International Journal of Social Science Studies, Vol. 3, No. 5, September 2015

Editorial Team

Editors-in-Chief Dr. Michael Brooks, North Carolina A&T State University, United States Prof. Máximo Ernesto Jaramillo Molina, Colegio De México, Mexico Associate Editors Dr. Jamie E. L. Spinney, Saint Mary’ s University, Canada Dr. Kim Stansbury, Eastern Washington University, United States Dr. Patricia Wiener, C.E.H.N. La Paz-Bolivia, Bolivia Dr. Troy Lovata, Honors College, the University of New Mexico, United States Editorial Assistant James Young, Redfame Publishing, United States

Editorial Board Members

Dr. Manzoor Khan AFRIDI Dr. Jose Antonio AMOZURRUTIA Dr. Dimitra ANASTASIOU Dr. Aprinalistria APRINALISTRIA Dr. Olufemi Kunle ARAMIDE Dr. Xue BAI Dr. Michael BROOKS Dr. Luigi Andrea BERTO Dr Raymond K H CHAN Prof. Linda A. CHERNUS Prof. Mei-Se CHIEN Dr. Robert COSTELLO Dr. Jianquan CHENG Dr. Matthew S. DABROS Dr. Wendy DOSSETT Dr. Katja EMAN Dr. Yaghoob FOROUTAN Dr. Joan GARCIA GARRIGA Dr. Paula HANASZ Dr. Jasmine HARVEY Dr. Paulito Valeriano HILARIO Dr. Shahadat HOSSAIN Prof. Gassemi KARIM Dr. Ofer KATCHERGIN Dr. Remigiusz JANUSZ KIJAK Prof. Ali MASSOUD Dr. Caroline MELLGREN Dr. Anne-Marie MCALINDEN Dr. Mónica MARTÍNEZ

Dr. Zitha MOKOMANE Dr. Anna Maria MOUZA Dr. Begoña MONTERO-FLETA Dr. Ghadah AL MURSHIDI Dr. Placide MUTABAZI Dr. Mohammed ISMAIL NASARAT Prof. Jehu ONYEKWERE NNAJI Dr. Iván FUMADÓ ORTEGA Prof. Sudershan PASUPULETI Dr. Federica PALUMBO Dr. Joy D. PATTON Dr. Jorge MORALES PEDRAZA Dr. Mariano D. PERELMAN Dr. Lee PUGALIS Dr. Satya Paul Kumar PP. Dr. Reem Mahmood RAMADAN Dr. Ludmila M. L. RIBEIRO Dr. Sirpa Pietilä ROSENDAHL Dr. Imran Ali SANDANO Dr. Daniele SCHILIRO', SEAM Dr. Luigia SIMONA SICA Dr. Laura K. TAYLOR Dr. Roberto FRANZINI TIBALDEO Dr. Robertson TENGEH Dr. Kareen N Tonsing Dr. Rachael WALSH Dr. Deirdre WARREN Dr. Elke WEIKDr. Mohd. Noor MAT YAZID

International Journal of Social Science Studies Vol. 3, No. 5; September 2015

ISSN 2324-8033 E-ISSN 2324-8041 Published by Redfame Publishing

URL: http://ijsss.redfame.com

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Contents Trait Anger, Employee Work Behaviors, and the Moderating Role of Problem Focused-CopingHakan Ozcelik, Laura Riolli 1-9Female Entrepreneurial Capacity in China: A Comparative Study of Two PeriodsFarhana Firoz 10-25Disinterested Management: An Early Example of Corporate Social Responsibility (CSR)Philip Talbot 26-32Impact of Poverty on Housing Condition in Gwagwalada Urban Area of Federal Capital Territory (FCT) of AbujaEbehikhalu O. Nicholas, Dawam D. Patrick 33-39National Health Insurance Scheme of Ejisu-Juaben and Matters ArisingSamuel Adu-Gyamfi, Edward Brenya, Aikins Amoah 40-60A Meta-synthesis on the Effects of Combining Heart Rate Variability Biofeedback and Positive Emotion on Workplace PerformanceHilda Barrett, Nash Popovic 61-68Considerations Surrounding the Effects of Race, Age, and Gender on GED Success among Jail InmatesJohn Stuart Batchelder, Maria Flynn, William T. Moseley, Megan Pippin 69-75Pollution Risks Accompanied with Economic Integration of ASEAN Countries and the Fragmentation of Production ProcessesTetsuo Kida, Ryo Fujikura 76-86The Impact of Decentralization Policy on the Performance of Colleges of Education in Zambia: The Case of Kitwe, Mufulira and Copperbelt College of EducationD. Kambilombilo, M. K. Banda 87-104Expanding the Practice of Newsmaking Criminology to Enlist Criminologists, Criminal Justicians, and Social Workers in Shaping Discussions of School Violence: A Review of School Shootings from 1992-2013Kelley Reinsmith-Jones, James F. Anderson, Adam H. Langsam 105-117Searching for a Biblical Worldview: From an Ecofeminist Theological PerspectiveIoanna Sahinidou 118-122The Regulatory and Supervision Framework of Microfinance in KenyaAbd Elrahman Elzahi Saaid Ali 123-130Effort and Collective Creation: Experience in Air Traffic Control WorkAlice Itani 131-140Political Efficacy and Community Well-being of the Residents in Davao City, PhilippinesRico B. Maghuyop, Melanie R. Bonita, Alily Grace M. Sardeñola, Ivanne M. Lumain 141-147Innovation in Small and Medium Enterprises in the United Arab EmiratesDaniele Schilirò 148-160Constructivist Grounded Theory Approach in Understanding Couples’ Perceived Fairness of Gendered Division of Labor: Implications on Marxist Feminist Approach and Third Wave Feminist ThoughtAurora Eusebio Araojo, Jimmy Tivar Masagca, Ernesto T Ibardaloza, Donna DB Salih, Catherine G de Leon, Medie M Lopez 161-171

Different Socio-Demographic Variables and their Impact on the Knowledge and Consciousness about HIV/AIDSMd. Behzad Noor, Rubaiyat Shaimom Chowdhury, Md. Yunus Hossain Bhuyan 172-179Study on Links between Cerebral Infarction and Climate Change Based on Hidden Markov ModelsHiroshi Morimoto 180-187




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Trait Anger, Employee Work Behaviors, and the Moderating Role ofProblem Focused-Coping

Hakan Ozcelik1 & Laura Riolli1

1 College of Business Administration, California State University, Sacramento, USACorrespondence: Hakan Ozcelik, College of Business Administration, California State University, Sacramento, CA, 95816-8099, USA.

Received: June 9, 2015 Accepted: June 23, 2015 Available online: July 21, 2015doi:10.11114/ijsss.v3i5.872 URL: http://dx.doi.org/10.11114/ijsss.v3i5.872

AbstractThis study aims to analyze the moderating role of problem-focused coping style in the relationship between trait anger and employees’ withdrawal and taking-charge behaviors. Our sample included 254 employees from two middle-sized organizations, i.e. a medical facility and a financial company, in Northern California. To reduce the common-source and desirability biases, the data regarding taking-charge behaviors were collected from the employees’ supervisors. Our results showed that employees with higher level of trait anger were more likely to engage in taking-charge behaviors, such as identifying and pursuing work-related problems. In addition, trait anger instigated withdrawal behaviors if the employees reported lower levels of problem-focused coping. In contrast, when employees were higher on problem-focused coping, their trait anger was not significantly related to withdrawal behaviors. These results suggest that, when employees take on a more problem-focused approach to manage their stress at work, their trait anger could work for the benefit of these employees and their organization by driving them to identify and solve work-related problems. Our study revealed that trait anger, in itself, is not necessarily a functional or dysfunctional employee characteristic and delineated the moderating role of problem-focused coping style in the relationship between trait anger and work behaviors. Keywords: emotions, anger, behaviors, trait anger

“Anybody can become angry; that is easy; but to be angry with the right person, at the right time, for the right purpose, and in the right way, that is not within everybody's power; that is not easy” (Aristotle, 350 BCE, 2004: p. 150).1. IntroductionOrganizational life is entwined with a wide range of discrete emotions, with distinct psychological processes and action tendencies (Lazarus and Cohen-Charash, 2004) and thus different implications for organizational outcomes. The self-management of these emotions can have a differential impact on employees’ behavior and role performance (Brotheridge and Lee, 2003). Thus, at both the theoretical and empirical levels, discrete emotions in organizations deserve closer attention (Barsade and Gibson 2007). One such emotion with extensive implications for organizational life is anger. Anger is a prevalent emotion that can be experienced by most people in organizations. Indeed, a recent study has found that almost one in four Americans experience chronic anger in the workplace (Pearson et al., 2000). Moreover, previous studies on trait anger have established that people’s experience of anger has a predispositional basis (Wilkowski and Robinson, 2010; Deffenbacher et al., 1996; Deffenbacher, 1992; Spielberger et al., 1983). Trait anger refers to a person’s inherent tendency to experience frequent and pronounced episodes of this emotion, across situations (Spielberger et al., 1983). People with higher trait-anger levels tend to perceive a wider range of situations as anger provoking and experience more intense elevations of anger in anger-eliciting situations (Deffenbacher, 1992). Studies have also found trait anger to be related to higher levels of ambulatory and resting blood pressures (Schum et al., 2003; Suls et al. 1995). Considering that anger is a high activation emotion (Collins, 1990), which mobilizes a person’s energy and guides their mental and physical activity (Izard, 1991), it is plausible to argue that trait anger can systematically influence employees’ responses to work events and drive their actions across work situations. Thus, exploring the role of trait anger in organizations can improve our understanding about some of the underlying mechanisms that explain the relationships between emotion and work behaviors. However, to date, there has been very little attempt in organizational behavior research to analyze anger as an affective trait, with the exception of a

International Journal of Social Science Studies Vol. 3, No. 5; 2015

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few studies that examined the relationship between trait anger and workplace aggression (e.g. Hepworth and Towler, 2004; Fox, Spector, and Miles, 2001; Douglas and Martinko, 2001). Instead, the extant research has mostly informed us about anger in organizations by considering it as a transient, situation-based, episodic affective state (please see Gibson and Callister, 2010, for a review). With an aim to fill this gap, we have analyzed the behavioral outcomes of trait anger in organizations. When exploring the relationship between trait anger and work behaviors, we employed a perspective that draws on an analysis of previous research, which suggests that anger, in itself, is not necessarily a functional or dysfunctional emotion: On one hand, anger may result in hostility, distraction, and lack of personal control (Berkowitz, 1990; Booth & Mann, 2004). On the other hand, anger can mobilize energy for action and induce a sense of vigor and self-confidence (Izard, 1991), make employees more capable of defending themselves (Lindenbaum and Fielden, 2011), and increase managers’ ethical awareness and motivation when making organizational decisions (Mickel and Ozcelik, 2008). In line with these views, recent experimental and theoretical studies suggest that a more complete understanding of the relationship between anger and employee behaviors requires a fine-tuned approach that takes into account possible factors that might influence this relationship. In their theoretical study, for instance, Geddes and Callister (2007) have argued that anger can result in both functional and dysfunctional organizational outcomes, depending on organizational observers’ judgments and reactions to the expression of an employee’s anger. In their experimental study, Van Kleef and Côté (2007) have empirically explored the positive and negative interpersonal consequences of the expression of anger and found that the consequences of anger depends on the context in which it is expressed and the power of the persons who observe it. Similarly, in their review of experimental studies analyzing anger in negotiation settings, Van Kleef et al. (2008) suggested that anger expressions can elicit both competition and cooperation between the parties, depending on such factors as the level of their interdependency and the justifiability of anger expression. Drawing on the studies mentioned above, it is plausible to argue that trait anger has the potential to trigger both functional and dysfunctional behaviors in organizations, depending on how an employee tends to act on their anger and respond to their environment in anger-eliciting situations. Since the experience of anger usually comes with an increased level of physical arousal and stress (Berkowitz, 1990), the nature of an employee’s tendency to cope with stress should play an important role in how the employee generally responds to their anger, and thus could explain the relationship between trait anger and behavioral outcomes. Thus, we have developed and empirically tested a model to analyze the moderating role of an employee’s coping style in the relationship between trait anger and the employee’s functional and dysfunctional work behaviors. The model tested in this study goes against the conventional wisdom that anger needs to be avoided in organizations at all costs; and aims to provide a more fined-tuned analysis of anger, as a predisposition, in organizational life by delineating whether and when trait anger can be related to negative and positive work outcomes.2. Theory and HypothesesWhen analyzing an employee’s work behaviors, we have considered both functional and dysfunctional outcomes that are potentially related to an employee’s trait anger, including taking charge (Morrison and Phelps, 1999) and withdrawal behaviors (Aquino et.al, 1999), respectively. Taking charge refers to voluntary and constructive efforts to affect organizationally functional change with respect to how work is executed within the contexts of their jobs, work units or organizations (Morrison and Phelps, 1999). Withdrawal work behaviors, on the other hand, refer to actions that employees engage in to avoid work by violating organizational norms around duties, such as leaving work early without getting permission and taking undeserved breaks to avoid work (Aquino, Lewis, and Bradfield, 1999).2.1 Trait Anger and Taking-charge BehaviorsAs a reflection of their predisposition, some employees tend to experience anger more easily and intensely than others (Wilkowski and Robinson, 2010). Work environments involve several anger-eliciting factors, some of which include inefficient task procedures and managerial policies that hamper an employee’s ability to get the job done, unfair treatments, disrupting coworkers or work events, and morally irresponsible coworker behaviors such as being lazy, taking advantage of others, and being rude to clients (Fitness, 2000). Although such factors can evoke anger in any employee, employees with higher trait anger will be more likely to experience anger when they encounter such work problems. The appraisal theory of emotions (Lazarus, 1991; Frijda, 1987) suggests that people interpret emotional-eliciting events through a process of cognitive evaluation, involving the steps of primary and secondary appraisal. Primary appraisal is the first cognitive response of an individual to the increased level of arousal and it involves an assessment of whether a specific event is good or bad and how relevant it is to one’s well-being. This theory suggests that anger can serve an adaptive function by increasing an individual’s level of bodily arousal and cognitive attention about a problematic situation and by providing information about the appraisal of this situation with respect to his or her concerns (Frijda, 1986).


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We argue that those employees who are higher on trait anger will be more receptive to the cues about potential problems in their work environment because of the arousal associated with their experienced anger. Thus, employees with higher levels of trait anger would more strongly respond to work-related issues that elicit anger, even if these issues are beyond the scope of the employee’s formal roles and duties. A faulty work procedure that is gone unnoticed by other employees, for instance, would catch the attention of an employee with higher trait anger as he or she experiences an increase in their level of arousal. It has been also suggested that anger increases people’s courage to express their opinions about work-related issues (Lindebaum and Fielden, 2011) and determination to solve work-related problems (Mickel and Ozcelik, 2008). Thus, it is plausible to argue that higher trait anger will make an employee more energized to bring out problematic work issues to the agenda, more determined to seek possible solutions for these issues, and more courageous to deal with potential conflicts that might impede progress towards these possible solutions. This proactive psychological state, in turn, will motivate the employee to seek improved ways to perform his/her work activities and will increase his or her motivation to go extra mile and take charge to improve their work environment. Thus:

Hypothesis-1: Employees with higher trait anger levels will be more likely to engage in taking charge behaviors.2.2 Trait Anger and Withdrawal BehaviorsThe high level of tension associated with anger is likely to drive people to get engaged with behaviors to self-regulate their anger (Frijda, Kuipers, and ter Schure, 1989). Previous research has shown that self-regulation of emotions depletes people’s psychological resources (Gross and John, 2003). Beal, Weiss, Barros, and MacDermid (2005) have argued that emotional-regulation processes are likely to shift an employee’s focus from their task environment to off-task concerns and activities and thereby deplete their cognitive resources. Although employees with higher trait anger will have a stronger motivation to take charge to improve their work environment as discussed above, these employees would also have a stronger need to self-regulate their emotions and replenish their psychological resources, as compared to others. Therefore, these employees would be more likely to engage in withdrawal behaviors, such as calling in sick when not being really ill, taking undeserved breaks, and leaving work early without permission, to replenish their resources. Since emotional regulation activities such as venting and rumination can be considered as inappropriate by others in the work environment (Ashforth and Humphrey, 1995), the withdrawal behaviors could also result from the employees’ motivation to seek non-work venues to engage in these emotion-regulation activities. Thus, we predict the following hypothesis: Hypothesis-2: Employees with higher trait anger levels will be more likely to engage in taking charge behaviors. 2.3 Moderating Role of Problem-Focused Coping Style for Taking-charge BehaviorsAnger is a very strong emotion that creates an inner stress and tension in the person experiencing it and drives the person’s behavior depending on how he or she acts on this tension (Izard, 1991). Therefore, to more fully explore the behavioral outcomes of trait anger in organizations, it is important to understand the underlying factors that influence how employees generally act on the stress and tension associated with the anger they experience.The appraisal theory of emotions suggests that, after people interpret a specific emotion such as anger through the primary appraisal process that we described earlier, they engage in a secondary appraisal process in which they interpret the cues from the environment to analyze the emotion-eliciting events and evaluate their alternative courses of action (Smith, Haynes, Lazarus, Pope, 1993). Previous studies have identified a person’s coping potential and his or her expectancy about whether he or she could improve the situation as a key dimension of this appraisal process, which in turn influences the person’s behavioral responses to their emotion (e.g., Lazarus, 1991; Smith and Ellsworth, 1985). According to these studies, depending on their coping styles, people make a conviction about whether or not they can act on the emotion-eliciting event to improve a problematic situation. Prior research in the stress literature suggests that people are more likely to believe that they can improve an emotion-eliciting situation when they have a stronger problem-focused style, which involves behaviors aiming to act on the source of stress, such as seeking ways to change the environment or solve the stress-creating problem (Lazarus and Folkman, 1984). Lazarus (1999) suggests that there are relatively stable differences among individuals with respect to the degree to which they employ problem-focused coping style in their daily lives. In this study, we argue that an employee’s level of problem-focused coping will influence how they act on the stress and tension associated with their trait anger and thus will moderate the relationship between trait anger and employees’ behavior.Problem-focused coping style is characterized by a general state of eagerness to achieve goals, which motivates people to obtain information about what to do and mobilizes their actions for the purpose of changing the problematic person-environment relationship (Lazarus, 1991). We argue that, for those employees with higher levels of problem-focused coping, the positive relationship between trait anger and taking charge behaviors will be stronger


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because these employees will feel more eager and optimistic about controlling the job environment and tackling work-related issues that provoke anger, as compared to those with a lack of tendency for problem-focused coping. Although emotion-focused coping (i.e., regulating one’s emotional responses instead of seeking to reduce or eliminate stressor) has often been studied together with problem-focused coping, we did not include it in this study because previous research has shown that the measurement model for emotion-focused coping is complex, including both positive and negative behaviors, which makes it difficult to conceptualize emotion-focused coping as a unidimensional construct (Stanton, Danoff-Burg, Cameron, & Ellis, 1994; Stanton, Kirk, Cameron, & Danoff-Burg, 2000; Terry & Hyness, 1998). Hypothesis-3: Problem-focused coping will moderate the relationship between trait anger and taking-charge behaviors such that the relationship will be more positive for those who have a higher tendency for problem-focused coping.2.3 Moderating Role of Problem-Focused Coping Style for Withdrawal BehaviorsProblem-focused coping will also influence the relationship between trait anger and employees’ withdrawal behaviors. Considering that problem-focused coping increases an employee’s sense of control in work environment, for employees with a lower tendency for problem-focused coping, the anger experienced about work related issues will be more likely to be coupled with a sense of lack of control. Accordingly, the level of tension associated with anger and the need to self-regulate anger will be higher for those employees with lower levels of problem-focused coping. Thus, when they have lower tendency for problem-focused coping, as a response to the relatively more taxing impact of the anger they experience at work, employees with higher trait anger will be more likely to engage in withdrawal work behaviors, such as leaving work early without getting permission and taking undeserved breaks to avoid work. There is also empirical evidence that expressing anger can be strategically used to influence others by using anger “to make a point,” “get attention,” or make other people “recognize the seriousness of the conversation” 44(Mickel and Ozcelik, 2008). For instance, an employee who strategically expresses anger to correct a faulty procedure could be taken more seriously by other employees as compared to others who do not express any anger about the issue or who express their anger non-strategically (e.g. venting). Since employees with a stronger problem-focused coping tendency will feel more eager and optimistic about controlling their job environment, they would be more inclined to strategically express their anger to others and channel their energy to solve work related problems; and less inclined to engage in non-work related activities to self-regulate their anger. Thus, for those employees with higher levels of problem-focused coping, trait anger should less strongly drive the employees to engage in withdrawal behaviors. The preceding discussion leads us to the following hypotheses:Hypothesis-4: Problem-focused coping will moderate the relationship between trait anger and withdrawal behaviors such that the relationship will be more positive for those who have a lower tendency for problem-focused.3. Methods3.1 Sample and DesignOur sample included employees and their managers from two middle-sized organizations in Northern California. One company was a medical facility and the other company was a technologically advanced financial group. Surveys were sent to 200 employees at each organization. The data regarding the employees’ extra role behaviors were collected from the supervisor of employees, to reduce the common-source and desirability biases. A total of 161 subordinates and their respective supervisors from the financial group returned completed surveys, with a response rate of 80.5%. A total of 100 employees and their supervisors from the medical facility returned completed surveys with a response rate of 50%. After dropping 7 cases with missing information, we used data from 154 employees from the financial group and 100 employees from the medical facility and their respective supervisors. The sample consisted of 254 employees (44% male and 56% female). On average, subordinates had 14.98 years of work experience (s.d. = 10.95), of which they spend an average of 5.55 years (s.d. = 4.94) in their current department. The distribution of respondents’ education level was as follows: 16 % high-school degree, 49 % some college degree, 23 % bachelors degree, and 12 % graduate degree. The respondents came from a variety of professional backgrounds such as administrative/clerical, technical, finance/accounting, and clinical services.3.2 ProcedureA contact person from the Human Resources Management (HRM) department of the two participating companies distributed the survey packages to employees and their supervisors. To ensure that their responses to the survey would remain confidential, the respondents returned sealed envelopes to the HRM contact person. After receiving the employee responses their respective managers were contacted by the HRM contact person and distributed the questionnaires which assessed each subordinate’s performance regarding extra role behaviors. The supervisors returned their surveys about 4 weeks after data were collected from the employees.


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3.3 MeasuresSubordinates and supervisors used a 7-point scale (1 = strongly disagree, 7 = strongly agree) to answer all the questions.3.3.1 Trait Anger Subordinates reported their trait anger using the 10-item scale developed by Speilberger et al., (1983). Sample items included: “I am a hot-headed person.”, and “I am quick tempered.” The internal reliability of this measure was 0.78.3.3.2 Problem-Focused CopingWe used Lazarus and Folkman’s (1984) 9-item scale to measure problem-focused coping. Participants were asked to describe how they usually respond when they face a problem or stressful situation in their work by indicating their agreement with each of the scale items provided to them. Sample items included: “I often make a plan of action and follow it”, and “I try to analyze the problem in order to understand it better” (α = .70).3.3.3 Taking-charge BehaviorsEach subordinate’s supervisor completed Morrison and Phelps’s (1999) 8-item scale to measure the employee’s taking charge behaviors at work. Sample items included: “Trying to implement solutions to pressing problems.”, and “Trying to correct faulty procedures or practices” (α = .82).3.3.4 Withdrawal BehaviorsSubordinates completed a 5-item scale from Aquino et al. (1999). Sample items included: “Taking undeserved breaks to avoid work”, “Leaving work early without permission”, “Intentionally arriving late for work”. The internal reliability of the scale was 0 .84.3.3.5 Control VariablesWe controlled our analyses for a set of demographic variables that could be related to taking-charge and withdrawal behaviors and thus might confound the relationships we have posited, including the employee’s age, gender, education, and departmental tenure. We have also controlled our results for the amount of time an employee spends with his or her supervisor in a week because spending more time with supervisor would make it more difficult to engage in withdrawal behavior. In addition, we have included an employee’s level of perceived job stress as a control variable in the study since it could confound the relationship between trait anger and employee behaviors. We measured perceived work stress by using a 4-item scale from Endler and Parker (1990), including items such as: “Being stressed out comes with my job”, and “I frequently get stressed at work”. The internal reliability of this scale was 0.75.3. ResultsWe used hierarchical multiple regression analysis to test our hypotheses, following the procedures suggested by Baron and Kenny (1986). For each dependent variable, we ran a separate regression analysis. For each analysis, we first entered our control variables in Step-1, the main effects of independent variable (i.e. trait anger) and the moderating variable (i.e. problem-focused coping) in Step-2, and the interaction of trait anger and the moderator variable in Step-3. Following Aiken and West (1991), we centered the trait anger and problem-focused coping variables prior to computinginteraction terms. The results for our analyses testing the study’s hypotheses are presented in Table 2.Table 1. Results of multiple regression analyses testing the study’s hypotheses

Variables Taking-charge Behaviors Withdrawal Behaviors

Control VariablesStep 1

Step 2 (H1)Step 3(H3)

Step 1 Step 2 (H2)

Step 3(H4)

Age -.01 -.01 -.01 -.18* -.17* -.18*Gender .10 .10 .10 .13 .15* .15*Education .05 .04 .03 -.12 -.13* -.14*Tenure -.10 -.11 -.11 .32** .30** .29**Time with supervisor .09 .08 .09 -.15* -.20** -.18**Perceived work stress -.08 -.13 -.12 .08 .02 .02Main EffectsTrait Anger (TA) .18* .17* .25** .23**Problem-focused coping (PC) -.03 -.03 -.30** -.30**Two-way InteractionTA x PC -.07 -.12*

F 1.69 2.14* 1.98* 5.39** 12.06** 12.93**R2 .05 .09* .09* .14** .34** .36**Adjusted R2 .02 .05* .05* .12* .32* .34**Change in R2 .03* .00 .20** .02*


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* p < .05; ** p < .01Our first hypothesis predicted that trait anger will be positively related to taking-charge behaviors. As shown in the columns presenting the results of regression analysis predicting taking-charge behaviors in Table 2, when trait anger was entered in the analysis in Step 2, it had a significant positive relationship with taking-charge behaviors (β = .18, p<.05). Thus, our first hypothesis was supported.Our second hypothesis predicted that trait anger will be positively related to withdrawal behaviors. The results of regression analyses testing this hypothesis, presented in Table 2, showed that when trait anger was entered in the regression model in Step-2, it had a significant positive relationship with withdrawal behaviors (β = .25, p<.05),providing support for the second hypothesis. Our third hypothesis predicted that problem-focused coping will moderate the relationship between trait anger and taking-charge behaviors. As shown in the columns presenting the results of regression analysis predicting taking-charge behaviors in Table 2, the interaction term (Trait Anger x Problem-Focused Coping) was not significant when it was entered in Step-3. Thus, our third hypothesis was not supported. A notable finding from this analysis is that, in Step-3, trait anger remained significant in the regression model (β = .17, p<.05) and problem-focused coping was not significant. These results indicate that employees who are higher on trait anger are more likely to engage in taking-charge behaviors, regardless of their level of problem-focused coping style. Our fourth hypothesis predicted that problem-focused coping will moderate the relationship between trait anger and withdrawal behaviors. The results in Table 2 show that the interaction term (Trait Anger x Problem-Focused Coping) in the equation predicting withdrawal behaviors was significant (β = -.12*, p<.05). Following Aiken and West (1991), we conducted a simple slope analysis to examine the relationship between trait anger and withdrawal behaviors at high and low levels of problem-focused coping, i.e. two standard deviations below and above the mean. Figure 1 graphically depicts the results of the interaction. As predicted, the relationship between trait anger and withdrawal behaviors was more positive for those with low problem-focused coping. Indeed, the results indicated that this relationship was not significant for those with high problem-focused coping.

