualityof life in communities and to sustain a healthy economy and environment.
Without entrepreneurial capabilities which are well developed or potentially available, external funds will be
wasted on projects that will not provide long term economic growth. Rural entrepreneurship stimulates local
entrepreneurial talent and subsequent growth of indigenous companies; it finds a unique blend of resources
either inside or outside of agriculture.
Therefore to accelerate economic development in rural areas, it is necessary to increase the supply ofentrepreneurs, thus building up the critical mass of first generation entrepreneurs who will take risk and engage
in uncertainties of new venture creation, create something from practically nothing and create values by pulling
together a unique package of resources to exploit. The paper therefore deals with the following three issues:
firstly, it sets out reasons why promoting entrepreneurship is a force of economic change that must take place if
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many rural communities are to survive, secondly, it deals with what policies are necessary in order to create anenvironment in rural areas conducive for entrepreneurship and thirdly, it considers developing and promoting of
women entrepreneurship as a way for sustainable rural development in Nigeria.
Keywords: Entrepreneurship, rural development, economic policies, entrepreneurial skills and women
empowerment.
Introduction
The achievement of political independence in Nigeria in 1960 brought with it a high sense of
expectations from the citizenry for social and economic development. Successive
government in the country have adopted various policy strategies ranging from importsubstitution to Structural Adjustment Programme (SAP) aimed at making the country one of
the greatest economies in the world. However, in spite of these policies and programmes andabundant resources the country is endowed with, majority of Nigerians have continued towallow in abject poverty, diseases and ignorance.
Rural development was therefore adopted as a new strategy (bottom up strategy) that will
make Nigeria one of the greatest economies in the world. Unfortunately, after over three
decades of 'romance' with this strategy, the results have not been impressive compared to theresources that have been invested. A number of reasons have been advanced to explain whyrural development has failed to make the country develop. The first reason was that majority
of Nigerians live in the rural areas but most of the resources are not directed to ruraldevelopment. In 1963 census, 80.7 % of the national population was resident in the rural
areas. By 1985 this population has gone down to 70.13% and by 1991 census went down to
61%. For overall economic development in Nigeria, the rural areas must be developed. Failingwhich, the gap between the urban and the rural development will persist and even get worse.
Furthermore, closing this gap requires active participation of women – that make up half ofthe population – in order to support security and regeneration of economic, natural, humanand social resources. Thus women should be systematically included in the development.
Rural development is more than ever linked to entrepreneurship. Institutions and individuals
promoting rural development now see entrepreneurship as a strategic development
intervention that could accelerate the rural development process. Furthermore, institutions
and individuals seem to agree on the urgent need to promote rural enterprises and both see
entrepreneurship as a vehicle to improve the quality of life of individuals, families andcommunities, and to sustain a healthy economic environment.

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The paper therefore deals with the following issues: It(1) Examines Nigeria's experience in rural development;(2) Underscores the promotion of entrepreneurship as a force of economic change;(3) Highlights the necessary policies for creation of entrepreneurship environment inrural areas; and(4) Considers women entrepreneurship as a way of sustainable rural development in
Nigeria.
Concept of Entrepreneurship
The entrepreneurship concept is the foundation for policies promoting entrepreneurship andthe key to understanding the role of entrepreneurship in rural development. Defining
entrepreneurship is not an easy task. There are scholarly books on the subjects (Byrd, 1987).
According to Byrad (1987), entrepreneurship primarily means innovation, to Petrin (1991), itmeans risk-taking, to Tyson et al (1994), it is a market stabilizing force and to Jone and Sakong(1981), it means starting, owning and managing a small business. Accordingly, theentrepreneur is then viewed as a person who either creates new combinations of production
factors such as new methods of production, new products, new markets, finds new sourcesof supply and new organizational forms; or as a person who is willing to take risks; or a person
who, by exploiting market opportunities, eliminates disequilibrium between aggregate supply
and aggregate demand, or as one who owns and operates a business (Tyson et al., 1994).
A definition of entrepreneurship in the context of rural development should incorporate theentrepreneurial skills needed to improve the quality of life for individuals, families andcommunities and sustain a healthy economy and environment. Taking this into consideration,
we will find that each of the traditional definitions has its own weakness (Tyson et al., 1994,).
The first definition leaves little room for innovations that are not on the technological ororganizational cutting edge, such as, adoption of older technologies in a developing-country
context, or entering into export markets already tapped by other firms. Defining
entrepreneurship as a risk-taking venture neglects other major elements of what we usuallyregard as entrepreneurship, such as a well-developed ability to recognize unexploited market
opportunities. Entrepreneurship as a stabilizing force limits entrepreneurship to reading
markets disequilibria, while entrepreneurship defined as owning and operating a business,denies the possibility of entrepreneurial behaviour by non-owners, employees and managers
who have no equity stake in the business. Therefore, the most appropriate definition ofentrepreneurship that would fit into the rural development context, argued here, is thebroader one, the one which defines entrepreneurship as: “a force that mobilizes otherresources to meet unmet market demand”, “the ability to create and build something from
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practically nothing”, “the process of creating value by pulling together a unique package ofresources to exploit an opportunity”. It combines definitions of entrepreneurship by (Jonesand Sakong, 1980; Timmons, 1989; Stevenson, et al., 1985).
Entrepreneurship so defined, pertains to any new organization of productive factors and not
exclusively to innovations that are on the technological or organizational cutting edge, but
pertains to entrepreneurial activities both within and outside the organization.
Entrepreneurship need not involve anything new from a global or even national perspective,
but rather the adoption of new forms of business organizations, new technologies and newenterprises producing goods not previously available at a location (Petrin, 1991). This is why
entrepreneurship is considered to be a prime mover in development and why nations, regions
and communities that actively promote entrepreneurship development, do demonstratemuch higher growth rates and consequently higher levels of development than nations,regions and communities whose institutions, policies and culture hinder entrepreneurship.
Concept of Rural Entrepreneurship
Rural development according to Bayero (in Mundi and Zakaria 2007) is the process whereby
concerted efforts are made in order to facilitate significant increase in rural resources
productivity with the overall objectives of enhancing rural income, increasing employment
opportunities and upgrading rural communities. A more comprehensive and encompassing
definition is the one given by Ndubisi (1992:218) that rural development is the developmentof moral, social, political and economic potentials of rural communities to enhance theireconomic self-reliance through provision of appropriate infrastructures such as pipe-borne
water, electricity, good roads and small-scale industries; increase in their politicalconsciousness and participation and promotion of their moral and social well-being which
result in tolerance, good disciplines, justice, fairness, kindness, love and peace.
From the above, one can deduce that rural development simply means changing the social,political and economic lives of the people living in the rural areas. The provision of social
amenities such as roads, hospitals, water, electricity and modern agro-inputs, among others,
will enhance their productivity and welfare. Rural development goes concurrently withsustainable development. The World Commission on Environment and Development(WCED) report defines sustainable development as “development that meets the need of thepresent without compromising the ability of the future generations to meet their needs(Adeokun, 2000)”. Aina et al. (1992) gave a similar but more comprehensive definition ofsustainable development. They see it as a process in which the exploitation of resources, thedirection of investment and orientation of technological development and institutional
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Women Entrepreneurship as a Cutting Edge for Rural Development in Nigeria
Ezeibe, Adaku Bridget Chidichanges are all in harmony and enhance both present and future potential to meet humanneeds and aspirations.
In this sense sustainable development reconciles economic growth of the present and that of
the future. It focuses on social justice and well-being of the urban and rural man, as well as
equal distribution and utilization of resources. Sustainable rural development approach calls
for social and economic development that meets the needs of the present and that of the
future generations in the rural areas.
Nigeria's Experience on Rural Development
Since political independence in 1960, successive Nigerian governments have been grapplingwith how to develop the rural areas. This is in realization of the fact that rural development is
the focal point of the overall economic development. Consequently, government invested
enormous resources in order to pursue rural development, which has becomes an article offaith and wonder formula for replacing poverty with prosperity in the country. Various
policies and programmes meant to transform the rural areas were therefore set andimplemented by the government. Even the development plans were geared towards thedevelopment of the rural areas. For instance, the 1962-68 and 1970-74 plans emphasized
agricultural development as a strategy for the development of the rural areas. Morespecifically, the programmes adopted for rural development ranged from the 'subsidy
approach' to the rural areas, in order to stimulate growth and development, to the 'packaged
approach', which includes the Agricultural Development Programmers(ADPS) that were allsponsored by the World Bank” (Ayodele 2003:23).
Other programmers that were lunched, funded and piloted included 'Entrepreneurship
Development Work for Yourself', EDWY (1971), National Accelerated Food Production
Programme, NAFPP (1972), Operation Feed the Nation, OFN (1976), later Green
Revolution (1979), Mass Mobilization for Social and Economic Recovery, MAMSER (1988),
the Directorate for Food Rural Roads and Infrastructure, DIFFRI (1987), to the present day
National Poverty Eradication Programme, NAPEP (2000), Poverty Alleviation Programme,
PEP (2002), National Economic Empowerment and Development Strategy, NEEDS (2004),
to mention a few. The objectives of these programmes were to develop the rural areas
through boosting agricultural production, provision of roads, water, electricity, and tooperate and administer land among others. The objectives of these programmes are very
laudable and commendable but effective performance of each of them depends on a numberof factors, some of which are:266 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Women Entrepreneurship as a Cutting Edge for Rural Development in Nigeria
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1.

Ground work acceptance of the institution, that is, the extent it is accepted by the local
community and their level of involvement from the planning to the implementation
stage;
2. Human and financial resources allocated for the running of the programme;
3. The specificity of the functions, that is the extent to which they are not overlapping withthe responsibilities of other agencies;
And the stability of continuity even after there is change in government.
Unfortunately, performances of these institutions have not been impressive. This means thebenefit of these rural development programmes have not trickled down to the masses andhave not in any way justified the massive investments in them by the government. This alsomeans that the people rural population have continued to wallow in abject poverty, diseases
and misery. The country has continued to spend large amount of money on importation offood and other basic necessities of life. The major factors being that there is lack ofentrepreneurial skills, poor women empowerment, lack of user- participation in planning andexecution, official corruption in terms of inflated contracts and invoices. Hence, the earlier
programmes like DIFFRI, OFN and MAMSER have since been put in oblivion.
Rural Entrepreneurship as a Force for Economic Change
Many examples of successful rural entrepreneurship can be found in literature.
Diversification into non-agricultural uses of available resources such as catering for tourists,
blacksmithing, carpentry, spinning, etc. as well as diversification into activities other thanthose solely related to agricultural usage, for example, water, woodlands, buildings, available
skills and local features, all fit into rural entrepreneurship. The entrepreneurial combinationsof these resources are, for example: tourism, sport and recreation facilities, professional andtechnical training, retailing and wholesaling, industrial applications (engineering, crafts),
servicing (consultancy), value added (products from meat, milk, wood, etc.) and the possibilityof off-farm work. Equally entrepreneurial, are new uses of land that enable a reduction in theintensity of agricultural production, for example, organic production.
Dynamic rural entrepreneurs can also be found. They are expanding their activities andmarkets and they find new markets for their products and services beyond the local
boundaries.
Women are behind in entrepreneurship development. Too often their names are notspecifically mentioned, although evidence shows that there are many activities in rural areas
pursued by female entrepreneurs such as trade, food processing, handicrafts, production ofStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 267

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basic consumer articles, catering, running tourist establishments, and bed and breakfast
arrangements. However, compared to male entrepreneurs, female entrepreneurs in rural areas
still tend to be limited to what has traditionally been viewed as women's activities. Also, thescale of their entrepreneurial operation tends to be smaller when compared with maleentrepreneurs.
Although agriculture today still provides income to rural communities, rural development isincreasingly linked to enterprise development. Since national economies are more and moreglobalized and competition is intensifying at an unprecedented pace, affecting not only
industry but any economic activity including agriculture, it is not surprising that rural
entrepreneurship is gaining importance as a force of economic change that must take place ifmany rural communities are to survive. However, entrepreneurship demands an enabling
environment in order to flourish.
Environment Conducive for Entrepreneurship
For successful rural entrepreneurship, there must be some sort of institutional support.
Besides individual or group entrepreneurial initiative the enabling environment supportingthese initiatives is of utmost importance.
The creation of such an environment starts at national level with the foundation policies for
macro-economic stability and for well-defined property right as well as international
orientation. Protection of the domestic economy hinders, instead of fostering
entrepreneurship. National agricultural policies such as price subsidies to guarantee minimum
farm incomes and the keeping of land in production when over-production already exists aredefinitely counterproductive to entrepreneurship. The long run solution for sustainableagricultural development is competitive agriculture. While prices can set the direction,
entrepreneurs who will meet the challenge of increasingly demanding international markets
and who will find profitable alternative uses of land, alternative business opportunities and soon are needed. Therefore, policies and programmes targeted more specifically at thedevelopment and channelling of entrepreneurial talent are needed. Policies to increase thesupply of entrepreneurs, policies developing the market for other inputs into successful
entrepreneurship, policies for increasing the effectiveness of the entrepreneurs and policies
for increasing demand for entrepreneurship can significantly speed up entrepreneurial
activities at national, regional and community levels.
The policies and programmes targeted specifically to the development of entrepreneurshipdo not differ much with respect to location. From the perspective of the process of
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entrepreneurship, whether the location is urban, semi-urban or rural is not important in itself.
For example, the needs of a would be entrepreneur or an existing small business do not differ
much from those in an urban area. To realize their entrepreneurial ideas or to grow and sustain
in business, they all need access to capital, labour, markets and good management skills. Whatdiffers is the availability of markets for other inputs.
The inputs into an entrepreneurial process, capital, management, technology, buildings,
communications and transportation infrastructure, distribution channels and skilled labour,
tend to be easier to find in urban areas. Professional advice is also difficult to come by.
Consequently, entrepreneurial behaviour, the ability to spot unconventional market
opportunities, is most lacking in those rural areas where it is most needed i.e., where thescarcity of other inputs is high.
There are reasons why rural entrepreneurship is more likely to flourish in those rural areas
where the two approaches to rural development, the bottom up and the top down,
complement each other. Developing entrepreneurs require a much more complex approach
to rural development. It requires not only the development of local entrepreneurial
capabilities but also a coherent regional/local strategy. Evidence shows that where this is thecase, individual and social entrepreneurship play an important role in rural economic, socialand community development. The top down approach gains effectiveness when it is tailoredto the local environment that it intends to support, the second prerequisite for its success isthat ownership of the initiative remains in the hands of members of the local community. The
regional development agencies that fit both criteria can contribute much to rural development
through entrepreneurship.
Other institutions that can make a difference to rural development based on entrepreneurshipare agricultural extension services. However, to be able to act in this direction, they too must
be entrepreneurially minded. They must see agricultural activities as one of many possible
activities that contribute to rural development. They must seek new entrepreneurial uses ofland and support local initiatives in this respect. While tradition is important it is nevertheless
dangerous to be over-occupied with the past, otherwise the rural community may turn into a
nostalgia-driven society. Networking between different agencies involved in the promotionof rural development through entrepreneurship, by pooling together different sources andskills, by reaching a greater number of would be entrepreneurs and by assisting a greaternumber of local entrepreneurial initiatives, can have a more positive effect on ruraldevelopment than when each agency is working on its own.

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Entrepreneurship in rural areas can benefit a lot from the so called strategic development
alliances, i.e., partnership among governments or non-profit seeking organizations,
universities and private sector.
To summarise, policy implications for rural entrepreneurship development are:
> Sound national economic policy with respect to agriculture, including recognition of thevital contribution of entrepreneurship to rural economic development.
> Policies and special programmes for the development and channelling ofentrepreneurial talent;> Entrepreneurial thinking about rural development, not only by farmers but also by
everyone and every rural development organization; and> Institutions supporting the development of rural entrepreneurship as strategic
development alliances.
Women Entrepreneurship and Sustainable Rural Development in Nigeria
Rural development is concerned with the improvement of the living standards of over 70
percent of the population of the country living in rural areas. To make the process sustainable
involves the participation of all segments of the population and requires the development ofskills, capacity and institutions to ensure effective use of resources and enhanced productivity.
In this regard the involvement of women is crucial to the achievement of sustainable ruraldevelopment in the country.
Women entrepreneurship is necessary for sustainable rural development because, despite thefact that women make up more than 50 percent of Nigerian population, they encounter many
constraints when trying to take part in the transformation process. Rural areas tend to be
more traditional in regard to the gender issue. In rural areas, the gender issue is usually a muchstronger hindering factor to potential female entrepreneurs than it is in urban areas. Theirself-esteem and managerial skills are lower when compared to urban women and access toexternal financial resources more difficult than in urban areas.
Therefore, special programmes of assistance (technical and financial) to overcome these
constraints should be developed and designed to meet the needs of rural women in order tobe able to take active part in entrepreneurial restructuring of their communities; to start todevelop their own ventures, to expand their already existing business, or to function as social
entrepreneurs since their number today is still below the potential one.