Figure 1. Problem-Focused Coping as Moderator between Trait Anger and Withdrawal Behaviors (H-4)4. DiscussionOur study has explored trait anger in organizations and revealed how it can lead to both positive and negative behaviors at the same time. Specifically, trait anger influenced the employees’ likelihood of identifying and pursuing work-related problems, i.e. taking-charge behaviors, and yet at the same time instigates withdrawal behaviors if the employees could not manage the tensions associated with their anger in effective ways by utilizing problem-focused coping strategy. Moreover, when employees were high on problem-focused coping, trait anger was positively related to taking charge behaviors and was not significantly related to withdrawal behaviors. These results suggest that, when employees take on a more problem-focused approach to manage their stress at work, their trait anger could work for the benefit of these employees and their organization by driving them to identify and solve work-related problems. In this study, we focused anger at the dispositional level, an area which has received very little attention in research on emotions in organizational behavior. Previous research has studied anger mostly as an episodic emotion and the research that focused on trait anger portrayed it by mostly focusing on aggressive behaviors 47(Gibson and Callister,


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2010). Our study extends the emotions literature, and particularly that on anger in organizations, in three ways. First, our results showed that, apart from aggression, there could be less visible and more silent responses associated with anger, such as the withdrawal behaviors analyzed in this study, which could slowly but gradually undermine an organization’s task environment. These results open up a path for future research that can explore the relationship of trait anger to a wider range of work behaviors and attitudes to more fully understand anger as a dispositional factor in organizational behavior. Second, the results of our study highlighted that anger can play a significant role in organizational context as adispositional factor as well as an episodic emotion, with potential relationships to not only dysfunctional but also functional outcomes. To our knowledge, there has been no previous research that empirically explored the functional behavioral outcomes of trait anger in organizations. By demonstrating the relationship between trait anger and taking-charge behaviors, our study opens a path for future research to further explore other possible functional outcomes of trait anger, such as ethical behaviors, voice, and sensitivity to fairness. For instance, considering that anger increases ethical awareness (Mickel and Ozcelik, 2008), future research can explore whether an employee with higher trait anger will be more responsive to the unfair treatment of other employees and will be more likely to engage in prosocial behaviors to help these employees. Future research can also analyze whether and how trait anger is related to an employee’s in-role performance and the possible moderating factors in this relationship, considering that taking charge behaviors can potentially distract an employee from day-to-day task activities. Additionally, future research can focus on the interaction between trait anger and state anger to examine the differences between employees with high and low levels of trait anger with respect to how they perceive anger-provoking situations and behaviorally respond in these anger episodes. Third, our results extend the theory about anger by also improving our understanding about the psychological mechanisms to delineate when trait anger is related to functional or dysfunctional behaviors. In a recent study reviewing research on anger in organizations, Gibson and Callister (2010) have proposed an episodic model of anger suggesting that trait anger should influence the degree to which individuals perceive work events to be problematic and the way they respond to these anger-eliciting events. Our results suggest that trait anger does heighten an employee’s perceptions about work related problems, as could be inferred from the positive relationship between trait anger and taking charge behaviors. Our results also show, however, that trait anger, in itself, does not drive an employee to negatively respond to these problems. Rather, an employee’s level of problem-focused coping plays a moderating role in determining whether trait anger will drive employees to negatively respond to work problems by engaging in withdrawal work behaviors. The results of our study should be interpreted in light of its limitations. One limitation is the possibility of social desirability bias in employees’ reports regarding their trait anger and withdrawal behaviors. Another limitation is the possibility of restriction of range in our measurement of trait anger in the sense that our sample might not include sufficient number of employees with extreme levels of trait anger. It could be argued that, employees with extreme levels of trait anger would be less likely to engage in taking charge behaviors, which might yield a curvilinear relationship between trait anger and taking charge behaviors rather than the positive relationship we have found in this study. Despite these limitations, however, there was sufficient variance in both of these variables to be able to obtain significant results supporting the hypotheses of our study.Our study provides insights also for managerial practice by showing that trait anger could lead to both functional and dysfunctional behaviors, depending on how employees manage their stress. Previous research suggests that an employee’s coping style is not a disposition and could be influenced by the contextual factors in work environment as well as individual-level factors (Carver et al., 1989; Folkman, 1992). We suggest that how managers treat and guideemployees who are high on trait anger can determine the direction to which these employees will channel the emotional energy associated with their trait anger. For instance, when the managers stigmatize those employees with higher levels of trait anger and ignore their efforts to tackle work-related issues, these employees might be less likely to take on a problem-focused coping approach when they identify work-related problems, and thus engage in withdrawal work-behaviors. On the other hand, when the managers help employees with higher trait anger voice their concerns about organizational issues and effectively address their concerns, they can benefit from these employees’ effort, insights, and determination to improve their organization. Our results also have implications for the anger management practices, which have gained an increasing level of popularity among business practitioners (Kassinove and Tafrate, 2010). Specifically, our study suggests that, although it has been originally formulated as a stress coping strategy, problem-focused coping can also be a useful method for employees to not only manage the tension associated with their anger but also actively pursue and solve work-related issues.


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This work is licensed under a Creative Commons Attribution 3.0 License

International Journal of Social Science Studies Vol. 3, No. 5; September2015



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Female Entrepreneurial Capacity in China:A Comparative Study of Two Periods

Farhana Firoz1

1 School of Business & Economics, North South University, Dhaka, Bangladesh.Correspondence: Farhana Firoz, School of Business & Economics, North South University, Dhaka, Bangladesh.


Abstract This is a comparative study of women in China in their career choices as entrepreneurs based on self-efficacy theory, in two periods, 2002 and 2010. Existing literatures not only suggest, self-efficacy is an essential factor in career choices but also suggest that it varies considerably in genders. In addition, self-efficacy is developed through social persuasion which ultimately affects people’s career choice. Literatures also suggest that China is a country, where women face much social pressure and barriers .So study assumes, Chinese women’s self-efficacy is not that much due to social suppression and aims to see whether with time there has been any increase in self-efficacy in choosing their career as entrepreneurship.Individual data of Global Entrepreneurs Monitor (GEM) and self-efficacy theory are used to test self-efficacy and entrepreneurial intentions, to interpret women’s changing orientations towards their career as entrepreneurs compared to men, in 2002 and 2010 . The findings of the study have been drawn based on three propositions to check self-efficacy. Each proposition findings are compared among genders for the periods 2002 and 2010 to understand the change in gap, as China progressed. The results suggest, in 2010, though Chinese men are more engaged in entrepreneurship compared to women, but the gap in genders in their self-efficacy & career self -efficacy is seen to narrow in 2010 than in 2002. The findings of the research will help in recognizing the importance of the factor self-efficacy and its importance in women’s career choice. Keywords: GEM, Self-efficacy, Career self-efficacy 1. IntroductionEntrepreneurship is a career which postulates proper opportunity for women worldwide because it gives flexibility, more financial freedom thus better position in the society, change and innovation. And according to UNIDO (1995) , this potential has been realized only in optimal way in most transitional economies and developing countries because a large number of contribution of women goes unnoticed in the informal sector and is not counted in national accounts (UNIDO,1995). Several varieties of constraints are there on women which blocks women from upgrading their production ability in a continuous manner. These barriers can be poor access to market information, lack of knowledge in technology and finance, poor linkages with support services and an unfavorable policy and regulatory environment. These constraints are further amplified by the need to compete in an aggressive business environment with rapid technological changes and the globalization of production, trade and financial flows (UNIDO, 2001). Many of these constraints have impacts on both men and women but for women these constraints are much more bigger because of discriminatory socio-cultural values and traditions which are deeply rooted. In many cases, women are unable to benefit from services, and must struggle to overcome discriminations in business environment (UNIDO, 2001).These cases become more clear in country based study, as because country based study on women entrepreneurs can give an important insight on a particular country’s socio-economical development, also existing literature shows women entrepreneurs are the building blocks of a society.This study provides an analysis of the self-efficacy theory in career choice as entrepreneurs of women in China. In doing so, the study aims to further build on the application of the term ‘self-efficacy’ and how it varies in genders that leads to their ultimate career choice to be an entrepreneur by emphasizing the role of women in continuous changing society of China. It is suggested that a person’s intention and ability to engage in certain activities is affected by self-efficacy, that is, the extent to which one has confidence in his or her own capabilities (e.g. Bandura , 1978 ; Boyd


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and Vozikis , 1994) and so it is a very important concept to understand (Litt, 1988),. There are several literature on self-efficacy and how it varies by gender and its significance in career choices(e.g. Bandura,1977; Bandura et.al., 2001; Kickul ,et al. 2004; Scherer,et.al.1989; Hollenbeck and Hall, 2004; Lent and Hackett,1987 ; Nevill & Schleckler,1988) and there is a developing literature on the position of women in the Chinese labour market and the factors that influence their progress (e.g. Cooke, 2003, 2010; Leung, 2002 ; Maurer-Fazio et.al., 2011), but no literature is found on Chinese women’s entrepreneurial intensions based on self-efficacy theory. As a consequence, there is a limited understanding of how best to support women’s role in entrepreneurship in China and of the applicability of self-efficacy theory in understanding and informing this process of women’s progress in the society. This gap in the literature also leads to lack of enough knowledge about how Chinese women entrepreneurs understand their careers, and how they respond to the opportunities and barriers that they face.China has been pursued sweeping economic changes since 1978, in an officially sponsored transition from a Stalinist centrally planned economy to a socialist market economy (White et al. 1996) . The need to curb the magnificentpower of the Leninist state and change the balance of power between state and economy, state and society were the highlights among the Chinese reformers (White et al. 1996). In practice, China is facing new socio-economic forces, shifting power in their direction, and the possibility of political transformation due to its economic reforms. These reforms have set a continuous process of potentially fundamental social and institutional change in China (White at al.1996). In midst of these reforms, how Chinese women’s position changed in terms of their self-confidence in building their career can be an interesting area to study.This study’s analysis is rooted in the change in self-efficacy differences in genders to be entrepreneurs in context of changing culture of China. Relatively little is known about the self-efficacy towards career choices in China, like, choosing entrepreneurship as career in women mainly. The study draw discussion on a sample from China based on the Global Entrepreneurship Monitor’s (GEM) individual adult population secondary data of2002 and 2010, on China.This country provides an interesting setting in which to do a comparative study of entrepreneur start-up activities in men and women in two periods because of the fact that this region is having transitional economy and currently playing significant role in the economy development of Asia Pacific & South Asian region according to GEM reports 2002 & 2010 . In addition, the literature reveals that there have been noticeable changes in the socio-psycho-cultural and economic norms in this country and so whether these changes have helped women’s condition to improve has been an interesting fact to explore.To find the effect of self-efficacy in women leading them to choose career as entrepreneurs, and how self – efficacy changed in women in 2010 from 2002, a comparative analysis is done for the two years. To do this, the study first tested significance of difference in perception of self-efficacy to be entrepreneurs in genders with respect of skill, knowledge,experience and fear of failure and compared the results in two periods. Next, for the years 2002 and 2010, significance of self-efficacy as a factor of career choice is tested among genders by taking entrepreneurial activities and future intentions to be entrepreneurs into consideration and a comparison for the two periods is made. Followed by, analysis ofsignificance of entrepreneurial career self-efficacy in traditional and non-traditional careers among genders is tested by taking their current entrepreneurial intentions, intentions of ownership of business and entrepreneurial endeavours under current employment into consideration and a comparison for the two periods is done. Finally, the findings are analysed and explained in realm of transitional Chinese society and self-efficacy theory, which will be useful for future research and policy developmentto developcareer orientations of Chinese women as entrepreneurs that will be appropriate for context of China. But before the analysis, the study starts by drawing a socio-demographic review of the position of women and women entrepreneurs in the society of China and the changing cultural. This is so, because culture has immense impacts on self-efficacy (Bandura 1977, 1986), which in turn will have influence on women’s career. This is followed by reviewing of literature on self-efficacy theory, its significance in career choice and variation of career self-efficacy in genders, which provided the context and link for the analysis and interpretation of findings that follow. 1.2 Importance of Women Entrepreneurs and Women’s Position in ChinaQuite a significant role is played by women entrepreneurs worldwide. It is a fact that women entrepreneurs are important building blocks of an economy and they are the drive for growth in the economy of a country (Minniti et al. 2005).There is also the fact that new ventures / businesses are basic components of the advancement of an economy and this is agreed by (Acs, Arenius, Hay, & Minniti, 2005).Since, women entrepreneurs and new ventures are so important for a country’s economy , it is very important that we should know what pulls women behind than their male counterparts. If these factors are studied and improved than women human capital can be used properly in any nation. General statistics shows, in Africa, Asia, Eastern Europe, and Latin America women entrepreneurship is vastly increasing and in advanced economies, women own 25% of all businesses (Estes, 1999; Jalbert, 2000). According to


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Women-Owned Businesses (2004), 6.7 million privately held majorities women-owned businesses account for $1.19 trillion in sales and employ 9.8 million people, and this is only alone in United States. So, these statistics shows the acceleration rate of women-owned businesses to be impressive. These data signifies the value of studying women’s entrepreneurship, and is a good proof that scholars and researchers are paying more attention to the field of women entrepreneurship.In People’s Republic of China, private business is a fairly new area of opportunity for both women and men. There was practically no existence of private businesses until the reforms of the l980s and it had not been that long an amendment to the Chinese Constitution in 1988 legalized private business activities (Lu and Zhimin, 1997). From the beginning of that time period private business activities were first seen as tolerance but when it was realized that businesses created jobs and supplied goods & services which were scarce, later private businesses are encouraged (Lu and Zhimin, 1997). But to understand entrepreneurial self-efficacy among Chinese women, it is very essential to understand the position of women in Chinese society in the last few decades.Women’s equal rights in all aspects of life, for example – equal rights in the work place, including equal pay to men, inheritance of land and property, in initiating divorce and claiming their children, right to vote and equal access to education were guaranteed in China by the ‘1982Constitution of the People’s Republic of China . China started to reform with the slogan of Maoistt, ‘women hold up half the sky’ (Kitching and Woldie, 2004). Statistics showed in the study of Kitching and Woldie (2004), that there were 400 million women in China aged 15 plus years, 300 million women were economically active and two thirds urban and three fourths rural women engage in work outside the home , 44 % agricultural workers comprised of women. In 1990, statistics of Chinese women showed, 45% of professional and technical personnel were female, this statistic was up from 38% in 1982 (Kitching and Woldie, 2004) ; 11% were females among heads of authorities and government organisations, business organisation and institution, and this was 10% in 1982 (Hall,1997); Jobs which were unimaginable for females before the reform for example - secretary, interpreter, translator, businesswoman and tour guide were becoming new possibilities and the top dream jobs for Chinese women (Hall, 1997). In rural areas of China, out of a million self-employed people, engaging in commerce and service trades, two-thirds of them were women (Xinhua, 2000). In 1990, according to China Women’s News, 4.6 million rural women were running businesses, that is, one - third of all rural businesses were women owned , this was a big jump in statistics of women entrepreneurs from 1980 (Kitching and Woldie, 2004). But there is a big gap in reality and the statistics discussed so far. Though China started to reform its society and conditions of women improved from 80s, but not many women involvement in professional jobs could be seen in China till early 21st century.Though equal opportunity was established through the 1982 Constitution of the People’s Republic of China and the Communist government was committed to support gender equality (Loscocco& Bose, 1998) with males and females regarded as equal contributors to production, but traditional and cultural aspectshindered and pulled back women from taking participation in the economy (Summerfield,1994). With the economic reforms as traditional institutions received more prominence, the traditional attitudes about the inferiority of women that had been repressed to some extent,resurfaced again. This could be evidenced in various job advertisements with signs that the advertised job was only for men , stories of female infanticide, articles in the press that claimed that women should prove that they were as capable as men otherwise they should go back to the kitchen (Summerfield,1994).Patriarchal society could be another main reason why women were not seen to practice their career freedom in previous studies. A patriarchal society can be defined as one where women are subject to oppression, exploitation (Walby, 1989) and powerful gendered ideologies (Granrose, 2007; Ebrey, 2003).And so men are more in charge of outside work than women, who are more into domestic work(Kitching and Woldie 2004).China is not only a patriarchal society but also a very strongly collectivist society, that is, individual priority is sacrificed over group priority(Yang, 1988; Kim & Markus, 1999; Ho& Chiu, 1994; Triandis, 1995; Yu & Yang, 1994). This has a great affect within families, in a form of family collectivism, with men being head of the family. Husband and his family’s welfare are priorities under the doctrines of collectivist society (Yu & Yang, 1994, Liu et al. 2010) rather than a women’s career(Granrose, 2007), where women is seen to be giving support to their husband by involving themselves in domestic chores and bearing and raising children.In addition, to the social factors there is also an important factor, which is known as self-efficacy, which is very essential to understand if we are to explain women’s career choice in China, in terms of their social position . Self-efficacy, in general, refers to self-confidence that the person has about the required skills, knowledge and experience to succeed in an activity (Bandura,1977), for example - new venture or any activity . And confidence needed for entrepreneurial endeavours is known as entrepreneurial self-efficacy (McGee et al. 2009). Interestingly, it has been found from work of Kickul, et al. (2004) that entrepreneurial self-efficacy differs by gender. For example- they found entrepreneurial self-efficacy were weaker in teenage boys than in teen age girls. For teen girls, it appeared that their perceptions that they had the abilities or skills to succeed as entrepreneurs were simply more important in considering future career options than for boys.


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So from these discussion , it can be said regarding Chinese women, that not only their education but also other factors, like gender inequalities in careers and stereotyped role in the society would have impact on their self-efficacy and ultimately in their career choice. In a patriarchal society, such as China, occupations with lower status and lower position were compatible with women's inferior self-concepts that leads to lower self-efficacy, and their views about accessibility (Greene and Stitt-Gohdes, 1997). This view of patriarchal society can be much explained by its viewstowards non- traditional career for women like- entrepreneurship. For example-Zunker (1994) stated "the woman who gives her career development equal status with her husband's will find acceptance of her role personally challenging, with little support from many men and women" (p. 341). More discussion on self-efficacy, its importance in choosing carrier and how career self-efficacy differs in genders are essential to draw propositions on Chinese women’s self-efficacy in entrepreneurship field. And this is done in the following sections.1.3 Background ofSelf-Efficacy

Self-efficacy is central to intentions towards entrepreneurship and also self-efficacy predicts opportunity recognition (Scherer, et. al., 1989). To understand entrepreneurial intentions, it is essential to understand the background of self-efficacy. Social learning theory of Bandura (1977) gave rise to the term ‘self-efficacy’ and it referred mainly to a person’s self-belief of his or her capability to take or perform a task. In his original work , Bandura (1977) defined self-efficacy expectations, asone’s own belief about his/ her capabilities to perform an action or execute a behaviour successfully. In realm of this, Bandura hypothesized efficacy expectations would help to determine initiation of a particular behaviour, expended effort, how long the persuasion would stay when faced with obstacles and non- favourable experiences. Self-efficacy is not biologically obtained but could be acquired gradually through the development of a person’s complex cognitive, social, linguistic, and/or physical skills that were obtained through experience (Bandura, 1982; Gist, 1987).Bandura (1986), in his study , hypothesized efficacy expectations to be acquired in four ways, which were1) Performance accomplishments2) vicarious experience and this includes observational learning through modelling 3) verbal persuasion and 4) individual’s physiological status . Andhe assumed self-efficacy vary along three dimensions which were 1) level2) strength, and 3) generality. Here ‘level’ is referredto as one’s feeling about what he or she is capable of doing; ‘Strength’ is referred to one’s confidence about his or her capability ; ‘Generality’ is referred to number of situations in which one believed they had necessary efficacies. Therefore, the acquired skills through past achievements strengthens self-efficacy and contributes to higher motivation for future performance (Herron and Sapienza,1992).This view was also suggested by Wood & Bandura (1989) ; Lent &Hackett (1987),that through experience individuals could acquire or develop self –efficacy in an efficient way and this may act positively in future performance. In addition to this, people may evaluate of their own capabilities by comparing themselves to others by observational learning of an individual who had been estimated with relevant skills that would be required to attain same outcome, and this may affect self-efficacy (Gist & Mitchell, 1992). Another way to improve self-efficacy was through the social persuasion. Receiving favourable feedback & attainable encouragements about task performance may likely results ingreater effort (Gist, 1987; Wood & Bandura, 1989).All these concepts together, when self-efficacy is assumed as a key preceding factor to new venture intentions, it is called as entrepreneurship self-efficacy (Boyd &Vozikis, 1994; Chen et al. 1998; Krueger & Brazeal, 1994). From the literature of position of Chinese women and self-efficacy, it can be expected that culture have immense impacts on women’s career, which may in turn affect women’s experience, skill and knowledge through which individuals can acquire self –efficacy . Also, perception of negative factors, like, lack of social persuasion and fear of failure may hamper self-efficacy .Hence , Chinese women would show less self-efficacy for their social position and this could be reflected in terms of their less perception of their skills, experience and knowledge compared to men. In addition, Chinese women’s social position would lead them to have more fear of failure and less self-efficacy compared to men. But women’s self-efficacy is expected to increase with the changes in socio-economy changes of China. These assumptions guided to suggest this study’s first proposition :P1: It is suggested that women in China, would be less likely to have perceived knowledge, skill, experience to be an entrepreneur and more perceived fear of failure than men but however these differences in genders would be expected to be narrower in 2010 than in 2002,due to socio –economy changes in China.1.4 Self-Efficacy As a factor for Career ChoiceThe purpose of the following discussion is to further explain the potential contributions of self-efficacy theory for career choice. This is to increase understanding of women’s career choice as entrepreneurs in China.


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In the beginning of 21st century, self-efficacy has been described as one of the variety of socio cognitive influences on the career choices of children by Bandura et al. (2001) and the study found that academic self-efficacy had a very strong influence. Also, in career theory literature, concept of self-efficacy has been used rigorously. It gave logic behind chosen career options, career preferences or desireand important of all ultimate career oriented action (Betz and Hackett, 1981, 1983; Eccles, 1994; Hackett and Betz, 1981).Interestingly, gender could also be a likely factor that may affect innovative attitude towards business establishment. Harris and Gibson (2008) reported that there had been a significant difference between male and female business students in their need for innovation in business.Bandura (1977, 1986) recognizes that enactive performance was the most powerful source of efficacy information; thus, exposure to sex-typed activities may result in differential skill acquisition and, consequently, gender differences in self-efficacy judgments for traditionally female or traditionally male career competencies. Therefore, these findings suggest social differences between men and women may be a causal factor that influence underutilization of women of their career talents (Hackett and Betz,1981) , and could be one of the reasons why there were not many women in many careers, like- entrepreneurship, which was traditionally male dominated in China .From these literatures, it can be said that self-efficacy helps to choose career, and those individuals who have high entrepreneurial self-efficacy will choose entrepreneurial career as a preference. Due to prominence of stereotyping of gender roles in China, women may have less entrepreneurial self-efficacy. Thereby, they would be less involved in entrepreneurial activities and would show less entrepreneurial expectations than men. But situation of women and their self-efficacy towards career choice may improve with changes in socio-economy factors of China. So the next proposition is:P2 : It is suggested that women in China were less involved in activities in past twelve months that would help to start a new business and they had less expectation than men to start a new business alone or with others, including any type of self-employment within the next three years, however these differences between genders would be expected to be narrower in 2010 than in 2002, due to socio-economy changes in China.1.5 Gender and Career Self-EfficacySince China is a patriarchal society (Yu and Zhu, 2000 as cited in Kitching and Woldie,2004), gender stereotyped career are more profoundly present. This fact can form a good argument of career self-efficacy of womenin China regarding entrepreneurship. In a major review of the career self-efficacy literature name of Lent and Hackett (1987) ; Nevill&Schleckler,(1988) were mentioned , whose research findings have provided support for the argument that career choice is largely andsignificantly depends on self-efficacy and self-efficacy differed by genders in traditional and non-traditional careers. This aggregate view was supported by research evidence that women were most likely to have lower expectations than men for success in a wide range of occupations (Eccles, 1994). Therefore, it was not surprising that in women there was measurable or rather significant lower levels of self-efficacy had been found in careers which were historically perceived as non –traditional (Bandura et al. 2001; Betz & Hackett, 1981; Scherer, et al.1990), for example -entrepreneurship.In China, inequality among genders and patriarchal society’s norms created career choice to besegregated according to gender, therefore, it is less expected that women undersuppression would put much attention on their entrepreneurial opportunities and possibilities. In spite, even if they had necessary skills and capabilities to be in the area of entrepreneurial profession, they would tend to hide their entrepreneurial intension. On the basis ofthe gender and self-efficacyliterature, the assumption is ,women of China would show less entrepreneurial self-efficacy because of gender inequality and social issues. Therefore, it is expected they would not demonstrate any entrepreneurial intentionality, or behaviour to tackle challenging situations of risk and uncertainty which would characterizes them as entrepreneurs. However, situation of women and their self-efficacy towards career choice may improve with changes in gender inequalities in China. And this may happen with the socio-economy changes in China. This is reflected in the third proposition :P3 : It is suggested that women in China would have less intention than men, in trying to start new business alone or with others, including any self-employment or selling any goods or services to others and therefore women would have less intention than men, of owning all, part or none of the business . Also, women in China should have less intention than in men, in trying to starting new business, or new venture for the employer as part of their normal work but however these differences in genders is expected to be narrower in 2010 than in 2002,due to socio-economy changes in China.


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2. Method2.1 SampleIn this study, the data set which has been used was adult population individual-level survey data (APS)of 2002 & 2010 from the Global Entrepreneurship Monitor (GEM)1.In China, a standardized survey was administered by GEMon a representative sample, i.e – the sample reflected the general acclaim for data ; miniature of the population ; coverage of the population ( Kruskal and Mosteller, 1979). Sample consisted of more than 2,000 adults (18–64 years old) in both the years of 2002 and 2010.The surveys were conducted by telephone or face-to-face between May and August in the national language(s) and facilitated by a translation and back-translation of questions.2.1 Procedures and VariablesFrom the data set of GEM, amongst numerous countries, only data of China was selected by ‘select case’ usingSPSS .Chi-square test was run, for each year 2002 and 2010 separately ,to check the association and significance of ‘genders’ and each variable, for example- to test the first proposition (P1) about self-efficacy in females and males through perceived knowledge, skill, experience and fear of failure, variables chosen from GEM data for China were-

a. Do you have skill, knowledge& experience? b. Would fear of failure would prevent you from starting a business ?

Each of these two variables were tested against gender for 2002 and 2010 separately to check the association and significance. This procedure was repeated to check second proposition (P2), that is, self- efficacy as factor for career choice in females and males, and variables chosen from GEM data for China were –

c. Over the past twelve months have you done anything to help start a new business? d. Are you, alone or with others, expecting to start a new business, including any type of self-employment, within

the next three years? Chi-square was done with each of the above variables against ‘gender’ for the year 2002 and 2010 separately and association along with significance was checked. To check the third proposition (P3), to check career self-efficacy of males and females in China, three variables were chosen from GEM data for China were–

e. Are you, alone or with others, currently trying to start a new business, including any self-employment or selling any goods or services to others?

f. Will you personally own all, part, or none of this business? g. Are you, alone or with others, currently trying to start a new business or a new venture for your employer as

part of your normal work?At the time of the interview, in both the periods, respondents were asked whether they were alone or with others, trying to start a business, including any self-employment or the sale of goods or services to others. Respondents who answered affirmatively were then asked if they would personally own all, part, or none of this business. This additional question was used to separate those who were truly committed to a new venture from those thinking about but not yet committed to it. Asking respondents whether they were alone or with others, currently trying to start a new business or a new venture for their employer as part of their normal work, may help to recognize managers/ non-managerial employees working for their employers who had self-confidence to work as an entrepreneur and showed courage to gain some entrepreneurial experience which may help in their future entrepreneurial endeavour. A chi- square test was done with each of these variables against gender in each year of 2002 and 2010 to check association and significance.3. Results

In this section ,the analysis of the findings are presented. First, the section starts with the descriptive analysis of the samples of the two years. followed by the findings of the propositions.

1See http://www.gemconsortium.org for more details.


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Table 1. Descriptive Statistics for the respondents for the year 2002.

Table1,shows sample descriptive statistics of 2002.Total of 2,081 people were in the sample. This consisted of 48.5% of men and 51.5% ofwomen with average age of 40.13 years and 40.28 years respectively. The sample consists of people 18 to 64 years.Table 2 . Descriptive Statistics for the respondents for the year 2010.

Table-2, shows sample descriptive statistics of 2010. Total of3,677 people were in the sample. This consisted of 44.8% of men and 55.2%of women with average age of39.89 years and38.5 years respectively. Like the age range in sample of 2002, sample of 2010 also consisted of people with an age range of 18 to 64 years.P1 : It is suggested that women in China, would be less likely to have perceived knowledge, skill, experience to be an entrepreneur and more perceived fear of failure than men but however these differences in genders would be expected to be narrower in 2010 than in 2002,due to socio –economy changes in China.

a. Do you have the knowledge, skill and experience required to start a new business? Table 3. Gender and the variable, Do you have skill, knowledge& experience ?

Year 2002Gender

Male FemaleNo 512 739% withinVariables

40.9 59.1

Yes 446 286% withinVariables

60.9 39.1

n = 1983***

*** p< 0.001Year 2010

GenderMale Female

No 759 1182% withinVariables

39.1 60.9

Yes 726 647% withinVariables

52.9 47.1

n = 3314***

*** p < 0.0012010 in comparison to 2002(Table -3) : ‘Gender’ and‘Do you have the knowledge, skill and experience required to start a new business?’ were found to be significant in both the years in 2002 & 2010 ( =73.984, df =1 , p < 0.001 ;

Gender Male Female

Total number of respondents(n) %

(996) 48.5 (1085) 51.5

Ave. age 40.13 40.28Age range 18 – 64

Gender Male FemaleTotal number of respondents(n)%

1649 (44.8%) 2028 (55.2%)

Ave. age 39.89 38.5Age range 18 – 64


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=61.686, df =1 , p < 0.001 respectively). The suggested proposition holds and there was enough evidence to suggest that being female was associated to having less perception of knowledge , skill and experience.Due to continuous economic and social reforms in China, women’s condition as entrepreneurs and their self-efficacy were expected to improve in 2010 than in 2002 .This could be seen in the outcomes of the analysis above, of having knowledge, skill and experience to be entrepreneurs. Though Chinese women were still less in numbers in 2010 than Chinese men in having enough self-efficacy in terms of their perception, but the gap in perception between genders reduced to 5.8%in 2010 compared to 21.8% in 2002 . Increasing number of women in 2010, were showing self-efficacy regarding their abilities through knowledge, skill and experience to establish business compared to men.

b. Would fear of failure would prevent you from starting a business? Table4. Gender and the variable, Would fear of failure would prevent you from starting a business ?

Year 2002Gender

Male FemaleNo 716 719% withinVariables 49.9 50.1Yes 217 248% withinVariables 46.7 53.3

n =1900 NS

Year 2010Gender

Male FemaleNo 926 1082% withinVariables 46.1 53.9Yes 528 678% withinVariables 43.8 56.2n = 3214

NS2010 in comparison to 2002( Table – 4) : In both the years the results were insignificant. This means fear of failure may not vary across the genders. But perplexing fact in 2010 was , if we see the gap in women and men who denied that fear of failure was a factor to keep them off from starting business, had increased. This finding goes against the proposition, because the assumption was, with social and economic improvements, the gap should reduce . This may be because of large number of missing data or sampling error.P2 : It is suggested that women in China were less involved in activities in past twelve months that would help to start a new business and they had less expectation than men to start a new business alone or with others, including any type of self-employment within the next three years, however these differences between genders would be expected to be narrower in 2010 than in 2002, due to socio-economy changes in China.

c. Over the past twelve months have you done anything to help start a new business?Table5. Gender and the variable , Over the past twelve months have you done anything to help start a new business?

Year 2002Gender

Male FemaleNo 84 74% withinVariables 53.2 46.8Yes 116 64% withinVariables 64.4 35.6n =338

*

*p<0.05Year 2010

GenderMale Female

No 265 256% withinVariables 50.9 49.1


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2010 in comparison to 2002 (Table – 5):Very interesting and promising fact was observed in this particular analysis. In 2002, results were significant ( * ) and the gap was large between men’s and women’s involvement in activities that have helped them to start a business in past 12 months. But in 2010, the results were insignificant and the gap had narrowed much. More women were involved in business activities in 2010 than in 2002 and the variation across the genders regarding involvement in business start- up activities in past twelve months was not found. This may also be suggested from the findings that self-efficacy as a factor towards choosing entrepreneurship was more in women of China in 2010 than in 2002.

d. Are you, alone or with others, expecting to start a new business, including any type of self-employment, within the next three years?Table6. Gender and the variable, Are you, alone or with others, expecting to start a new business, including any type of self-employment, within the next three years?

Year 2002Gender


***

*** p< 0.001Year 2010

GenderMale Female

No 1042 1413% withinVariables 42.4 57.6Yes 520 513% withinVariables 50.3 49.7n = 3488

***

***p < 0.0012010 in comparison to 2002(Table-6) : In both the years results were significant between the genders and the variable( 15.443, df =1 , p < 0.001; = 18.326, df =1 , p < 0.001 respectively) . Women were still less in 2010 in number compared to number of men, in expectation of a business start-up in near future. But as the proposition stated the difference between the gender and the expectation to start business in next three years were narrowed much (only 0.6% difference between men and women) in 2010, compared to 2002. P3 : It is suggested that women in China would have less intention than men, in trying to start new business alone or with others, including any self-employment or selling any goods or services to others and therefore women would have less intention than men, of owning all, part or none of the business . Also, women in China should have less intention than in men, in trying to starting new business, or new venture for the employer as part of their normal work but however these differences in genders is expected to be narrower in 2010 than in 2002,due to socio-economy changes in China.

e. Are you, alone or with others, currently trying to start a new business, including any self-employment or selling any goods or services to others?Table 7. Gender and the variable,Are you, alone or with others, currently trying to start a new business, including any self-employment or selling any goods or services to others?

Yes 225 201% withinVariables 52.8 47.2n =947

NS

Year 2002Gender

Male FemaleNo 875 970% withinVariables 47.4 52.6

Yes 119 81


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2010 in comparison to 2002 (Table 7): Gender and the variable ‘Are you, alone or with others, currently trying to start a new business, including any self-employment or selling any goods or services to others? ’, when analysed for association, it was found to be significant in both the years ( =10.531, df =1 , p < 0.001; =18.336, df =1 , p < 0.001 respectively).The outcome of the result matched the proposition. But the good thing is, the gap between women’s and men’s intentions of starting new business was narrowed in 2010.This means, women of China in 2010 showed increase amount of career self-efficacy towards entrepreneurship and this may led in the increased intensions of women in trying to start business at the time when survey was conducted compared to 2002. In addition, the results in both the periods were in line with the literature that career choice self-efficacy differs by genders in non-traditional career choices, like , entrepreneurship.

f. Will you personally own all, part, or none of this business? Table 8. Gender and the variable, Will you personally own all, part, or none of this business?

Year 2002Gender

Male FemaleAll 38 25% within

Variables60.3 39.7

Part 56 28% within

Variables66.7 33.3

None - -% within

Variables- -

n =147 NS

Year 2010Gender

Male FemaleAll 136 142% within

Variables48.9 51.1

Part 60 43% within

Variables58.3 41.7

None 27 17% within

Variables61.4 38.6

n = 425 NS

2010 in comparison to 2002 (Table 8):Whether women wanted to own all of the business or part of the business, in 2010 compared to 2002, numbers and proportion of Chinese women with positive intention of owning business had increased. But however, in both the years, being men or women didn’t matter with how much business they intend to own.

g. Are you, alone or with others, currently trying to start a new business or a new venture for your employer as

% withinVariables 59.5 40.5

n=2045***

*** p< 0.001Year 2010

GenderMale Female

No 1234 1637% withinVariables 43.0 57.0

Yes 411 387% withinVariables 51.5 48.5

n=3669***

*** p < 0.001


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part of your normal work?Table 9. Gender and the variable,Are you, alone or with others, currently trying to start a new business or a new venture for your employer as part of your normal work?

Year 2002Gender


*

* p< 0.05Year 2010

GenderMale Female

No 1457 1883% withinVariables 43.6 56.4Yes 187 133% withinVariables 58.4 41.6n = 3660

***

*** p < 0.0012010 in comparison to 2002 (Table-9): The variation across the genders and the variable, ‘Are you, alone or with others, currently trying to start a new business or a new venture for your employer as part of your normal work? ’, were found to be significant in both years( =7.898, df =1 , p < 0.05).In 2010, as suggested by the proposition, that the difference of women and men in trying to start entrepreneurial activities under the current employment reduced than what was in 2002, but still the suggestion holds that Chinese women were less in number then their men counterparts but their career self-efficacy towards entrepreneurship was better in 2010.4. DiscussionOverall summary of the results found in the data analysis showed that there were persuasive evidences that perceived desirability and intension towards entrepreneurship existed and varied among males and females in China, in 2002 and 2010. The study intended to make contributions regarding change in self-efficacy of women in China in becoming entrepreneur by doing a comparative study of two periods, 2002 and 2010. First argument was based on the concept of ‘self-efficacy’ to explain whether women had self-confidence to be an entrepreneur through two factors, skill, experience, knowledge and fear of failure on the likelihood to engage in business start-up activity. This argument was developed by taking the gist of the studies done by Herron and Sapienza, (1992);Gist, (1987); Gist and Mitchell, (1992) ; Bandura, (1982); Boyd and Vozikis, (1994); Krueger and Brazeal, (1994). These authors suggested that self-efficacy was not biologically obtained but could be acquired by experience, learning,and social persuasion. The acquired skills, experiences, knowledge would in return strengthen one’s self-efficacy. And negative factors, for example, lack of social persuasion, fear of failure, may weaken one’s self- efficacy.In both the years - 2002 and 2010, fewer women, compared to men perceived they had required knowledge, skill and experience to be an entrepreneur. This showed they have less confidence compared to males to be an entrepreneur. The finding of this part, also reflected the fact that, Chinese government’s policies on the rights and equality between sexes had not been put to an end to traditional gender stereotypes regarding roles and duties within the family and society since the reform (Zheng,2010). Inequality, may never allow women in the society to grow their self-confidence even if they get proper education , knowledge and skill. They would perceive them inferior compare to their male counterparts. Because, in general belief, one's efficacy serves as a resource factor that act as buffer to neutralize distressing experiences fostering positive perceptions (Bandura, 1995). In contrast, individuals who are characterized by low perceived efficacy are prone to self-doubts, and anxiety (Bandura, 1995).The discussion on previous empirical findings of studies does reasonably said that individuals were more inclined to prefer a career choice as an entrepreneur if they had the confidenceto be successful based on the knowledge ,skills and experience they possessed and on their exposure to others who could help them providing useful knowledge (Boyd and Vozikis, 1994;Chen et al. 1998; Krueger and Brazeal, 1994). Moreover, this finding also supported arguments of Kourilsky and Walstad, (1998). They suggested and as discussed earlier, females tend to underestimate themselves even though both the genders may possess similar skills.Self-Efficacy was also tested through respondents’ fear of failure, in the years 2002 and 2010. Surprisingly, more


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females than males showed positive attitude towards failure, that is, they don’t think fear of failure would prevent them from starting a business. Also, the variable ‘fear of failure’ didn’t have significant association with genders. The outcome goes against the existing literature, for example - in a study done by Jianakoplos & Bernasek(1998), showed that entrepreneurs as individuals deal with risky situations differently. There was some evidence that low risk tolerance was more visible in women than in men, like, in financial matters .Not only this, when women were asked about their attitudes, women reported a lower propensity toward risk than men (Johnson & Powell, 1994) and appear to be more risk averse than men (Levin, et al. 1988). Scholars like Wagner, (2004), Johnson & Powell, (1994)found that fear of failure could be an important factor that determined the difference in rate of new business creation between men and women. Johnson and Powell, (1994) explained the idea that women’s low risk tolerance explains why there were low growth rates in female-owned companies. But in this study, result was against these literatures. This could possibly be explained in two folds. Firstly, the equal opportunity law and government supports in China made more females to be positive towards entrepreneurial thinking. Secondly, increased in gender pay gap in China, may led women to switch their career to be an entrepreneur, with a belief , that they would get more financial freedom. This phenomenon could be partially explained by the study ofMcMullen at al,.(2008),that opportunity-motivated entrepreneurial activity (OME) and necessity-motivated entrepreneurial activity (NME) was positively related to labour freedom. But further research is necessary in this area, in the context of China.Second argument, was based on the concept of ‘self-efficacy as a factor of career choice’, to see whether women had more self-efficacy towards their career choice in 2010 than in 2002to get involved in entrepreneurial activities. From the study of Hollenbeck and Hall, (2004) as suggested , to demonstrate entrepreneurial intensions, behaviour self-efficacy belief was very crucial instead of their objective ability for having entrepreneur as a career. Belief of behaviour self-efficacy could be demonstrated by getting involved in activities that prepare the person for starting new business (Hollenbeck and Hall, 2004).In 2002, less number of females compared to men showed any positive intentions of doing business, by getting involved in any activities that would help them to start a business. There was a gap of 28.8 % between men and women in getting involved in activities in past twelve months thatwould help them to start a new business. And being involved in activities in past one year varied among genders. But when involvement in activities in past one year was checked in 2010, the difference between men and women was found to reduce to 5.6%. Also, surprisingly genders didn’t differ in their involvement in business activities in the past year.The result of this part could be justified in two ways. Firstly, through the study of Bandura (1982) . He stated that people may develop a robust self-assurance that boosts self-efficacy as they continuously manage threats which led them to try hard to succeed. As Chinese women were continuously suppressed that may led them to try hard and gain self-confidence. Due to the movement of Chinese society towards liberalization, more women experienced less protection against discrimination, and became remote from the protection of the state as an employer, so probably women were forced to develop self-confidence in trying for a career of their own where they would find independence, like , entrepreneurship. Secondly, the finding may suggest an understanding of China’s changing society. In midst of gender differentiation and stereotypes of Chinese women in the patriarchal society, percentage of women aged between (18-64) with no education had been significantly reduced (Attané,2012 ) . In 2010, this fell to 6.6 percent in rural areas and to 3.5 percent in urban areas (Attané, 2012). Access to secondary and higher secondary education had tripled between 1990 and 2010 (Attané, 2012 ) . Education was a factor amongst other factors that improved women’s statusand also it changed the power relationship with men (Attané, 2012 ).The findings of Attané, (2012)further supported the outcome of this study when intension of genders in expecting to start a new business, including any type of self-employment, within the nextthree years, was checked . This was also done to check ‘self-efficacy as a factor of career choice’. In both the years 2002 and 2010 more number of males compared to females positively responded that they had intention to start a new business in next three years. But compared to 2002, in 2010 more females expressed intention to start a new business in next three years. Though, more males had intensions than females but the gap in the intentions of females’ to be future entrepreneur than males’ was much reduced . Moreover, future intensions to start new business varied among genders. Therefore, this portion of the analysis showed that though gender segregation existed in China in 2010, but gap in intention among genders had much narrowed . This result was similar to the literature discussed in this study, that males were more active in entrepreneurial activities than females and they had more confidence than females. In addition, since self-efficacy was one of the important and non-detachable element in the entrepreneurial intention model (Segal et al. 2005; Ajzen and Madden, 1986), one thing could be suggested from here that increase in female intentions to start business in 2010 reflected that Chinese females were growing more self-confidence to choose their career as entrepreneurs. More women getting education in 2010 (Attané, 2012)might have played important role in this.Third argument, was based on the concept of ‘career self-efficacy differs by gender’ which would lead to explain


22

self-efficacy differed by genders in traditional and non-traditional careers. This assumption was in line of the studies done by Lent and Hackett (1987); Nevill and Schleckler, (1988).The findings for this part of the study was done in three folds. Firstly, by checking overall expectation among genders to choose entrepreneurship as careers at the time of the interview. In both the years ,2002 and 2010, women’s expectation of starting a new business was less than men. But in 2010, gap had narrowed much in genders. It can be said that more females were expecting to be a self-employer in 2010. But since the association between expectation to be entrepreneurs and genders was found to be significant ,so this result was in support of the literature regarding women entrepreneurs, and this was no different in China, that is , men were still leading in the entrepreneur career. This supported the work of Lent and Hackett , (1987) ; Nevill & Schleckler ,(1988) that career choice was largely andsignificantly depended on self-efficacy and self-efficacy differed by genders in traditional and non-traditional careers. And since China had been a patriarchal and collectivism society, this part of the finding did show that though women had gained self-efficacy considerably in 2010 but couldn’t outnumber their male counterparts.Secondly, those who responded with positive expectation in the above portion were asked about their ownership of their intended business. This analysis helped to recognize people who were serious in their expectation of being an entrepreneur. From the results, it could be seen that what proportion of business people would be own was insignificant among genders. This was promising because intension of owing business did not vary in men and women, that more females were having the confidence to own all part or part of the business in 2010 compared to 2002.Thridly, the study also examined that whether work-experience helped career choice and that in return increase self-efficacy among genders. Researchers have shown that the willingness of people to pursue entrepreneurial opportunities depends on their career experience (Carroll & Mosakowski, 1987; Cooper, et al. 1989). Career experience can improve self- efficacy and may led managers/employees to be future entrepreneurs. This view was also supported by Blanchflower and Oswald, (1998) ; Taylor (1996), that among genders those who were employed individuals, were more likely to start a new business.In 2010, increased number of women were trying to start a new business or a new venture for their employer as part oftheir normal work, than in 2002.Though the number of females were less than males but endeavour of women in initializing entrepreneurial activities with the present employment increased. Finding of this was another evidence that women were developing increased self-efficacy to show their capability to take risk to start new business for their employer. They may also have had high probability for future entrepreneurs but till 2010, it was a matter of future speculation. In addition, men and women varied in their endeavour to start a new venture for their employer. This did show there was segregation in self-efficacy among genders in China(i.e self-efficacy differs in genders) and this particular finding supported argument of Buttner and Rosen (1988), that, women had less risk-taking skills compared to men. At the core of the existing literature on women’s position in China, the assumption was that women were generally vulnerable with limited opportunities and resources, but in spite, fear of failure did not have any significant association with women to be entrepreneurs. It was further interesting to point to the results from the country-specific analyses that had been undertaken. Though women did not perceive to have enough skill, knowledge, experience but the overall results showed that more women had intentions to be future entrepreneurs in 2010, irrespective of what proportion of business they would own, no fear of failure could stop them and more women took participation in risk taking activities for their employers in their present job. Till 2010, this was also true, that women didn’t outnumber men in entrepreneurial activities and their self-efficacy did differ from men but considerable improvements in their career choice as entrepreneurs were visible in this study. AcknowledgementsMy sincere gratitude to Prof. Carol Woodhams for guiding me throughout the paper. Also, I must thank Deanne & Ray for proof reading the paper.ReferenceAttané, I. (2012). Being a Woman in China Today : A Demography of Gender. China Perspectives, 5-15.Ajzen I, & Madden, T. J. (1986). Prediction of goal-directed behavior: Attitudes, intentions, and perceived behavioural.

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26

Disinterested Management: An Early Example of Corporate SocialResponsibility (CSR)

Philip Talbot1

1Birmingham City University, Department of Accounting and Finance Business School, England, UK. Correspondence: Philip Talbot, Associate Professor, Birmingham City University, Business School, The Curzon Building, 4 Cardigan Street, Birmingham, West Midlands, B4 7B, England, UK.


AbstractDisinterested management appears to be the antithesis of modern management theory. The word disinterest conveys a lack of concern whereas modern management involves being active controlling and administering the organisation towards success. Yet this management theory which originated in nineteenth century Sweden embraces an acknowledgment of corporate social responsibility in order to mitigate the anti-social consequences of the alcohol trade. This theory was successfully applied in managing the operations of the British nationalized brewery the State Management Scheme at Carlisle from 1916 until 1974 when it was sold off to the private brewing sector.In an era of witnessing the anti-social consequences of insobriety the innovative lessons of disinterested management can offer solutions for balancing both profit motives and social objectives.Keywords: disinterested management, Gothenburg system, Liquor Control Board, State Management Scheme, CSR.1. Introduction “Those who do not learn history are doomed to repeat it.”(Santayana, 1905)1.1 Management HistoryThe most diligent enquirer will struggle to locate disinterested management within mainstream management texts. Management students’ education normally begins with Henri Fayol’s classical management theory "General and Industrial Management" and his five functions of management first published in 1916 in French and later in English in 1949. However, the disinterested management theory was internationally well known from the latter part of the nineteenth and the earlier part of the twentieth centuries where it was specifically linked to the management of the liquor trade. Disinterested management in the liquor trade became regarded as the exercise of impartial management to improve not only sobriety but also to reduce associated social problems. It may be regarded as a recognition of an early form of CSR obligations to the wider society in which the corporate liquor trade operated. The CSR concept is the general belief that business has responsibilities to society that extend beyond their obligations to stockholders or investors in the firm (Visser et al 2010).It has been argued that management history, such as disinterested management, should be acknowledged as a discrete subject enabling modern managers to better understand the origins of their profession in order to avoid undue the influence of short-term management fads. Thomson (2001). The author has further contended that these curiosities of management history are worthy of obtaining a better management understanding of contemporary issues (Talbot, 2003a, Talbot, 2003b). 1.2 Methodology The research was conducted as an historical investigation of an aspect of neglected management history. The primary sources of information examined comprising management reports and political instructions are held at Cumbria County Archives, Carlisle and at the National Archives at Kew, London. This was complimented by secondary sources written in early period of the operations to contextualise opinions and later works for a more objective appraisal.