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Women entrepreneurship involves women empowerment which according to Azikiwe in(Olawamimo, 2011) means “raising the awareness and consciousness of women towards act
and laws that are detrimental to their progress and survival, it means giving women theauthority and legal power to participate without any hindrance”. Karl (in Lamidi, 2006: 109)
affirms this when he noted that it is a process of awareness and capacity building leading togreater participation in decision making process, control and transformation actions, so as toenable them perform better towards improving themselves, their families and society as awhole.
In whatever perspective one looks at it, women empowerment entails strengthening their
existing skills and capacities, equal access to participation and decision making in social,political and economic life of the society. It also means equal access of women to health care,quality education, employment, equal remuneration, occupational health and safety, social
security and public office among others. Women empowerment will therefore lead to thesustainable development of the rural areas in the following ways:> Providing the women the opportunity to participate and contribute to the health andwell-being of their families. Illiteracy is associated with poor nutrition which makes
family members vulnerable to diseases and unproductive.
> An empowered women guarantees enhanced family health which makes the process ofdeveloping the rural areas realistic, sustainable and rapid.
> Again empowerment offers women the opportunity to acquire competence andtechnological capabilities that are critical assets normally employed in developing therural areas. This makes women to produce effectively to increase the income and thewell-being of their families.
> Women empowerment will also expand their frontiers since it equips them with the skills
and competence to work in all spheres of the economy. This also makes women active
agent of rural development through agriculture, trade and industry. Women
empowerment is generally agreed to be the appropriate strategy and tactics forenhancing the participation of women in politics, governance and decision making. It
also gives women the courage to compete with men in election and political
appointments. This will again attract freedom and respect, and earn them equal
treatment with men. For sustainable rural development, women's participation inpolitics and governance must be achieved.
> Women provide the back bone of rural economy. They make up 68.8 percent of the
agricultural labour and produce about 80 percent of Nigeria's food output (Oluwamimo,
2001:63). This means that women empowerment will offer them the technicalcapabilities and knowledge necessary for modern agricultural operations. This makes
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the provision of food for the teaming population of the country sufficient andtherefore results in sustainable rural development. Empowering women througheducation and equal access to credit facilities will enable them to compete favourablywith men in the labour market. It will also give them the capital needed for theestablishment of agro-allied industries required for the rapid and sustained
development of the rural areas. The success of rural development programmes isdependent on the cooperation between men and women. It means therefore thatwomen have to be given the required support to make them active participants in thedevelopment process. Empowering women will give them self-esteem and freedom
from men servitude. This will then enhance their productivity and consequently,
promote rural development.
Recommendations
In view of the important role entrepreneurship play in the process of development and basedon the fact that most women live in the rural areas and are actively engaged in the developmentof such areas, the following recommendations are made to enhance their status and role insustainable rural development:> Government and Non-Governmental Organizations (NGOs) should organise
entrepreneurship training in the rural areas in order to facilitate the adoption of new
innovations in the rural areas;> Rural entrepreneurs should establish common projects such as:- Collective marketing,- Bulk purchasing,- Common facilities, e.g. to share machinery and equipment; warehouse, vehicle oroffice facilities,- Group-owned enterprises,- Training programmes in order to improve themselves and their enterprises.
> Government should support the initiatives of groups, private sector associations andcommunities to develop their self-help programmes.
> Government should encourage and improve the implementation of existing
regulations.
> Government should strengthen the public administration to make the regulatory andadministrative environment more conducive for rural entrepreneurs, especially, thefemales among them.
> Rural development policies and programmes such as extension services and microcredit facilities should be extended to women. A gender biased strategy should beseriously discouraged
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Corruption which is the major avenue for siphoning public funds meant for women
empowerment should be eradicated in Nigeria. This calls for the support andstrengthening of the Economic and Financial Crime Commission (EFCC) to fight thismenace.

Conclusion
This paper concludes that entrepreneurship and women empowerment must be achieved, if
the process of rural development must be sustainable. This is due to the fact that
entrepreneurship guarantees the actors' high status, self-esteem and dignity as well as the skill
necessary for rural development.
References
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Aina, T. A. and Salau A. T. Eds) (1992). The challenge of sustainable development in Nigeria.
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Byrd, W. A. (1987). 'Entrepreneurship, capital and ownership'. Washington, D.C. the World
Bank. Mimeo.
Hisrich, R. D. and C. Brush (1984) 'The Women Entrepreneurs: Management skill andBusiness Problems'. Journal of Small Business Management, 22, pp. 30-37.
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21. Towards Effective Research Uptake
and Innovative Communication of
Development Research Projects in
Nigeria
Adeyinka, Foluso Modupe and Ajala, Adebayo O.
Nigerian Institute of Social and Economic Research
PMB 5, UI Post Office
Abstract
Many studies have been undertaken in the direction of identifying why research results do not translate intodevelopment in Africa. Similarly much has been written on why there is innovation deficit in the researchsystems of many countries, including Nigeria. A common consensus that seems to run through the works ofauthors that have engaged in these debates is that, it is not only important to possess adequate scientificknowledge, but also be able to translate such body of knowledge into innovation and commercial outputs forsocio-economic development. The importance of this common consensus underscores the relationship that should
ideally exist among the key stakeholders in the process of research uptake and therefore a move from theory topractice. Research uptake, is a concept that is increasingly gaining concern among scholars. Research uptake isdefined in this paper as … “the process of becoming aware of and accessing research outputs and theinstitutions, policies, systems and mechanisms supporting this process. This process includes innovative
communication strategies as one component, which goes beyond the broad communication of research findings byengaging with potential research users in different ways and at different levels. It also includes making researchavailable and accessible to users, particularly, by creating an enabling environment. This would usually involve
interacting with other stakeholders beyond intended end users – in particular policy makers.” Research uptake
is however not a one-size-fits-all mechanism. Different types of research results, and depending on thestakeholders, will often require different types of uptake mechanisms and strategies. Major activities involved
in research uptake include the following among others: dissemination of research findings; capacity
development; collaboration between researchers and users; incentives and reinforcement; enabling environment,
and research on research uptake and use. This paper hypothesizes that innovative communication strategies will276 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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enhance effective research uptake of development research. The focus on development research in this paper isfrom the lessons of experience of the authors in socio-economic research in Nigeria. The paper starts from a
conceptual perspective and provides insights and better understanding of the steps involved in research uptake.
It highlights the current patterns of research uptake in Nigeria, and also presents ways in which socio-economic
research results are communicated. The paper makes suggestions on innovative communication strategies toensure effective uptake of research results in Nigeria.
Keywords: Research Uptake, Innovative, Communication, Development, Nigeria
Sub-theme: Research uptake, innovative communication, advocacy and brokerage
Introduction
A research process is driven by a combination of reasons which are often subjective to thenature and type of research being undertaken. The most common reason why any research isundertaken is “problem-solving” with a view to contribute to knowledge. Within the policy
research domain, the research is expected to demonstrate a problem-solving attribute in theattempt to know about the behaviour of the “system” under analysis, and consequently
package the “emergent intelligence” such that there is informed decision-making to assist
resultant interventions. An attendant reason for undertaking research in the academic field is
to publish in the research information market place to demonstrate professionalism ofscience (Nwagwu, 2005). It can therefore be assumed that for whatever type of research, there
is most likely a tendency to focus on problems in the local environment, and this is importantin order to ensure that the research has a coupling effect (demand and supply), and hopefully
will be of commercial use to the intended beneficiaries of the research output. What thismeans is that the influence of donor agencies as criteria for choice of national programmes
and activities need to be reduced. Overly dependence on donor agencies for direction has
always been one of the major limitations in the African Continent, and a result of thissituation is that programmes and research activities in this category often do not take local
conditions into consideration when choosing themes, thus producing knowledge that may
not be directly relevant to the local development agenda.
It is expected that the scientist/researcher, work in conjunction with the stakeholders34 of theresearch. The process of identifying the actual stakeholders in the system that is being
34

Sometimes the stakeholder may have an immediate problem that it needs help on and enter directly into dialogue with the researchcommunity/scientists. In other cases the researcher/scientist may have specialist knowledge about likely future events and suggest
the need for a suitable project which could enable better decisions to be made.
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investigated and the general pattern of their interrelationships is an important aspect that isuseful for understanding the expected outcomes of the research process, particularly the
research uptake.
Conceptualizing Research Uptake
There is growing research interest on the subject of research uptake and communication ofdevelopment research {Garforth and Usher, (1997); Lomas, (1997); Cross et al,(2000) and
Jones, (2011)} amongst others. One of the reasons that can be attributed to this interest is thatin spite of the huge amount of investments made in conducting research for development
and subsequent formulation and design of interventionists' projects and programmes, there
still remains a gap in the effective uptake of many of these projects and programmesinterventions and therefore a problem of translation of theory to practice. Consequently,
there are renewed concerns on what should be done to bridge the gap between research,
policy and action. A meeting to deliberate on ways of enhancing research uptake in policy andprograms was held in London in November 2010. It was attended by donors and experts inknowledge generation and brokerage, as well as policy makers from around the world. The
participants at that meeting seem to be in agreement that “research uptake” goes beyond
dissemination of research results, and that it involves the translation of the disseminatedresearch results and knowledge into innovation and commercial outputs for socio-economic
development. It was also agreed that to ensure effective research uptake, the entire research
process should take into consideration the idiosyncrasies of the local environment, and makeinformation accessible such that the outcomes become more likely to be adopted.
The importance of communication and the element of capacity building at local level are also
aspects of research uptake. Furthermore, the political and institutional context andrelationships between different actors within the environment are central to the uptake of
research35. It is along this line of thinking that Lomas (1997) posits that effective research
uptake is beyond the sound of one hand clapping. It is a move towards a new paradigm thatrecognises development challenges as a process involving collective effort, to make theconnection between research, public policy and the citizenry.
In this paper we adopt the definition of research uptake as the process of becoming aware ofand accessing research outputs and the institutions, policies, systems and mechanisms
35

The nature of bureaucratic processes (transparency, accountability, participation, corruption); the incentive system; policy
dynamics, capacity and flexibility of organizations and institutions all matter.
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supporting this process. This process includes innovative communication strategies as one
component which goes beyond the broad communication of research findings by engaging
with potential research users in different ways and at different levels. It also includes making
research available and accessible to users, in particular by creating an enabling environment.
This would usually involve interacting with other stakeholders beyond intended end users, inparticular policy makers. The activities of research uptake will include the following among
others: dissemination of research findings; capacity development; influence; collaboration
between researchers and users; incentives; enabling environment, and research on research
uptake and use. Detailed explanations of each of these activities and their respective
components are shown in Appendix 1 (work done by Adolph et al, 2010).
This paper argues that research uptake is not a one-size-fits-all mechanism, and that different
types of research results, depending on the intended beneficiaries will often require different
types of uptake mechanisms/activities and strategies. It must also be understood that research
uptake is not a linear mechanism and not a technical exercise which can be slotted into a
specified policy agenda; rather it is should be seen and accepted as a cost-effective
communication process between relevant stakeholders and/or intended beneficiaries within
the research process. Furthermore, research uptake is a process that needs to be properly
funded. The costs associated with the process must be taken into consideration from the
beginning of the research process.
The Pattern of Research Uptake in Nigeria: The National Health Insurance Scheme
NHIS as a case study
In what follows, we shall use the case of the National Health Insurance Scheme (NHIS) as aninterventionist development programme that should imbibe the usefulness of research
uptake mechanisms.
The National Health Insurance Scheme (NHIS) was set up as a social health insurance programme in
Nigeria that will ensure access to health care for all Nigerians at an affordable cost. Established by Act 35 of
1999, the NHIS traces its origin to 1962 when a bill on Health Insurance Scheme was introduced to the thenParliament in Lagos. At inception, the Scheme covered only Federal Public Servants. But in order to ensurethat every Nigerian has access to good and affordable healthcare services, the Scheme has developed various
programmes to cover different segments of the society spread across the formal and the informal sectors of theeconomy ( www.nhis.gov.ng.) However, since its launch in 2005, only 4% of the population (mainly federal
government employees) have been enrolled in the scheme despite efforts made to encourage enrolment across thecountry. Some states like Rivers, Benue, Ekiti, Akwa-Ibom and the Federal Capital Territory (FCT) haveshowed interest but only Cross River State has fully rolled in on the scheme. The NHIS programme, like many
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interventionist development programmes in Nigeria, no doubt sets out a broad framework for reform of healthpolicies and institutions associated with the delivery of the programme. But the uptake of the programme bythose for whom it is intended remains a problem. Why?
Some of the factors that might have contributed to the low uptake of the NHIS programmein Nigeria include:(i) Poor targeting mechanisms to the intended beneficiaries;(ii) Political and policy instability which often results in frequent policy changes andinconsistent implementation;(iii) Inadequate coordination of related programmes which leads to duplication of effort andinefficient use of limited resources. Overlapping functions ultimately led to
institutional rivalry and conflicts.
(iv) Severe budgetary, management and governance problems which results in facilities being
complete, broken down and abandoned, unstaffed and ill-equipped.
(v) Lack of accountability and transparency thereby making the programmes to serve as
conduit pipes for draining national resources.
(vi) Over-extended scope of activities of most institutions, resulting in resources being
spread too thinly on too many activities.
(vii) Inappropriate programme design reflecting lack of involvement of beneficiaries in theformulation and implementation of programmes. Consequently, beneficiaries were not
motivated from the outset to identify themselves sufficiently with the successful
implementation of the programmes.
(viii) Absence of target setting for associated Ministries, Agencies and Programmes.
(ix) Absence of a sustainability mechanism for the programme.
To further answer why the uptake of the NHIS in Nigeria has not been high, we shall use themajor steps of the innovation36 process to simulate activities of the health research process
and programme as a laudable intervention for ensuring access to affordable health services in
the country. We start with an understanding that the innovation process covers all inductive
and experimental stages of research from an initial theoretical concept to a proven usefulprinciple reducible to a practical product (McLoughlin, 1970). This process can beconceptualized as an enquiry that culminates in a marketable research product, and to this36

Innovation is a generic activity oftentimes associated with the survival, growth and competiveness. It is a process concerned withhe acquisition of technology and new techniques, and the development of core capabilities and competences to fully, utilize,
maintain, adapt and integrate the technology and/or new technique within an environment.
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extent, we argue that there are several series of distinct, but not necessarily linear steps. Many
authors have discussed the steps involved in the innovation process (Novick, 1960; Bright
1964; Bell & Pavitt 1993; Bamiro 1994; Oyeyinka-Oyelaran 1997; and Adeyinka 2008). A
common consensus reached by all the authors is that the process is carried out within the
National innovation System (NIS) and that it requires the collective participation of relevant
stakeholders, with proper identification of the role and impact of each stakeholder as well as
their decision/outcome.
The NIS is defined, as a network of firms and other economic agents who, together with theinstitutions and policies that influence their innovative behaviour and performance, bringnew products, new processes and new forms of organization into economic use (Mytelka,
2000; Lundvall, 1988; Freeman & Soete, 1997; Bamiro, 1994 and Adeoti el al. 2009).
Interaction among these units may be technical, commercial, legal, social or financial, in asmuch as the goal of the interaction is development. Thus, whether the end product in theinnovation process is tag ged “product introduction”, “proliferation” or“commercialization”, the important issue to note is the translation of research results into
concrete usable products and processes, and the ability to share knowledge within the NIS.
The concept of the NIS has continued to gain intellectual and practical coherence over anumber of decades, enjoying initial strong adoption by OECD and developed countries, andmore recently becoming the focus of increased attention as a means to address some of themore profound issues of development in developing countries.
Thus, whether the end product in the process is tagged “product introduction”,“proliferation” or “commercialization”, the important issue to note is the translation ofresearch results into concrete usable products, and processes, and the ability to shareknowledge within the NIS. Government R & D institutions have a particular role to play inthis regard and they have been posited to act as primary centres of innovation or coordinating
centres for interaction between universities and industry (Adeyinka, 2008). The amount of R
& D carried out by scientists in these group of institutions in developing countries is however
significantly lower than that of advanced industrial countries, for reasons such as: lower levelsof competence and capacity building; a weak regulatory control and standards for
safeguarding products of R &D institutions, particularly in the face of competition with
imported alternatives, lack of information exchange, and use of modern information
services. The potential of commercialization of research results in Nigeria is further limitedwith equally weak interactions between finance institutions and other stakeholders within the
NIS.
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As shown in Figure 1, the project cost of the conceptualization and experimental steps of any
innovation process often take no more than 10 per cent of overall total cost, and constitutes
the problem definition stage. The problem with these two stages is that the researcher often
works alone on the identification/conceptualization of the research idea (with so muchthinking and reading, and most times locked up alone in a room). Sometimes the experienceof the scientist from similar projects may provide the answer to the experiment at hand. It
must be mentioned that to a very limited extent, this may be laudable, but may not necessarilybe the priority issue at hand.

The third step of the innovation process is the prototype and initial design step, and is themost demanding in terms of financial requirements, and also in terms of skills and knowhow. Evidence has shown that over 70 per cent of a research project cost is often utilized to
produce the prototype at the product development stage. This stage of the project will
require the suppliers of input materials and in particular financiers of the project. The
requirements of this stage no doubt further underscores why great importance andconcentration should be given to the involvement of all stakeholders as customers of theinnovation process from the outset. The prototype and initial design step has been identified
as the determinant of the entire research process, and the one which may make or mar thevisibility of the research (Oyelaran-Oyeyinka, 1997). The fourth step is the stage of full blown
production and commercialization, which means that 100 per cent of costs, skills and knowhow are required. The high rise in percentage of project often constitutes an obstacle to thecommercialization step, especially where the important role of relevant stakeholders andactors of the innovation had been taken for granted. Many projects never get to this stage in
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especially if the innovation product/output/ outcome has alternatives that taken into accountthe idiosyncrasies of the local environment.
From what we know so far about research uptake, the thinking is that the NHIS, against allodds, has actually been able to survive the four major steps in the innovation process. One of
the current challenges of the programme is how to ensure that it is effectively taken up andused by the intended beneficiaries37. It is therefore logical to say that research use is the next
step after research uptake, wherein research knowledge, products or outputs are applied bytargeted beneficiaries. What this means is that the research uptake process spans knowledge
or awareness of the research result/intervention; forming an attitude towards theintervention; making a decision to adopt or reject, implementation of intervention and finallyconfirmation of the usefulness or otherwise of the intervention. Confirmation can lead toinnovative uses and the cycle could start all over again. The research uptake process ofinterventionist programme such as the NHIS should therefore start with a general/broad
dissemination of the research results, highlighting the recommendations and action plans for
all intended stakeholders and /or beneficiary. This will then be followed up by putting in placetargeted research uptake programmes for specific stakeholders, which are actually a detailed
implementation plans that is expected to translate the research action plans to development.
It is important to mention at this point that anecdotal evidence seems to show that the broad
dissemination of research results is the only aspect of the research uptake process that we
often embark upon in Nigeria. Also, targeted interventionist programmes as well as actionplans are still missing aspects of the research uptake process. This Gap is a detailed
implementation plan that is expected to translated informed policy decision through actionplans (interventions) to development outcomes, and therein lies the desirable linkage between
research and policy and vice versa.
Characteristics of the Research Uptake Process
The adoption and diffusion of research outputs, generally often tends to take an S-shaped orbell shaped curve. This curve has been arbitrarily divided into five phases to reveal the
innovative characteristic of actors who fall into these phases: namely innovators, early
adopters, early majority, late adopters and laggards. Table 1 presents a summary of thecharacteristics of actors in each of the diffusion phase.
37

How was the start up of the product NHIS programme conceived? A full-blown research may need to be carried out in thisdirection.
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As earlier mentioned, the research uptake process takes place within the National Innovation
System (NIS), which is also a social system with a set of interrelated units that are engaged injoint problem solving to accomplish a common goal. All members of a social system areinterrelated in one way or the other. Member of a social system could be class of individuals,
informal groups, organizations and/or subsystem. In other words the social system consistsof subsystems. The social system constitutes a boundary within which an innovation
diffuses. Ideas can spread from one social system to another. According to Rogers (1993),
there are some characteristics of an innovation which determine its adoption by members of
the social system. These are as follows:a) Relative Advantage - The degree to which an innovation is perceived as being better than
the idea it supersedes. This can be measured in economic terms: social prestige,
convenience and satisfaction.
b) Compatibility - It is the degree to which an innovation is perceived as being consistent
with the existing value system, past experiences and needs of potential adopters. An
innovation that is incompatible with the values and norms of a social system will not be
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c)

d)

e)

adopted as rapidly as an innovation that is compatible. One of the major reasons is thatthe adoption of an incompatible innovation sometimes requires the adoption of a newvalue system which could be a very slow process.
Complexity - It is the degree to which an innovation is perceived as different tounderstand and use. Some innovations are readily understood by members of the value
system while others are more complicated and will be adopted more slowly.
Triableness - This refers to the degree to which an innovation may be experimented within
a limited basis. New ideas that can be tried in segments will generally be adopted more
quickly than innovations that are not divisible, because people do not like
uncertainty.
Observability - Refers to the degree to which the results of an innovation are visible toothers. The easier it is for individuals to see the results of an innovation, the more likely
they are to adopt it. Visibility often stimulates the discussion of a new idea as friends,
colleagues; neighbours etc., of an adopter would often request information about theirevaluation of the innovation.