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2. Addressing Insobriety2.1 The Drink ProblemIn the contemporary UK the Licensing Act (2003) provided a liberalisation of the drinking laws by extending opening hours that aimed to recreate a continental café culture which has largely been unsuccessful. It has created the opportunity of twenty-four drinking from either public houses or from supermarkets. Similarly in Ireland against the backdrop of rapid economic growth during the 1990s, alcohol consumption increased by almost 50% between 1989 and 2002. The rise of alcohol consumption during this period was against the trend of decline in most other EU countries. (Hope, 2006). The passage of the Intoxicating Liquor Act (2000) also witnessed an increase in the licensing hours which were then considered by the Irish government to be both progressive, in line with public expectation, public demand and on terms which were economically and socially acceptable (Dail Eireann, 2000).Earlier in the second half of the nineteenth century in the UK increasing prosperity and the establishment of large powerful breweries also witnessed problems of insobriety and related societal problems. The retail outlet for alcohol sales was the public house or pub mostly owned by the brewers which became synonymous with vice. Insobriety particularly amongst the working classes was perceived as a growing and major problem and public houses were perceived as the “denizens of Satan's strongholds, the harlots and thieves whose souls the evangelists wrestled for” (Thompson, 1963). In the immediate period before 1914 British per capita drink consumption was the highest ever recorded, drunkenness accounted for almost 30 % of criminal proceedings, and drink expenditure consumed a large proportion of working-class budgets (Turner, 1980).2.2 Failed Alternative Business Models In opposition to the growing liquor problem arose a vocal but fractious Temperance movement which sought to prohibit or at least offer alternatives to the consumption of alcohol. Various unorthodox business models were introduced and failed through inept traditional management types. These business models comprised Temperance Halls where non-alcoholic beverages were provided such as Cox’s Anti-Burton (Burton upon Trent being the centre of the English brewing industry) along with food as well as offering educational activities. Such ventures were often referred to as coffee public houses that were underwritten by the Coffee Tavern Co in 1870 and the Public House Association in 1877, (Haydon, 2001). In addition the Temperance Hotels Company Ltd was founded in 1872 (Davison, 2006) that aimed to provide quality hotels in larger towns along with the Coffee and Cocoa House Company founded in 1877 (Davison, 2006). The overall collapse of these attempts was not unexpected because of the puritanical way in which they were managed with a steady stream of proselytizing and sermonising being directed at the working man in these unattractive outlets. It was described thus, “their tea, coffee and food were frequently disgusting and the surroundings they provided were gloomy and squalid enough to be compared to a workhouse dining hall” (Girouard, 1984).3. Successful Alternative Business and Management Models3.1 The Gothenburg System and Disinterested ManagementAn alternative alcohol business model that emerged in the mid nineteenth century was the Swedish ‘Gothenburg System’ which was to provide a management legacy for the UK. A law of 1855 in Sweden had allowed municipal authorities to transfer all the spirit licences in their area to a single company and in 1865 the municipality of Gothenburg set up a single ‘Bolag’, (a company or corporation) consisting of a group of the most eminent and respected citizens of the town. The managers of these outlets unlike standard practice of the day were not permitted to have any pecuniary interest in the sale of alcohol, (a key feature of ‘disinterested management’) and the shareholders were to receive a 6% return on capital, with any surplus profit accruing to the municipal coffers (Greenway, 1998). An admirer of this system was the eminent British politician Joseph Chamberlain a former mayor of Birmingham and later a Member of Parliament. He unsuccessfully introduced a private bill in 1876 to replicate the Swedish model by creating British local municipal control of the drinks trade which ultimately failed due to a lack of support. In the ensuing years similar minor private philanthropic business activities were funded with the most foremost being the Public House Trust Association later known as Trust Houses and as late as 1958 the Public Trust House Association was operating 159 houses nationally (Nevile, 1958). This business model later found support in the UK from the wealthy industrialist and philanthropist Joseph Rowntree and his associate Arthur Shadwell both strong Temperance advocates who published their investigation “Public control of the liquor traffic” in 1903. They were fully supportive of the idea of the transfer of the drinks trade away from private enterprise and into the ownership and management by the State, “It is difficult to determine the full import of this movement, but it almost certainly marks a perception of the futility of all attempts to exercise effective restriction and control over the public-house trade so long as it continues in private hands. It marks also a growing sense of the absurdity of permitting the enormous profits of a monopoly created by the State to pass into private hands.” (Rowntree and Shadwell, 1903)


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The specific objectives and benefits of the adoption of the Gothenburg system and disinterested management principles were clearly enunciated by Rowntree and Shadwell as comprising,

� The elimination of private profit from the sale of drink. � Public cupidity must not take the place of private cupidity, and to this end the appropriation of the profits must be

determined by clear statutory law. � In any town in which a (municipal) Company is established it must have a monopoly of the retail licences, both

on and off (the licensed premises) � The system must provide for the full liberation of the progressive sentiment in a locality � Lastly, if these Companies are to achieve any high success they must be conducted as undertakings having for

their object a distinct temperance end, to which commercial considerations must be strictly subordinated (Rowntree and Shadwell, 1903)

A small numbers of British ‘Gothenburg’ public houses were established and proved more successful than the Temperance inspired alternatives. Even so they were criticised for being too sanctimonious with their attempts at improvement so that they never expanded into any serious threat to the commercial brewers. As critics identified, “In Gothenburg, of course, there were no alternative establishments, but in England there were and the public voted with their feet”, (Haydon, 2001). Consequently by 1914 it appeared that attempts at Temperance inspired reforms had been largely unsuccessful and that the traditional drinks trade structures were more or less intact. Indeed by 1900 the loosely federated British temperance societies were beginning to disintegrate following internal divisions and disagreements within the movement (Shiman, 1988). The four great thrusts of mid-nineteenth-century temperance free licensing of beer-houses, abstinence from spirits, voluntary teetotalism, and prohibition were either dead or moribund (Turner, 1980).Warner’s (2006) overall damning indictment was that “the most salient feature of the British temperance movement is how little it was able to accomplish”. This was also in part due to the influence of the powerful brewery industry. The three principal brewers' organizations, the Burton Brewers' Association, the London Brewers' Association, and the Country Brewers' Society had amalgamated in 1904 to form the powerful Brewers' Society and these successfully defended their industry position inside and outside of Parliament3.2. Disinterested Management Revival The concept and practice of disinterested management principles and their application was unexpectedly revived as a consequence of the outbreak of the Great War in Europe (1914-18). It has been claimed that from the outset of the war the effects of alcohol had resulted in the impairment of British military efficiency (Shadwell, 1923). If this had not occurred the liquor problem it was argued would have been ignored by Parliament as it had largely done previously (Carter, 1918). Initial government legislation in 1914 in the form of the first of several Defence of the Realm Acts (DORA) empowered the government to make regulations by Order in Council and the first of these swiftly followed affecting licensed houses in the vicinity of military and naval establishments by restricting opening hours or closing these down altogether and increasing beer taxes to curtail sales. Initial State control was envisaged as being narrowly applied to promote sobriety amongst the armed forces. Nonetheless, under pressure from the military authorities sundry restrictions were increasingly imposed on the civilian population to reduce industrial absenteeism and also preserve food stocks. However, due to the opposition of Irish MPs in Parliament the new D.O.R.A. regulations of 1915 were not be extended to Ireland which was not independent of the British state (Turner, 1980).In one geographical area these increasing restrictions proved ineffective. It was in Carlisle in remote Cumberland that social disruption caused by the indiscriminate consumption of alcohol required a different solution. The reason for Carlisle being the centre of social breakdown was that it was the nearest town to Gretna Green over the border in Scotland, where in 1915 the largest munitions manufacturer in the British Empire was established. This originally had attracted a large force of peripatetic workers for construction of the site and later a substantial permanent labour force of both genders. The availability of leisure outlets for these workforces was limited so they would take the short railway journey into Carlisle where excessive drinking took place leading to widespread insobriety. A cleric recorded unsavoury drink induced incidents thus, “…It is not to be wondered at that scenes of the most nauseating and degrading character became a common occurrence. Men fought like beasts; fierce fights ranged round the doors of public houses. The diminished police force was unable to cope with the situation. Almost every alley was littered with prostrate drunken men. The main thoroughfare of Carlisle was Bedlam”. (Seabury, 2007)This had alarmed both the regional and national authorities because it was allegedly leading to inefficiencies in war production. .


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The DORA restrictions on licensing hours had clearly failed in Carlisle so the government took the unprecedented step of initiating a nationalisation of the brewing industry in Carlisle and District. Thus, the government had effectively become involved in brewing and selling alcohol. It consequently required a business and management model to improve sobriety and so it chose to revive the Gothenburg system and operate it on disinterested management principles. Commercial brewing hostility to the nationalisation was temporarily muted in the interests of achieving the country’s war aims. 4. The British State as a Brewery Owner and Operator4.1 The Liquor Control Board and the State Management SchemeCarlisle was originally run by a government body called the Liquor Control Board (LCB) until 1922 when it became the State Management Scheme (SMS) under the auspices of the Home Office until its privatisation in 1974. The geographical areas affected by the purchase comprised Carlisle, Gretna and Annan (explosive manufacturing factories), Enfield Lock in London (explosive manufacturing factories) and Invergordon, Cromarty-Firth (naval base). The purchase involved taking over five breweries in Carlisle (England), Gretna and Annan (Scotland), 235 licensed properties, and forty-four other properties elsewhere. The newly created State brewery as a consequence supplied all the reduced gravity beer sold in Carlisle, Gretna and Cromarty but commercially produced beer was purchased for the few houses at Enfield Lock. The small numbers of Enfield Lock properties were later returned to the private sector in 1923. Initially a scheme of reduction as it was then known was implemented and only one brewery remained in operation at Carlisle and 123 of the more unsavoury public houses were suppressed. The ‘Carlisle Experiment’ or ‘Scheme’ as it became known was called by the Chairman of the Board the LCB’s “model farm,” a place where ideas and plans (such as disinterested management), which had previously been nothing more than idealistic musings concocted and discussed in LCB meetings, were implemented (Duncan. R, 2010). The term ‘Experiment’ though has been criticised for being misleading because it implied that the government were embarking out on a deliberate social experiment per se but rather it was an untrained expedient and only later becoming recognised as having national possibilities for the wider introduction of disinterested management (Seabury, 2007). Gutzke (2006) has also accorded it significance claiming that it was an important moment in the progressive reform of the public house, with the Scheme being an experimental laboratory and microcosm of the entire industry which provided a tested blueprint for post-war reconstruction.The first General Manager was Sir Edgar Simmons who had been Clerk to the Justices of Liverpool, an expert in licensing matters, chairman of the Magistrates Clerks Association and later Chairman of the Brewers Society and managing director of Lever Brothers (Nevile, 1958). He later offered a Summary Statement (1920) of the Board’s Policy emphasising the principal aim of maintaining sobriety and improvement of conditions under which the trade operated while also being managed as a business proposition (Carlisle Archive Centre (CAC),TSMS 1/6/1/2). Certainly the detailed administration and accounting systems imposed externally on the organisation compared most favourably and in advance of those operated by the commercial brewers (Talbot, 2006). Simmons summarised these policies as being,

1. Fewer and better houses 2. The provision of food and non-intoxicants in those houses where there is likely to be demand for them 3. The general improvement of the conditions under which the whole trade is carried on, and 4. The elimination of private interest in the sale of intoxicants (i.e. disinterested management)(CAC, TSMS

1/6/1/2). Indeed the provision of food, where profit was permitted, was viewed as important, being necessary to keep the workers physically fit and at full working capacity and preventing disease or disability as the Second Report of the LCB of May 1916 explained, “It is a matter of common knowledge and experience that absence of proper facilities for obtaining wholesome and sufficient nourishment frequently leads, directly or indirectly, to drinking habits with all their resultant evils” (Shadwell, 1923). These were all revolutionary changes compared with traditional commercial practices which happened very quickly as the Gothenburg principles were implemented in the State controlled areas. This also included modifying the public-houses estates by disposing of the more disreputable public houses and introducing greater seating provision because it had been long recognised by the commercial brewers that ‘vertical drinking’ arising from a lack of seating encouraged greater amounts to be drunk. In addition the LCB bar areas were made as deliberately small as possible to discourage loitering to minimise consumption. (Seabury, 2007). Associated vices such as gambling were forbidden and included darts and dominoes. The ban on the latter was not lifted until 1948. (Hunt, 1971). This remarkable public enterprise managed largely by outsiders imposed by the government and not drawn from the traditional ranks of the conservative commercial brewers exhibited strong stakeholder links and high levels of public


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accountability that worked surprisingly well. It succeeded in redressing the levels of insobriety and reported profits every year, (albeit it faced criticisms of being a monopolist and questions over its financial reporting methods) until it was sold off in 1973-74 (Talbot, 2005). Also the quality of management was evident for all to see because the Scheme encouraged numerous official visitors that extended to the suspicious commercial brewers which led the Scheme’s general manager to state, “Representatives of brewing firms who have visited Carlisle have not hesitated to ask for particulars with a view to incorporating something of our system in their own business and it certainly cannot be contended that the work at Carlisle is not conducted upon business lines!” (General Managers Report, 1920, CAC TSMS 1)4.2 Disinterested Management – Post War Legacy In the aftermath of the war the commercial brewers launched continual and acrimonious arguments for the return of the Scheme back to the commercial sector. The Scheme had attracted many admirers mostly from the political radical left and trade unionist movements who saw it as a model for total nationalisation of the liquor trade (Greenwood. 1920) but the government’s post war financial retrenchment made this unrealistic. The initial acrimonious impasse was resolved by two government reports the Southborough Report (1927) and by the Royal Commission on Licensing (England and Wales) 1929-1931 (Cmd. 3988). Both reports accepted by government favoured the continuance of the Scheme as a social and financial experiment rather than as a means of solely regulating drunkenness. The experiment was described in the Southborough report as “comprising a reduction in the number of licences concurrently with the evolution of new, enlarged and improved types of public house”. The Royal Commission recommended that public ownership should be applied elsewhere in circumstances which would submit the system to a further test both in a social and in a financial sense but this aim was never realised albeit a later Labour government toyed with the idea of introducing it via the New Towns Act (1946). The Southborough report also provided an official definition of disinterested management arguing that it had two components, i.e. “The conduct of a public house by a manager with a fixed salary and having no commission on the sale of liquor, but sometimes taking commission on the sale of food and non-intoxicants” and in the case of ownership “The interest in the owner in the profits on the sale of intoxicants is, in theory or practice or in both limited. This is popularly known as disinterested management”. The commercial brewers grudgingly accepted the status quo and the issue disappeared until the 1960’s5. Changes of Political Ideology and conclusion5.1 The Demise of Disinterested Management

The end of disinterested management had two elements, economic and political. From 1960s onwards the UK brewing industry underwent a major rationalisation as the smaller breweries found it difficult to compete in a declining market and were acquired by the larger breweries. The Scheme by comparison was insignificant and commanded only 0.25% of the UK brewing market. It was prohibited by law from expanding its commercial operations beyond the geographical area of the Scheme and its overall profitability was limited by its disinterested management principles (Talbot, 2010).The political threat proved more significant. The major political parties had acquiesced to the existence of the Scheme and it had remained uncontentious until the 1960s. The threat emerged from the resurgence of the political ‘New Right’ inspired by the writings of the Austrian economist Frederich Hyaek. Broadly he had argued for adopting free market economics and against any form of collectivism by restricting state interventionism by reverting back to classical liberalist policies. These ideas were enthusiastically accepted by a new generation of Conservative MP’s. The Conservative party electoral manifesto of 1970 had stated that, “We will progressively reduce the involvement of the State in the Nationalised Industries for example the steel industry. Any increasing use of private capital will help to reduce the burden on the taxpayer, get better investment decisions, and ensure more effective use of total resources….We reject the detailed intervention of Socialism, which usurps thefunctions of management. We much prefer a system of general pressures, creating an economic climate, which favours and rewards, enterprise and efficiency. Our aim is to identify and remove obstacles that prevent effective competition, and restrict initiative.”Although this had not specifically identified the Scheme as an area for privatisation it was one of the first to be included because it was relatively easy to do dispose of and it ceased in 1974.5.2 ConclusionThe unique circumstances of the Scheme though had proved to be financially successfully and had improved sobriety by the application of the principles of disinterested management. The SMS claimed success in restoring acceptable levels of sobriety which prima facie was true while critics differed but overall it did not compare materially different to the rest of the country. Consequently the SMS in promoting sobriety was neither a particular success nor failure if


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assessed according to this criterion of measuring drunkenness (Duncan. R, 2010: 135). Similarly the reported financial success and accountability produced long lasting and ill-judged criticism. Although Gothenburg and disinterested management principles were implemented that precluded profit taking on alcohol sales it still operated on business lines throughout its operational existence by delivering annual profit streams and levels of acceptable returns to the tax payer (Talbot. P, 2010). The SMS demonstrated that in practice some Temperance models could operate effectively in operational practice as Sir Edgar Sanders the first chairman noted, “It has shown that the liquor trade can be carried on, subject to reasonable regulations without detriment to the well-being of the community, and without undue interference with the liberty, tastes and preferences of the large mass of the adult population… Above all it has offered a new solution of the problem of intemperance.” (Home Office (HO), 190/147, 1919)Nonetheless, its principles of being owned and operated by the State no longer accorded with the emerging dominant political and economic ideology emerging during the 1960s of a private sector led business ethos allegedly being more preferable and efficient. This was particularly so in the USA and the UK, “…Because capitalism has supposedly triumphed, the private sector has become good, the public sector bad and the co-operatively owned and non-owned sectors irrelevant (Mintzberg, 1996). This had never been the case of LCB/SMS which had been both profitable and efficient from the outset and achieved its social objectives. This new dominant ideology was contrary to the principles of the disinterested management doctrine of social collectivism to achieve social objectives which was the founding basis of the LCB/SMS and so this management curiosity now remains largely forgotten and no longer favoured although the drink problem persists.ReferencesCarlisle Archive Centre (CAC). T. State Management Scheme (SMS) 1/6/1/1, General Managers Reports, 1916-1920.Carter. H. (1918). The Control of the Drink Trade: A Contribution to National Efficiency 1915-1917, London,

Longmans.Conservative Party Election Manifesto (1970). “A Better Tomorrow”. Available at;

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the Brewery History Society, 123, 92-109.Duncan, R. (2010). Lord D’ Abernon’s “Model Farm”: The Central Control Board’s Carlisle Experiment, Social History

of Alcohol and Drugs, 24(2) (Summer), 119-40.Girouard, M. (1984). Victorian Pubs, New Haven and London, Yale University Press, cited in Haydon, P. (2001). Beer

and Britannia – An Inebriated History of Britain, Stroud, Sutton Publishing, 225.Greenaway, J. (1998). The improved public house 1870-1950: the key to civilized drinking or the primrose path to

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Liquor Trade, Carlisle, 14th November.Home Office (HO). 185/213 (1915). Confidential Report of the Central Control Board on the Gretna Explosives FactoryHope, A. (2006). The influence of the alcohol industry on alcohol policy in Ireland”, Nordic Studies on Alcohol and

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of Finance and Management in Public Services, 9(1), 31-45.Thompson, E. P. (1963). The Making of the English Working Class, London, Penguin.Thomson, A. (2001). The case for management history” Accounting, Business and Financial History, 11(2), 99-116.Turner, J. (1980). State purchase of the liquor trade in the First World War, Historical Journal, XXIII, 3, 589-615.Visser. W., Matten. D., Pohl, M., & Tolhurst, N. (2010). The A-Z of Corporate Social Responsibility, London, Wiley. Warner. J. (2006). Are you a closet Fabian? Licensing schemes then and now, Addiction, 909–910.





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Impact of Poverty on Housing Condition in Gwagwalada Urban Area ofFederal Capital Territory (FCT) of Abuja

Ebehikhalu O. Nicholas1 & Dawam D. Patrick1

1Department of Geography and Environmental Management, University of Abuja, FCT Abuja, Nigeria.Correspondence: Ebehikhalu O. Nicholas, Department of Geography and Environmental Management, University of Abuja, FCT Abuja, Nigeria.

Received: May 15, 2015 Accepted: May 29, 2015 Available online: July 21, 2015doi:10.11114/ijsss.v3i5.961 URL: http://dx.doi.org/10.11114/ijsss.v3i5.961

AbstractThis study examines the impact of poverty on housing in the urban area of Gwagwalada of the FCT, Abuja. The data for the study were derived from both primary and secondary sources. Primary data were derived mainly from the administration of questionnaire. Stratified random sampling technique was used to administer the questionnaire to the respondents in the study area based on the income of the respondents expressed as high, middle and low income area. A total of six hundred (600) questionnaire were administered in the study area of which one hundred (100) questionnaire were administered in the high income area, two hundred (200) questionnaire were administered to middle income area while three hundred (300) questionnaire were administered to low income area. The data were analyzed using both descriptive and simple inferential statistics. The findings revealed that poverty has a lot of negative impacts on the housing condition in the study area. This find expression in the fact that majority of the respondents have not been able to maintain their houses and live close to their work places. As a result of the fact that more people live in the low income area, a lot of pressure are exerted on the few available facilities. The study suggested some possible measures of addressing the housing poverty in the study area.Keywords: Housing, Poverty and Rural-Urban Fringe1. IntroductionNigeria exemplifies the paradox of rich nation populated by poor people. Poverty as a public policy concern, whether at the global, national or community level, is now widely considered to be a multidimensional problem. Studies of the problems of poor people and communities, and of the obstacles and opportunities to improving their situation, have led to an understanding of poverty as a complex set of deprivations (Fukuda-Parr, 2006). Poverty is the condition that is said to exist when the people lack the means to satisfy their needs. The World Bank (1999), describes poverty as hunger, lack of shelter; being sick and not being able to go to school; not knowing how to read; not being able speak properly; not having a job; fear for the future; losing a child to illness brought about by unclean water; powerlessness; and lack of representation and freedom. Aluko (2001) has argued that for most Nigeria, poverty is endemic, is real and devastating. For large percentage of the population there is no food, housing and health security. Life in Nigeria involves a daily struggle against hunger and a total lack of housing and health facilities. There is no social welfare network to ameliorate the condition of the poor. The poor in Nigeria depend largely and mostly on relations and friends for a bit of sustenance. Poverty in its entire ramification is antithetical to development. Therefore we cannot meaningfully talk about housing development without poverty. Housing development has not kept pace with urban growth leading to severe overcrowding, congestion and slums. In Abuja the cost of living has forced residents to live in slums and shanty houses. According to Opoko and Oluwatayo (2014), Slums are areas of concentrated disadvantage. Life in slums is characterized by serious problems of environmental pollution, lack of access to the basic social services, poverty, deprivation, crime, violence, and general human insecurity and life threatening risks and diseases.2. Literature Review and the Theoretical Framework2.1 Housing and Housing PovertyHousing is not only a necessity of life but also affect all aspects of our existence. Housing provides privacy and security against intrusions, both physical and emotional. It is the principal locus of our personal and family lives. Housing needs have been defined in general terms as:


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“... the extent to which the quantity and quality of existing accommodation falls short of that required to provide each household or person in the population, irrespective of ability to pay or of particular preferences, with accommodation of a specified minimum standard and above” (Ha, Seong-Kyu, 2004).

The question is what are the minimum standards that must be met? They should include adequate space and privacy; basic facilities and services such as sewer system, water, electricity etc; good structure and environment with adequate building material.Housing poverty includes the basic problems of housing shortage, poor physical conditions and overcrowding; problems of accessibility to suitable dwellings; and problems of suitability of the dwelling stock in terms of tenure, type, size, location and other qualitative aspects of the dwelling and the neighborhood environment (Ha, Seong-Kyu, 2004).In nations where housing is largely distributed through the market, people with lower incomes, less wealth or less access to credit (typically due to worse employment positions) will have fewer housing choices. They typically have less desirable or poorer housing conditions than others, including homelessness; will find it harder to enter or be more likely to leave home-ownership; and are more likely to be found in rented tenures (Tunstall et. al., 2013).2.2 The Concept and Nature of Poverty in Nigeria People can be said to be in poverty when they are deprived of income and other resources needed to obtain the conditions of life - the diets, material goods, amenities, standards and services - that enable them to play the roles, meet the obligations and participate in the relationships and customs of their society (UNDP, 2006). Poverty encompasses not only material deprivation (measured by income or consumption) but also by many other forms of deprivation in different aspects of life such as unemployment, ill health, lack of education, vulnerability, powerlessness, social exclusion and so on. Under the capability deprivation approach, an individual may be defined as poor if he or she lacks basic capabilities. This is when one has a disease or disability which prevents him from achieving some basic functions (UNDP, 2006). Poverty is a situation where the resources of individuals or families are inadequate to provide a socially acceptable standard of living. The German Government in 1992, described poor people as “those who are unable to lead a decent life. Poverty is also defied as not having enough to eat, a high rate of infant mortality, a low life expectancy, low educational opportunities, poor water, inadequate healthcare, unfit housing and lack of active participation in the decision making process (Yunusa, 2008)According to World Bank (2000), poverty in absolute terms suggests insufficient or the total lack of basic necessities like food, housing, and medical care. It embraces the inadequacy of education and environmental services, consumer goods, recreational opportunities, neighborhood amenities, and transport facilities. In relative terms, people are poverty stricken when their income fall radically below the community average ( Olaniyan and Bankole, 2005). Poverty is not simply low or inadequate income but refers also to a lack of physical necessities and other assets. Often poverty is precipitated by a loss of assets. Poverty implies deprivation of human needs that are not met (Ha, Seong-Kyu, 2004). That poverty is an all-pervasive phenomenon in Nigeria today is an incontrovertible and generally accepted fact. But that such pervasive poverty should exist in a country that is so well- endowed with important mineral, and other natural resources is not so well understood (Nwoke, 2001). The poverty in Nigeria is quite disturbing. Both the quantitative and qualitative measures attest to the growing incidence and depth of poverty in the country. The situation presents a paradox considering the vast human and physical resources with which the country is endowed. It is even more disturbing that, despite the large amount of human and material resources that have been devoted to poverty reduction by successive governments, no noticeable success has been achieved in the direction (Olaniyan and Bankole, 2005). Nigeria ranked third among world’s ten countries with extreme poor citizens. According to World Bank, Nigeria with about 170 million population falls among the countries with extreme poverty whose over 70% population live on $1.25 (N200) or even less per day. Specifically, the report revealed that 7% of the 1.2 billion people living below poverty line in the world are Nigerians. Among the causes of the endemic poverty in Nigeria as stated by the World Bank report include harmful economic and political systems, national conflict and violence, human rights abuses, weak government effectiveness and efficiency, weak respect for rule of law, weak control of corruption, environmental conditions and changes, and population growth and changes. But we feel that none of them would account for acute poverty in Nigeriaas that concerning weak control of corruption.Every day, there are reports of indictments of Nigerians in government and leadership offices and positions for misappropriation of public funds. But there are no such reports of prompt arrest and prosecutions of these corrupt government functionaries by government. The few that are jailed and disgraced to serve as deterrence to others are soon after their jail terms accorded state pardons with fanfare. Rather than fight corruption by prosecuting indicted officials the government hound and harass people who dare to expose corruption in the country. So the root cause of high poverty in Nigeria is the high corruption among government officials and leaders, hence the solution will be found