By way of summary, innovations are more readily adopted when: (a) they provide a higher
relative advantage compared to old ideas and are compatible with the existing value system of
the adopter; (b) they are readily understood by the adopter; (c) they may be experienced in alimited basis; (d) the results of the innovation are more easily noticed by other potential
adopters.
The culture, norms and value system of the members of a social system also affect the rate ofdiffusion of an innovation. Generally, there are three aspects of the social system that havebeen observed to be influential in the spread of innovations. These are as follows:
1) Opinion Leadership - the degree to which an individual is able to informally influence
the attitudes and behaviour of other members or individuals in a social system is ameasure of the individual's level of opinion leadership. In other words, an opinion
leader is someone who exerts informal influence on the attitudes and behaviour of othermembers of the social system.
2) Change Agents - A change agent is an individual who attempts to influence anotherperson's decision to adopt an innovation. They could give lectures, practicaldemonstrations, one on one talk etc.
3) System's Norms - Norms are the established behaviour patterns of members of a social
system. The system's norm and culture can also influence the adoption or diffusion of
an innovation within the system.
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Communicating Research Results to Targeted Audiences
Communicating research results and associated interventions are expected to lead to betterinformed decisions that will result in positive change. Communicating development researchis all about dissemination and diffusion or flow of information about an issue to targeted
beneficiaries. Rogers (1993) defined diffusion as a process in which an innovation or research
output is communicated through certain channels among the members of a social systemover a period of time. A communication channel is the means by which messages get from
one individual and another within the social system, while communication itself is a process
by which participants create and share information with one another in order to reach amutual understanding. Communication channels are used to transmit information on
research outputs to intended beneficiaries. There are two major types of communication
channels.
Mass media - To disseminate information over a vast area, to an audience e.g., newspapers,
internet. They are good for creating awareness. It does not lead to change in attitude.
Interpersonal channels - They influence attitudes, behaviours and ultimately influence thedecision. In this case, you communicate/interact with the person in-depth.
It must be mentioned that when it comes to the diffusion of a new idea, mass media channels
have been found to be more effective in creating knowledge/awareness about the idea,
whereas interpersonal channels are more effective in forming and changing attitudes towards
a new idea and this may influence the decision to adopt/accept or reject a new idea. It istherefore important that the right type of communication strategy is employed to get
information to the right audience at the right time.
Evidence from the Malaria Knowledge Programme of the Liverpool School of Tropical
Medicine shows that a variety of approaches can be applied to translate and communicate
multidisciplinary research; including establishing a 'common language' across stakeholders
and relevant disciplines, so that the translation of results that come about through sharedunderstanding is consistent. Effective communication of research involves the constructionof shared meaning and dialogue between different stakeholders. Turning information andknowledge into action depends on translating and communicating research results quickly
and clearly, to all relevant stakeholders. For example communicating health issue would
demand an inclusion of policy makers, donors, health professionals and civil society, within
and outside the country.
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To ensure effective research uptake, it is important that the most effective communication
channel and subsequently, strategies to meet the needs of the target audience is identified.
Within the health innovation system, for example the various target audience is statisticians,
policy makers, health workers [doctors, nurses, etc.], newspaper reporters etc. Suffice tomention that audience has inputs and play significant roles in the policy-making process
within the health innovation system. According to Easton (1953) policy-making can beviewed as involving the 'authoritative allocation of values', and when interpreted broadly can
include people making the policy as government ministers and officials, local health service
managers, or representatives of a professional body. Policy-making therefore involves thosein positions of authority making choices that have a special status within the group to which
they will apply. Substantial use of novel approaches to communicate research results torespective stakeholders within the system under study is a crucial element of an effective andinnovative communications strategy. In some cases oral communication alone or simply
writing a summary report may not get the desired results and it may be necessary to engage theefforts of intermediaries such as the media, or even extension workers.
Extant methods to promote and disseminate research findings include:> Publication of findings in scholarly journals> Presentation at national or local professional conferences> Written clinical summary statements> Poster presentation at local and national conferences> Verbal information at local unit meetings and at various hospital committee meetings> Presentation at journal clubs> Dissertations
Forums where researchers can present findings and engage in a two-way dialogue with
policymakers and donors are crucial to getting research into policy and practice. Importantly,
this includes local researchers sharing local knowledge with local policy makers. The first
outputs of most researches are technical reports. The researcher may need to re-package thetechnical reports as policy briefs for the policy makers, and also use means such as the mass
media and web-based information services to ensure that research findings receive the widest
coverage. The advent of on-line social media tools has revolutionized communications. Facebook, YouTube and Twitter are now common place in the private sector and are increasingly
being used to disseminate and share research findings. These social media mechanisms
communicate to people who do not use the more traditional communication tools such as
newspapers, magazines, television and radio. The traditional media can also be used in new
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ways while incorporating the new “social media” tools to communicate science and foster
outreach to new and established segments of society.
Towards Effective research uptake of research results in Nigeria
To ensure effective research uptake in Nigeria, the following issues need to be considered:
1. When conducting any research the goals must be explicit from inception. Where there
are stakeholders who are to collaborate, the missions of each of the stakeholders must
be clear. It is vital for all to participate at the various levels or phases of the process andbe prepared for changes or modifications in their goals as a result of dynamic issues that
may crop up in the process.
2. Capacity and skills in using evidence may be improved through training anddevelopment programmes for policy-makers and other policy agents. At institutional
level, educating administrative officials who can then introduce new decision-making
approaches to their agency is one important way to effect systemic change. Developing
in-service programmes, in which staff researched actual policy issues, resulted in a more
systematic and sophisticated approach to internal health policy analysis.
3. It is very essential for the researchers not to stop at the level of generating technicalreports but must device innovative means/strategies of communicating the research
outputs to all stakeholders including policy makers. The research product must be madeavailable to multiple stakeholders, and communicated using different methods. For
example, communicating the requirements of policy makers in any research will differ
from those of the program staff involved in program interventions, and also from thoseof the ordinary citizens who are supposedly the end-beneficiaries of the entire process.
The questions of interest to the research must have relevance to the local environment.
When a research is not conceptualized to take cognizance of the needs of the local
environment, research uptake and practice will always be a failure, in that therecommendations of such a research will not be practicable or implementable.
4. There is a need for national governments to establish regulations that will support theoutcome of the research process.
Conclusion
The importance of giving a focus to innovative communication of results to stakeholders
and/or intended beneficiaries cannot be overlooked in the bid to ensure effective research
uptake of development programmes and projects. In particular, capacity development
among the policy makers and other stake holders in the Nigeria health sector is a major factor
that has the potential of boosting interest in the transfer and uptake of research evidence into
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policy and practice, as it will positively influence governance and leadership, resources(human, material and financial), communication and quality of research.
In summary therefore, for effective uptake of health programmes, such as the NHIS in
Nigeria, collaborative identification of the “problem” and participation of relevant
stakeholders is important. Targeted innovative communication and discussion of research
results with the intended beneficiaries, as they emanate, will make whatever decisions taken
more acceptable. Capacity building in terms of training of health workers/professionals andother stakeholders as required, then becomes easy to factor in, whether at national or statelevel. Funding for the program/project, and framing the program within the larger legislative
and administrative settings in the country are also issues which need to be considered in
influencing how research is used and how policy matters are framed.
References
Adeoti, J, Odekunle K and F. M Adeyinka (2009) Knowledge for development: UniversityFirm Interaction in sub-Saharan Africa. Nigeria Country Report. A project sponsoredby IDRC ROKs.
Adeyinka, F. M (2008). Demand and Use of Information Services in Nigerian Research andDevelopment Institutions. An unpublished PhD thesis. University of Ibadan.
Adolph B, S. Herbert-Jones, F. Proctor, E., Raven and M. Myers ((2010). Learning lessons on
research communication and uptake .A review of DFID's Research and Evidence
Division's human development (health and education) and agriculture portfolios andtheir contribution to the 30% policy.Part 1 – Working Paper.
Bamiro, O.A 1994. National technology policy for development: The role of Research andDevelopment (R & D) Institutions. A paper presented at the National Workshop on
Technology Management, Policy and Planning in Nigeria, held in NISER, Ibadan.
October 18-21 1994. 41pp
Bell, R.M., and Pavitt, K.L.R., (1993). “Technological Accumulation and Industrial Growth:Contrasts between Developed and Developing Countries”. Industrial and Corporate
Change 2(2), pp 157-210.
Bright, J.R (ed) 1964). Research, Development and Technological innovations. 1st ed. Richard
D Irwin Inc. USA.
Cross, M; Roger H, Philippe and Oberknezev and Katarina Pouliasi (2000) Building Bridges.
Towards Effective Means of Linking Scientific Research and Public Policy: Migrants in
European Cities. Research Papers/Netherlands School for Social and Economic Policy
Research (AWSB). The Netherlands
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Freeman C. and Soete L. 1997. The economics of Industrial Innovation. Frances Pinter.
London.
Garforth C and R, Usher (1997). Promotion and uptake pathways for research output: areview of analytical frameworks and communication channels. Agricultural Systems
Volume 55, Issue 2, October 1997, Pages 301-322
Jones, B (2011). Linking Research to Policy. The African Development Bank as Knowledge
Broker. African Development Bank working paper, no 131.
Lomas, J (1997) Improving Research Dissemination and Uptake in the health sector: Beyond
the sound one-hand clapping. McMasters University Centre for Health Economics andPolicy Analysis.Policy Commentary C-97-1. November
Lundvall, B.A. 1988. “Innovation as an Interactive Process: From User-Producer Interaction
to the National System of Innovation” in Giovanni Dosi, Christopher Freeman,Richard Nelson, Gerald Silverberg and Luc Soete , eds., Technical change andEconomic Theory, Pinter Publishers, UK, pp. 349-369.
McLoughlin W. G 1970. Fundamentals of Research Management. 1st ed. American
Management Association, Inc
Mytelka, L.K.2000. Local systems of innovation in a globalized world economy. Industry andInnovation 7.1:33-54.
Novick, D.1960. Four steps of the research and development process: RAND Corporation.
Nwagwu W. 2005. Deficits in the visibility of African Scientists: implications for developing
ICT capacity. World Review of Science, Technology and sustainable Development 3: 2
12-27
Oyelaran-Oyeyinka, B. (1997) Industrial Technology Policy - Making and Implementation in
Nigeria: An Assessment, NISER Occasional Paper.
Oyelaran-Oyeyinka O, Laditan G.O.A and F. M Adeyinka (1998). Strategic management of S
& T Policy in Nigeria. A Consultancy Project funded by Carnegie Corporation of New
York (1998- 2002).
Yarbrough, P, Klonglan, G. E and J. M., Bohlen. (1995). Communications and the Adoptionof Technology and Social Change. A paper presented at the Development and Support
Communications (DSC) Concepts and Strategies Workshop, June 26- 30 1995 Under
the IOWA Nigerian Universities Linkage Support Programme, held at the University of
Ibadan.
Bio-data
Foluso Adeyinka is a Senior Research Fellow in NISER. She holds a doctorate degree inInformation Science from the University of Ibadan. She also holds a Master's Degree in
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Adeyinka, Foluso. Modupe and Ajala, Adebayo.O

Technology and Innovation Management from SPRU, University of Sussex, Brighton, U.K.
Foluso's major research interest is in the area of Science and Technology Policy, with a focus
on ICTs. She is a member of ATPS.
Adebayo Ajala is a Senior Research Fellow in NISER. He holds a Ph.D. in Sociology(Demography) from the University of Ibadan. He also has a B.Sc. in Computer Science. His
area of interests spans Gender-based violence, Reproductive Health and Development
Studies. Adebayo belongs to many learned academic groups.
Appendix 1:
Categories and Explanations of research uptake mechanisms
1. Dissemination (message): “Conventional” research communication i.e. research outputs are
circulated or presented in a more or less tailored form to different audiences- Publication of research findings in journals/bulletins/summaries/briefing
reports/newsletters- Oral presentations of research findings in seminars/ conferences both attending
conferences organised by others and hosting own conference- Alternative presentation of research findings using alternative formats like
videos/audio tapes/poster presentations/communications events- Dedicated research programme/organisation website- Mass media presentations of research findings via newspapers/radio/TV.
- Working with/contributing to communication intermediaries who translate or
re-package research outputs for particular intermediary communication user groups
e.g. journalists, research communication programmes- Research product dissemination on a limited scale and/or to intermediaries e.g.
disseminating prototypes of technologies for large scale production and distribution,disseminating limited amounts of breeders‟ seed to NARS/private sector- Research access improving access to research findings through:- circulation of research, intra-organisational distribution of research byindividuals or by information services- encouraging discussion of research via journal clubs/e-mail discussion groups- online database access/repository and/or conducting searches for individuals- open access systems to publish and retrieve research- Research-based guidance including preparing and providing guidance forpractitioners and policy makers based on research findings e.g. policy briefs, goodpractice guides, toolkits, literature reviews, research synthesis and systematic reviews
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2.

Capacity development (learning): Specify whose capacity is build in what
- Educational materials including printed or online materials and curricula
development- Staff development and training continual professional development including
sponsoring postgraduate courses/PhDs, study tours, secondments, staff exchange,
mentoring, pairing, peer review- Interactive training and outreach including field days, courses in critical appraisal
skills, writing skills, workshops to relate research evidence to daily practice, face-toface visits to practice settings to change practitioner behaviour- Providing expert support for research impact activities e.g. research support forpractitioners to conduct research or to test out research findings in practicecontexts/or information scientists to assist search for relevant research- Organisational/institutional strengthening in general including non-specified
capacity development

3.

Influence (social influence): Changing norms and values in order to change behaviour- Endorsement using opinion leaders/product champions/professionalorganisations to influence a particular target audience(s) by endorsing researchfindings/research-based guidance/practice or policy based on research and awards
for research- Lobbying to policy makers or government e.g. writing letters to key
influential/relevant policy makers, or lobbying local and national government, or
contributing strategic inputs to DFIDs investment programmes including PSA
countries- General advocacy and giving voice to unrepresented groups

4.

Collaboration (communication between researchers and users)- User involvement in governance and research planning involving policy
makers/users on governing boards/steering committees, in defining and managing
research programmes/ business plans- User involvement in implementation including through regular working
meetings and reviews between research generators and users- Collaboration with business/industry Business partnerships for research andcommercial product final-stage market development and commercial uptake,business challenge funds which link research outputs to business/industry

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-

-

-

Research-in-practice Testing and applying research findings and products in local
contexts together with users e.g. testing agricultural practice with multiple partners,
multi-location drug trials, , ,Networks and information exchange including research/policy networks / orpractitioner networks for disseminating research findings to foster debate on policy
or practice options, partnerships such as innovation platforms and other multistakeholder partnerships
Boundary spanners Developing individual roles which span research-user
contexts e.g. researcher-practitioners as policy brokers

5.

Incentives and reinforcement (motivation through reward): Targeted at researchers
and at research users- Research incentives for researchers /sub-contractors within programmes toengage in activities which make research available, accessible and useable including
ring fenced funding for communication. Financial allocation to research users to callfor evidence-based policy or practice e.g. implicit financial incentives such as fee-forservice. Explicit financial incentives such as bonuses or withholdings- Reinforcement/feedback including peer review feedback/ cost information
feedback / audit and feedback

6.

Enabling environment (facilitation)- Organisational structures, systems and processes, including changes inleadership, decentralised decision making, development of communication
channels, support conducive organisational systems and processes- Communication strategy preparing one and assigning resources for its
preparation and implementation- Legal and policy arrangements including regulatory approval- Investing in / supporting communication/uptake infrastructure includingtransport, facilities, IT systems and services including internet connectivity- Diversifying/multiplying funding for research

7.

Research on research uptake and use: Research on key issues relating to research uptake anduse- Barriers to research uptake including research on regulatory barriers affecting
technological innovation for poor people, and develop plan of action and efforts toremove them e.g. policy, legislation, products registration, Intellectual Property
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rights; the use of ICT for direct user uptake, research on targeting those notcurrently reached- Monitoring and evaluation, and impact studies on research uptake and use,
including monitoring and evaluation of communication strategies- Models for better uptake: Understanding uptake mechanisms and how research
outputs can best be delivered to users
Source: Adolph et al (2010). Learning lessons on research communication and uptake. A
review of DFID's Research and Evidence Division's human development (health andeducation) and agriculture portfolios and their contribution to the 30% policy. Part 1 –Working Paper.