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when government stands up against corruption in the country (Daily Independence, 2014). The allegation by Lamido Sanusi, the suspended Central Bank of Nigeria’s Governor, that the Nigerian National Petroleum Corporation, the state owned oil corporation, has not remitted $20.8 billion to the federal account over a period of nine months, is being treated with levity, while the same Nigeria National Petroleum Corporation (NNPC) unilaterally paid itself N620 billion as subsidy on kerosene (Punch, 2015).2.3 The Rural Urban Fringe – Defining the Relationship between Gwagwalada and Federal Capital CityThe concept of urban fringe was first used by T.L. Smith (1937) in connection with Louisiana. In that original presentation, the urban fringe was defined as “the built up area outside the corporate limits of the city.” As currently being used, the rural-urban fringe applies to that zone on the outer borders of the city, between the area of complete urban and complete rural land uses. It is an intermediate zone that shares the characteristics of both. The zone is variously called the metropolitan fringe and rural urban fringe. The rural urban fringe is the product of the process of invasion. The rural urban fringe is defined as the zone of transition in the land use as well as social and demographic characteristics which lies between the continuously built up urban and suburban areas of the central city, on the one hand, and the rural hinterlands, on the other. It is characterized by an incomplete range and penetration of urban utility services; uncoordinated zoning or planning regulations; and extension beyond, although contiguous with the political boundary of the central city. Thus the rural urban fringe is the product of the very process of city growth. It has been argued that city does not grow outwards in well-defined, advancing rings of rapidly completed development. Rather, it extends haphazardly, making rapid advances at one point, and hardly moving at all at another. This process occasion the incoherent and interpenetrating transient land use patterns characteristic of the rural urban fringe (Onokerhoraye and Omuta, 1987). The foregoing expression of rural urban concept defines the relationship of city centre and Gwagwalada town of the FCT, Abuja. The nature of development in the FCT, Abuja is a development that can be described as the city centre being the urban and the rest Local Area Councils being the urban fringes. Developments have been so concentrated in the city centre that every other area in Abuja are hardly regarded as part of FCT but only merely defined as Abuja city hinterlands. Most parts of these various areas lack good roads, electricity, pipe borne water, park and recreational facilities; and in places where the facilities are available such as electricity and pipe borne water, they are never regular and accessible like they are in the city centre. This perhaps is the reason for the low house rent and why majority of the people who work in the City Centre wish to reside in them undermining their long distances from the city centre 3. Study Area and Research MethodologyThe study area is Gwagwalada Town Abuja (Figure 2). Gwagwalada is the headquarters of Gwagwalada Area Council. Gwagwalada area council is located in the heart of FCT, Abuja, Nigeria. Its geographical coordinates are 8.56’ 29” North, 7. 5’ 31” East. Before the creation of Federal Capital Territory, Gwagwalada was under the Kwali District of the former Abuja Emirate. Gwagwalada area council was created on 15th October, 1984. Its official population figure of 150,000 people has since becomes obsolete. The relocation of the seat of government from Lagos to Abuja in 1992 and the recent demolition of illegal structure within the Federal City Centre brought a massive influx of people into the area council being one of the fastest growing urban centers in the FCT. The population of the area has grown to over 1,000,000 people. Subsistence agriculture is the main economic activity of the rural populace. Gwagwalada is also favourable for livestock production because of the abundant grazing land. It is strategically located and this makes it easily assessable to other bordering area councils such as kuje, Abaji, and Abuja Municipal. Gwagwalada is located at an elevation of 210 meters above sea level. It has an area of 1069.589km2 with ten wards namely: Zuba, Dobi, Tunga -Maje, Ibwa, Kutunkun, Ikwa, Paikon-Kore, Gwako, Quarters and Central.The data for the study were derived from both primary and secondary sources. Primary data were derived from the administration of questionnaire. Stratified random sampling technique was used to administer the questionnaire to the respondents in the study area based on the income of respondents expressed as high, middle and low income areas. A total of six hundred (600) questionnaire were administered in the study area of which one hundred (100) questionnaire were administered in the high income area, two hundred (200) questionnaire were administered to middle income area while three hundred (300) questionnaire were administered to low income area. The data were analyzed using both descriptive and simple inferential statistics.


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Table 1. Data Presentation and Analysis(a.) Level of Income of the Respondents in the Study Area

Income of Respondents High Income Area Middle income Area Low income Area TotalIncome Freq % Freq % Freq % Freq %Below N18000 01 0.17 36 06 109 18.17 146 24.33N18001-N30000 04 0.67 44 7.33 111 18.50 159 26.50N30001-N60000 12 2.00 56 9.33 58 9.67 126 21.00N60001-N100000 42 7.0 40 6.67 20 3.33 102 17N100001 and above 41 6.83 24 04 02 0.33 67 11.17Total 100 16.67 200 33.33 300 50 600 100

(b.) Respondents Length of Staying in the Study AreaLength of Staying Freq % Freq % Freq % Freq %Less than 5Year 17 2.83 43 5.5 15 2.5 85 10.836-10 Years 22 3.67 49 8.17 63 10.50 154 22.3411-15 Years 38 6.33 63 10.5 101 16.83 202 33.6616 Years and Above 23 3.83 55 9.16 121 20.17 199 33.17Total 100 16.66 200 33.33 300 50 600 100

(c.) Respondents Reasons of Staying in the Study AreaReasons of Staying Freq % Freq % Freq % Freq %Cheaper Rent 52 8.66 119 18.17 216 36 377 62.83Staying with Relatives and Kinsmen

27 4.5 42 7.0 52 8.67 121 20.17

Closer to Work 21 3.5 49 8.17 32 5.33 102 17Total 100 16.66 200 33.34 300 50 600 100

(d.) Household Size of the Respondents in The Study Area1 – 3 20 3.33 45 7.5 18 3.0 83 13.834 – 7 42 7.00 67 11.17 59 9.83 168 28.008 – 11 27 4.5 53 8.83 97 16.17 177 29.5012and Above 11 1.83 35 5.83 126 21.00 172 28.66Total 100 16.66 200 33.33 300 50 600 100

(e.) Housing Type of the Respondents in the study AreaHousing Types Freq % Freq % Freq % Freq %Rooming Apartment and Single Room Apartment

02 0.33 14 2.33 206 34.33 222 36.99

Flat 98 16.33 186 31.0 30 5.0 314 52.33Duplex - - - - - - - -Traditional Compoumd

- - - - 64 10.67 64 10.67

Total 200 33.33 300 50 600 100(f.) Age of Building in the Study Area

Age of Building Freq % Freq % Freq % Freq %0-10 Years 30 5.0 34 5.67 21 3.5 85 14.1711-20 Years 27 4.5 48 8.00 47 7.83 122 20.3321-30 Years 38 6.33 62 10.33 75 12.5 175 29.1631-40 Years 03 0.5 30 5.0 96 16 129 21.541 years and Above 02 0.33 26 4.33 61 10.17 89 14.83Total 100 16.66 200 33.33 300 50 600 100

(g.) Condition of Building in the study AreaCondition of Building Freq % Freq % Freq % Freq %Poor 23 3.83 67 11.17 155 25.83 245 40.83Fair 31 5.17 102 17 97 16.17 230 38.34Good 46 7.67 31 5.17 48 8.00 125 20.84Total 100 16.66 200 33.33 300 50 600 100

(h.) Condition of the Environment in the Study AreaPoor 21 3.5 64 10.67 162 27 247 41,17Fair 32 5.33 106 17.67 98 16.33 236 39.33Good 47 7.83 30 5.0 40 6.67 117 19,5Total 100 16.66 200 33.33 300 50 600 100

Author’s Field Survey, 20134. Results and Discussion of FindingsTable 1a. shows the level of income of the respondents in the study area. it reveals that majority of the people in the low income area earn below N18000 while in the middle and high income area, only 6% and 0.17% earned below N18000 respectively. This reveals that poverty is more obvious in the low income earners’ area than that in the high and middle


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income earners’ area. This has negative effects on housing conditions and the entire standard of life of the people in the low income area. The lengths of time respondents have stayed in the study area are presented in table 1b. 33.66% of the people have spent between 11 and 15 years as residents in the study area. This is followed by 33.17% of the respondents who have been staying in the study area for over 16 years while 22.34% and 10.83% of the respondents have lived in the study area for less than 5 years and 6 to 10 years respectively. The study reveals that low income area has the highest percentage (20.17%) of the respondents who have been staying in the study area for over 16 years followed by 16.83 % of the respondents staying the study area between 11 and 15 years and followed by middle income area with 10.50% of the respondents and high income area with 6.33% of the respondents staying in the study area between 11 and 15 years. What this analysis portends is that the people in the low income area have not been able to change their accommodation because of poverty level as majority of the respondents are earners of low income. Thus what this has confirmed is that the type and condition and or location of housing are dependent or determined by the income level of the people in the study area.On the respondents reasons for staying in the study area (table 1c), 62.83% of the respondents stay in the study area because of the reason that has to do with cheaper rent, followed by 20.17% staying with relatives and friends and only 17% for reason of close to work. The study shows that low income area has the highest percentage (36%) staying in the study area because the rent are cheap compared to high and middle income areas. This reveals that people can due to poverty and the fact that they are low income earners overlook closeness to work and have their residences in area far from the cities or place of work as far as such areas (suburbs) are able to offer cheaper accommodation. The analysis also shows that majority of the people staying in the high income area are there because the area is closer to their place of work. This group of people is not minding the cost of rent but prefer these places because of its convenience. In the case of the low income area, a high percentage (36%) of the respondents are staying there because the rents are cheap. This is why there is overcrowding and much pressure on the facilities in the low income area which cosequently have negative impact on the housing condition.On the household size of the respondents (table 1d), while a high percentage of 29.50% of the respondents have household size of 9-12 followed by another high percentage (28.66%) of the respondents having more than 12 people as household about 28 % and 13.83% having 4 – 7 and 1-3 households respectively. The analysis also reveals that low income area has the highest percentage of household size. As shown in the table, 21% of respondents had more than 12 as household size while in the high income area a percentage of 7% of the respondents had 4-7 household size. This reveals that low income area has very high occupancy ratio and this can have a lot of negative impact on the housing condition and the living environment. High occupancy ratio manifest overcrowding or congestion and one of the consequences of this is increased pressure on the housing facilities. Occupancy rate is usually given in number of person per habitable room. It expresses the number of person within a building. It is a rough measure of the adequacy of accommodation available as it gives indication overcrowding and under utilization.In the case of the analysis of housing types of respondents (table 1e), the study shows that majority of the respondents in the low income area are living in rooming and single room apartment. The analysis shows that a high percentage (34.33%) of the respondents are living in a rooming and single room apartment while in the high and middle income area majority are living in flat because their level of income is high and could be afforded by them.On the age of buildings (table 1f), 29.16% of the respondents are living in buildings between the age of 21 and 30 years, followed by 21.5% living in buildings of 31-40 years of age, 20.33% living in houses of 11-20 years of age, 14.83% and 14.17% living in buildings of above 41 and 0-10 years of age respectively. The analysis shows that in the low income area, the highest percentage (16%) of the respondents live in buildings of 31-40 years of age and followed by 12.5% of the respondents living in buildings of 21-30 years of age. In the case of condition of buildings in the study area (table 1g), 40.83% of the respondents are living in poor condition of housing and followed by 38.34% living in houses said to be fair. The analysis shows that buildings in the low income area are poor as stated by 25.83% of the respondents. What table 1f and g have shown is a further revelation of the level poverty in the low income area considering the age of buildings the respondents are living. Through observation, most of the buildings are in a state of deterioration and dilapidation. Most of the structures are in need of major repair while others are with major defects. Some of the structures are unsafe for human habitation.5. The implication of the Findings The earnings of the low income group show that they will always find it difficult to have effective means of having a good standard of living and good housing condition. Since majority of them are self-employed and their income are very low to meet their daily needs, they are not able to able to change their accommodation from their squalor to better housing and environmental condition. Poverty breeds high occupancy rate. The study has shown that high occupancy


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rate causes congestion and overcrowding. What this portends is that there will be high rate of waste generation which can lead to outbreak of diseases. Another dimension of the problems include the fact that many of the respondents are not able to live close to their work places as a result of their low earnings because they have to live in places where they can have access to cheap accommodation. The implication of this is that the people spend a lot of their money on transportation travelling to their work places, a lot of man hours are wasted every day going to work because of the long distance to be covered, and the risk of travelling. Gwagwalada is a town that is about 65km away from the city centre where majority of the respondents travel to every day for work. This shows that the respondents spend a lot of money, time and energy including taking risks to get to work every day. If poverty is not addressed, growth of slums and informal settlements will continue to spread in Gwagwalada urban area and become a major feature of Abuja urban landscape. Growths of slums and informal settlement have evolved in Gwagwalada in response to government inability to provide adequate housing for the teeming population. 6. Conclusion and RecommendationsThis paper presented an analysis of the impact of poverty on housing condition in Nigeria with particular emphasis on Gwagwalada Town in the Federal Capital Territory Abuja. The analysis indicated that poverty is widespread in the study area and that the income level of the people determines the condition of housing and standard of living of the people. This study therefore suggests the need for a conscious effort to address the housing poverty in our environment by increasing the provision of adequate housing to individuals. Government should institute a planning and regulatory framework responsible for establishing new towns and opening up new areas serviced with relevant infrastructure in order to tackle the growth of informal settlement. Findings from the study also place a considerable emphasis on the need to develop a sustainable supply of finance to fund low cost housing. Hence, there is need to recognize the National Housing Fund (NHF), to make it more responsive to the needs of the people so that the people (i.e. low income households) can have access to Mortgage. Banks and Financial Institutions should be mandated and monitored in setting aside a percentage of their loanable funds to low income households. It should also be considered that any increase in the income of the people in the urban areas would inevitably lead to a significant decrease in housing poverty. ReferencesAluko, A. M. O. (2001). Strategies for Poverty Reduction in Nigeria. In Research and Policy Directios on Poverty in

Nigeria, edited by Afonja, S.; Adelekan, D.; Soetan, F.; Alimi, T.; and Ayanwale, B. (Eds.). Ile Ife:Anchor Print Ltd.

Daily Independent (2014). World Bank Report on Poverty in Nigeria. www.dailyindependentnig.com.Fukuda-Parr, S. (2006). The Human poverty Index: A Multidimensional Measure. In What is Poverty? Concepts and

Measures, A Publication of International Poverty Centre, Poverty in Focus, United Nations Development Programme (UNDP)

Nwoke, C. N. (2001). The Paradox of Poverty in Nigeria. In Research and Policy Directions on Poverty in Nigeria, edited by Afonja, S., Adelekan, D., Soetan, F., Alimi, T., & Ayanwale, B., 116-126, Ile Ife: Anchor Print Ltd.

Olanrewaju, O., & Bankole, A. S. (2005). Human Capital, Capabilities and Poverty in Rural Nigeria. Ibadan Journal of the Social Sciences, 3(2), 13-27.

Onokerhoraye , A. G., & Omuta, G. E. D. (1987). Urban Systems and Planning: the Geography and Planning Series of Study Notes. Benin City: Universty of Benin

Opoko A. P., & OLuwatayo, A. (2014). Trends in Urbanization: Implication for Planning and Low Income Housing Delivery in Lagos Nigeria. Architecture Research, 4(1A), 15-26.

Punch (2014). World Bank on Extreme poverty in Nigeria. www.punchng.com/editorials/Seong-Kyu, H. (2004). Housing Poverty and the Role of Urban Governance in Korea. Environment and Urbanization,

16(1), 139-154Tunstall, R., Bevan, M., Bradshaw J., Croucher, K., Duffy, S., Hunter, C., Jones, A., Rugg, J., Wallace, A., & Wilcox, S.

(2013) The Links between Housing and Poverty: An Evidence Review. Joseph Rowntree Foundation Report, York: Joseph Rowntree Foundation.

UNDP (2006). Poverty in Focus. International Poverty Centre, Brazil: United Nations Development ProgrammeWorld Bank (1999). Understanding and Responding to Poverty. www.worldbank.org/poverty/mission/…htm.


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Figure 1. Map of Nigeria

Figure 2. Map of Gwagwalada Town, Abuja.





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National Health Insurance Scheme of Ejisu-Juaben and Matters ArisingSamuel Adu-Gyamfi1, Edward Brenya1, & Aikins Amoah1

1Department of History and Political Studies, Kwame Nkrumah University of Science and Technology, GhanaCorrespondence: Samuel Adu-Gyamfi, Department of History and Political Studies, Kwame Nkrumah University of Science and Technology, Ghana.


AbstractThe Ejisu-Juaben Health Insurance Scheme (EJHIS), a municipal health insurance scheme in the Asante Region, provides insurance cards to subscribers in the municipality to access affordable health care from accredited health facilities. The study was carried out to find out the extent to which health care is accessible and affordable to the people and to determine the sustainability of the scheme. Ten communities in the municipality were purposively selected. These communities cut across the entire municipality; these include both urban and rural settlements. The study adopted the descriptive survey design using the case study approach focusing on accessibility, affordability and sustainability of the health insurance scheme. In all 120 participants were selected for the study which includes managers, health service providers and subscribers comprising opinion leaders, community leaders and community members. Data was collected using semi-structured interview and interview guide. Responses were coded and analyzed. Findings showed that the government and the administrators at Ejisu-Juaben are committed to the implementation of health insurance policy and provide improved health care in the municipality. The study recommends a strong collaboration based on understanding among the scheme management, the health service providers and subscribers in Order to achieve a successful, affordable, accessible and sustainable health care. Scheme managers are urged to make the insurance more attractive, and create enhanced communication channels to promote transparency in their operations.Keywords: National Health Insurance Scheme, Subscribers, Scheme Managers, Ejisu-Juaben, Ghana1. IntroductionIn the 16th century, traditionally, village healers and clerics were the primary care givers offering herbal remedies (Modernghana.com, 2014). Herbalist provided treatment of illness in the local communities before and during the advent of Europeans (ibid). Western medicine was introduced by Christian’s missionaries to the Gold Coast in the Nineteenth century (ibid). In 1893, a public work department was introduced to implement a working sanitation system for the colony. Finally, in 1880s, a medical department was formed bringing about an introduction to a formal medical care system consisting of a laboratory, branch of research, a medical branch of hospitals, clinics and the sanitary branch for public health (ibid). After the war, the central government made a concerted effort to expand western style medical facilities and after World War II, both the world health organization (WHO) and the United Nations children’s fund (UNCF) had been active in providing money and support to provide additional western medical care in Ghana (Adoma-Yeboah, 2005).In Ghana, most health care is provided by the government and largely administered by the Ministry of Health (MOH) and Ghana Health Services (GHS) (Asenso-Okyere et al, 1998). The Ghana health care system has five levels: Health post which is first level primary care for rural areas, health centre and clinics, districts hospitals, regional hospitals and tertiary hospitals (Ibid). These programmes are funded by the government of Ghana, financial credits, internally generated fund (IGF) and door-pooled health fund (Ibid). There are two hundred (200) hospitals in Ghana, but they provide less than 2% of health care services (Ibid). The urban centers are well served and contain most hospitals, clinics and pharmacies in the country. However, rural areas often have no modern health care. Patients in the area often rely on traditional African medicine or travel great distances for health care. In 2005, Ghana spent six point two percent (6.2%) of GDP on health care or thirty US dollars (US$30) per-capita of approximately thirty-four percent (34%) of government expenditure (Adoma-Yeboah, 2005). Ghana has universal healthcare system that is the National Health Insurance Scheme (NHIS) and until this establishment, many people died because they did not have money to pay for their health care needs when they were sick. The system of health care which operated was known as “cash and carry”


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system which was initiated in 1985 largely in response to the structural adjustment programme (SAP) laid out by the IMF (Asenso-Okyere et al, 1998). Under this system, the health need of an individual was only attended to after initial payment before the service was made. Even in the cases when patients have been brought into the hospital on emergencies, it was required that money was paid at every point of service delivery (Ibid). When the country returned to democratic rule in 1992, its health care sector started seeing improvement in terms of: human resource improvement, service delivery and public education about health condition (Ibid). The idea of national health insurance scheme (NHIS) in Ghana was conceived by former president John Kuffour and then New Patriotic Party (NPP), who, when seeking the mandate of the people in the 2000 general elections promised to abolish the “cash and carry” system of health delivery (Modernghana.com, 2014). Upon becoming the president, he pushed through his idea of getting rid of the cash and carry system and replacing it with an equitable insurance scheme that ensured that treatment was provided first before payment (Ibid). Ultimately, the National Health Insurance Scheme (NHIS) was established under Act 650 of 2003 by the government of Ghana to provide a broad range of health care services to Ghanaians through districts mutual health insurance schemes (Criel 1998). One of the primary goals of Ghana’s NHIS was to increase affordability, utilization of drugs and health services in general, among the poor and vulnerable population (Ibid p.74). The NHIS aims to assure equitable and universal access for all residents of Ghana to an acceptable quality package of essential health care services without payment being required at the point of use (Kwarteng, 2015). The ultimate goal of the NHIS is the provision of universal health insurance coverage for all Ghanaians, irrespective of their socio-economic background. The NHIS is based on District Mutual Health Insurance Schemes (DMHIS), which operates in all 230 districts of the country (Ibid).The NHIS is financed by a national health insurance levy of 2.5% on certain good and services, 2.5% monthly payroll deduction being part of the contribution to the Social Security and National Insurance Trust (SSNIT) for formal sector workers, government budgetary allocation and donor funding (Adoma-Yeboah, 2005). But the formal sector workers will still have to pay a registration fee to a DMHIS for an identity card (ID) to be able to access health care services (Ibid). Contributions from members of the informal sector are also made to the NHIS with the minimum and maximum premium being seven point two zero (GH 7.20) and forty seven point seven zero (GH 47.70) Ghana cedis respectively (Ibid). However, the core poor, pregnant women, pensioners, people above the age of 70 and those below 18 years are exempted from premium payment (Asenso-Okyere, et al 1998). There is no any other cost sharing or co-payments with the NHIS, except the premium paid (Ibid). The benefit package of the NHIS consists of basic health care services, including outpatient consultations, essential drugs, inpatient care and shared accommodation, maternity care (normal and caesarean delivery), eye care, dental care, and emergency care (Ibid). About ninety five percent (95%) of the diseases in Ghana are covered under the NHIS however, some services classified to be unnecessary or very expensive are on the exclusion list, among these are; cosmetic surgery, drugs not listed on the NHIS drugs list (including antiretroviral drugs), assisted reproduction, organ transplantation, and private inpatient accommodation (Asenso-Okyere et al, 1998).A fee for service type of provider payment mechanism was used for paying health care providers initially, but this was replaced with the Ghana Diagnostic Related Groupings (GDRGs) in April, 2008 (Ibid). The reason for the replacement was that the fee for each service was found to be low and hence unattractive, especially for the private providers to participate (Ibid). Providers are encouraged to participate in the NHIS, in order to reduce congestions and delays for clients when seeking health care services, with the fee for service, providers were also required to submit detailed information on all services and charges for claims submissions, this involves a lot of paperwork which providers were not happy with, hence the GDRGs were introduced to help remedy some of these issues (Ibid). The tariff covers the full cost of the estimated direct consumables for direct patient care, anesthesia and other investigations (Ibid). The GDRGs also captures about eighty percent (80%) of the estimated overhead cost for public health facilities, comprising of building and equipment maintenance, housekeeping and utilities (Ibid). It is expected that the new tariff will generate adequate revenue from the NHIS for providers to cover a significant portion of their cost of operation (Ibid). But, currently the NHIS is experimenting with capitation in the Ashanti Region of Ghana, to test its feasibility for scaling up, alongside the GDR (Ibid).Since the inception of the NHIS, many studies have been carried out on the willingness and acceptability of the NHIS, the determinants of enrolment into the NHIS, and the health seeking behavior of insured clients, for instance, a study by Asenso-Okyere et al., found more than ninety percent (90%) of the respondents agreeing to enroll in the NHIS and about sixty three point six percent (63.6%) willing to pay a monthly premium of three point zero three US dollars ($3.03) (Asenso-Okyere, et al 1998). On determinants of enrollment into the NHIS, it was also shown that individuals from poorer households were less likely to enroll compared with those from rich households (Ibid). However, there is limited knowledge on the influence of the NHIS on the behavior of health care providers; health care providers form an important segment of health care delivery (Ibid). Their (providers) behavior plays a significant role in determining