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22. From Economic Growth to
Sustainable Development: Challenges
and Opportunities for Realistic Policy
Responses
Chidi Magnus Onuoha
Green Economics, Abuja, Nigeria
Abstract
Development in the 1950's was seen as enhanced economic growth of national income. For instance Lewis(1954) focused so much attention on the question of economic growth that he felt that economic development was
the process by which a given society changed from a 5 percent saver and investor to that of 15 percent. This focus
was influenced by Harrod-Domar Model in which savings and investment were principal determinant ofgrowth. Even the United Nations declared the 1960's as the first development decade and as such development
was conceived in terms of the attainment of 6 percent annual rate of GNP for the Less Developed Countries(LDC's). Therefore, it could be seen that in the 1950's and 1960's economic development was seen largely interms of growth in per capita income. In addition, investment financed by savings was seen as an engine of
growth and hence development. In essence, the low level of savings in the Less Developed Countries (LDC's)
was seen as a major constraint in their development. However, when in the 1970s it became evidently clear that
despite the fairly good records of growth in gross national product (GNP) of Less Developed Countries(LDCs), the vast majority of the people of these countries appeared to have benefited very little if at all fromthe growth of their respective nation GNP. Therefore, economists and other social scientists began to think of amore meaningful perception of economic development. They argue that if poverty, inequality, andunemployment have all worsened for a given society over a period of time, then it would be absurd to label the
result development even if per capita income had doubled during the period. Economic growth thus was not
sufficient in the struggle against poverty. It was complemented with a set of social and related policies, which not
only target the most impoverished but also empower the poor through productive employment, access to resourcesand delivery of basic social services like education, health and water supply. In the 1980s, development theory
was broadened to embrace sustainable development - reflecting increasing concern about the environment. The
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state of the environment is the major determinant of the growth and development objectives of any nation andhas pervasive effect on the safety and standard of living of the populace. Unfortunately, after nearly three
decades of sustainable development, we have become complacent with the notion of sustainability. The concept
needs to be managed, planned, and administered, in the line of resource allocation, management, andconservation. All these will require significant institutional and cultural changes in order to achieve asustainable society. This paper argues that it is only the introduction of a holistic multi-disciplinary andenabling model as provided by green economics and as reflected in the four thematic areas-economic/ecological,
intellectual/reality, political/Structural, and morality/poverty issues, would deliver changes whichsustainability requires. Effective and realistic sustainable development policies could be initiated throughinnovations of individuals, special groups, industry, government and the international community. Suchinitiatives and innovations include Green GDP Initiative (GGDPI), Small Group Tree Planting
Initiative(SGTPI), Briquettes- Alternative to Fire Wood Initiative(B-TFWI), Green Wall Sahara
Vulnerability Initiative(GWSVI), Green Oil and Gas Mandate(GOGAM), Campus Project Greening
Initiatives(CPGI) and Climate Science Development Studies Agenda(CSDSA). Government, trade
regimes and Multinational Corporation have a responsibility in strengthening partnerships, promoting
technological innovation and facilitating global programmes in environment, employment, human health andfreedoms.
Introduction
Past growth pattern adopted world-wide were highly dependent on excessive use of natural
resources with very little consideration for its replenishment. These patterns have createdserious environmental problems such as persistent degradation of the environment andincreasing loss of her natural resources, decreasing natural habitat and fragile ecosystem thus
precipitating diminishing biodiversity, exploitation of natural resources - accelerating at an
unsustainable rate which is higher than the rate of replenishment and /or replacement, landdegradation, as well as human induced environmental disasters. In a bid to find solution tothese problems, development theory was broadened to embrace sustainable development reflecting increasing concern of the environment. The credit goes to the World Conservation
Strategy of 1980 for stressing the importance of integrating environmental protection andconservation values into the developmental process.
Sustainable development
The term 'sustainable development was brought into common use by the World Commission
on environmental development (The Brundtland Commission) in 1987, calling for thedevelopment that “meets the need of the present generation without compromising theStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 297

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needs of the future generations”. This definition emphasizes a focus on both equity (meetingpeople's needs) and long term impacts of current behaviour and decisions on future
generations. The Brundtland Commission report also highlighted the need to simultaneously
address developmental and environmental imperatives.
Sustainable development has varying definitions. But for purposes of this paper, it is thestrategy of managing all natural, human, financial and physical assets to achieve long-term
wealth and well-being. This definition entails control over the mobilization and utilization of
resources to ensure that benefits accrued are used to maintain and improve the asset base, andfor its effectiveness, local control must be central. Hence, countries and regions world-widemust be prepared to take control over the depletion of their resources and distribution of
benefits accrued to ensure sustainable development.
Sustainable development is further premised on the fact that over half of the world's
populations live in countries that are struggling to develop adequate mechanism for income
and employment generation. In effect, practices in those countries are suffering fromenvironmental stress as they increase their dependency on natural systems. Changing
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situation in these countries presents a major challenge because some of the past development
strategies cannot be repeated. They will continue to widen the gap between the rich and thepoor and worsen environmental problems. Current practices have led to major differences in
the world regions and equity problems. As a result industrialized countries enjoy economic
affluence but have weaknesses such as over-consumptive habits, excessive waste productionand emission of adverse gases. Relatively few have benefited in poor developing countries,
majority continue to suffer from poverty and human misery along with degraded local
environment. Hence new equitable development paths are required.
Green Economics: Building Block for Sustainable and Equitable Development Paths
Sustainable development introduced to the international community over two decades ago isstill in its infancy in terms of practical application. We have become apathetic with the notionof sustainability over the years that we forgot that it is a concept that needs to be managed,planned and administered, in the line of resource allocation, management and conservation.
This will inevitably require institutional and cultural changes. A holistic (multi-disciplinary)and enabling model as provided by green economics is a major building block that will deliver
the changes that sustainability requires. A cursory look at the justification of the model and its
attendant thematic areas will suffice.
Green Economics: Justification
Green economics as a holistic, multi-disciplinary study is an understanding that the economy
operated by human beings is dependent on the natural world and could not exist without it. It
pre-supposes an interaction between human economic activities and the natural world such as
land, water, minerals, seeds, animals, and the atmosphere. It also entails that the preconditions for economic activity inherent in the discipline reveals a far richer picture than theconventional economics which tends to take all these human pre-conditions for granted andbegin to study the economy. The economy would be impossible without the following preconditions-'preparation' of human beings through birth, looking after babies and children,
education system, health services and existence of basic features of life such as language,
sufficient degree of trust and cooperation among people. These pre-conditions could be
investigated within the ambience of sociology, history, anthropology and religious studies.
Green economics would also have both psychological and philosophical dimensions. Fromthe psychological prism, rather than making simplistic assumption about a rational man
seeking his utility, it posits that it would be more realistic to actually look at evidence abouthuman behaviour and the factors which influence people in deciding what to buy, what jobs toStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 299

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do etc. Psychological perspective is not purely an individual matter; it also considers whole
cultures and influence they have. The philosophical assumptions basic to the culture entails
we look at the key concepts of economics such as production, consumptions and investment
by asking what they mean, what they exclude and where they have come from. Theseassumptions should not be taken as given.
Green economics is also synonymous with rapid technological change. Technology is notanother black box (input) taken as given. Technology is not a short term phenomenon but along term one. Green economics is concerned with long term change. Green economics also
posits that economic life cannot be value-free. It is not sensible to let our values in economics
be subjected to the whims and caprices of wishful thinking and jumping into abstractconclusions.
Green Economics and Sustainable Policy Dialogue: Unveiling the Thematic Areas.
From my knowledge and understanding of green economics over the years, and for effective
research capacity building and sustainable policy dialogue programs, four thematic groups
have emerged: Ecological and Economic Issues(EEI), Intellectual and Reality Issues(IRI),
Political and Structural Issues(PSI) and Morality and Poverty Issues(MPI). The thematicgroups are the building blocks of the research programme. They constitute the research hubs
for producing frontier knowledge based on teamwork, international research networking,scientific validation and quality assurance.
A) Ecological and Economic Issues (EEI)
Here we shall engage in the discussion of the fact that there is an overwhelming evidence thatthe resources of the planet are being annihilated, plundered and disturbed(Goldman 2005),
putting paid to the argument by mainstream economics that these resources which are inabundance and available to be raided are indeed becoming scarce (Broswimmer,2002). Such
topical issues to be discussed here include but not limited to the following: Limits of growth,
ecology and nature, emphasizing on the appropriate size and scale of production,
management of consumption, downwards-reuse, reduce, recycle, repairs and transparencyof the supply chain. Population issues and the concepts of 'browning' and 'greening' will also
be discussed here as well.
B) Intellectual and Reality Issues (IRI)
Here green economists will justify their much longer terms than the short term business cycle
found in neoclassical and business school of economics. They take a long term through300 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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anthropology, archeology, and environmental science and use this knowledge to filter theiranalysis of economic decision-making. The holistic and multi-disciplinary nature of green
economics will be amplified here. It is the very economics of interconnectedness as there is no
human activity, and no part of the planet that is not of interest to the subject. Issues to beengaged here include but not limited to the following: reformulation of demand, supply andgrowth, long termism, holism, new relationship to science/natural sciences and technology(Green Technology), and specific examination of issues temporally and spatially.
C) Political and Structural Issues (PSI)
Here we shall engage in research that seeks to reconnect the values and costs of transaction in
the natural world with social structures. This will seek to enhance local economy, supportsbioregional development, democracy and access to all and seeks global governance throughnew institutions designed for this purpose. Accordingly such issues as progress made in theeconomy measured by new indicators (Green GDP), wellbeing, quality of life, sustainability,
long termism, examination of power structures, reformulation of global institution toprovide global governance, among others will be discussed here.
D) Morality and Poverty issues(MPI)
Here earlier moral concerns of economics are reincorporated taking cognizance of one-fifthof the earth's 6.3 billion people still trapped by life-threatening poverty. These are in the formof social and environmental justice, inclusiveness, equity and accessibility. We shall explore
how the 'invisible hand' (Smith, 1776) will be assisted by the use of data from natural sciences
on resource potential and from social science about needs, right, requirement and local
conditions. Hence appropriate decision will be taken which allows access and transparency foreveryone. Issues to be engaged here include among others-regional locally diverse anddemocratic solutions, using analysis of power relations and institutions, feminist analysis of
patriarchy and accumulation, critique of tickle down theories and wealth creation with local
power decision.
Challenges and Opportunities for a Realistic Sustainable Development Policy
Response in a Green Economy
1) The Green GDP Initiative (GDPI)
The major challenge of a green economy is to change how wealth of the earth is measured notjust in terms of money (GDP), but indicators that reflects its true value by providing a home
for humans and other species (Green GDP). Ecosystem services such as protection from
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flood, maintenance of clean water supplies and carbon storage are linked to biodiversity andare vital for human survival as they help to regulate the climate of the earth. Unfortunately,
they are being degraded as habitats are destroyed and biodiversity lost mainly as a result of
human activities. But there are costs associated with ecosystems services in terms of theirintrinsic value as well as there are major costs associated with loss of biodiversity. Currently,
ecosystem services are mostly public good. They are not included in current markets and havenot been attached any economic value and thus not included in the current economic system.
Therefore, the economic costs of ecosystems degradation and biodiversity loss have not been
included in economic policy. Estimating both the value of ecosystem services and the costsof biodiversity loss provides a sound argument for biodiversity protection, thus repairing
society's defective economic compass and provides decision makers with information tocreate new policies, modify old ones, and create new markets.
However, effective and realistic sustainable development policies could be initiated throughinnovation of individual, special groups, industry, government and international community.
Some of such initiatives and innovations that form part of long term programs of Green
Economics Nigeria include:2) Small Group Tree Planting Initiatives (SGTPI)
Through the NMA baseline methodology (simplified methodology for small holder AIR inareas undergoing continued deforestation), the tree planting work of small groups of 6-12
participants can be established in various communities.
The program would involve thousands of individual groves (units) planted by thousands ofsmall groups. Trees will be planted around their homes, gardens, fields and villages. Unlike themonoculture plantations, most of the groves would be less than 1 hectare in size. Each grove
would be identified with a unique number and geographic coordinate. The total number of agrove would be the boundary of the project.
By growing enough trees, participants would be able to sequester carbon and take advantageof the natural mortality of the trees and get fuel from their own groves. Furthermore, a
successful program should attract additional income for participants from carbon payments
by the United Nations that can serve as alternative to investments in this period of economic
meltdown which has made investments in shares less attractive.

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3) Briquettes-Alternative to Firewood Initiatives (B-ATFWI)
A briquette can simply be defined as a compressed carbonized charcoal dust, or biomass, used
for fuel and kindling. Over the years, large quantities of wood wastes (residues) like saw dust
and other residues like rice husk, groundnut shell etc. have been produced as a result of
forestry activities, timber production, and agro-industrial processes.
Being regarded as waste and valueless, these wood residues are often left to rot away or burnt
indiscriminately thereby causing more environmental and health hazards to the citizenry byreleasing GHGs like carbon dioxide, hydrogen sulphide, and sulphur dioxide. Carbonizedbriquettes from briquette plants do not release carbon dioxide into the atmosphere thereby
making it an environmentally friendly energy sources. Briquetting projects could be eligible
under the market based mechanisms of the Kyoto Protocol for certified carbon emission
credit earnings for sustainable development.

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4) Green Wall Sahara Vulnerability Initiatives (GWSVI)The Green Wall Sahara Program is a program aimed at checking the advancement of Sahara
Desert into the hinterland through massive afforestation and reforestation andindustrialization initiatives. In order to ensure a sustainable realization of the African
program, the GWSVI as a proposal is set to address the vulnerability of countries affected bydrought and desertification. The Nigerian model - the Green Wall Sahara Nigeria Program(GWSNP), a strategy of greening the desert prone and desert infested eleven (11) states ofNorthern Nigeria will be used as case study.

5) Green Oil and Gas Mandate (GOGAM)
Fossil fuel is expected to continue to play a dominant role in the energy mix in the foreseeable
future, hence it is important to promote the development and dissemination of clean fossil
fuel technologies. These technologies if developed and applied will significantly reduce CO2
emission from oil and gas to the benefit of both producers and consumers.For instance, theCarbon dioxide Capture and Sequestration (CCS) technology if developed along with othermitigation measures could significantly reduce the cost of stabilizing GHG concentrationand increase the flexibility to achieve our objective in the context of sustainable development
by helping to increase the Clean Development Mechanism (CDM) projects in the oil
producing developing countries.
6) Campus Project Greening Initiatives (CPGI)
It is a project initiated by Green Economics Nigeria, in collaboration with the University of
Nigeria Nsukka located in the South East of Nigeria, where a dynamic Campus Verde304 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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Innovation Club (Green Economics Club) with over 60 members under the guidance ofCentre for Entrepreneurship Development (CEDR) University of Nigeria, Nsukka is
promoting the awareness about the importance of living in harmony with our environment ina sustainable way as well as adopting the attitude of saving culture in our tertiary institutions.
The focus is on green transportation, recycling, nature (tree planting and tagging), energy andwater conservation and other outreach programs. The programs are designed to offer an
excellent means of business and mind-set amongst students with particular attention topractical application of technology in today's business. Getting students involved in carbon
offsetting programs by reducing emissions, no doubt is a strategic measure to mitigate climatechange.
7) Climate Science Development Studies Agenda (CSDSA)CSDSA program is aimed at influencing curriculum development and knowledge of climatechange in tertiary institutions. The proposed curriculum challenges students to seek

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integrated approaches to the study of health sciences, social sciences, natural sciences, andmanagement. Integrating these core disciplines will provide students with substantive
knowledge required to analyse and diagnose multi-dimensional problems of malnutrition,
extreme poverty, climate change and infectious disease control. Likewise, tackling hunger
requires an understanding of agriculture, which in turn requires an understanding of thewater systems, which in turn requires an understanding of the climate patterns, which in turnrequires an understanding of global energy systems.
Conclusion
As earlier stated past economic growth pattern adopted world-wide were highly dependent
on excessive use of natural resources with very little consideration for its replenishment andthese created environmental problems. In finding solution, sustainable development cameinto the development theory lexicon, stressing the importance of integrating environmental
protection and conservation values in the developmental process. Over the years there havebeen some challenges in terms of complacency with respect to practical implementation ofsustainable development policies and practices. These challenges could to a reasonable
extent be addressed if the aforementioned initiatives discussed here are implemented. It ishigh time development practitioners and indeed developed countries realized that there is analternative to the rampant economic growth, and developing countries should invest in
capacity building in order to increase their self-reliance. Finally, in order to ensure a realistic
sustainable development policies and practices, governments, trade regimes andmultinational corporation have a greater responsibility in strengthening partnerships,
promoting technological innovations and facilitating cooperation in global programs on
environment, employment, human health and freedom.
References
Anderson, V. (1999). Can there a Sensible Economics? In: Green Economics, Beyond
Demand and Supply to Meeting the Peoples Needs. Green Audit. Aberystwth.
Anderson, V. (2006). Turning Economics Inside Out. IJGE, Vol. 1, Nos ½ Inderscience Ent.
Ltd. UK.
Akpakpan, E. (1999). The Economy: Towards a New Type of Economics. BELPOT (Nig)
Co. Portharcourt.
The Green Economy. (2010). A Publication of Green Economics Nigeria.
Lewis, A (1954). Economic Development with Unlimited Supplies of Labour'. Manchester
School of Economics and Social Studies, Vol. 22, May.
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From Economic Growth to Sustainable Development: Challenges
and Opportunities for Realistic Policy Responses
Chidi Magnus Onuoha

Lunn, C.E. (2006). The Role of Green Economics in Achieving Realistic Policies andPrograms for Sustainability. IJGE. Vol. Nos.1/2, Inderscience Ent. Ltd. UK.
International Commission on Education for Sustainable Development Practice (2008)
Masters in Development Practice Programs. Macarthur Foundation. Earth Institute,
Columbia University.(Oct. 30)
Chidi M. Onuoha. (2008). Sustainable Development and Poverty Reduction in Nigeria. In:
Proceedings of Green Economics International Conference, Mansfield College,
Oxford University, UK. (July 18-19, 2008) pg.123.
Onuoha C.M. (2009). A New Deal on Environment, Employment and Sustainable
Development (Unpublished)
Scottcato and Kennet. (1999). An Introduction to Green Economics. Green Audit.
Aberystwyth.

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23. Knowledge Transfer, Policy,
Innovation Systems and Civil Society
in the Energy Market
David Ndegwah, Lynn Vanheule, Otto Kroesen and Linda Kamp
Abstract
This paper goes into the scientific underpinning of development policies, based on experiences in a student
internship program, organized by Tangaza College in Kenya and the Delft University of Technology in the
Netherlands. It focuses mainly on experiences in the energy sector. On the level of technical expertise,organization and management, an important issue appears to be the transfer of knowledge and skills on a large
scale as well as the formation of an innovation system. Separate pilot projects or experiments will not survive inan environment in which only some people have experience with the technology – such that only they can manage
and repair it. This underscores the need for a system change, which can be accomplished by means of joint actionof European and local institutions of higher learning, NGOs, government bodies, vocational training etc. On
the cultural level the main obstacle is the compartmentalization of the Kenyan civil society. Kenyan companies,
government bodies and NGOs often maintain a culture of closed “we” groups. At the background is thecomplex relationship between state and society. The reason for this complexity is that an open civil society can
only function if a strong and accountable government enforces universalistic rules so that particularistic mindsets and patronage systems cannot obstruct an open process of constantly regrouping of social actors. The
authors also provide some reflections on this larger socio-political framework. The use of insights from researchsuch as the case studies presented in this paper for formulation of policy and management guidelines canstimulate more openness and cooperation between different stakeholders.
Keywords: innovation systems, knowledge transfer, policy guidelines, technology implementation, small windturbines.
Introduction
For Africa it is imperative to participate competitively in the global economy. During the
1980s, China and India found ways to enter the global market on a large scale because of ever308 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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rising wages in Western economies. Africa however, finds this place in the world economy
already occupied (Collier, 2007), and has a hard job even to compete with China and India in
its own markets. Africa largely exports minerals and imports finished products. The challenge
is to find ways to increase production first for internal markets but also and soon thereafter for
external ones too.
This paper goes into the scientific underpinning of development policies, based on
experiences in a student internship program, between Tangaza College (Kenya) and TU Delft(Netherlands). The paper presents case study insights on facilitators and bottlenecks for
implementation of new technologies in Kenya. The main focus is on experiences in the local
energy sector targeted at increasing local production. It is the contention of the authors thatthe technology per se is not the main problem, but that bottlenecks can be found in building
up a network between relevant stakeholders, knowledge transfer and wider socio-institutional
issues. The paper links these issues with cultural factors present in the Kenyan society, related
to the specific cultural transition that Africa in general is going through. The paper also
reflects on the larger issue of the problem of development in Africa. According to the paper,the old tribal and rural values do not perform well anymore for two reasons: the present large
scale socio-technical, economic and political systems have uprooted the refined fabric oftribal societies including its controls on arbitrary governance. Secondly a fully open civilsociety oriented set of values, which in new ways puts checks and balances on government
institutions designed for a larger scale is not yet fully in place (Wiarda, 2003). Insights from thecase studies presented and analysed in this paper can help in the formulation of ideas on how
to overcome these bottlenecks and corroborate the important role of research-based policies.
Cooperation between Tangaza College and TU Delft
Since 2008, Tangaza College and TU Delft have been cooperating in a student internshipprogram on the management of technology transfer. Tangaza students have been involved bymeans of an “Intercultural Virtual Seminar”, whereas Delft students did internships on solar
energy, wind energy, biogas, check dams, wetlands, and solid waste management, to mention
but a few. These internships aim at a solid scientific research base for the management oftechnology by means of feasibility studies, business plans, and so on.
The internship assignments comprise of three levels of analysis:
1. Technical expertise
2. Management and organization
3. Cultural analyses as part of technology transfer.

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The Intercultural Virtual Seminar for Africa started in year, 2008, on the occasion of 165thbirthday of TU Delft, which was devoted to technology and development for Africa. During
the years 2008 and 2009 two experiments were conducted in virtual cooperation. The first one
was between Tangaza College in Kenya and Delft University of Technology and involved agroup of 10 students from each side. It worked around the themes of health,entrepreneurship and water. After this first experiment Dr. Ndegwah visited Delft Universityof Technology in order to help prepare the second round which included Mekelle University
in Ethiopia, and also involved some 10 students from each partner institution. It focused on
the themes of water shortage, green energy and disposal methods of solid waste. For the
students as well as for the teachers, these two experiments were an impressive learning
experience in intercultural cooperation. It gave the students a sense of shared responsibility
for a common future and a new perspective on their own situations.
Later that year, Dr. Otto Kroesen visited both Mekelle (Ethiopia) and Tangaza (Kenya),
where it was agreed to complement IVS by internships, master theses, research cooperationand projects by the staff. This was meant to add value to development policies, in theframework of the social network of government institutions, vocational training centres,
NGOs and so forth. This was the birth of current internships in the context of an incubator
or innovation system involving various social, civil and academic actors.
Experiences with internships, some examples
On the level of technical expertise, organization and management, one of the important
issues appears to be the transfer of knowledge and skills on a large scale. Separate pilot
projects or experiments will not survive in an environment where only some people haveexperience with the technology – such that only they can manage and repair it. The current
cooperation between Tangaza College and the Delft University of Technology, aims ataddressing this discrepancy. Its original goal was to investigate how students in Kenya and in
The Netherlands could work together on a project about sustainability by means of virtual
communication through the internet, but later it evolved into a larger incubator mode ofcooperation.
In the first round of IVS the work of the students resulted in some reports describing thesituation in Kenya and some ideas of which one in particular had a concrete impact. During
the discussions it appeared that small business entrepreneurs (locally referred to as hawkers)
have problems in selling their products in the streets of Nairobi. There was lack of space andwhen the sellers occupy parts of the streets, they are chased away by the city council askaris(police). The Dutch students suggested to the Kenyan students to arrange a specific day (or310 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

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days) in a week and make at least one street (preferably Moi Avenue) free for a market to sell
products; just like it is done in the Netherlands. This was to be taken up with the municipality,
negotiated and arranged officially in accordance with the preferences of the stakeholders.
Such an idea of an official market in the streets, which are otherwise used for traffic, is not
usual in Kenya. The suggestion was taken over by the Kenyan group and they discussed it withthe municipality but they never got it arranged due to the changes in office bearers(councillors) after the 2007 General Elections. The municipality, nonetheless, saw this as asource of income and successive office bearers made available space (Muthurwa) for the
hawkers, where they could sell their wares without being interrupted by the city council
askaris. This was a big reprieve for the hawkers, although there were smaller issues like few
customers and a high levy/fee of KES 20 (20 Euro cents), which was too high for most ofthem. However, the students could not finish their work, because of the (2007) post-election
riots in Kenya (Ndegwah & Kroesen, 2010).
In the second round, the energy group focused on the supply problems of Kenyan metal
welders in Nairobi, where the welders use energy from the National Grid. Lack of continuous
supply of energy was the main cause of their problems because of the long hours they sat idle
on power rationing days. They researched alternative resources of energy, like solar power,
geo-thermal or bio-energy, which could finally minimize their energy woes. For the short term
the students suggested that the welders should organize themselves more efficiently, and act
as a more powerful negotiator with the energy companies. Moreover, energy could be
distributed during the day according to a distribution plan so that they at least would know inadvance during which hours they could do the welding work when the power supply would becut. Concerning internship research, various successes were reported like the windmill
experiment in Nanyuki where supported by students, a local carpenter successfully built a mill.
However, the benefits are not always unambiguous, as the windmill experiments at Nanyuki
also show. The operation and maintenance of the mill still cause problems, and experiments
on transfer of skills as well as production and marketing are still evolving as we will explain
later on. In addition, the input from Western students may also need modification andcontextualization, and cannot just be taken for granted. As an example the work of two
student interns on microcredit options can be mentioned. The students, E.F. van der Knaap
and J.F. Zijlstra (Knaap & Zijlstra, 2010) had noticed that SACCO employees were inefficientand incompetent. Their suggestion was a quick-fix recommendation for employment of
more qualified and efficient staff. We discussed this option and to their amazement theyrealized that this 'solution' goes against the grain as it transforms the SACCO into a bank,hence beating the very purpose of having a SACCO in the first place.

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In cases where internships follow up and build upon each other and where students have an
open eye and ear for the peculiarities and cultural context of Kenya, the chances for goodresults and usable recommendations increase and accumulate.
A system change by means of innovation
In the above-mentioned collaboration, specialized knowledge from the West can betranslated and adapted by means of contextualized knowledge in Africa and be applied by awide range of institutions. Institutions of higher learning, both from the West and fromAfrica, can contribute to the development and design of devices and technologies. African
institutions of higher learning may have less specified technological knowledge, but they havea much broader and deeper picture of the finesses of the African culture to which the productshould be made suitable. If a product is designed, it should be further adapted to local
circumstances in terms of end users, businesses, systems of maintenance and so forth. In thisrespect vocational training institutions and NGOs can give their contribution. They can help
to achieve a useful dialogue between end-users and also learn vocational and business skills
and capacities. In the end, independent small and medium scale businesses can be run with thetechnology. Hence a paradigm shift or system change can be accomplished by means of joint
action by European university institutions and local institutions of higher learning, NGOs,
government bodies, vocational training etc.
This underscores the fact that innovations are not developed in isolation. They are developed
within a socio-cultural context. In the literature, which is based on experiences within Western
societies, this innovation context is coined by different terms: sociotechnical system (see e.g.
Geels, 2005), technological system (Carlsson and Jacobsson, 1997) or innovation system (seee.g. Edquist, 1997). Because these terms all come down to the same thing, we choose to use
the term 'innovation system'. Innovation systems are networks of institutions, public or
private, whose activities and interactions initiate, import, modify, and diffuse newtechnologies.
Accordingly, an innovation system consists of three building blocks (Malerba, 2005):(i) technology and knowledge(ii) networks of actors(iii) institutions – defined as 'rules of the game' (Freeman, 1987)
Networks of actors develop and implement new knowledge and technology, within their
institutional context. These actors can be subdivided into technology developers, technology
users/owners, policy makers/government institutes, and knowledge providers, NGOs etc.
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Knowledge consists of 'hard' technical knowledge but also 'soft' knowledge, e.g. on how to
use the technology, or on which governmental agencies or NGOs to ask for subsidies.
Institutions involve formal institutions like laws, government regulations and technicalstandards and norms; and informal institutions like common law, cultural aspects, tradition,
norms, codes of conduct, practices, and so forth (North, 1990).
For an innovation system to be successful in developing and diffusing technologies, thesethree building blocks need to be aligned together (Malerba, 2005). Furthermore, these threebuilding blocks co-evolve in time. Actors enter or exit networks, new technologies andknowledge are developed or discarded and also institutions can change over time. A successful
innovation system requires a fit in this co-evolution (Malerba, 2005).
The existing literature on innovation systems is primarily based on Western societies. Whether
things work like that in Africa too, is the subject of our research and is explored by the twocases presented in this contribution. As cooperation between different partners andinstitutions is difficult in Western societies, it may appear to be even more difficult in thecompartmentalized and collectivist society of Kenya, as our cases will corroborate.
Furthermore, it needs to be emphasized that cooperation and initiatives from below sooner orlater will always be dependent on proper regulation from above, i.e., by government bodies, inorder to be successful. Without a proper regulatory framework new practices and knowledge
cannot really become institutionalized and have a larger impact.
The Case of Wind Energy
There were three internships in the field of small wind turbines; the first two internships werestudying the practical feasibility of the technology (by actually building the windmill),
whereby they revealed several significant characteristics of Kenyan society and culture.
Currently, a Master's Degree student from Delft, one of the authors of this contribution,
Lynn Vanheule, is carrying out the third internship, with the aim of analysing the small windturbine sector in Kenya as a whole and to investigate the deeper societal trends inhibiting
sector growth. She carried out a number of expert interviews and we summarize the results ofher research. But first we will take a look at earlier internships.
Earlier internships
The main focus of earlier projects carried out in Nanyuki region, was on transferring Westernbased knowledge to Kenyan stakeholders so that SWT (Small Wind Turbine) activities would
continue after departure of the Western internship students (Buntsma & Fugers, 2009). The
NGO, where the students worked, was interested in a working wind turbine for own usage but
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was not eager to learn about the technology itself. Moreover, according to the students, only
an entrepreneurial and technically skilled individual would be able to venture an SWT
business, not an NGO.
The student groups succeeded in collaborating with a local welder (popularly referred to as
Jua Kali, Artisans) from Naro Moru to manufacture a small wind turbine. Despite the rather
straightforward technology and the welder's enthusiasm to cooperate, it took some effort for
the welder to build a small wind turbine all by himself. The reason was not only that thetechnology was new, but also his lack of confidence and dependency attitude towards what heconsidered as the experts. For example, in the beginning, the welder was over-reliant on thestudents' opinion and lacked initiative, despite the students' efforts to support rather thancontrol the welder in the SWT manufacturing. Furthermore, once the welder had succeededin building an SWT with little external help, he handed in a project proposal to NGOs forgenerating funds for continuing his SWT activities instead of approaching a bank for a loan.
So much was it out of his scope to implement the technology in a business-like way.
This attitude seems to be typical, not only of individuals, such as the Nanyuki welder, but alsoof many developing nations in Africa, including Kenya. The foundation for this over-relianceseems to be laid during colonialism, and has been sustained through Western donor agencies
in the successive years. Kenya has been colonized since the 18th century, and especially the
British colonization, until 1963, has left a deep footprint on today's society. By the colonial
masters bringing technology into the country and taking overall control, Kenyans stopped
innovating and owning it themselves. After colonization, a donor relationship between theWest and Kenya was established whereby the voluntary sector has been donating products
and services for years, creating a dependency syndrome towards the West (Maathai, 2009). In
addition, this dependency attitude is strengthened by Kenya's high power distance,
traditionalism and lack of individual initiative, which reflect some of the cultural dimensions
described in Hofstede (2005) and Trompenaars (1999) generally attributed to strongly
collectivist societies. The Western students encountered difficulties when triggering the local
inhabitants to find a solution for the problems themselves by means of starting a discussion
and putting different points of view together. This appeared to be challenging, since thevillagers considered the students' opinion as the final truth.
In spite of these challenges though, the students were able to successfully transfer theknowledge to the local welder from Naro Moru. As a result, he has so far built and sold four
wind turbines to the people in his community.