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whether the goals of a health system can be achieved (Ibid).The main objective of the study was to come up with how the National Health Insurance came into being focusing on the challenges relating to the accessibility and the sustainability of the scheme in Ghana, and Ejisu-Juaben Municipal Assembly in particular. The specific objectives include: To come up with the historical evolution of the national health insurance scheme policy in Ghana, explore subscribers perceptions and opinions on the accessibility of the Ejisu-Juaben health insurance scheme and to identify the challenges that confront the scheme in the Ejisu-Juaben area. The others include examining the contribution of service providers in the provision of quality health care at the Ejisu. Analyse views on the sustainability of the health insurance scheme in Ejisu-Juaben Municipality and to determine the extent to which accessibility to health care has changed since the inception of the NHIS.The efficiency and sustainability of the NHIS is based on the stakeholders (the scheme, service providers and the subscribers). The scheme is expected to ensure quick and timely disbursement of funds to providers. On the part of service providers, they must ensure proper service delivery to subscribers whiles the latter is expected to facilitate payment of premiums where necessary. The responsibilities of service providers are spelt out in sections 37(7) of the National Health Insurance Regulation, 2004 (L. 1 1809) follows: “A claim for payment of health care services rendered under a scheme licensed under this Act shall be filled within sixty calendar days from the date of the discharge of the patient or rendering of service”. On the other hand section 38(І) of the L. I 1809 states: “A claim for payment of health care service rendered which is submitted to the scheme shall, unless there is any legal impediment, be paid by the scheme within four weeks after receipt of the claim from the health care facility”.It has been observed that, whilst health care facilities do honor section 37 (7) of L.I 1809, the schemes has not been able to comply with section 38(I) of the L.I 1809. This raises concern about the efficiency of the scheme. If the scheme owes some providers, the obvious and unanswered question is whether the scheme is sustainable enough to serve the needs of subscribers. Meanwhile, since the inception of the scheme, no or little assessment of its performance in the Ejisu-Juaben municipality has been undertaken. This study therefore seeks to explore the historical evolution of the National health insurance scheme, the challenges that confront the scheme from the perspective of service providers and subscribers, the effect of the scheme on beneficiaries in terms of equity and financial protection against economic cost of illness and access to health care services.2. Methodological IssuesThe study adopted a descriptive survey design using case study approach. The descriptive survey design is chosen because of its merits. It makes it possible to make generalization from a sample to a population so that inferences can be made about some characteristics or behavior of the population. This is important because the study is exploratory that allows for a careful investigation of a study or a case. The descriptive survey offered the chance of gathering data from a relatively large number of classes at a particular time so as to make inferences and generalizations from the study of the sample. It is essentially cross-sectional (Best & Kahn, 1995; Gay, 1990; Osuala, 1993). Gay, (1990) perceives the descriptive survey as a research design that attempts to describe existing situations without actually analyzingrelationships among variables. This design was chosen because it has the advantage of producing a good amount of responses from a wide range of people. It also provides a clear picture of events and people's behaviour on the basis of data gathered at a point in time. The purposive and snowball sampling procedures were considered the best options for selecting the samples in this study. Purposive sampling enabled the researcher, first of all, to select ten communities spread across the district; and also to sample views from different categories of people with unique characteristics and location. This sampling technique enabled the investigators to target those perceived to have some important and useful information for the study. Thus, all persons in the targeted groups that were considered critical to the study were interviewed. The different groups that were contacted included the service providers, scheme management and subscribers. These groups of people were easily identified in their communities. Once one was contacted, the rest were reached through snowballing technique. They were contacted for consent to take part in the research. In all, the study covered one hundred and twenty (120) respondents. This involved five management team members, fifteen (15) service providers and one hundred (100) subscribers. This sample size was chosen in order to have a number that was representative enough of the target population. Dealing with a smaller sample size might not produce results that were representative of the true situation in the locality since the communities were quite large. The data for the study were collected from hundred (100) subscribers (beneficiaries of the scheme) selected from ten (10) towns and communities drawn from both rural and urban settings. The communities were Ejisu, Asotwe, Akyewkroum, Juaben, Bomfa, Effiduase, Asokore, Dadiease, Ntunkumso, Seneagya. These communities were the major settlements and were chosen due to their strategic locations and significance in the municipality; they are scattered all over the municipality. Table 1 shows the distribution of the respondents selected from the various communities in the Ejisu-juaben


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Municipality. Table 1. Distribution of respondents

Source: Author’s field work, 2015At least ten subscribers were chosen from each of the ten (10) communities. All members of the scheme management team are at Ejisu, the head office of the EJHIS.The review of secondary data also helped in obtaining information on the National Health Insurance Scheme, the Municipal Health Insurance Scheme and other mutual health insurance schemes in Ghana and elsewhere. The secondary sources included data from journals, reports, the internet and other publications. Interview guide was used to obtain information on a wide variety of issues on the topic. This also provided the researchers the opportunity to give further clarification and details in answering relevant questions. Data gathered from the field for the study were edited and coded to ensure that all inferring schedules were complete and contained accurate information. All questionnaires were given serial numbers to facilitate easy identification for scoring. Basic statistical tools on the Statistical Package for the Social Sciences (SPSS version 12.0), was used in the data analysis. The study was beset with a number of challenges; nevertheless this did not affect the validity of the findings. The most significant challenges encountered included the fact that local residents seemed to exhibit "research fatigue". This was apparently prominent in Bomfa and Dadiease. Most of the participants lamented that no significant improvement had taken place in their living condition in spite of the numerous research work that had been conducted in the area, which they participated. There were frequent interruptions during the process of interviewing the participants, especially with some of the subscribers. They were often called to attend to one assignment or the other. This situation impeded or broke the smooth flow of thought of the respondents. Sometimes it became very difficult to get that particular respondent to continue with the interview, which resulted in the researcher spending more time or rescheduling the interview.3. Health Care Financing: Definitional IssuesCountries adopt different strategies of collecting revenue to finance health care. Some of these methods are taxation, out-of-pocket payments, and social health insurance, among others. According to Ghana Statistical Service, nearly thirty percent (30%) of global expenditure on health which was estimated at three point one trillion US dollars (US$3.1) came from taxation; around twenty to twenty five percent (20-25%) was from out-of-pocket payments and the same from social health insurance (SHI) contributions, another fifteen percent (15%) by private insurance (Ghana Statistical Service 2003). From the World Health Organization (WHO), there is a wide variation in the sources of financing, Africans and Asian countries spent a lot from out-of-pocket payments than government general revenue or social health insurance as compared to European countries.The World Health Organization posits that, health care system of a country is well shaped by the methods used in financing personal health care services. Personal health care includes services such as hospital care, physician care, dental services, and drugs that are provided directly to individuals (Ibid). How this care is financed influences how people access health care, types of health care provided and the mechanism used to allocate health care services. They added that financing methods also influence how the costs of health care are distributed or allocated to the people in the society by income and by health status. According to Eric Kwarteng, the term health insurance is generally used to describe a form of insurance that pays for medical expenses. It is sometimes used more broadly to include covering disability or long-term or custodial care needs

Communities Subscriber (Card bearers) Service Providers Management Staff

Ejisu 10 1 -Asotwe 10 3 -Akyewkroum 10 - -Juaben 10 2 -Bomfa 10 1 -Effiduase 10 - -Asokore 10 1 -Dadiease 10 2 -Seneagya 10 - -Ntunkumso 10 5 5Total 100 15 5


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(Kwarteng 2015). Ghana’s Ministry of Health, defines health insurance as an alternative health care financing system which involves resources pooling and risk sharing among members (Ministry of Health, 2003). It provides security against loss by illness or injury, financial protection against health related expenses and coverage for out-patient and in-patient care and other specialized type of care. It may be provided through a government-sponsored social insurance programme, or from private insurance companies (Ibid). It may also be based on group basis (e.g. by a firm to cover its employees) or purchased by individual consumers (Ibid). In each case the covered groups or individuals pay premiums or taxes to help protect themselves from high or unexpected health care expenses (Ibid). The Ministry of Health Further added that, similar benefits for paying for medical expenses may also be provided through social welfare programmes funded by the government. The benefit is administered by the central organization, most often either a government agency or private plan. National health insurance systems are founded in many countries, particularly in Europe.Systems of national insurance frequently co-ordinate with other national programmes of social insurance, such as pension programmes, programmes of unemployment insurance, and workers compensation (Criel 1998).From Saltman, there are two major types of health insurance based on source of funding. These are private health insurance and public health insurance he defines private health insurance as a mechanism for people to make financial contributions to protect themselves from the potentially extreme financial cost of medical care if they become severely ill, and ensure that they have access to health care when they need it. Saltman, R.B. and Dubois argue that, purely private enterprise health care systems are comparatively rare (Saltman & Dubois 2004). Where they exist, it is usually for a comparatively well-off sub population in a poor country with a poorer standard of health care for instance, private clinics for a small, wealthy expatriate population in an otherwise poor country (Ibid). They stressed that, there are countries with a major private health care system with residual public service (Ibid). Social security health care model is where workers and their families are insured by the state (Ibid). Kashner, Muller, Richter, Hendricks and Ray came up with two types of public health insurance. These are publicly funded health insurance scheme, where the residents of the country are insured by the state and social health insurance, where the whole population or most of the population is a member of a sickness insurance company (Kashner, 1998). They continued that a publicly funded health insurance is financed through taxation (Ibid). When taxation is the primary means of financing health care, everyone receives the same level of coverage regardless of their ability to pay, their level of taxation, or risk factors. Most developed countries currently have partially or fully publicly funded health systems (Ibid). Examples are the United Kingdom’s National Health Service (NHS), or the Medicare systems in Canada and (Ibid) Australia (Ibid). Saltman included that, Social Health insurance (SHI) is financed through a (government mandated) social insurance programme based on the collection of funds contributed by individuals, employers, and sometimes government subsidies. Social security health care model may exist under social health insurance. This is when workers and their families are insured by the state (Ibid). SHI systems are characterized by the presence of sickness funds which usually receive a proportional contribution of their members’ wages. With these insurance contributions, these funds pay medical costs of their members, to the extent that the services are included in the, sometimes nationally defined, benefit package (Saltman & Dubois 2005). Affiliations to such funds are usually based on professional, geographic, religious/political and/or non-partisan criteria (Ibid). Usually, there are user fees for several health care services to inhabit usage and to keep social health insurance affordable (Ibid). Otto von Bismarck was the first to make social health insurance mandatory on national scale (in Germany), but social health insurance was already common for many centuries before among guides mainly in continental Europe (Ibid). Countries with SHI systems include Austria, Belgium, Germany, France and Luxemburg. Generally, their per capita health expenditures are higher than in tax-based systems (Ibid).The nature of health care financing systems varies widely across developed counties. With the exception of the United States and South Africa, all of the developed countries have implemented some kind of national health insurance system; that is, they have established programmes to ensure that the majority of their citizens have access to health care services with minimal cost-sharing (Ibid). From the World Health Organization, some countries (such as Germany and France) require employers to offer and employees to purchase a health insurance plan with payroll taxes as the major source of funding for this (Ibid). In other countries such as Canada general tax revenue supplies the major source of funding for their health insurance (World Health Organization 2008). Saltman noted that, health insurance in Canada is administered by each province, under the Canada Health Act, which requires all people to have free access to basic health service. Collectively, the public provincial health insurance systems in Canada are frequently referred to as Medicare (Saltman & Dubois 2005). He added that private health insurance is allowed, but the provincial governments allow it only for services that the public health plans do not cover; for example, semi-private or private rooms in hospitals and prescription drug plans (Ibid). Canadians are free to use private insurance for elective medical service such as laser vision correction surgery, cosmetic surgery, and other non-basic medical procedures (Ibid). According to World Health Organization, about sixty percent (60%) of Canadians have some form of supplementary private health insurance; many of them receive it through their employers (Ibid). Private sector services are not paid for by the government accounts for nearly 30 percent of total health care spending. In 2005, the supreme court of Quebec ruled, in


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Chaoulli v. Quebec, that the provinces prohibition on private insurance for health care already insured by the provincial plan could constitute an infringement of the right to life and security if there were long wait times for treatment as happened in this case. Dubois also added that, certain other provinces have legislations which financially discourage but do not forbid private health insurance in areas covered by the public plans (Ibid). The ruling has not changed the entire pattern of health insurance across Canada but has spurred on attempts to tackle the core issues of supply and demand and the impact of wait times.Goodman and Waddington added that, the UK’s National Health Insurance (NHS) is a publicly funded healthcare system that provides coverage to everyone normally resident in the UK (Goodman & Waddington 1994). It is not strictly insurance system because there are no premiums collected, costs are not charged at the patient level and costs are not paid from the pool (Ibid). From The World Health Organization, the costs of running the NHS (one hundred and four billion Euros in 2007 to 2008) are met directly from general taxation (Ibid). They added that, private health care has continued to operate parallel to the NHS, paid for largely by private insurance, but it is used by less than eight percent (8%) of the population, and generally as a top up to NHS services (Ibid). The NHS provides the majority of health care in the UK, including primary care, inpatient care, long term health care, ophthalmology and dentistry. The WHO again noted that, recently the private sector has been increasingly used to increase NHS capacity despite a large proportion of the British public opposing such involvement (Ibid). According to the World Health Organization, government funding covered eighty six (86%) of overall health care expenditures in the UK as of 2004, with private expenditures covering the remaining 14% (Ibid).4. History of Health Insurance in GhanaAccording to Adoma-Yeboah, Ghana is one of the few countries in Africa that has taken bold steps towards early efforts to establish Health Insurance Scheme in Ghana. He added that the search for an alternative means of financing and provision of sustainable and affordable health care service for Ghanaians has been among the priorities of successive governments since independence. Between 1960 and 1966, a nationwide health insurance funded from tax revenue was introduced in Ghana. (Adoma-Yeboah, 2005). Free health services were made available at all the country’s healthcare facilities. Again, in 1970, a committee headed by Dr. Konotey Ahulu was constituted to make proposals for the introduction of a health insurance scheme (Ibid). This led to the enactment of the Hospital Fee Act 387 of 1971, which replaced the free health scheme initiated during the first Republic (Ibid). However, the process of establishing a health insurance scheme for the country was aborted following the 1972 military coup (Ibid). The preparation of legislative instrument to operationalize the Hospital Fee Act 387 of 1971 started during the Third Republic but was once again thwarted by the military regime of 1983 (Ibid).Adoma-Yeboah further discussed that, in July 1983, when Ghana’s economy was on the verge of collapse, the then Provisional National Defense Council(PNDC) government introduced partial cost of health services through the enactment of the Hospital fee Regulation which was later updated by L.I 1313 OF 1985, the government initiated studies into alternative means of financing healthcare by entering into bilateral technical assistance contract with a German firm that would have studied the feasibility of creating a National Health Insurance Programme (Ibid). This could not materialize and a local consultant was engaged to carry out the studies whose report was also not followed up. In 1997, the Ministry of Health set up its first Directorate for National Health Insurance scheme; this resulted in setting up of the Ghana Healthcare Company by the Social Security and National Insurance Trust (SSNIT) to provide other sources of health financing (Adoma-Yeboah 2005). Another effort was made by the Ministry of Health to pilot a health insurance scheme in Koforidua in the Eastern Region which did not start (Ibid). However, health insurance scheme were set up in the urban areas of the country by some private for profit insurance companies. Vanguard Assurance Company instituted a scheme with the Association of Private Medical Practitioners as providers; Metropolitan Insurance Company formed the Medicare Health Insurance Scheme (Ibid).Adoma-Yeboah again noted that, consequently, some of these schemes are reorganizing; following the passage of the national health insurance law whilst others have wound up. Gemini Life Insurance Company (GLICO) is also setting up a private mutual insurance scheme (Ibid). Some other non-private health insurance schemes such as the mutual health organization at Nkoranza, Damango, Tano, Jaman and Dagme West district and others mostly supported by Non-Governmental Organisations and religious bodies in various part of the country, especially the rural areas sprang up (Ibid).According to the Ministry of Health (MOH), in April 2002, the ministry came out with a policy framework to guide the implementation of District –Wide mutual health Organizations (Ibid). It selected Fourty five (45) districts throughout the country including the existing Mutual Health Organizations, to pilot the National Health Insurance Scheme (Ministry of Health, 2003).From Adoma-Yeboah, the current health insurance scheme operating in the country was established in 2003 during the


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Ex-President Kuffour’s administration by an Act of Parliament, Act 650 to replace out-of-pocket payment at the time of health service use (Adoma-Yeboah, 2005). The Act makes it mandatory for all residents in the country to belong to a health insurance scheme (Ibid). He again noted that, two types of health insurance are in operation namely the social and private health insurance schemes. Under the private, there are the Private Mutual Health Insurance Scheme (PMHIS), and The Private Commercial Health Insurance Schemes (PCHIS) (Ibid). The DMHISs now established in two hundred and thirty (230) districts of the country to serve as a strategy for delivering its pro-poor policy to the under privileged segment of the society. The DMHISs incorporate members from both formal and informal sectors (Ibid). Ghana News Agency Reported that, total registered members to the scheme in Ghana was eleven million two hundred and seventy nine thousand, six hundred and seventy eight (11, 279678) as at the end of 2007, representing fifty five percent (55%) of the population and total active membership was nine million, seven hundred and seventy-three thousand, one hundred (9,773,100) members as at the end of 2007, representing forty eight (48%) of the population (Ibid). Members of the scheme contribute according to the ability to pay and package of health services cover of over ninety five percent (95%) of diseases afflicting Ghanaians. There is differential contribution level both in the formal and informal sectors of the society. The formal sector workers contribute two point five (2.5%) of their seventeen point five percent (17.5%) social security and National Insurance trust (SSNIT) contribution whereas informal sector workers contribute at least seven cedi twenty pesewas per annum (Ibid). The contribution levels have an inbuilt cross-subsidization mechanism whereby the rich pay more than the less privileged, adult pay on behalf of children, the healthy cover the sick and the urban dwellers pay more than the rural dwellers (Ibid). Children less than 18 years and adult above seventy (70) years are covered free of charge (Ibid). Contribution level of the people is categorized based on their socio-economic stratification. The policy has grouped Ghanaians into six main categories: core poor, very poor, middle income, rich and very rich (Ibid). All these categories of people pay in line with their ability to pay. The state instituted a two point five percent (2.5%) National Health Insurance Levy, payable on selected goods and services. Funds raised from this source are used to subsidize the contribution of the underprivileged in society and to pay for the contribution of the core poor and other vulnerable groups (Ibid).Service providers within the public, private and mission sectors provide the benefit package under the scheme after satisfying accreditation criteria. As at December 2007, all the Public Healthcare Providers, and 800 Private Healthcare Providers have been accredited. For a period of two years (2005 to 2007), utilization of healthcare facilities under the scheme increased from three million, two hundred and thirteen thousand, four hundred and fifty to six million, eight hundred and thirty five thousand, one hundred and four (3,213,450 to 6,835,104) (Adoma-Yeboah, 2005). A gatekeeper system is in place as a cost control measure. Gatekeeper system is a system which ensures that a visit to the secondary and tertiary health facilities is by referral from a primary health facility (Ibid). These are not of district focus. They are either community-based or occupational or faith-based (Ibid). Goldfields Mutual Health Insurance Scheme (GMHIS) established in 2007 by the Goldfield Ghana Limited for the employees of the company is a typical example. These schemes do not receive subsidy from the government (Ibid).According to Goodman, H., and Waddington, C., there are many sources of funds that are exploited by people and states for caring for health. They noted that, the available sources of funding include user fee, state (public) funded, direct transfers and grant (Ibid). User fee otherwise called (Out-of-pocket payment-OPP) is a charge imposed on a patient or anyone who accesses health service. The fee could be for the consultation, drugs, dressing and diagnostic tests or all of these things. Since people are willing to pay for a cure, fees are mostly charged for curative service in the form of drugs and injections (Goodman & Waddington, 1994). Kashner, et al, (1998) added that, in many countries, especially in developing countries, the out-of-pocket payments form a major part of the total health expenditure. It is estimated that in sixty percent (60%) of countries with incomes below one thousand US dollars (US$1, 000) per capita, OPP constituted fourty percent (40%) or more of the total health expenditure, whereas only thirty percent (30%) of middle-and high-income countries depended on this kind of financing (Kashner et al, 1998). While people have the freedom of choice for paying out-of-pocket for health expenditure, and it might provide high satisfaction to the rich in society, there is no guarantee that the majority of the population would be able to afford health care costs through OPP. The real issue in many developing and even in developed countries is that the imposing user fee at the time of service provision sometimes hinders utilization of health services. Kashner et al, argued that, people become impoverished due to the higher and/or rising costs of medical bills, because of the uncertainty of the amount of expenditure needed to meet the health care needs on an individual basis. In some cases, people have to incur 'under-the-table' expenditure for getting access to public health facilities (Ibid). And, in other cases, the unskilled and unqualified private providers might exploit people by charging higher rates for their services. In order to protect the poor, a strong stewardship of government is required to rationalize the provider-consumer relationship (Ibid). According to kashner et al, in Ghana, the Hospital Fee Decree (1969), later amended into the Hospital Fee Act (1971) and the Hospital Fees Regulation 1985 (L. I. 1313), introduced forms of payment for health care delivery in public health facilities in the country (Ibid). These Acts specified fees to be charged for consultation, laboratory and other diagnostic procedures, medical, surgical and


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dental services, medical examination and hospital accommodation in Ghana. The L. I. 1313 was introduced mainly to enable hospitals to totally recover all costs (except staff wages) involved in their operations and was highly successful in ensuring availability of medicines and medical supplies (Ibid). Kashner et al, T., M., Muller however, observed that, it lacked 'human face' and led to huge reduction in uptake of services as well as refusal of health professionals to treat patients, including those requiring emergency care, without up-front payment. However, an exemption scheme was introduced alongside the cost recovery to care for the poor and vulnerable (Ibid). According to the National Health Insurance Scheme, the scheme was subject to abuse, misinterpretation and arbitrary implementation. Absence of clear guidelines, lack of monitoring and supervision, transparency, ownership and knowledge of these schemes by heads of institution all contributed to the failure of the system (Ibid). That is, there was no conscious system designed to prevent possible financial leakage. In the ensuing years standard of health care provision fell drastically. There was acute shortage of essential drugs in all public health facilities (Saltman & Dubois 2004; Asenso-Okyere et al 1997).According to Asenso-Okyere et al, following a chronic shortage and irrational use of drugs within the public health system, the government of Ghana introduced a national drug revolving fund scheme known as 'cash and carry'(Ibid). The scheme was aimed at allowing the Ministry of Health to provide efficient pharmaceutical services at health facilities in the country. The scheme was piloted in the Greater Accra and Volta Regions in 1990 and extended to the entire country in January 1992 (Ibid). Initial seed capital in terms of free drugs through the Central Medical Stores was provided to the government health facilities by the Ministry of Finance and Economic Planning. The health facilities were expected to sell the drugs to patients and the proceeds used to buy more drugs under a revolving fund scheme. This strategy brought about considerable improvement of drugs supply situation in the country (Ibid). As at May 1992, twenty two (22%) of the items on the essential drugs list were available at Central Medical Stores. This rose to sixty two percent (62%) in June 1993, after eighteen months of nationwide implementation of the cash and carry. It is worth noting that, before the introduction of health insurance, 80% of health financing in the public health sector was through tax revenue and donor funds. The remaining 20% was from internally generated funds through the 'cash and carry' system. The cost sharing measures were introduced into the education and health sectors as part of Ghana's economic reforms which began in 1983 (Ibid). Under the cost recovery legislation for health sector, fees differ by type or level of facility, treatment, location, age, nationality and type of service provided (Asenso-Okyere et al 1997).Asenso-Okyere et al, states that, before the introduction of the 'cash and carry' in public health facilities, private health care facilities in Ghana was operating on full cost recovery. Mission health care facilities and other non-governmental organizations charged patients with the aim of covering part of their operational costs, especially recurrent expenses. Traditional and spiritual practitioners also operate some form of cost recovery (Ibid). However, the cost recovery of the traditional and spiritual practitioners often term as 'thanks offering' is informal (Asenso-Okyere et al 1998).Goodman and Waddington have structured user fee for curative care into three categories. The user fee charged on the actual cost plus a percentage mark-up of the drugs and dressing received (Ibid). In this instance, the patient pays for exactly what is received and there are no hidden subsidies in the price. This system makes fees for treatment differ from patient to patient depending on treatment that would be received. Patients therefore have no idea in advance what they would have to pay for their treatment. Monitoring and supervision of money and drugs become difficult for service providers due to different fees for patients (Ibid). The user is charged a fixed price for treatment received. This could be done in two ways; (a) Charging the same fee for all diagnosis, and (b) diagnosis categorized into a small number of groups and each group has its own fee (Ibid). Under the first scheme, a patient with malaria would pay the same as patient with pneumonia. With the second scheme, if malaria and pneumonia were in different diagnostic groups, the two patients would pay different fees. Charging for different diagnostic groups allows for the fact that some conditions are much more costly to treat than others (Ibid). The system allows for only a small number of possible fees to pay and is therefore simple to administer. It also allows more expensive treatment to be subsidized by cheaper treatments. However, patients pay more than the cost for simple treatments (Ibid). The patient is charged a fixed fee per episode of illness. In this case, a fixed fee is paid on the first visit and nothing is paid further in the subsequent visits (to the same health facility) relating to the original diagnosis (Ibid). However, different fee is charged for unforeseen complications. This charging method makes cross-subsidization of treatment possible. Prices and fees for treatment are displayed in advance. If there is no improvement in their condition, they could return to the health facility without paying additional money (Ibid). Publicly funded health care supporters of publicly funded health care claim that publicly funded health care has several advantages over free market provisions (Ibid). Studies have found that private for-profit hospitals are more expensive and have higher death rates than private not-for-profit hospitals (Asenso-Okyere et al 1998). The researchers attribute these patterns to the for-profit nature of the hospitals. The quality of health maintenance organizations and managed care has also been criticized by proponents of publicly funded health care (Ibid). According to a study by the World Health Organization, publicly funded systems of industrial nations spend less on health care and enjoy superior population-based health care outcomes (World Health Organization 2002).