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Present internship
Despite the sufficient wind resources and the mature status of the technology, the uptake ofsmall wind turbines in Kenya has been very low. For this reason, an intern from Delft
University has analysed the SWT sector in Kenya. Generally, lack of public awareness andhigh upfront costs are considered to be the main obstacles for the growth of this sector.
However, by means of interviews with stakeholders, the internship student was also able toreveal the underlying societal characteristics that are hindering the dissemination of SWTs inrural Kenya.
The primary determinant for sector growth is entrepreneurship (Samli, 2009). Only a few
retailers are actively selling imported SWTs, and only recently a second local SWT
manufacturer has entered the market. This lack of entrepreneurial activities is anchored on amyriad of reasons. For many years political uncertainties and corruption were the main
obstacles for individuals to engage in, or start a new business. Bribery was a common practice,and only those with good political connections were able to successfully venture into business.
For example, tenders did not go to the best proposals, but to the one which was part of theright circle or patrimonial system. Since the demise of the Kanu regime in 2002 and especiallyafter the promulgation of the new constitution of 2009, corruption has significantly reduced.
However, fraud is still ingrained in Kenyan society and still commonly occurs in both the
public and private sector. Furthermore, despite these improvements, the government still hasa bad reputation regarding corruption. In particular, removal of the immediate director of
Kenya Anticorruption Authority (KACA), P.L.O. Lumumba and his deputies, are seen as acase of corruption fighting back. As a result, people do not trust the government and would
rather avoid government officials than collaborate with them.
A practical manifestation of this state of affairs is the attempt by this intern to get market
information and wind data from the government required to carry out SWT experiments or
start a business. Unfortunately, she could not access such data because she was required to pay
for it. Such a policy puts obstacles in the way of promoting wind energy instead of supportingit. Later, a government official confirmed that actually such wind data are supposed to beavailable for free, but this statement apparently confirms that existing practices do not meetthe standards of official policies. Furthermore, universities and companies which are, or havebeen, involved in small wind turbines all have collected their own wind data sets and havefragmented market knowledge. This information is not shared amongst them and theindividual actors are left with insufficient data to develop appropriate products or successfullycommercialize them. Even though the SWT companies also lack financial resources to set up
a public awareness campaign, they have not marshalled forces for launching anything like that.
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As previously mentioned, the high upfront investment is a key barrier for end-users topurchase a small wind turbine. The majority of the financial institutions have unfortunately
been reluctant to support the purchase of SWTs, since there is lack of awareness of thetechnology and the business opportunities of energy products in general are not recognized.
Consequently, no appropriate financing mechanisms for SWTs have been developed so far
and the private sector should for this reason establish strategic partnerships with financial
institutions.
In addition, linkages are missing between Kenyan universities and the private sector. They
rarely collaborate for research purposes, mainly because many Kenyan universities are more
focused on teaching than on researching and innovating. Additionally, university graduateswith a specialization in wind energy do not find their way to small SWT companies, since they
are unaware of their existence. They also lack commercial insights and capital when leaving
university, which hinders them in venturing an SWT business. The sector does not only missSWT skills on a university level, but also in remote communities people do not haveexperience in maintaining SWT's either. When the SWTs break down no efforts areundertaken to repair them or contact the SWT installation company. As a result, there arevarious SWTs around the country that are not working properly, which is spoiling the imageof SWTs. In the last ten years various foreign universities have been involved in setting up
SWT pilot projects. Despite the good intentions, the majority of these pilot projects died after
the initiator left the country. Insufficient efforts were taken to transfer the knowledge to local
parties, such as Kenyan villagers, NGOs and universities. Besides that, projects often failed
because these local organizations and communities had other expectations and were
somewhat reluctant to fully cooperate and adopt the transferred knowledge. Thus, TU Delft
experiences in Naro Moru were typical of the majority of international collaborations.
The problems with knowledge transfer are not only present during cooperation with foreign
universities. Generally, there are hardly any linkages between the different Kenyan SWT
actors, and there is no common knowledge or database on the SWT technology and user
experiences. Thus every time a new actor initiates an SWT experiment, he or she is startingfrom scratch instead of building upon gained experiences.
Therefore, we highly recommend that all actors create and strengthen linkages to realize
sector up scaling. Additionally, developing wind energy in Kenya must target the developmentof an SWT innovation system in all areas with good wind potential. One should develop
expertise at university level and educate the local people for installing, maintaining, and if
possible producing small wind turbines. These factors are necessary to improve the financial
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and technical sustainability of small wind turbines, and such a local innovation system would
contribute to wind energy promotion as well.
The case of Solar Energy
Another internship student, Max Tack, conducted a study in Kenya on the implementation ofsolar energy technology and the impact of cultural characteristics on that (Tack, 2010). He did
an internship at Sunrays Solar, a medium-sized solar energy technology company in Kenya
and conducted many expert interviews about the state-of-the-art of solar energy technology
in Kenya, its future prospects and especially the bottlenecks and facilitators for
implementation. We report on his findings.
Cultural obstacles for cooperation
The student concentrated on the creation of stakeholder networks. This is difficult in Kenya
because of a general lack of cooperation and a climate of selective trust, whereby one can only
invest in a selected few that one knows all too well. Specific cultural characteristics which havea long tradition in tribal Africa, may explain the situation. In the first place there is a strong
collectivist attitude, which means that generally people are part of closed 'we' groups. This canbe the tribe or clan, or a patronage or clientele system, but also a company or a governmentalorganization, or even an NGO. There is competition, but no cooperation. The consequenceof this attitude is that competing companies do not cooperate to enlarge the market, say, byorganizing an advertisement campaign together. In addition there is no cooperation within
the sector to put in place regulations and agreements in order to maintain the quality of the
products. On the contrary, the recently founded sectoral solar energy organization has set
high fees for membership thereby making it difficult for new companies to enter the market.
Lack of regulation also makes it easy for "crooked companies" to spoil the market by selling
bad products which lay idle after a while. This is detrimental to the reputation of solar energy
in general, because the technology itself gets blamed instead of the bad organization andmanagement.
Secondly, in Kenya there is strong particularism, which means that generally not rules but
relationships are important and, therefore, affective relationships, like and dislike, preclude
neutral and role dependent behaviour. People of high status or of the same group, or simply
people who know each other and trust each other, receive a preferential treatment. This also
affects the regulatory body of the government, which has been established recently. It is
important to have access to highly placed government officials in order to keep the company
going because bureaucracy may create obstacles for companies - for instance by postponing
their license or simply delaying some important papers for the operation of the company. This
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means that some big players who are well connected to politicians actually control the market.
Customers, too find their way to companies via personal relationships. They do not trust acompany but they trust a person. If this person moves to another company his customers will
follow suit. There is no anonymous trust like one can expect in a situation where everybody
plays by the rules and treats everybody on an equal footing.
Thirdly, status usually is derived from the position within a company or group, not byachievement or by labor. This means that employees pay attention to their status within thegroup and their relation with the boss more than concentrating on performance and on workand labor. Not much attention is given to maintain good relationships with the users.
In the fourth place, sequential dealing with time, i.e., planning and looking forward, is notstrongly developed. From their side users too do not bother about a maintenance contract; ofcourse it costs money and hopefully future days will take care of future problems. Apart fromlack of cooperation and of networking between users and companies, there is also lack ofcooperation with knowledge institutes. There is strong traditionalism which means thatthings remain as they are and as a consequence even if there are problems, nobody takes theinitiative and everybody is inclined to remain waiting. People recognize that there would bemuch benefit in having knowledge institutes, like universities, involved in the development ofsolar energy, if asked. But they are inclined to wait for the other party to start.
Traditionalism and fatalism, to accept things as they are, like rain and sunshine, are closely
connected. These create a collectivist attitude that prevents people from going against thegroup and start something new. Creativity means loneliness, but also initiative. In this regard,another cultural characteristic is involved, i.e., uncertainty avoidance. Facing uncertainty ofcourse means to face an unknown future and often implies to go a lonely way forward intonovelty. Generally, people are inclined to avoid situations they do not know for certain how todeal with, lest one does something wrong. Generally, the cultural characteristics summarized
here and described by our master student in his interview reports are typical of closed ingroup societies like tribal and agrarian societies; not to open markets and to open civil societyoriented societies (Kasfir, 1998).
Start with network formation
This state of affairs leads to a situation in which it is difficult to implement sustainable energy
technologies because an important first step, network formation, is slow. This has its origin in
the compartmentalization of the Kenyan civil society: companies, government bodies,
NGOs, often are not very accessible to each other and tend to maintain a culture of closed
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“we” groups. This prevents learning experiences to take their course, and finally it does notstimulate the growth of expectations. It is to be mentioned however, that a continuous
struggle is going on to create a more open society, open cooperation, and anonymous trust
regulated by law and rule involving a culture of egalitarian relationships and personal
initiative. This struggle is going on both at the national level and at the societal level, and it isreflected in many projects and partnerships. Kenyan society is moving in the direction ofmodernity and in this process modern technology and modern organizations play a key role.
Engineers, both from Africa and from the West, should have the expertise and the ability tomediate between these two sets of values and cultural traits in managing their projects.
Civil Society and GovernanceAt the background of the apparent state of affairs is the complex relationship between stateand society (Wiarda, 2003, OSSREA, 2009, Kasfir, 1998). An open civil society can only
function if a strong and accountable government enforces universalistic rules so thatparticularistic mind-sets and patronage systems cannot obstruct an open process ofconstantly regrouping of social actors (Popper, 1965, Fukuyama, 2011), which isindispensable for innovation. Therefore the authors will provide some reflections on thesocio-political framework as a precondition of the functioning of an open market and civilsociety.
Gyekye (1997) sees bottlenecks in Africa as cultural practices that do not help in building amodern society. These are: 1) a negative attitude towards science; 2) ethnicity over and above
humanity; 3) apathy towards public service and 4) primacy of the community over theindividual. For him, an emphasis on educational and training programs in science andtechnology can go a long way to help and turn round cultural attitudes while a substitution of
the bottlenecks related to extreme communitarianism with a stronger focus on individual
responsibility and equality, could obtain a credible dialogue with modernity. Indeed, as
Nyasani (2010, vii) observes, “…Africa which is hankering after the attainment of theWestern model of development cannot actually achieve it without changing its habits andattitudes in the most radical and deliberate manner possible in tune with the West's
development fervour, pace and rigour.” Museveni (1996, 193-194) is even pessimistic on thecontinent's economic survival:“Societies that do not master science and technology will either be slaves, surviving at themercy and sufferance of others, or will perish altogether. Indeed, a futurist cartographer's
map of the world of 2025 AD recently appeared in The Economist. In that map, only bits ofNorthern and Southern Africa appeared on that map (sic). In only a short 31 years, most ofStrengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 319

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David Ndegwah, Lynn Vanheule, Otto Kroesen and Linda Kamp

Africa will economically disappear. The only way we can prevent this tragedy is to begin ourscientific and technological revolution now and in an organized and systematic manner.”
Africa has to face a conscious cultural transition from a tribal/hierarchical clientelistic society,with selective trust towards a stable government and a strong and open civil society (Popper,
1965). Such a society is characterized by pluralistic cooperation and competition of many
stakeholders based on anonymous trust and judicial checks and balances. This culturaltransition should be explicitly part of the development agenda, and be conducted in a pathdependent way, preserving valuable parts from the past, but courageously entering upon a
new socio-political and economic dispensation. This can address the issues of poor
investment, skewed distribution of available resources, underproduction of civil servants,
poor exploitation of natural resources, surfacing corruption and grinding poverty, among
many other challenges.
Conclusion
On the basis of theory on innovation systems and civil society, as well as the case materialpresented and analysed above, our main conclusion is that transparency of policy andmanagement (and for that reason also transparent research-based policy practices) is ofutmost importance for the development of businesses, civil society and government
apparatus as well. Such transparency can stimulate openness and cooperation between
different stakeholders (Collier, 2010) and in turn can be maintained and stimulated by a
combination of universalistic government, which treats all social actors as equals and open
civil society, which is cultivated by a constant regrouping of its participants. Such a civilsociety, in which individuals cultivate manyfold memberships of many different
organizations and institutions, is not anymore dependent on closed patrimonial systems, andin turn the state apparatus cannot be manipulated anymore by collectivist power games.
But such an institutional environment in which universalistic rule by the state and freeassociation of civil society actors keep each other in check cannot be realized easily. It also
cannot be installed merely from a top-down approach. As long as the only means forindividuals to make their voice heard in politics is by organizing themselves in clannish or
patrimonial systems, there is no solution for the state bureaucracy being manipulated by suchcollectives. Universalistic rules from the side of the state can only be realized by a more
dynamic civil society, meaning that individuals (and individual organizations) can organize
their interests, by means of multiple memberships and changing coalitions. Here is the
problem: universalistic rule of law and justice needs a dynamic civil society to prevent it fromdegenerating into corruption and arbitrariness; and in turn a dynamic and open civil society
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needs a universalistic state, with transparency and checks and balances in politics, to prevent itfrom degenerating into a struggle between patrimonial systems (Fukuyama, 2011).
How to take a next step in this dilemma? As we already stated in the introduction, Africa inmany respects, is caught up in a set of social rules and morals from the past that do not fit wellwith the current large-scale socio-technical, economic and political systems anymore and a
new civil society oriented set of values, which could check government excesses is not yet inplace (Maathai, 2009).
Our case material may show the way ahead. Bottom-up initiatives can, and should, be taken in
the form of small businesses and income generating activities. These should be supported by
the related skills, knowledge and capacities; and also by formation of networks of relevant
stakeholders and by a growing change of attitudes. In the process, more open cooperation
between different organizations, companies etc., can be exercised in the form of innovation
systems. On the other hand from the top downwards steps can be taken, in the form of moretransparent and universalistic policies, in order to facilitate and regulate the initiatives from thebottom. Initiatives on these two levels should dovetail into each other and move the systemforward.
Using insights from research such as the case studies presented in this paper to formulate
policy and management guidelines are key to this process. It can bring not only the knowledge,
but also the transparency to make a convincing case for these lines of action.
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Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa | 323

Rationale for Local Entrepreneurship Development Policies and Programmes in
Post-colonial Lesotho: Lessons from the Colonial and Immediate Post-colonial Lesotho
Sean M. Maliehe

24. Rationale for Local Entrepreneurship
Development Policies and Programmesin Post-colonial Lesotho: Lessons fromthe Colonial and Immediate Post-colonial
LesothoSean M. Maliehe
Freelance researcher and training consultant(+266) 58431338, (+266) 27000638
seanmaliehe@gmail.com
Abstract
Since independence, post-colonial governments of Lesotho, their advisors and international supporters haveattempted to create a vibrant private sector led by local entrepreneurs. In their efforts, they have demonstrated alack of adequate understanding of the historical experience of local entrepreneurship. This is evidenced by theway they attempted to explain why Basotho traders have failed in local business, and in the rationale for local
entrepreneurship development policies and programmes they designed and implemented. Without deeplyinterrogating why Basotho traders have historically demonstrated poor performance in local business, theyaligned themselves with views that had prevailed in the colonial period, namely, that Basotho failed in businessbecause they lacked an adequate spirit of entrepreneurship and modern business skills. Post-colonial
governments of Lesotho saw it as their role to nurture this spirit by providing Basotho traders withentrepreneurship skills, and by providing them with business advisory services. Using some of Basotho traders'past entrepreneurial initiatives in distribution trade, we demonstrate that the basis for Lesotho's local
entrepreneurship policies and programmes is not founded on results of researches conducted. As a result,governments' efforts do not address problems that have contributed to Basotho traders' poor performance. They
are not geared towards remedying local entrepreneurship problems and misconceptions which exist. They rather
perpetrate the idea that Basotho traders' continued poor performance in local entrepreneurship is due to theirlack of adequate entrepreneurial spirit and entrepreneurial skills. The argument of this paper is that, like thecolonial and immediate post-colonial governments, Lesotho's post-colonial governments have propagated and324 | Strengthening Linkages Between Policy Research and Policy Making for Sustainable Development in Africa

Rationale for Local Entrepreneurship Development Policies and Programmes in
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Sean M. Maliehe

used the idea that Basotho traders did not have adequate entrepreneurial spirit and entrepreneurial skills as away of justifying the protection of foreign traders' interests, and their own interests, on the one hand, and tojustify their neglect of the duty to assist the emergence of Basotho traders and the development of a locally-based
private sector, on the other. They have been able to achieve that by using political and economic power at theirdisposal, as well as, their abilities to manipulate legal apparatus and institutions.
Keywords: Local Entrepreneurship Development, Spirit of Entrepreneurship, Entrepreneurial Skills,
Spirit of Co-operation, Private Sector Development
Introduction
Against the background of the world-wide recession of the 1930s, the Basutoland colonial
government commissioned Sir Alan Pim to conduct a survey of the country's economic andfinancial position in 1935. In assessing the state of local trade and performance of local
traders, the Commission asserted the view that Basotho traders lacked business skills andmethods39. This was an endorsement of a view long-held by European traders and colonial
officials, namely that Basotho lacked entrepreneurial initiative, and that, Basotho traders
lacked adequate business skills and ethics40. With Pim's endorsement, this view was referred
to in official and other attempts to explain the undeveloped state of the private sector in
Lesotho, characterised by the low quality and low levels of Basotho's participation in local
business, lack of growth and failure of Basotho-owned businesses.
In 1966, in the context of the political economy of the cold war period, Lesotho gained
independence. The newly independent government of Lesotho opted for the establishmentof the capitalist economy. The necessary requirement for this type of economy was theexistence of a vibrant private sector in the hands of local modern businessmen. However,according to the government and its advisors, these prerequisites were non-existent. They
described Basotho traders as traditional, and lacking adequate entrepreneurial spirit andentrepreneurial skills.
These assessment of Basotho traders was not only limited to Lesotho. In other parts of thecontinent, African traders were described by modernisation-inspired scholars and businessexperts as lacking abilities to take risks, mobilise business resources, and create innovative
39

Financial and Economic Position of Basutoland, Report of the Commission Appointed by the Secretary of State for Dominion
Affairs (London: His Majesty's Stationery Office, 1935), p. 62.
40
Trade, National University of Lesotho Archives, Leribe Collection, 23/1-12, 25/2, 26/1-4; Trade, Lesotho National
Archives, S3/26/1/1-11.
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Rationale for Local Entrepreneurship Development Policies and Programmes in
Post-colonial Lesotho: Lessons from the Colonial and Immediate Post-colonial Lesotho
Sean M. Malieheways of maximising profits. African traders were also accused of not having businessleadership, motivation and prudent managerial skills due to lack of modernity41.
Modernisation-inspired scholars and business experts argued that, African traders failed inbusiness because of their traditional habits of supporting big extended families, and inflating
their social status with business resources, as opposed to approaching business with highprofit aspirations42.
Instead of investigating factors which had historically led to Basotho traders' business failure,
the immediate post-colonial government of Lesotho inherited and used the view that
Basotho traders failed in business because they lacked adequate entrepreneurial spirit andentrepreneurial skills. This became the basis for policies and programmes aimed atdeveloping local entrepreneurship and private sector in Lesotho. As a result, the government
saw it as their role to nurture this spirit by providing Basotho traders with entrepreneurshipskills, and by providing them with business advisory services43. To better understand local
entrepreneurship it is important to focus attention on all factors which affect traders'
entrepreneurial initiatives44.
41

Volker Wild, Profit not for Profit's Sake: History and Business Culture of African Entrepreneurs in Zimbabwe (Harare:
Baobab Books, 1997), p. xx-xxii; Theodore Geiger and Winifred Armstrong, Development of African Private Enterprises(Washington: National Planning Association, 1964), p. 39; Peter Marris and Anthony Somerset, African Businessmen:
A Study of Entrepreneurship and Development in Kenya (Nairobi: Routledge, 1971), pp. 13-19; Bruce Dinwiddy, Promoting
African Enterprise (London: Croom Helm, 1974), pp. 3-5; Zafar Altaf, Entrepreneurship in the Third World: Risk andUncertainty in Industry in Pakistan (New York: Croom Helm Ltd, 1988), pp. 162-178;
42
The list of characteristics which African traders were accused of lacking is long. See, for example: Joseph A. Schumpeter,“The Process of Creative-Destruction” in Scott Shane (ed.), Foundations of Entrepreneurship: Volume I (New York: Edward
Elgar Publishing, 2002), pp. 499-598; Wolfgang, “Schumpeter's and Kirzner's Entrepreneurs Reconsidered: Corporate
Entrepreneurship, Subjectivism and the Need for a Theory of the Firm”, p. 95; David C. McClelland, “Entrepreneurial
Behavior and Characteristics of Entrepreneurs”, in Scott Shane (ed.), Foundations of Entrepreneurship, pp. 179-184Peter F.
Druker, Innovation and Entrepreneurship: Practice and Principles (London: William Heinemann Ltd, 1985).
43
Motlatsi Thabane, “Indigenous Entrepreneurial Initiative and Attempts to solve Problems of access to Credit in Lesotho”,
seminar paper presented at the National University of Lesotho, 11 September, 2009, p. 1; S. W. Rembe, “Evaluation ofBusiness Training Division (BTD)”, Report Produced by Research, Evaluation and Media Division Institute of Extra Mural
Studies, February, 1991; Business Service Calling!! Magazine published by the Business Extension Services, 1969, p.6.
44Maphosa, “Towards the Sociology of Zimbabwean Indigenous Entrepreneurship”, Zambezia, xxx: ii (1998), p. 174;
M. J. M. Sibanda, “Internal Dependency and African Economic Performance in Colonial Rhodesia: The Case of Bus
Operators in the Rural Periphery of Salisbury, 1938-1970”, Mohlomi, Journal of Southern African Historical Studies,
III: IV (1981), pp, 1-11; John Iliffe, The Emergence of Capitalism in African (London: Macmillan Press Ltd, 1983),
pp.1-9; Max Weber, The Protestant Ethic and the Spirit of Capitalism (London: Parsons, 1930); Motlatsi Thabane,“Aspects of Colonial Economy and Society, 1868-1966”, in Neville W. Pule and Motlatsi Thabane (eds), Essays on Aspectsof the Political Economy of Lesotho, 1500-2000 (Roma: Department of History, National University of Lesotho, 2002),
pp. 112-115; West, The Rise of an African Middle Class; Björn Bjerke, Understanding Entrepreneurship (Cheltenham:
Edward Elgar Publishing Inc., 2007), pp. 71-72; Shane Scott, A General Theory of Entrepreneurship: The Individual –Opportunity Nexus (Cheltenham: Edward Elgar, 2003), pp. 2-5.
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Attention should not only be centred on behaviours of individual traders. It should also be
directed towards external factors. In Lesotho, like many African economies, the political
economic environment in which Basotho traders operated in did not support their emergence
as a defined local business class. This is because entrepreneurship does not take place invacuum. This paper is an attempt to demonstrate that Basotho traders have shown adequate
entrepreneurial spirit and skills in local business. Again, Basotho traders' business failure
should also be attributed to the efforts of Lesotho's governments, which were not geared
towards assisting Basotho traders as an emerging business class. Rather, they supported theinterests of foreign traders. We use the case of Basotho Traders' Bulk Buying Syndicate Ltd(Thekommoho), a co-operative which Basotho traders had formed in 1969 to solve theirproblems of access to credit and supply of stock, as well as, to compete effectively with
European traders, which had dominated local business, governments and business advisors.
Lesotho's Post-colonial Local Entrepreneurship Development Initiatives
In 1968, the newly independent government of Lesotho launched the Business Extension
Services (BES) under the Ministry of Finance, Commerce and Industry. BES was a United
Nations' (UN) programme, administered by the International Labour Organisation (ILO). It
was meant to cultivate the spirit of entrepreneurship, business skills and nurture local
economic development in Third World countries. Business Extension Officers (BEOs) were
employed to train Basotho traders around the country, under the supervision of Commercial
Officers (COs). Business extension offices were built in Maseru, which was the headquarters,
and two other offices were to be built in the Leribe and Mohale's Hoek districts. However,these two were not built in the period before 197045. BES was monitored by ILO Business
Extension Advisors (BEAs). The person ILO sent to Lesotho in this capacity was one
German business expert by the name of Mr B. T. Kock46. In the period before 1970, BES's
activities centred on training members of Mokhatlo oa Bahoebi Lesotho (MBL), literally, anassociation of traders in Lesotho, around the country. At that time, there were around 2,000
Basotho traders47.
In 1975, Basotho Enterprises Development Corporation (BEDCO) was established todevelop Basotho enterprises through training of entrepreneurial skills, provision of smallscale credit so as to propagate the spirit of entrepreneurship, or build a society with a business
45

Business Service Calling, p. 3.
Lesotho News, 23 July 1968; 4 March 1969; 28 October 1969.
47
Business Service, p. 6.
46

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Rationale for Local Entrepreneurship Development Policies and Programmes in
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Sean M. Malieheculture, or build a business minded society. To this day, BEDCO maintains that the most common
characteristics of [SMMEs] are lack of business management skills and unfamiliarity with management
techniques to deal with problems of an enterprise. These include poor or lack of financial and non-financial
record keeping, inadequate internal administrative controls, lack of marketing knowledge and skills,
inefficient production systems, lack of financial control systems and, a general dearth of business acumen,sensitization to the business culture and inability to handle market shrewdness48.
In 1978, Business Training Centre (BTC) was launched as a joint venture between the
National University of Lesotho's Institute of Extra-Mural Studies (IEMS) and the Ministryof Commerce and Industry. Its main duty was to offer business training “to accelerate active
participation of the local business community…”49 BTC formed local links with BEDCO,
Lesotho Chamber of Commerce and Industry (LCCI), Lesotho Opportunity
Industrialisation Centre (LOIC) and the IEMS' Students Internship Programme. The
Students Internship Programme was a United States Agency for International Development(USAID) funded project established among others “to nurture and develop a spirit ofentrepreneurship among the students. That is, to develop graduates who, through theirpractical exposure, might gain interest and eventually start their own businesses after
completion of their studies”50.
In 2008, the government of Lesotho through the assistance of the United Nations' agency,
International Labour Organization (ILO) launched “Know Your Business” (KYB)
programme under the Ministry of Gender, Youth, Sports and Recreation. The programme
was targeted at youth development and employment creation. Young people are trained inentrepreneurial skills to start and manage their businesses. They are also provided withentrepreneurial education and mentoring to change their mind-set towards business51.
What emerges in post-colonial governments' efforts to develop local entrepreneurship is that,they inherited and propagated the view that Basotho traders failed in business because they
lacked business acumen. They focused their efforts on the behaviour of individual traders
without investigating all factors which had historically led to Basotho traders' poor

48

www.bedco.org.ls, [20/07/2009].
Business Training Centre, “Report of the International Conference on Strategies for Small Business Survival and Growth
in BLS Countries”, February 25-28, 1985, Mazenod, p. 5.
50
S. W. Rembe, “Evaluation of Business Training Division (BTD)”, p 36.
51
www.undp.org, [20/07/2009].
49

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performance in local trade. The following sections attempts to provide an example ofBasotho traders' entrepreneurial efforts and what happened to their fortunes.
The Fortunes of Basotho Traders' Entrepreneurial Initiatives in the Immediate
Post-colonial Lesotho: The Case of Basotho Traders' Bulk Buying Syndicate Ltd(Thekommoho)
At the centre of their problems in local trade, Basotho traders experienced problems ofaccess to credit and supply of stock in conducting trade since the colonial period. This was,among others, because commercial banks did not allow them access to business loans52.
Basotho traders responded by forming co-operatives. However, many of their co-operatives
collapsed due to financial problems.
That led the advisors of the colonial government in the mid-1930s to recommend that itshould not encourage the rise of the co-operative movement. Basotho persisted, and in 1948,
the colonial government passed Proclamation No. 47 to officially establish co-operatives53. In
spite of that, developments in the co-operative movement did not end all their problems. To
an extent, some Basotho traders were able to negotiate arrangements in which European
traders gave them stock on credit. Again, the colonial government stopped sucharrangements in which Basotho traders were benefiting from54. Other Basotho traders wereable to solve these problems by ordering stock from suppliers in modern-day Republic ofSouth Africa (RSA), directly, or through Lesotho-based representatives of RSA suppliers, likethe Whitakers Agencies. These suppliers sold goods to them on wholesale prices, unlike
European traders, who, they claimed, sold goods to them at retail prices.
Towards Lesotho independence in 1966, Basotho traders were optimistic of the business
opportunities which would come along with political independence. Basotho traderscollectively organised themselves by forming, and registering a traders' association which was
known as Mokhatlo oa Bahoebi Lesotho (MBL) in 196855. MBL encouraged other Basotho traders
around the country to join. And, it held training workshops for Basotho traders around thecountry to train them on business skills. It assisted Basotho traders to acquire “…best skills in
52

Thabane, “Indigenous Entrepreneurial Initiative and Attempts to solve Problems of access to Credit in Lesotho”, pp. 1- 4.
Report of a Commission of Inquiry into Coop Lesotho, n.d., p. 8-9; Financial and Economic Position of Basutoland, pp.
173-174.
54
Basutoland Native Trading Proclamation No. 76 of 1936; Basutoland Credit Restriction Proclamation No. 8 of 1937.
55
Legal Document No. 68/4, Constitution of Mokhatlo oa Bahoebi Lesotho (Hereafter, MBL), Lesotho Law Office(hereafter, LLO), Maseru, 31st May 1968.
53

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fields of commerce” and develop “…proficiency in business techniques” as well as to assist
Basotho traders to “…adopt advanced business methods56.” Members of the associationachieved these aims by organising public lectures, discussions, seminars, and by publishing
periodicals and other written material through the media57.
The government, together with ILO, assisted MBL in training of Basotho traders through the
UN-sponsored “Business Extension Services”. Mr B. T. Kock, the Business Extension
Advisor, together with some civil servants and some leaders of MBL, travelled around thecountry training members of MBL and other Basotho traders58. In an interview with Mr
Mafantiri in 2009, he said that he used to travel with Mr B. T. Koch training Basotho traders59.
For example, on the 13th July 1968, the government of Lesotho and Mr B. T. Kock, together
with MBL, held a training workshop for Basotho traders in Leribe. Courses which were
offered to the traders were: Bookkeeping, Statistical Records, the Employment Act, Income
Tax Law and its Implications, and Buying and Selling Policies, Co-operation among
Businessmen, Starting Businesses, Managing Businesses, Elements of Modern
Businessmanship, Employment of People and Legal Aspects of running a Business60.
In 1969, MBL took over the idea of forming a bulk buying arrangement from individual
Basotho, as well as all processes necessary for its coming into being. But then, when theyfound it, Thekommoho, literally buying together, was not formed just as a bulk-buying
arrangement, but it was registered as a co-operative under the Co-operative Societies Act of1966, as Basotho Traders' Bulk Buying Syndicate Ltd61. Thekommoho had around 400
members, of whom 220 were shareholders62. Basotho traders had hoped to establish
Thekommoho branches in all the modern-day districts of Lesotho, and a bank. However,before its collapse in 1970, only two branches had been established. These were the Maseru
Branch (in the capital city of Lesotho), which became the headquarters, and the Leribe
Branch, in the north-western district of the country.

56

Legal Document No. 68/4, LLO, Constitution of MBL.
Lesotho News, 23 July 1968.
58
Lesotho News, 26 April 1968; 23 July 1968; 4 March 1969
59
Interview with Pitso Mafantiri, 70 years old, private accountant and former representative of South African Firms to
Thekommoho, Borokhoaneng, July 2009.
60
Business Service, pp. 6-20.
61
Lesotho News, 14 October 1969.
62
Lesotho News, 2 October 1970.
57

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Establishment of the Maseru and Leribe Branches of Thekommoho
MBL sent two of its members, Pitso Mafantiri of Maseru and Mr Potloane of Leribe, to RSA
to negotiate with manufacturers and wholesalers to sell stock to Thekommoho on credit
because Basotho traders had problems of access to credit. Basotho traders proposed that the
co-operative would sell stock to its members, and within 30 days, service their debt. Many of
the suppliers agreed to Basotho traders' proposal. Upon their return, the two gentlemen gave
their report. On 12th October 1969, Lesotho News reported that MBL “held a big general
meeting” to officially launch the Basotho Traders' Bulk Buying Syndicate Ltd63. Mrs'Mamoshebi Kabi was appointed to be the Manager of the co-operative, while Mr Mafantiri
became the representative of RSA suppliers64. In an interview with Joe Motsoahae in August
2010, he asserted that MBL had requested the Government of Lesotho to allow them to use
the Lesotho Co-operatives buildings, located near the present-day Maseru Traffic Circle along
the Main South One Road, as Thekommoho warehouse and offices. The government had
agreed to their request because those buildings were not in use at the time65.
Orders for stock were then sent to RSA firms in October 1969. Thekommoho stock arrived at
the Maseru railway station. However, according to Mr Motsoahae, when that firstconsignment arrived, the government told Basotho traders that they could no longer use the
Co-operative buildings. Quick arrangements had to be made to collect Thekommoho stockfrom the railway station to avoid storage penalties. An ad hoc meeting was called to solve theproblem. Members “… decided that anybody who had space in their shop should assist sothat the stock could be removed from the station…66” Thekommoho stock was then taken to
Basotho traders' shops. The bulk of the stock was taken to Thabiso Santho's premises at
Phamola Cash Stores, near Lesotho High School, behind present day Kentucky Fried Chicken(KFC) in Northern Region Bus Stop area. These premises became Thekommoho
headquarters67.
The difficulties that Thekommoho experienced when their first consignment of stock arrived
were evidence that, despite attempts by Basotho traders to work with the newly independent
government and develop local entrepreneurship, the government did not support Basotho
63

Lesotho News, 14 October 1969.
The Lesotho Monitor, 06 June 2008; interview with Pitso Mafantiri, Borokhoaneng, July 2009.
65
Interview with Joe Motsoahae, 81 years old, businessman and former member of Thekommoho, Bloemfontein, August 2010.
66
Interview with Joe Motsoahae, Bloemfontein, August 2010.
67
The Lesotho Monitor, 06 June 2008.
64

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traders. Instead, the government took measures to undermine Basotho traders'
entrepreneurial initiatives. The government could not even afford Basotho traders thecourtesy of notifying them in time that it had changed its decision to assist them. The
Basutoland National Party (BNP) led government did not support MBL because it viewed
Thekommoho as a Basutoland Congress Party (BCP) initiative since most of its members andleaders were active supporters of BCP, the major opposition party68. In addition, thegovernment accused Basotho traders of politicking with their businesses. The government
alleged that some Basotho traders used their businesses as political platforms. In October
1969, the Prime Minister, Chief Leabua Jonathan threatened that he had given the Minister ofCommerce and Industry the powers “… to withdraw trading licences of holders who will not
fulfil their work as servants of the public but continue to use their business for political
purposes69.”
Despite lack of support from the government, MBL successfully launched the Maseru
branch of Thekommoho at the end of October 196970, and the Leribe branch towards the endof 1969. The Leribe branch used Mr Shabalala's premises, a Mosotho businessman, in
Hlotse, the centre of the Leribe district, as its warehouse and office. Its stock was collectedfrom the Ficksburg and Fouresburg railway stations by Basotho traders' trucks. The branchbanked with, and paid their accounts through, Barclays' Bank71.
Thekommoho became so successful at a time and threatened to shift business away from longestablished European traders. Many Basotho customers bought their groceries from Basothotraders because they sold goods to them at low prices. Thekommoho was able to do that
because it bought goods in bulk, and therefore, RSA suppliers sold stock to them at wholesale
prices and also gave customers 'specials' and discounts. RSA suppliers also gave
Thekommoho advertising brochures to give to customers. This revolutionised advertising inLesotho.
Again, the co-operative was able to sell goods at low prices because it happened that, in the
1960s, traders used to pay Maize Levy to the RSA government when they imported maize and68

Interview with G. G. Malahleha, 85 years old, former teacher, businessman and former Secretary of Thekommoho, Maseru,
August 2009.
69
Lesotho News, 14 October 1969.
70
Lesotho News, 19 August 1969.
71
Interview with Ramafokisi Mofokeng, 85 years old, former businessman and former organiser in the founding of Leribe
branch of Thekommoho, Leribe, September 2009.
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Sean M. Maliehemaize products into Lesotho. All traders in Lesotho had to increase their prices on maize andmaize products due to the levy. The RSA government used the revenue collected from Maize
Levy to compensate farmers in RSA in times of crop failures caused by natural disasters. By
the end of 1969, RSA farmers were told to take insurance instead, and the Maize Levy wasremoved. Thekommoho took advantage of the removal of the Maize Levy and dropped theirprices on maize and maize products. Therefore, Basotho traders were able to sell at lower
prices than European traders. Maize and maize products were staple foods in Lesotho andtheir demand was relatively inelastic. People bought them even when their prices went up.
However, a drop in their price would be good for business and profits. On the other hand,
European traders did not bring down their prices of maize products after the abolition of the
Maize Levy. Instead of reducing prices, they considered removal of the Maize Levy as “…anopportunity to make [more] money…They took that money72.”
Feeling the pressure brought by Thekommoho in local trade, European traders approached
Thekommoho leaders, and requested them to increase their prices because they wereoutcompeting European traders73. When they failed, European traders attacked
Thekommoho in newspapers74.
Thekommoho's Internal Problems
Thekommoho started to encounter problems internally, and these undermined its operation.
The first one was that, instead of insisting that its members buy stock in cash as had been
initially agreed, Thekommoho allowed some of its members to obtain stock on credit.
Financial Statements as at 31st June 1970 revealed that bad debts amounted to R400.00. The
co-operative had also made a loss amounting to R2,000.0075. In an interview with Pitso
Mafantiri in July 2009, he gave an example of Buta Phalatsi of Buta Stores and President of
MBL, that at one point he “…had taken stock that could be worth R3, 000.0076.” The debts
that Thekommoho accumulated crippled its ability to advance Basotho traders' control over
local trade.

72

P Interview with Joe Motsoahae, Bloemfontein, August, 2010.
Interview with G. G. Malahleha, Maseru, August 2009.
74
Interview with G. G. Malahleha, Maseru, August 2009.
75
Lesotho News, 2 October 1970.
76
Interview with Pitso Mafantiri, Borokhoaneng, July, 2009.
73

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The second problem was dishonesty among members. Some of Thekommoho's members
who collected stock at the Maseru and Ficksburg railway stations and Fouresburg border post
stole some of the stock for their shops77. Theft in Thekommoho was not only limited to stock.
In Leribe, there were some instances where some members stole money to be used forpurchasing Thekommoho's stock78.
Thekommoho's third problem was that, in the period between December 1969 and the time
before the State of Emergency was declared by Chief Leabua Jonathan on the 30th January
1970, there was a conflict between the co-operative and the representative of RSA firms,
Pitso Mafantiri. The bone of contention was that, Thekommoho demanded that thecommission that Mr Mafantiri was receiving for his services should go to Thekommoho,
instead. However, Mr Mafantiri refused that demand. Consequently, Thekommoho
committee wrote letters to RSA suppliers informing them that Thekommoho no longer
recognised Mr Mafantiri as their representative; that they should no longer send stock
through him, that they would make the orders themselves; and that all commissions Mr
Mafantiri had been receiving should go straight to Thekommoho's account. RSA firms
refused Thekommoho's demand. They argued that they were the ones who employed him as
their representative, and not Thekommoho. In response, Thekommoho threatened to stopbuying their stock from all those firms. However, the threat did not bring desired results.
Rather, RSA firms stopped to supply stock for about a month, and informed Thekommoho
to sort out its internal problems. Thekommoho leaders approached Mr Mafantiri again, andasked him to continue with his services as a representative.
European Traders' Acts of Sabotage
Other problems that Thekommoho experienced had to do with acts of sabotage by
European traders who intended to undermine the cooperative. There were suggestions that
European traders convinced some Thekommoho members to sabotage their co-operative. In
an interview with Mr Mofokeng, he pointed out that, in Leribe, they found out that there weresome members of Thekommoho who took stock on credit and deliberately did not pay theirdebts. He asserted that they later found out that those were Basotho traders who had beenbribed by European traders in Ficksburg to destroy Thekommoho from inside because it was
taking business from them79.
77

Interview with Pitso Mafantiri, Borokhoaneng, July, 2009; interview with Ramafokisi Mofokeng, Leribe, September 2009.
Interview with Ramafokisi Mofokeng, Leribe, September 2009.
79
Interview with Ramafokisi Mofokeng, Leribe, September 2009.
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Another problem that Thekommoho members regarded as resulting from European traders'
acts of sabotage had to do with bad communication between RSA Railways, who transported
Thekommoho's stock to Lesotho, and the co-operative's managers. This bad communication
led to Thekommoho losing a lot of money in stock. For example, when Thekommoho
consignments had arrived at the railway station, Basotho traders were not informed in timethat their stock had arrived. The result was that, Thekommoho could not collect their stock ontime and, by the time they did so, they would not only pay higher storage costs but they would
also find some of their goods damaged by water. Thekommoho members suspected that
European traders had requested goods-train crews to make small holes on container covers,
allowing Thekommoho goods to be destroyed by rain80.
In January 1970, the Prime Minister, Chief Leabua Jonathan, declared a State of Emergency.
In the aftermath of the State of Emergency, Thekommoho was moved from Mr Santho's
premises to Buta Phalatsi's shop, which was a smaller site than the previous warehouse. At
Buta Stores, Thekommoho was managed by Mrs Joyce Phalatsi, Buta Phalatsi's wife, andMaqhoaelane Hlekane, the Vice-President of MBL and Organising Secretary of
Thekommoho. In our interview, Mr Motsoahae said that, while Thekommoho was operating
there, one of the managers of Frasers, a European by the name of Mr Brown, who was fluent
in Sesotho, would make telephone calls to Mrs Phalatsi asking her about Thekommoho's
prices on certain items. In other instances, Mr Brown would send his staff to Thekommoho topose as customers and record its prices on certain items. Mr Motsoahae pointed out that Mrs
Phalatsi would consult him, seeking advice on how to deal with that matter, and Mr
Motsoahae would tell her not to answer Mr Brown's requests. However, they found it difficult
to deal with Mr Brown's employees posing as customers because they could not expel
customers81.
The Impact of the 1970 State of Emergency on Thekommoho
On the 27th January 1970, general elections were held in Lesotho. Those who observed them,including the government, agreed that the elections proceeded well. On 30th January, as theresults of the elections were being announced, the State-run Radio Lesotho stopped
announcing results and, instead, announced that Chief Leabua Jonathan, the Prime Minister,would be addressing the nation later that day. This happened at a point where BNP and BCP
80

Motlatsi Thabane's interview with Mr G. Sekhibane, a former bakery owner and Committee Member of MBL, Motimposo,
June 1999, as quoted in Thabane, “Aspects of Colonial Economy and Society, 1868-1966, p. 115.
81
Interview with Joe Motsoahae, Bloemfontein, August, 2010.
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had won 23 constituencies each. When the time for Chief Leabua Jonathan's speech came, heannounced that there had been widespread intimidation during the elections. To ensure law
and order, he declared a State of Emergency and suspended the constitution82. As a result,constitutional rule collapsed, and opposition parties' members all over the country werebrutally and violently harassed. BCP members were amongst those who were brutallyharassed. The shops of those of them who were traders were burnt83. For example, in ourinterview with Mr Malahleha, he pointed out that:… During the emergency in 1970....we were suspected to be, what? The – the – belonging to opposition which
had won the elections at the time…But, you see, oh – oh what happened was this; the Thekommoho were – wereapparently people who were – not many of them were members of the National Party and the National Party
had lost the elections…most of the traders were people who supported the Congress, you see! And they were
harassed very badly, very, very badly! Now, this, now I may – I might even become emotional about it. My own
brother was beaten there Ha – Ha – Ha 'Maseribane for two nights in succession, non-stop! From ten o'clock
to four o'clock in the morning. You get it? That was terrible because he was a businessman in Mafeteng and henaturally – he did support the – the - it directly. He did support eh the – the [BCP] 84.
Mr Malahleha also remembered one incident that happened to Mr Dabambe, a richbusinessman in Mafeteng. Mr Dabambe had shops, animals and property, which included
automobiles. Mr Malahleha recalled that the government burnt down his businesses, trucks
and chickens. He said that Mr Dabambe's property “…burnt for something like two weeks, stillburning! That man left that place on a bicycle, a man who had cars…85
Thekommoho leaders were imprisoned together with various opposition members.
Thekommoho was closed down and its stock was raided by Police Mobile Unit (PMU)86. As
will be seen in the next section, the co-operative was later opened at a different location. The
government alleged that they had uncovered the BCP plan of violence across the country.
The PMU found 21 inflammable bombs, a 303 rifle and ammunition, swords, axes and knives
in Buta Phalatsi's store and other Basotho traders' shops87.