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Advocates of public funded health care claim that the United States of America, which has a partial free market health care system, spends a huge proportion of its GDP on health care (15% more than many countries) (Ibid). It is further claimed that the need to provide profits to investors in a predominantly free market health system, and the additional administrative spending, tends to drive up costs, leading to more expensive health care provision. Some studies have found that private for-profit hospitals are more expensive and have higher death rates than private not-for-profit hospitals. The researchers have attributed this to the for-profit nature of these hospitals (Glesne 2005).Commentators on the political left argue that a publicly funded health care system is inherently superior because health care is seen as a human right and argue that access to health treatment should not be based on ability-to-pay (Ibid). The profit motive in medicine is also criticized as valuing money above public benefit. For example, pharmaceutical companies have reduced or dropped their research into developing new antibiotics, even as antibiotic-resistant strains of bacteria are increasing, because there's less profit to be gained there than in other drug research (Ibid).Opponents of publicly funded health care, predominantly on the political right, have pointed out a number of flaws in publicly funded health care systems, such as those which operate in Canada, the United Kingdom and Germany (Glesne 2005). Public health care systems have been criticized for poor quality of care, long waiting lists, and slow access to new drugs. International comparisons of health care quality are difficult and have yielded mixed results. However, an international comparison of health systems in six countries by the Commonwealth Fund ranked the UK's publicly funded system the overall best and first in quality of care. Systems in the United States and Canada tied for the lowest overall ranking and toward the bottom for quality of care (Ibid). Overall, Canadians are quite satisfied with the quality of health care they receive. In a regularly conducted opinion poll, seventy percent (70%) of Canadians reported that they were either very satisfied or somewhat satisfied with the quality of care they receive compared to thirty percent (30%) being somewhat dissatisfied or very dissatisfied. The main factor of dissatisfaction is waiting times, Canadians are more likely than citizens of most other developed countries to experience long waiting lists for medical care, and that access to doctors is comparatively difficult; the study criticized the Canadian model of universal health care (Ibid). Public health care varies significantly from country to country. Many countries allow for private medicine in addition to the public health care system. Some countries, e.g. Norway, have more doctors per capita than the United States. Also, the US does not have any official record for waiting lists, but a 2005 survey by the Commonwealth Fund of sick adults in six nations found that only forty seven percent (47%) of US patients could get a same- or next-day appointment for a medical problem, worse than every other country except Canada (Ibid).It has also been noted that the largely free market system of health care in the United States has led to the faster development of more advanced medical treatment and new drugs, and that cancer patients in the United States for many forms of cancer, including those of the breast, thyroid and lung, have higher survival rates than their counterparts in publicly-funded health systems in Europe (Ibid). Some analysts have pointed out the difficulty of comparing international health statistics. In particular, the mortality rates for cancer in the United States is at about the same levelas many other countries, suggesting that the higher survival rates are a function of the way cancer is diagnosed. Many have theorized that public care systems, in which there is more bureaucratic government involvement and less financial incentive in the health care industry, lead to less motivation for medical innovation and invention (Glesne and Peskin,1992).Some commentators have pointed out that in publicly funded systems; health care workers' pay is often unrelated to quality or speed of care (Ibid). Thus very long waits can occur before care is received. There is also less financial motivation for the most able people to enter health care professions. For example, in Canada, which has a broad publicly-funded health system, the average physician earns only forty two percent (42%) of the annual salary earned by their counterparts in the United States; this has led to long waiting lists for care (17.8 weeks in 2006) (Ibid). This difference in physician income reflects Canada's more limited spending on health care overall; in 2004, combined public and private spending on health care consumed fifteen point four (15.4%) of U.S. annual GDP; in Canada, nine point eight percent (9.8%) of GDP. By limiting the amount of money in the health care system through political mechanisms, shortages of health care resources (such as physicians, nurses, medical equipment, medical devices, pharmaceuticals, and hospitals) are more likely to occur (Glesne, 2005). Opponents claim that higher salaries constitute an incentive to enter the profession and attract more qualified individuals who would otherwise choose a different profession (Ibid).Another possible criticism of publicly-funded systems cites the fairness of paying for people's poor individual decisions (smoking, drinking, drugging, etc.) as they relate to health care costs. It is argued that these costs should be incurred solely by those making those poor decisions (Ibid). Some American commentators have opposed publicly-funded health systems on ideological grounds, as they argue that public health care is a step towards socialism and involves extension of state power and reduction of individual freedom (Ibid). Direct transfers and grants refer to the provision of a quantity of resources, whether money or supplies, which does not have to be repaid (Ibid). The quantity of the transfer or grant


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will usually have been negotiated in advance, and it might be regular payment or a one-off gift. Grants, in particular, are often made on condition that they are utilized in a particular way, or that the money is spent on specific aspects of health programme, as determined by the donor (Goodman & Waddington 2004). An example is the British government pledge of forty two point five million pounds (£42.5) sterling support of the government of Ghana policy of free medical care for pregnant women under the National Health Insurance Scheme (Daily Graphic 2008). Another example of a direct transfer could be the Ministry of Health providing money for the salaries of health workers, or a supply of drugs. An external donor agency might provide capital grant for the purchase of vehicle (Ibid).There are many models of health insurance systems, but for the purpose of this study three main models have been identified. In distinguishing between the models, Huber et al identifies the two extremes of the systems as the mutualistic or participatory model and the provider-driven or technocratic models (Ibid). According to Huber et al, in Mutualistic or participatory models, Communities organize themselves to establish a health insurance system. In a process of participatory bottom-up planning, priorities are defined and important decisions, such as determining the benefit package, are taken by the communities (Ibid). The beneficiaries own and manage the system themselves and therefore are the financial risk bearers (Ibid). A contract is signed between each individual and all the others. They collect the premiums to cover the types of care previously defined and provided by facilities contracted (Ibid). The insurer and the care provider negotiate the terms of care (Ibid). Well-functioning schemes may play a strong role in defending the interests of households they represent. They can negotiate for better quality, such as better availability of essential drugs, or improved provider behavior (Ibid).According to Huber et al, Provider-managed schemes are often initiated by a hospital that is concerned about securing a stable source of revenue in a context where many patients cannot pay the bills. The health care provider is the insurer and manager of the scheme and is therefore the financial risk bearer (Huber, Hohmann and Reinhard, 2002). No intermediary structure exists between the payer of the fund and the health care provider (Ibid). Priorities like defining the benefit package are usually set in a process of top-down planning. The community plays only a negligible part in the process (Ibid). In some examples, a genuine concern to raise people's access to care can be the driving factor (Bwamanda / Democratic Republic of Congo) (Ibid).He added that, the community often perceives this technocratic top-down management approach unfavorably. The non-involvement of the community may lead to a suspicious and distrustful clientele that is likely to show all features of moral hazard behavior (Ibid). The little contact with the knowledge of the grassroots membership does not allow for necessary adjustments like taking consumer interests more into account (Ibid). An additional aspect of a provider managed health insurance is the intention to raise the hospital revenue. In consequence this may attract patients to prefer hospital services like the outpatient department instead of encouraging them using primary health care services for basic pathologies (Ibid).Another arrangement covering health risks is prepayment. Prepayment schemes are usually organized by health care providers. Risks are not shared with other community members as in insurance schemes (Ibid). A certain payment is made in advance to a health care provider or health care institution. At every consultation the prepaid amount is gradually debited, according to the consultation fee charged until the total amount is consumed (Ibid). It allows the purchase of health care at a time when money is available in the household. More expensive events like hospital admissions are difficult to finance with this model. In this arrangement micro credit schemes, which are involved in individual and collective income-generating activities, include an insurance component. In case of more serious illness, the insurance prevents the misuse of the loan for paying health bills, in which case the creditor could not pay back the credit (Huber, Hohmann & Reinhard 2002).5. Health setting in GhanaIn 1996 Ghana moved in a new wave of reforms when it implemented the Sector-Wide Approach as a charter for accelerating access to health services. The general course of the health sector reforms may be summed up in a mission statement contained in the Medium Term Health Strategy (MTHS) which states that

As one of the critical sectors in the growth and development of the Ghanaian economy, the mission of the health Ministries, Departments and Agencies is to improve the health status of all people living in Ghana through the development and promotion of proactive policies for good health and longevity; the provision of universal access to basic health service and provision of quality health services which are affordable and accessible. These services will be delivered in a humane, efficient, and effective manner by well trained, friendly, highly motivated and client oriented personnel (Center for Health and Social Services 2011).

Established on this and the bearings provided in the MTHS, the Ministry of Health advanced and published three to five year programmes of work in 1997-2001, 2002-2006 and 2007-2011. The various documents led to the achievement of


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some important indicators during each of the MTHS life period. In 1997-2001 was improving donor coordination and country-led health systems. During those years the major health systems indicators achieved were founding of health sector common funding instrument (the common basket) and configuration and management of reserved and direct project funds, entrenched common administration procedure, entrenched health partners’ summit and coordination mechanisms, entrenched relief records as adopting sector-wide priorities, established sector-wide performance indicators, entrenched full annual reviews and improvement of sector-based annual sector plans, undertook valuation and authorization of Business Management Centers (BMCs) to encourage operative accounting and transparency, passed the Ghana Health Service and Teaching Hospitals Act 525, 1996,established the Ghana Health Service, established the Private Sector Unit and the coalition of NGOs in Health, adopted a national Capital Investment and Procurement Planning System, introduced the District Health Systems strengthening initiative and the District Health System Operations in-service training framework, developed and continued EPI coverage and presented quality of care standards and protocols, introduced the exemptions system for expectant mothers and the aged, negotiated for the retention of Internally Generated Funds within health facilities, introduced the additional duty hours allowance, introduced the Tema mechanical shop revolving fund, established the Food and Drugs Board and Undertook the five year MTHS review (Center for Health and Social Services 2011).Also in the year 2002-2006 the theme was consolidating the gains and bridging the equities gap. The major health systems indicators achieved were consolidated the systems under Sector Wide Approaches(SWAP), expanding the Common Basket, decreasing reserved assets and support the harmonization boards within the changing environment including responding to the Highly In-Indebted Poor Countries Initiative, passed the National Health Insurance Act 650 and LI 1809, established the National Health Insurance Fund and Council, established the District Mutual Health Insurance Schemes, passed the Act and established the Ghana College of Physicians and Surgeons, introduced the Community-based Health Planning and Services (CHPS) ,initiative as part of the District Health Systems Initiative, introduced the staff cars allocation and repaid payment system as part of the staff retention strategy, introduced Common Management Arrangement II, as well as Undertook the five-year MTHS review (Ibid).Again in 2007-20011 the theme was creating wealth through health and some of the major health system indicators achieved were increasingly migrated from the Common Basket toward Government Budget Support and Sector Budget Support with enlarged reserved financing, introduced the Regenerative Health and Nutrition program as a main health sector strategy, introduced the High Impact Rapid Delivery program for maternal and child health, Fused the implementation of the National Health Insurance Scheme, and introduced Common Management Arrangement III (Ibid).With the passing of Act 525, the responsibilities of health service delivery were consolidated within GHS. According to MOH, there was not a great deal of actual separation of service provision, and in order to fully carry out the Ministry’s duty of policy formation and regulation oversight, there was a need to rethink the role of MOH in Ghana’s health care delivery system.The second governmental body that works with health care in Ghana is GHS, an “autonomous Executive Agency responsible for implementation of national policies under the control of the Minister for Health through its governing Council - the Ghana Health Service Council. The GHS “continues to receive public funds and thus remains within the public sector”. This organization is the service provision arm of the health care system in the country, and works to implement national health care policies, provide health care services and manage resources for health care delivery. There are three administrative levels of GHS and five functional (service distribution) levels of health care in Ghana (Pehr, 2010).Health Administration in Ghana is divided into three administrative levels: the national, regional and districts levels. It is further divided into five functional levels of national, regional, district, sub district and community levels. All the levels of administration are organized as Budget and Management Centers (BMCs) or cost centers for the purpose of administering funds by the Government and other stakeholders. There are a total of two hundred and twenty -three functional BMCs and one hundred and ten Sub-Districts BMCs. With the headquarters of the Ghana Health Service (GHS) also managed as a BMC, there are ten Regional Health Administration, eight Regional Hospitals, one hundred and ten District Health Administrations and ninety-five District Hospitals. All of these are run as BMCs. (Salisu and Prinz, 2009).

6. Types of Health Insurance in GhanaThere are three main categories of health insurance in Ghana. These include District Mutual Health Insurance Scheme (DMHIS), Private Commercial Health Insurance Scheme (PCHIS), and Private Mutual Health Insurance Scheme (PMHIS). The district mutual health insurance scheme is the first and most popular and is operational in every district in Ghana. This is the public or non-commercial scheme and anyone resident in Ghana can register under this scheme. If


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you register in ‘District A’ and move to ‘District B’, you can transfer your insurance policy and still be covered in the new district. The district mutual health insurance scheme also covers people considered to be indigent that is too poor, without a job and lacking the basic necessities of life to be able to afford insurance premiums. Apart from the premium paid by members, the district mutual health insurance schemes receive regular funding from central government. This central government funding is drawn from the national health insurance fund. Every Ghanaian worker pays two and a half percent of their social security contributions into this fund and the VAT rate in Ghana also has a two and a half percentage component that goes into the fund (Ghanaweb.com 2014). There are also the private commercial health insurance schemes operated by approved companies. One can access this type of health insurance by purchasing health insurance in any of such companies. Commercial health insurance companies do not receive subsidy from the National Health Insurance Fund and they are required to pay a security deposit before they start operations (Ibid). The third category of health insurance is known as the private mutual health insurance scheme. Under this type of health insurance any group of people for instance members of a church or social group can come together and start making contributions to cater for their health needs, providing for services approved by the governing council of the scheme. Private mutual health insurance schemes are not entitled to subsidy from the National Health Insurance Fund.7. Ghana’s Health FinancingTo address the financial constraint for the poor and improve in equity in access to health care, Ghana passed a National Health Insurance law in 2003 (GOG 2003), mandating the establishment of District-wide mutual health insurance schemes (DMHIS). The act mandate that all district schemes must charge a minimum premium of roughly eight US dollars (US$8) per adult for non-social security and National Insurance Trust (SSNIT) contributors to cover their premium. Those aged under eighteen (18), over seventy (70), pensioners, pregnant women and deemed indigent (core poor) are exempted from premium payments. The NHIS in its design has an in-built mechanism for equity in financial contributions with subscribers paying income adjusted premium. In practice, however, subscribers pay a flat rate because incomes are hard to assess. There is no cost-sharing beyond the premium; members do not pay any co-payments or deductibles. All SSNIT contributors, most of whom are formal sector employees have their premiums collected at the central level via pay-roll deductions of two point five percent (2.5%) of SSNIT contributions which are proportional to income. However, they still have to pay a registration fee at a DMHIS to receive a card in other to be enrolled and to access benefits. Enrollment is legally mandatory but is facing non-compliance, as it is a social policy that is difficult to enforce, given the large informal sector for which there is no database and the need for formal sector workers (SSNIT contributors) to voluntarily pay a registration fee to be enrolled (MOH 2009). Beyond the premiums collected locally, the NHIS is financed through a National Health Insurance Levy instituted by the Government. This two point five percent (2.5%) value added tax (VAT) is collected on most goods and service, but basic goods and foodstuffs predominantly consumed by the poor are exempted.The National Health Insurance Authority (NHIA) mandates a pre-defined benefits package that covers ninety five percent (95%) of the disease burden in Ghana. Services covered include outpatient consultations, essential drugs, inpatient care and shared accommodation, maternity care (normal and caesarean delivery), eye care, dental care and emergency care. The DMHIS contract accredited providers (public, private and church-based) to deliver services to its members and reimburses them after submission of claims for services. This system separates the purchasing and provision functions across different stakeholders to increase transparency. Currently the NHIS reimburses providers based on the Ghana Diagnostic Related Groupings (G-DRGs) and fee-for-service (FFS) for medicines using medicines tariff list (MOH) at the centralized level, the NHIS is regulated by the NHIA which also plays a key role in guiding Management of the National Health insurance Fund (NHIF). Revenues from the NHIF are used to provide reinsurance Schemes (DMHIS) and premiums for exempt groups.

8. Socio-demographic information of respondents from Field WorkThe study participants comprised hundred (100) subscribers, fifteen (15) service providers and five scheme managers. The scheme managers are all based in Ejisu, the head office of the Municipal Health Insurance Scheme (MHIS). The health service providers were selected from various towns and communities where the health facility has been accredited by the scheme to provide health services. All the five scheme management team members who took part in the study were males and females who had served in the scheme for two to six years. They indicated that they have beeneducated to the tertiary level. All the five members of the scheme management team were relatively young: two of the management team members indicated their ages to be within twenty to twenty- nine (20-29). Two (2) indicated their ages to be within thirty to thirty nine (30-39) and the remaining one was within forty to forty nine (40-49) age groups.Coincidentally, those within the twenty to twenty nine (20-29) age groups were those who indicated that they were not married. On the other hand, the ages of the card-bearers cut across all the age groups. Thus seven people representing seven percent (7%) were under twenty (20) years, while ten percent (10%) representing ten (10) people were above sixty (60)


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years old. From Table 2, majority of the subscribers who took part in the study were from two age groups of twenty to twenty nine (20-29) and thirty to thirty nine (30-39) representing thirty three percent (33%) and thirty percent (30%) respectively. On the whole, the youth constituted seventy percent (70%) of the respondents. This implies that the resources of the scheme might not be overstretched since the youth are less prone to sickness.Table 2. Age Distribution of Subscribers

Source: Authors Fieldwork, 2015However, none of the service providers' age was under thirty (30) years. Table 3 shows that the majority of the providers were within the age groups of forty to forty nine (40-49) representing fifty three point four percent (53.4%) and fifty to fifty nine (50-59) representing thirty three point three percent (33.3%) respectively. It could be said that the majority of the service providers were matured and experienced and for that matter are likely to provide quality health care. It was found out from the study that a majority, which forms fifty-five percent (55%) of the subscribers were married as against thirty-eight (38%) who indicated that they were single, while the remaining 7% were made up of those individuals who were 'widowed' or 'divorced ( Table 4) Table 3. Age distribution of service providers of the scheme

Age Frequency Percent 30-39 2 13.3 40-49 8 53.4 50-59 5 33.3 Total 15 100.0

Source: Authors field work, 2015Since the majority of the subscribers were married, it could imply that their dependents aged below 18 years were also beneficiaries of the scheme. These minors benefitted from the scheme without payment of the premium. Moreover, minors below five years are prone to diseases. In the Ghanaian context, the physical environment is sometimes disease prone. Most of these people who suffer from diseases are minors who could put some financial strain on the scheme. Table 4. Marital status of subscribers

Source: Authors field work 20159. Educational level of scheme managers and subscribersAll five managers had been educated to the tertiary level. Additionally, it was only the scheme manager who has a Post Graduate Certificate in Public Administration. Thus, apart from the Public Relations Officer who has a diploma, all the rest had at least a bachelor's degree from different fields of endeavor. The study showed that the educational level for the majority of subscribers who took part in the study was quite low. This low educational background of the subscribers which reflected the general educational level of the people in the district was not seen as healthy for national development. A good number, twenty two percent (22%) of the subscribers, who took part in the study, indicated that they had no formal education. More than half, representing seventy percent (70%) of the subscribers who responded to the questionnaire had not been educated beyond secondary level (Table 5). Table 5. Educational background of subscribers

Marital status Percentage Single 38Married 55Divorced 5Widowed 2Total 100

Level Percentage


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Source: Authors Fieldwork, 2015From the table above, only thirty percent (30%) of respondents were educated beyond the secondary level. It is believed that people with little or no education are more likely to fall sick than those who are well educated. This is because those who are well educated are more conscious of their health and may pay more attention to preventive health care than the less educated. This implies that the scheme may pay high bill on the account of the majority who have little or no education.

9.1 Occupational background of RespondentsTable 6. Occupation of Subscribers

Occupation Percentage Student 15 Unemployed 7Farming 18 Trading 24 Civil/Public service 14 Self-employed 9Pensioner 5Driver 2Teachers 3Others 3Total 100

Source: Author’s Field work, 2015With the exception of the subscribers, the other two categories of respondents (the scheme managers and the service providers) had similar background and related job experiences. The scheme management works with the scheme while the service providers’ work in a health or health related facility. Unlike the scheme managers and the providers, the subscribers to the scheme indicated a wide range of jobs. The occupational backgrounds indicated by the respondents vary. They included: driving, pensioners, students, assembly members, private business, civil servants, teaching and farming. It was found that the three most common occupations among the subscribers were trading or private businessrepresenting thirty-three percent (33%) followed by farming, eighteen percent (18%) and then civil/public servants fourteen percent (14%) as shown in table six. Farming and trading constituted forty-two percent (42%) of the respondents as compared to the civil /public servants who formed only fourteen percent (14%), while the unemployed accounted for seven percent (7%) of the subscribers. It could be said that this finding reflected the low educational background of the subscribers in the municipality. As a result, few people were noted to be working in the civil/ public sector, which invariably require higher educational qualification. 9.2 Perceptions and opinions on the accessibility of the schemeThe study showed that the health insurance scheme in the Ejisu-Juaben Municipality is performing well. Opinions about the accessibility of the health insurance scheme did not differ greatly among scheme managers, service providers and the subscribers. The dominant view expressed was that the scheme has made health care affordable and accessible in the municipality. When respondents were asked to rate the performance of the scheme on a four point likert scale, forty percent (40%) representing two of the management team members rated the performance as good, while the rest representing sixty percent (60%) (Frequency) rated the performance of the scheme as very good. The study confirmed that in recent times, the scheme has witnessed some significant increase in the number of subscribers. Subsequently, many subscribers have benefited from affordable and accessible health care. For instance, by the end of 2008, two thousand and thirty-six (2036) people had subscribed to the scheme, a number which increased by five percent (5%) to

No formal education. 22Basic education 28MLSC 8Secondary 15Tertiary 25Others 2Total 100


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three thousand two hundred and thirty-eight (3238) by the end of 2009 (EJMHIS Annual Report, 2009). This was evident in the responses of the research participants; the scheme managers and service providers as well as the subscribers. They indicated that there had been an increase in subscriber membership in the municipality. The study showed that health providers think that the performance is good. None of the providers rated the performance of the scheme as poor or unsatisfactory. Thus, thirty percent (30%) and seventy percent (70%) of the providers rated the performance "very good" and "good", respectively. Almost all the respondents mentioned that there had been increased access to health care. Moreover, the affordability of health care especially to the rural poor was another reason for rating the performance of the scheme as very good. The point of view of subscribers was not very different from that of the providers and the managers in their perception of the performance of the scheme. Subscribers were of the opinion that the scheme was performing very well in terms of accessibility, affordability and reliability. It was found that none of the subscribers rated the performance of the scheme as poor (Table 7). It could be said from the responses that both male and female respondents have good perception about the performance of the scheme. It is possible that they would maintain their membership with the scheme and ensure its sustainability. Table 7. Subscribers' perceptions on the performance of the scheme by gender

Performance Male Freq %

Female Freq %

Total Freq %

Excellent 4 9.1 6 10.7 10 10Very good 21 47.7 39 69.6 60 60Good 12 27.3 8 14.3 20 20Fairly good 7 15.9 3 5.4 10 10Total 44 100 56 100 100 100

Source: Authors Fieldwork, 2015However, some of the subscribers expressed misgivings about corrupt practices by some staff of the scheme. They were of the view that these fraudulent acts were a threat to the sustainability of the scheme. They explained that money was collected without issuing receipts as directed. This was confirmed by the managers of the scheme who explained that there had been a number of cases where some card bearers could not access health care because their data was not captured by the scheme. This suggests that such cards had been illegally issued out.10. Challenges affecting the sustainability of the schemeThe scheme is beset with a number of challenges. The following were some of the nagging challenges that were mentioned during the interview with the management team. The most dominant challenges included, ineffective claims by management and control, lack of effective mechanism for tracking claims, inconsistent billing system, undue delay of payment of claims due to providers. Again, Low billing rate introduced by the scheme is a great disincentive to the provision of quality health service delivery to those who actually need their services. Another serious challenge mentioned was the abuse of the system by subscribers. It was revealed from the study that the scheme has been unnecessarily abused. They abused the system apparently because they think they have paid (irrespective of the amount paid) and would like to maximize their benefit at all cost even if there is no need to use a facility. This finding is central to the traditional concept of solidarity and risk sharing in African communities, the theoretical framework, upon which the research was based. With this concept of solidarity, a number of relationships and groupings existed, in which the members rely on each other's solidarity or even pool risks among a larger group. People came together when members were in financial difficulties, and for social and economic purposes. This contributed to the creation and reinforcement of social networks. Notably, this system was devoid of cheating since in the traditional rural societies when individuals made contributions, they expected a return only when the need arose. The informal risk-pooling arrangements were commonly based on balanced reciprocity, which is the standard for fairness (Huber, Hohmann & Reinhard 2002). The scheme manager complained that subscribers moved from one health facility to another with the same sickness without completing treatment with the first facility visited. Moreover, multiple diagnoses of a particular sickness by some providers leading to a situation termed as "poly-pharmacy" and thereby increasing cost of health service delivery. This was seen by the scheme managers as threatening the sustainability of the health insurance scheme in the municipality. Other challenges mentioned by the scheme managers that affect the effectiveness and efficiency of the scheme included the following: lack of accommodation for staff, inadequate logistical support for running the office, unattractive remuneration and incentive packages for staff. Even though the core management team for the scheme had lamented over a litany of challenges, they shared a positive attitude towards their job. It was important to note that all of the scheme management staff indicated that they enjoyed working with the scheme. As a matter of fact, all the five core staff of the scheme responded in the affirmative when


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asked whether they enjoyed working with the Health Insurance Scheme in the area. They indicated that they enjoyed working with the Ejisu-Juaben Health Insurance Scheme for various reasons. The reasons assigned was that they had been working to promote a good cause – implementing a good health policy, job satisfaction in working with the scheme, serving the needs of subscribers and working to enhance access to quality health care. Another disturbing issue was related to the operational Information Communication Technology (ICT) platform introduced in 2008 to improve the flow of information from the local level to the national level by the health insurance authority. This concept was excellent but the Authority acquired a low speed broadband which was incapable of transmitting information sent by all the schemes to the national level. The platform was used to transmit both claims entries and data entry to the national level. The resultant effect of this was that it had slowed down operations and correspondence between the districts and the national head office. Difficulty in sending such data had led to the inability of the schemes to fulfill their promise of getting any person who pays the premium with a card within three months.This challenge is further exacerbated since the cards are produced at the Headquarters in Accra. For a card to be readyand its readiness for use was dependent on when the transmitted information got to Accra. Owing to the low speed of the broadband, there was backlog of client data at all the scheme levels. 10.1 Challenges facing Healthcare ProvidersWhen the service providers were asked about the challenges that affect their operations, they mentioned undue delay of payment of claims, exclusion of some drugs from approved list and low tariff. The dominant problem mentioned by the providers was the delay in the payment of claims by the scheme. Almost all ninety five percent (95%) of the service providers mentioned this as the major problem they face. The remaining five percent (5%) stated undue delay of payment of claims as the second or the third major problem affecting their operations. Consequently, the service providers mentioned that these challenges affected the quality of service delivery in the municipality. They explained that the system of limiting providers to certain prescribed medicines has not been helpful. This is because there are people for whom the alternative drugs may simply not work for them due to certain peculiar conditions. They also expressed the view that the Health Insurance, notwithstanding its numerous benefits, was facing management crisis for non-payment of claims submitted to the National Secretariat of the Scheme. There have been complaints from health care providers about non-payment of outstanding claims for about six months. Meanwhile, the authority at the national level gives the local scheme a specific amount of money to manage for one quarter of the year. However, what is released does not meet even half of the claims submitted for the same period. The situation worsened in 2008 due to the increment in claims submitted by health care providers. This came about as a result of the authority changing from "itemized billing" to the current "diagnostic related grouping". It further worsened by the introduction of free delivery services to pregnant women. There is therefore a great difference between monies given to the schemes and claims submitted by service providers. Table 8. Monthly payment schedule (2015)

Month Claims Submitted Gh¢

Payment Gh¢

Deductions Gh¢

Indebtedness Gh¢

JAN 484,693.65 473,231.56 9,439.29 2,022.80FEB 457,536.36 448,021.99 9,514.37 -MAR 545,474.49 533,221.69 8,303.14 3,949.66APR 548,495.93 538,752.22 5,469.88 4,273.83MAY 577,519.34 561,496.26 9,903.30 6,119.78JUN 658,937.56 626,620.00 10,459.94 21,857.62JUL 622,815.87 586,352.74 8,944.80 27,518.33AUG 594,235.69 72,678.50 - 521,557.19SEP 489,530.88 2,272.54 - 487,258.34OCT 462,891.34 2,031.56 - 460,859.78NOV 331,134.66 - - 331,134.66DEC 549,045.18 - - 549,045.18Total 6,322,310.95 3,844,679.06 62,034.72 2,415,597.17

Source: EJMMHIS Annual Report, 2015 Table 8 provides an overview of the indebtedness of the EJHIS in 2012. By the end of December the scheme was owing providers to the tune of two million, four hundred and fifteen thousand five hundred and ninety seven point one-seven Ghana cedis (GH¢ 2,415,597.17). Similarly, for a period of eleven months, the scheme was able to save an amount of sixty two thousand, three hundred and four point seven-two Ghana cedis (GH¢ 62,034.72) which were deductions from claims submitted by service providers. This therefore reveals that submitted claims contained some errors.