82

B. M. Khaketla, Lesotho 1970: An African Coup under the Microscope (London: C. Hurst & Co., 1971).
Ntsukunyane Mphanya, My Life in the Basutoland Congress Party (Maseru: Motjoli Publishers, 2010), pp.85-89.
84
Interview with G. G. Malahleha, Maseru, August 2009.
85
Interview with G. G. Malahleha, Maseru, August 2009.
86
Lesotho Monitor, 06 June 2008.
87
Lesotho News, 14 April 1970.
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Collapse of Thekommoho and Factors Behind it
At independence, the newly independent government of Lesotho and European traders
formed relations to protect each other's interests. In the process, they marginalised Basothotraders in local business. It was within the context of the development and reciprocal natureof this relationship that the government and European traders jointly put an end to
Thekommoho. The relationship between the government and European traders benefitedthese two partners. Basotho traders were viewed as a common obstacle which had to beeliminated. That was because, on the one hand, Basotho traders were European traders'business rivals, on the other hand, they were viewed as a political threat by the BNP
government because many Basotho traders were BCP supporters, the major opposition party.
In fact, as a political party, BNP was founded as a conservative political party by Chief Leabua
Jonathan and Gabriel Manyeli. The party was intended to be friendly towards Europeans,missionaries and traders, and chieftainship in Lesotho88. In its formation, it was supported by
Roman Catholic Church (RCC). The RCC had grown increasingly irritated with the activities
of BCP which it regarded as communist in ideology. By initiating and supporting formationof BNP, the Church sought to fight communism in any form it could appear in Lesotho89. In
an interview with Mr Mphanya, he also maintained that European traders partnered with thegovernment to destroy Thekommoho. He pointed out that European traders claimed that“…Thekommoho was the one which was spoiling Basotho, and should also be destroyed. It
was still a thing of the communists...90”
Thekommoho operated from October 1969 and it collapsed around June 1970. As we saw,
towards the end of 1969, the RSA Government removed the Maize Levy, and RSA farmers
were told to take insurance on their crops. That made it possible for Thekommoho to reduce
its prices on maize and maize products imported into Lesotho. As an attempt to undermine
Thekommoho, European traders approached the Government of Lesotho to introduce tax
on maize and maize products imported into Lesotho. Chief Leabua Jonathan's regime agreed
because it was in financial crisis because of the State of Emergency91. Thekommoho did not
88

Steven J. Gill, A Short History of Lesotho: From the Late Stone Age until the 1993 Elections (Morija: Morija Museum andArchives, 1993), p. 211.
89
L. B. B. J. Machobane, Government and Change in Lesotho, 1800-1966: A Study of Political Institutions (London:
Macmillan Press LTD, 1990), pp. 285-287.
90Interview with Ntsukunyane Mphanya, Mapoteng, August 2009.
91
Neville W. Pule, “Politics since Independence”, in Neville W. Pule and Motlatsi Thabane (eds), Essays on Aspects of the
Political Economy of Lesotho, p. 176.
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Sean M. Maliehecomply with that law, and it continued trading without collecting the Maize Levy. However,European traders collected the Maize Levy.
In the aftermath of the State of Emergency, Thekommoho members who were notimprisoned resuscitated Thekommoho. One of the steps that they took towards this end was
to move Thekommoho from Mr Santho's premises to Buta's Store. Just as Thekommoho wasstarting to take shape again, the Government of Lesotho sued it for not paying Maize Levy.
The co-operative was represented by one lawyer from Lekokoaneng, Mr Kolobe Motlamelle.
Mr Motsoahae informed us that the High Court found Thekommoho guilty of not collecting
Maize Levy, and it was instructed to pay the government around R90,000. 00. However, it
could not pay such an amount of money at the time. The result was that the co-operative's
stock and property were auctioned by the High Court to repay the tax. According to Mr
Motsoahae, trucks belonging to the Deputy Prime Minister, Chief Sekhonyana 'Maseribane,
took all Thekommoho stock to his businesses. Mr Motsoahae recalled that after the court case
Thekommoho was closed. Our properties...Everything was sold, yes. The High Court soldthem there. Good properties, our properties which were still new, brand new, you understandthat was an organisation of about six months…My heart was so painful. The safes were so
new, the typewriters, the [cyclone style] machine...office desks and chairs, everything was still
new. People bought them and I was watching. My heart was so painful92.
Thus, the verdict of High Court put an end to Thekommoho. Though Mr Motsoahae had
forgotten the details of the court case, he could still remember that: “… truly that case wasworked in such a way that we would be defeated93.”
Conclusion and Recommendations
None of the evidence presented here is evidence of a society with lack of adequate
entrepreneurial initiative. Therefore, the view that Basotho traders demonstrate poor
performance in local trade because they do not have adequate entrepreneurial spirit andentrepreneurial skills is not accurate. This view was propagated by both the colonial and
immediate post-colonial governments of Lesotho to justify their support of European
traders' interests with the access they had to state political power and their control of legal
institutions, on the one hand, and their neglect of entrepreneurial efforts of Basotho traders,92

Joe Motsoahae, Bloemfontein, August, 2010.
Joe Motsoahae, Bloemfontein, August, 2010.

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Rationale for Local Entrepreneurship Development Policies and Programmes in
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Sean M. Malieheon the other hand. Therefore, Lesotho's policies on local entrepreneurship and private sector
development was based on unfounded and bias grounds, which has attempted to justify theactions and benefits of, a minority of a profiteering groups instead of the majority of thecitizens.
Development of local entrepreneurship and the creation of a vibrant private sector in
Lesotho is a complex process undermined by local politics and lack of transparent
distribution of resources to the citizenry. Leaders of the government and opposition alikeshould aim to develop policies and programmes to empower Basotho traders and develop thecountry's local economy, irrespective of the political differences. This should take the form ofaddressing accurately identified problems which hinder Basotho traders' success in local
trade, and the exercise should also ensure intergenerational flow of entrepreneurial flair
among Basotho. In this way, the country will have consolidated and long-term programmes
which will not be affected by government change and governments' support of minority local
business pressure groups made up of friends, family and other of political associates.
It is an undisputed fact that the immediate post-colonial government attempted to assist
Basotho traders through BES. However, the government's intervention lacked long-term
structures and follow-up mechanisms, not to mention that, as the study has shown, theirintervention did not address problems that existed. The government even undermined thevery same people it was assisting because of political differences, and the government
supported European traders. There is evidence that the government did not set-up
infrastructure aimed at assisting Basotho traders on foundations which would ensure that
local political divergences and other pressures in local trade would not strangle the long-term
development of local entrepreneurship.
The government should also partner with Basotho traders, instead of supporting foreignbusiness interests in the country. It should use political power and control of legal institutions
to develop local trade, without any hidden agendas of supporting certain individual, or groups
at the expense of the majority of the citizens. National resources and responsibilities should
be carried out by all, for the benefit all.
Again, all these cannot be realised within a short time, and with minimal efforts. People's
perceptions also have to change. There is need for a long-term plan which must recognise thatgovernment has a role in achieving private sector development by sponsoring and mobilisingchange in various sectors of society.
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Sean M. Maliehe

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Conclusion & Policy Recommendations
The 2011 ATPS Annual Conference and Workshop which was held from 7-11 November in
Mombasa, Kenya was aimed at engaging relevant stakeholders in addressing the gaps between
research, policy and practice in Africa. This is based on the rational that for research to havethe impact of guaranteeing development gains in Africa, research results must inform andshape policies and programmes, and be adopted into practice The conference engaged adynamic mix of scientists, policy-makers, science journalists, private sector actors, the civilsociety, students and policy research advisors in stimulating debates addressing the gap
between policy research and policymaking with a view to designing a proactive way forward
for bridging this gap for African development. Deliberations during theconference/workshops focused on understanding the context-specific reasons for the gaps
between research, policy and practice in Africa and hence identify and prioritize strategies for
improving the linkages for a better use of home-grown policy research evidence inpolicymaking and policy implementation. Lessons from successful cases of good
partnerships and linkages amongst the stakeholders in Africa and beyond were drawn so as toenhance experiential learning from a transdisciplinary perspective.
Delegates at the conference/workshops concluded that there is still lack of collaboration andlinkages between and amongst researchers, policymakers and practitioners in Africa for
African development. They strongly emphasized the lack of effective communication andsupports for knowledge brokerage platforms as responsible for the gap. They also blamed thelack of understanding of each other's 'language' as fuelling the gap between and amongst the
stakeholders. They further noted that policy research efforts are yet to fully operate intransdisciplinary manner which ideally should give the opportunity for all stakeholder
engagements in problem solving for a sustainable development. They also blamed inadequate
capacity to conduct policy research that could translate into an effective policy as the bane forthe much desired linkage. Stakeholders were encouraged to learn from the few successful caseexamples of good practices in research, policy, and practice linkages in Africa which werehighlighted during the conference/workshop. It was noted that sporadic progress in linking
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policy research to policymaking have been recorded in some African countries such as South
Africa, Nigeria, Kenya, Lesotho, and Malawi. Nevertheless, the use of policy heavily
informed by research evidence in critical domains in policymaking still leaves much to be
desired. Africa's policy agenda has not fully exploited the expertise of African professionals,
leaving the African policy landscape much too influenced by the agendas of external
development agencies, consultants, and bilateral development partners.
Based on the conclusions derived above, delegates proffered the following policy
recommendations:
1. There is need for a “Knowledge Broker” that will facilitate the linkage between andamongst research, policy and practice. The knowledge broker should be able to link thepeople who create and use knowledge, assist the research community in identifying research
problems that are relevant to policymakers and facilitate the uptake of research knowledge by
policymakers. The ATPS as a transdisciplinary policy research institution has beenchampioning this knowledge brokerage role in the area of science, technology and innovation
for African development for over a decade and will need governmental andintergovernmental as well as non-governmental supports in Africa and beyond in order tofully realize this competitive role. This they should accomplish through their unique networks
across Africa and in Diaspora.
2. There is need to strengthen capacities of African researchers to be able to address
African policy needs and for policymakers to use research evidence in the formulation ofpolicies.
3. There is need for policy research institutions such as universities to set up their curricula
across transdisciplinary themes so as to be able to address the multi-faceted challenges of thesociety. Because policy research institutions are suppliers of knowledge, they should focus on
training, advocacy and outreach to policymakers.
4. The communication of policy research results and policy needs should be symmetricflowing both ways between policy research and policymaking and in simple understandable
language.
5. The influence of development partners on policy research agenda in Africa should only
be marginal and subject to critical review by local experts to be able to determine areas ofdevelopment priorities, problems and needs in specific localities. Sometimes, their motive toimpose their own external development agenda and market oriented perspectives limits theimplementation of internally developed priorities.

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6. There is need for regular networking and interactions between and amongst the
researchers, policymakers and practitioners so that they can understand each other's interests,
challenges and forge common ground. Through such fora, a harmonized agenda which
addresses each stakeholder's interests can be createdFinally, the delegates through a communiqué (See Appendix 1) called on the African Unionand its member States to adopt and proactively support leading African institutions engaged
in policy research such as ATPS, FARNPAN, ACET, APHRC and facilitate their inputs into
policy processes. Recognizing that these institutions are already leading in the various key
areas of need including STI capacity building for African Development, agricultural policy
research for attaining the food security, in the economics of transformations, and populationand health research for African development respectively should;i.
Create a consolidated fund for African Policy Research and Development at continental
and national levels, recognising that “he who pays the Piper dictates the tune”;
ii. Honour their commitment to increase their budgetary support to research anddevelopment to the recommended one percent (1%) of the GDP;iii. Create favourable policy environment to promote private sector engagement in science,technology and innovation for African development;
iv. Support existing initiatives that encourage mentorship for active engagement of youth
and women in STI policy research, and policy implementation.
v. Encourage the promotion and propagation of STI in the mass media; andvi. Encourage the appointment of STI policy advisors for national governments.

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Appendix 1
COMMUNIQUÉ ON STRENGTHENING LINKAGES BETWEEN POLICYRESEARCH AND POLICYMAKING FOR AFRICAN DEVELOPMENTbyThe Delegates of the 2011 African Technology Policy Studies (ATPS)International Conference and Workshops, 8TH – 9TH November 2011,
Mombasa, Kenya
Preamble:We, the delegates comprising policy researchers, policymakers, private sector actors (businessand industry), civil society, and the media drawn from 29 countries in Africa, Europe, North
America, the Caribbean, and Asia, met in Mombasa, Kenya 8 – 9 November 2011; for an
International conference on “Strengthening Linkages between Policy Research andPolicymaking for African Development”.
The conference was organised by the African Technology Policy Studies Network (ATPS) as
an implementation activity in response to the recommendations of the African Manifesto for
Science, Technology and Innovation launched in Cairo, Egypt in 2010, and the UNESCO
Science Report, 2010. Both publications demonstrated the role of STI as the engine ofdevelopment globally and the fact that Africa still lags behind in the various indicators ofprogress in STI development. The need for strengthening linkages between Policy Research,
Policymaking and Policy Implementation were identified as a key challenge to the growth of
STI in Africa by both reports.
This international conference organized by the African Technology Policy Studies Network(ATPS) and its partners including the African Population and Health Research Consortium(APHRC); the African Centre for Economic Transformation (ACET) and the Food,
Agriculture and Natural Resources Policy Analysis Network (FARNPAN) sought to address
the weak linkages between policy research and policymaking for African development,
recognising that:· “Only the mastery and unremitting application of science and technology can guarantee human welfare
and human happiness” (President Kwame Nkrumah, 1993).
This important role for science, technology and innovation in fostering socio-economic
development has been recognized by African Heads of States in their various declarations
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including the Lagos Plan of Action, the AU/NEPAD Consolidated Plan of Action and otherregional economic communities;
Whereas there are pockets of success in application of science, technology and innovation
including the mobile telephony and telecommunications, the continent generally lags behindand has not fully reaped the benefits afforded by science, technology and innovation for its
development endeavours;
While this failure to harness science, technology and innovation can be attributed to manyfactors, key amongst these is the lack of appropriate policies to guide and foster an African
science, technology and innovation agenda.
In our deliberations, we have further noted the need to:Strengthen capacities of African Researchers to address African policy needs andPolicymakers to use research evidence in policymaking;Encourage multi-stakeholder involvement in Science, Technology and Innovation policy
research, policy making, and policy implementation processes;
Foster high moral and ethical standards in research and policymaking, learning from existingnorms in African society;Support appropriate capacity building and Mentorship programs for African Youths andWomen to participate in STI policy research, policymaking and policy implementation.
Link research to economic productivity in Africa
We recommend that the African Union and its member States should:
vii. Adopt and proactively support leading African institutions engaged in policy researchsuch as ATPS, FARNPAN, ACET, APHRC and facilitate their inputs into policy
processes.
Recognizing that these institutions are already leading in the various key areas of needincluding STI capacity building for African Development, agricultural policy research forattaining the food security, in the economics of transformations, and population and healthresearch for African development respectively;
viii. Create a consolidated fund for African Policy Research and Development at continental
and national levels, recognising that “he who pays the Piper dictates the tune”;

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ix.

Honour their commitment to increase their budgetary support to research anddevelopment to the recommended one percent (1%) of the GDP;x. Create favourable policy environment to promote private sector engagement in science,technology and innovation for African development; andxi. Support existing initiatives that encourage Mentorship for active engagement of youth
and women in STI policy research, policy research and policy implementation.
xii. Encourage the promotion and propagation of STI in the mass media
xiii. Encourage the appointment of STI policy advisors for national governments
On behalf of all the delegates and other partners, we mandate the African Technology Policy
Studies Network to send a delegation to the African Union Commission for further
discussions and consideration of these recommendations.

Signed on this 9th day of November 2011

Delegates List
http://www.atpsnet.org/Files/Annual_Conference_Participants_List.pdf

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