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The findings of the study have been confirmed by a report in the Daily Graphic by Sodzi-Tettey, June 1, 2010 (Yeboah-Awudzi 2010). It was reported that the failure of mutual health insurance schemes in the Kumasi metropolis to pay claims to health service providers in their catchment area was seriously undermining quality health delivery. According to the Kumasi Metropolitan Director of Health Services, Dr. Kwasi Yeboah-Awudzi, mutual health insurance schemes in the metropolis had not paid claims to accredited hospitals and pharmacy shops since May 2009, making it difficult for the health service providers to generate the requisite revenue to replenish drugs and other medical supplies needed to enhance quality service delivery. It was said that the schemes owed about four million, five hundred and seventy four thousand, five hundred and seventy one Ghana cedis (GH 4,574,571) to some hospitals and clinics in the Kumasi metropolis and its environs. Thus, hospitals in Kumasi were running out of consumables and drugs and their managements were also being constantly harassed by those who supply them with medical consumables to run the hospitals (Sodzi-Tettey, June 1, 2010). Expressing concern on the situation, Dr. Yeboah-Awudzi said, in December 2009, medical superintendents in the metropolis complained bitterly about the undue delay in paying claims and appealed to the government to intervene as a matter of urgency. The foregoing discussion provides evidence that the scheme has not been able to comply with section 38(1) of the L.1 1809 whilst health care providers do honour section 37 (7) of L.1 1809. This raises concerns about the efficiency of the scheme. If the scheme owes some providers, then the obvious and unanswered question is whether the scheme is sustainable enough to serve the needs of subscribers. Apart from the non-payment of claims to service providers, the scheme also has not been paying claims regularly to accredited pharmacy shops. As a result, they also refuse to give the requisite drugs to members of the scheme who present prescriptions, thus undermining quality health care delivery. This therefore threatens the reason d'être of the establishment of the scheme to provide affordable and accessible quality health care delivery to all subscribers. Additionally, the health insurance drug price list has not been reviewed since 2008. As a result of the non-review, there are a number of drugs on the health insurance list that is cheaper than the cost price in the market. This implied that supplying such drugs to clients would be at a loss to the providers. According to the Ghana Medical Association (GMA), as a result of non-payment of claims, most health care facilities owe substantial amounts of money in medicines and consumables procured on credit. Due to the indebtedness, suppliers were no longer willing to supply on credit. In its statement, the GMA said the Korle-Bu Teaching Hospital was owed (GH2.7m) two point seven million Ghana cedi, the Central Regional Hospital – six hundred and ninety four thousand Ghana cedi (GH¢ 694,000), the Eastern Regional Hospital one million and ninety thousand Ghana cedi (GH¢1,090,000) with similar example elsewhere. This situation, the association stated had enormously affected the ability of those facilities to provide quality service to their clients including shortage of drugs and other essential supplies (Sodzi-Tettey 2010).10.2 Challenges Facing SubscribersA number of problems were enumerated by the subscribers as affecting access to quality health care. Dominant among the problems were: delays at health facilities due to increased attendance; inadequate equipment and personnel as well as long distance to facilities (Table 9). As many as 33% of the subscribers complained that there have been frequent prescriptions of drugs and quite often, expensive drugs which the scheme did not cover.

Table 9. Problems with Card Bearers

Source: Author’s Fieldwork, 2015


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The prescription of drugs outside the price list was a worrisome phenomenon. Subscribers explained that card-bearers were denied or were not allowed to be administered certain kinds of drugs irrespective of the disease or needs of the patient. The study confirmed service providers' assertion that this policy did not promote quality health delivery in the municipality. From Table 9, fifteen percent (15%) of the subscribers mentioned delay at health facilities as one of the major challenges they encounter as recipients of health care. The respondents attributed the apparent increasing number of people accessing health care in the district to the introduction of the Municipal Health Insurance Scheme (MHIS). The table also shows that a form of unauthorized money is been collected by some health personnel, especially in public health facilities. At least five percent of the subscribers stated this as a practice which stifles the principle of providing affordable and accessible health care. 10.3 Role of Service Providers in Providing Quality Health CareService providers play a critical role in ensuring the provision of quality health care. Quality health delivery depends on the good will and cooperation of all stakeholders such as the government, the scheme, the providers and the subscribers. The study confirmed the fact that health providers have a critical role to play in ensuring quality health delivery in the Ejisu-Juaben Municipality. Measured on a four point Likert scale, three (3) out of five (5) representing sixty percent (60%) of the scheme managers, "strongly agreed" to the key role of health providers. Similarly, seventy percent (70%) of the subscribers who participated in the study indicated that they "strongly agree" to the statement, while the remaining thirty percent (30%) of the respondents "agreed." This implied that none of the respondents disagreed with the fact that providers play critical role in providing quality health care in the district. This underlines the fact that the subscribers, irrespective of their sexes, appreciate the fact that the quality health care they enjoy is largely dependent onthe health providers who work in collaboration with other stakeholders. It also implies that both male and female in the municipality have confidence in the scheme, hence their increasing patronage. On the question of how providers served card bearers, respondents were unanimous that their services are good. This means that they had done their best in the circumstances to serve card bearers in spite of the constraints that they faced. It emerged from the study that "card bearers" and "non-card bearers" more often than not are treated differently. In the estimation of the members of the scheme management, some doctors, nurses and other health providers react to card bearers and non-card bearers differently. Reasons given for the apparent discrimination in reaction were as follows: Since non-card bearers pay cash instantly, health providers feel at home and very much at ease with that. Non-card bearers and the use of cash and carry promote swift and efficient service delivery. The scheme has placed some limitation on the type of drugs that can be prescribed for card bearers; this is discriminatory. However, the providers stated that the effectiveness of their role is to a large extent dependent on how well the nagging challenges that confront the scheme were addressed. Service providers outlined a number of factors that may enhance their role in the scheme. Prominent among them were: regular and full payment of claims, cooperation from other stakeholders, education and free flow of information. The study found out that service providers are capable of cheating the system through omission and commission that may affect the sustainability of the health insurance scheme. When the scheme managers were asked in what ways they think service providers can cheat the system, they mentioned the following as dominant: writing of multiple diagnoses leading to prescription of many drugs, inflating the attendance list, substituting less expensive drugs with expensive ones on the claims forms and inflating drug quantity, among others.10.4 Access to and use of Health FacilitiesAlmost all respondents (97 percent) had access to a health facility in their own town or village, and 91 percent had access to a facility within 3km of their home. For most people (89 percent), however, the nearest facility was a chemist or pharmacist. Fifty-eight percent had access to herbalist and (57) fifty seven per cent to a government clinic. Only one quarter had access to a government hospital, and about (20) twenty percent had access to a private clinic and (19) nineteen percent to a mission hospital. Table ten presents an overview of the most common diseases reported at the health facilities for medical attention. For 2014, malaria accounted for almost (60) sixty percent of the ten top diseases that were reported to the facilities. It stands to reason, therefore, that if the preventable diseases such as malaria, diarrhea and typhoid fever are reduced through education and good health practices, bills submitted to the scheme would also be reduced. Table 10: Top ten causes of OPD attendance (2014 and 2015)

2014 2015Diseases Cases % Diseases Cases %Malaria 85,855 40.3 Malaria 127,101 59.9


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Acute respiratory infections 17,517 8.2 Acute respiratory infections

22,837 10.6

Rheumatism and joint pains

9,111 4.3 Rheumatism and joint pains

12,143 5.7

Skin diseases and ulcers

8,072 3.8 Skin diseases and ulcers

11,985 5.6

Diarrhoea 7,179 3.4 Diarrhoea 10,381 4.9 Hypertension 6,781 3.2 Hypertension 9,096 4.3 Pregnancy and related

4,618 2.2 Acute eye infection 7,581 3.6

Acute eye infection 4,501 2.1 Vaginal discharge 4,346 2Chicken pox 3,630 1.7 Typhoid/enteric fever 3,472 1.7 Dental caries 3,545 1.6 Intestinal worms 3,378 1.5 Sub total 150,809 70.9 Sub-total 212,320 75.3All others 61,759 29.1 All others 69,660 24.7Grand total 212,568 100 Grand total 281,980 100

Source: Ejisu-Juaben Health Directorate (EJHD), 2015A cursory look at Table 10 shows an increase in the number of attendances to the 'out-patient-department' (OPD) in 2009. This confirms the fact that access to health care in the district has increased.

11. Accessibility of Scheme to SubscribersIt was evident from the responses given by the management team that the scheme has improved access to quality health care in the Ejisu-Juaben. With the card in hand, people who previously could not visit any health facility can now receive that service. Moreover, they mentioned that subscribers are more frequently and more often using health facilities now than before. They substantiated their claim by mentioning that there has been significant increase in the number of patients who use the health facilities in the district in recent times. Accordingly, the service providers mentioned "card-bearers" as now forming the majority of their clients.

Table 11. Hospital attendance in the Ejisu-Juaben from 2007 to 2015Year Hospital attendance 2007 77, 377 2008 122,933 2009 131,508 2010 174,202 2011 195,970 2012 219,950 2013 242,406 2014 337,685 2015 415,048

Source: Ejisu-JuabenHealth Directorate (EJMHD), 2015It was thus, evident from the study that since the inception of the mutual health insurance scheme in the district, attendance to health facilities has been increasing and subscribers to the scheme form the bulk of the people who access health care in the district (Table 11). It could be deduced from this that the health insurance scheme is capable of promoting access to quality health care in the district. Furthermore, when the scheme managers were asked whether in their estimation, the premium paid by subscribers was affordable, they all responded in the affirmative. To them the premium paid by subscribers was moderate and very affordable. Perhaps they were informed by the increasing number of subscribers joining the scheme on daily basis. On the other hand, the subscribers shared divergent views on the affordability of the scheme. According to the responses, sixty five percent (65%) of the subscribers indicated that the premium paid is very affordable. However, the remaining thirty five percent (35%) indicated that the premium is not affordable and that they expected it to be free. The results show that those who thought the premium was expensive were made up of petty traders, farmers and the unemployed. 12. ConclusionMutual health insurance scheme is now being considered as a key to providing affordable and accessible quality healthcare for the majority of Ghanaians. The scheme has made healthcare accessible and affordable to both rich and the poor in both urban and rural communities. People who hitherto could not access health facilities can now receive medical attention early enough to avoid complications. In practice, health insurance scheme covers out-patient and inpatient cases, including accidents and investigations. Also this research reveals specific problems such as fraudulent claims, undue delay in the payment of claims submitted for refund, delay in accessing healthcare due to increasing


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number of attendance to health facilities. The others include limited and inadequate logistics, equipment and personnel to ensure effective management of the scheme and also the question of accredited health providers in the district.It is therefore essential to ensure effective collaboration between the scheme management and the accredited service providers so that subscribers will enjoy quality and accessible healthcare. Subscribers should also desist from moving from one health facility to the other with the same sickness without completing at the first facility. To ensure sustainability, subscribers should visit health facilities when they are sick or going for a medical review. ReferencesAdoma-Yeboah, L. (2005, September 14). Financing Health Care in Ghana since Independence, Daily GraphicAsenso-Okyere, W. K., Anum, A., Osei-Akoto, I., & Adukonu, A. (1998). Cost recovery in Ghana: Are there any

changes in health care seeking behavior, Health policy and planning, 13(2), 63-94,http://dx.doi.org/10.1093/heapol/13.2.181

Asenso-Okyere, W. K., Osei-Akoto, I. Anum, A., & Appiah, E. N. (1997). Willingness to pay for health insurance in a developing economy, A pilot study of the informal sector of Ghana using contingent valuation. Health policy, 42,223-237. http://dx.doi.org/10.1016/S0168-8510 (97)00069-9

Asenso-Okyere, W. K., Osei-Akoto, I., Anum A., & Adukonu A. (1999). The behaviour of health workers in an Era of Cost Sharing: A Study of Ghana's Cash and Carry System, Tropical Medicine and International Health, 4(8), 142-175. http://dx.doi.org/10.1046/j.1365-3156.1999.00438.x

Best, J. W., & Kahn, J. V. (1995). Research in education, 7th Ed. New Delhi: Prence-Hall.Cooper, D. R., & Schindler, P. S. (2001). Business research methods, 7th Ed. New York: McGraw-Hill/Irwin. Criel, B. (1998). District-based health insurance in Sub-Saharan Africa, Part 1: From theory to Practice, Studies in

health services organisation and policy 9, Antwerp, Belgium. Daily, G. (2008, July 9). British Government support free maternal care in Ghana, Daily Graphic.Ghana Statistical Service, (2003). Ghana living standards survey, report of the fourth round (GLSS4), Ghana Statistical

Service Accra, Ghana Statistical Service, (2003). Poverty trends in Ghana in the 1990s, Ghana Statistical Service, Accra,Ghanaweb.com. Health Insurance in Ghana, Accessed on September 24,

http://www.ghanaweb.com/GhanaHomePage/health/national- health-insurance-scheme.php.Glesne, C. (2005). Becoming qualitative researchers: An introduction, Boston, MA: PersonGlesne, C., & Peskin, (1992). Becoming qualitative researchers: An introduction. White Plains, NY: Longman.Goodman, H., & Waddington, C. (1994). Financing health Care, UK: Oxfam Press, 1994Huber, G., Hohmann, J., & Reinhard, K. (2002). Mutual health insurance (MHO) five years’ experience in West Africa;

concerns, controversies and proposed solutions, Bonn: GTZKashner, T. M., Muller, A., Richter, E., Hendricks, A., & Ray, D. (1998),private health insurance and veterans us of veterans affairs care. Rate project committee, Rate alternative technical evaluation” Med Care, 36(7), 1085-9Ministry of Health, (1999), Sector 5-Year Programme of Work (1997- 2001): 1998 Review. Ministry of Health, AccraMinistry of Health, (2003), Annual Report, AccraModernghana.com. (2014, September 24) Health Insurance Scheme in Ghana, Accessed on September 24, 2014,

5:07pm, from http://www. modernghana.com/219867/1/nhis- seized-byndc.htmlNational Health Insurance Scheme (2004) National Health Insurance Policy Framework for Ghana: NHIS, Accra

Osei-Akoto, I. (2004). Demand for voluntary health insurance by the poor in developing countries: Evidence from rural Ghana. Centre for Development Research, Bonn, Germany

Osei-Akoto, I., Oduro, A., & Acquaye, I. (2002) Poverty in a globalizing economy: The role of rural institutions, Ghana. Africa-Asia research report, Capacity Building Network for African Development Project, Nairobi: African Development Centre, 2002

Osuala, E. C. (1993). Introduction to research methodology. Onistsha: African Publishers Ltd.Personal Communication (2015), Interview with Mr. Enoch Kwarteng, at his office, Ejisu 20th January, 2015Platteau, J. P. (1997). Mutual Insurance as an Elusive Concept in Traditional Rural Communities, Journal of


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Development Studies, 6(33), 764-796. http://dx.doi.org/10.1080/00220389708422495Saltman, R. B., & Dubois, H. F. W., Current reform proposals in social health insurance countries, Eurohealth, 11(1),

10-14Saltman, R. B., & Dubois, H. F. W. (2004). Individual incentive schemes in social health insurance systems. Eurohealth,

10(2), 21-25 Saltman, R. B., Busse, R., & Figueras, J. (2004) Social health insurance systems in Western Europe. Berkshire/New

York: Open University Press Sarantakos, S. (1998) Social Research, 2nd ed. London: Macmillan Press Ltd, 1998Sodzi-Tettey, S. (2010) Save the NHIS. Daily GraphicWassa West District Health Directorate Annual Report, Ministry of Health: Accra, 2008Wassa West District Health Directorate, Annual Report, Ministry of Health: Accra, 2009Wassa West Health Insurance, Annual Report Accra: National Health Insurance Authority, Accra, 2009Wassa West Health Insurance, Annual Report. Accra: National Health Insurance Authority, Accra, 2008 World Health Organization (2008) Health systems: Improving performance, The World Health Organization, Geneva





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A Meta-synthesis on the Effects of Combining Heart RateVariability Biofeedback and Positive Emotion on Workplace Performance

Hilda Barrett1 & Nash Popovic2

1Three Poplars, Tuesley Lane, Godalming, Surrey, GU7 1SJ, United Kingdom.2 University of East London, Stratford Campus, Water Lane, London, E15 4LZ.Correspondence: Hilda Barrett, Three Poplars, Tuesley Lane, Godalming, Surrey, GU7 1SJ, United Kingdom. E-mail: [email protected]

Received: June 24, 2015 Accepted: July 9, 2015 Available online: July 22, 2015doi:10.11114/ijsss.v3i5.964 URL: http://dx.doi.org/10.11114/ijsss.v3i5.964

AbstractHeart Rate Variability (HRV) can be used to measure vagal tone which provides insight into the flexibility of the autonomic nervous system (ANS). A flexible ANS is optimal for both physical and psychological well-being. This study is a meta-synthesis of research to-date, using a systematic review methodology, on self-regulation interventions in the workplace that are based on a combination of HRV bio-feedback and the self-generation of positive emotion. The effects of these workplace self-regulation interventions are physiological, psychological and organisational. At the physiological level they can have a beneficial impact on the following factors: blood pressure, cholesterol, glucose, DHEA, cortisol and HRV. At a psychological level they decrease negative affect and increase positive affect. They impacted organisational performance through improvement in: organizational quality, cognitive performance, ability to manage stressful transitions and reduced costs. Keywords: Heart rate variability; biofeedback; positive emotions; stress; resonant breathing; psychological well-being; workplace performance1. Introduction1.1 Positive AffectThere is a growing body of evidence suggesting the link between positive affect and physical health. In their meta-analysis of 39 articles of positive wellbeing and mortality, Childa and Steptoe (2008), highlighted that positive affect was linked to reduce mortality. Research by Kubzansky and Thurston (2007) found those with higher wellbeing traits had a significantly reduced risk of coronary heart disease. Ostir, Markides, Peek & Goodwin (2001) reported that there was a lower incidence of stroke for those who had higher positive affect.1.2 HRVHRV is a measure of the variance between heart beats. Because it gives a picture of the functioning of the ANS it is “a physiological correlate of physical and psychological health” (Burg & Wolf, 2012, p. 135). High HRV is indicative of a healthy ANS that responds quickly and effectively to changing demands. It is associated with many indices of psychological well-being, including self-regulation (Segerstrom & Nes, 2007) tonic positive emotionality (Oveis et al., 2009), pro-social behaviour (Eisenberg, Carlo & Murphy, 1995), decreased maladaptive coping (El-Sheikh & Harger, 2001), being more cheerful and dealing well with stress (Porges, 1994). By contrast, decreased variability is associated with poor health status, and chronic arousal exhausts the ANS results in a predisposition to illness, poor self-regulation and raised premature mortality risk (Dekker et al, 1997).Positive psychology research indicates that positive emotions increase our personal resources and undo some of the impact of negative emotions (Fredrickson, 1998; Fredrickson et al., 2000). Fredrickson has expanded this research further and published in 2013 the link between positive emotion and increased vagal tone, as measured by HRV (Kok et al., 2013).Using biofeedback, the activity of the ANS can be electronically monitored and presented as wave forms in real time. This can help the user to train to build their voluntary control to deliberately alter their HRV patterns. HRV has been shown to co-vary with emotion (McCraty, Atkinson, Tiller, Rein & Watkins, 1995), for example, negative emotions like


62

anger, shift the balance towards a sympathetic nervous system (SNS) pre-eminence which is represented by a jagged wave form in the HRV reading. In contrast, positive emotions, such as appreciation, result in parasympathetic nervous system dominance (PSNS) and a smooth sign wave reading, which indicates coherence (see figure 1).

Figure 1. The HRV reading for a state of frustration compared to one for appreciation. (McCraty, Atkinson, Tomasino & Bradley, 2009, p.9)

1.3 Emotional RegulationUtilising the knowledge that HRV co-varies with emotion, emotional regulation interventions were designed that combined HRV Biofeedback, resonant breathing and the self-generation of positive emotions (McCraty et al., 1995). This meta-synthesis will review the results of utilising these interventions in the workplace.1.4 Psychophysiological coherence.The visual representation of the ANS activity through HRV biofeedback opened up possibilities to develop and test techniques using positive emotions to improve HRV coherence. Psychophysiological coherence (McCraty & Rees, 2009) refers to the state of increased entrainment and synchronization between the heart rhythms and a multiple of other bodily systems such as respiratory, blood pressure and craniosacral rhythms that the intervention creates; it denotes “a global state of optimum performance” (ibid., p.529). In the spectral analysis of the HRV reading, the biofeedback tool will exhibit it as a very narrow high-amplitude peak in the low frequency region of the power spectrum Practise of coherence building techniques strengthens the link between the state of psychological coherence and positive emotion which enables positive emotions to trigger increased coherence and vice versa. It is stipulated that a physiological shift into coherence will facilitate positive emotion. The techniques transform the stress response in the moment it occurs and they lead to a long term benefits of building a new healthier baseline (ibid.) which the system then strives to maintain (Pribram, 1991).1.5 ANSBoth Porges (1994) and Thayer and Lane (2000) have shown the link between the flexibility of the ANS, as represented by HRV, and the regulation of emotional responses. HRV can be seen as an index of the self-regulatory muscle (Segerstrom et al., 2007). Baumeister’s research suggests that self-regulation can be increased with practice (Baumeister, Gailliot, DeWall & Oaten, 2006). This has been demonstrated in research with physical exercise (Oaten & Cheng 2006a), the management of money (Oaten and Chang, 2007) and study (Oaten & Cheng, 2006b). Self-regulation built through practice in a specific area extends to benefit unrelated areas (Baumeister et al, 2006).An increase in HRV is linked to improved ability to adapt to challenges as well as physiological and psychological benefits. Research shows that the practice of techniques, which are based on self-generated positive emotion and HRV biofeedback, can create a re-patterning in the neural architecture so that the new level of coherence becomes the revised baseline (McCraty & Childre 2010). This is supported by electrophysiological evidence (Bradley et al., 2011). With regular practice, self-regulation of emotions and improved stress responses become increasingly habitual and eventually automatic (McCraty, Barrios-Choplin, Rozman, Atkinson & Watkins, 1998).2. Methods2.1 Overview


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There were four phases to this meta-synthesis. First a search strategy was designed and executed. Then records were screened for quality, next they were appraised and finally synthesised.2.2 Search strategyA systematic search of electronic databases was undertaken using PsycINFO, PubMed and Business Source Complete. Word searches included: Heart rate variability, HRV, biofeedback, positive emotion, performance, stress, intervention, resonant breathing, and psychological well-being. Included were peer reviewed articles of studies, both quantitative and qualitative, that were workplace based interventions utilising HRV Biofeedback and self-induced positive emotions.Each study was appraised utilising the Critical Appraisal Skills Programme (CASP) (CASP - UK, 2013).2.3 The Synthesis PapersNine papers met the inclusion criteria and the quality criteria. Seven studies were conducted in the U.S.A.; one was conducted in Canada and one in Thailand. The size of the experimental groups varied from 18 to 144 with an average of 55. The nature of the populations examined varied, for example, from: 65 police officers, 20 physicians, 100 nurses in the Mayo Clinic, 48 Motorola employees, 44 correctional officers and 144 pastors (table 1). All studies, at a minimum used HRV Biofeedback during the training. Five studies, those which were conducted from 2010 onwards, also benefitted from the use of a personal handheld HRV device for use during practice sessions. 6 studies used physiological measures, all 9 used psychological measures.

Table 1. Study Characteristics.

2.4 SynthesisThe studies were synthesised using a systematic review methodology (Shaw, 2011). Data extraction forms were created (Malpass et al 2009). Meta-ethnography (Noblit & Hare 1988) as adapted by Britten et al (2002) was used to synthesis the themes. A table of themes was created (Braun & Clarke, 2006), then a refutal and reciprocal analysis of themes was conducted, from which a line of argument analysis was derived in order to create third order constructs.3. Results3.1 SummaryThe themes are: physiological improvements, reduction in negative affect, increase in positive affect, improved

Author & date Journal Title Journal ParticipantsGrp size

Location Method

1 McCraty, 2012POLICE STUDY. Resilience Training program reduces physiological and psychological stress in police officers

Global Advances in Health & Medicine

64 sworn police officers and 1 city manager

65 U.S.A Quant& Qual

2 Lemaire, 2011PHYSICIANS STUDY. The effect of a biofeedback -based stress mangement tool on physician stress: a randomized controlled clinical trial

Open MedicineStaff physicians practising in an

urban tertiary care centre.20 Canada Quant& Qual

3 McCraty, 1998DHEA/CORTISOL STUDY. The impact of a new emotional self management program on stress, emotions, heart rate variability, DHEA and Cortisol

Integrative psychological & Behavioural Science

Healthy working adults recruited from the local community

30 U.S.A Quant

4 McCraty, 2009CORRECTIONAL OFFICERS STUDY. New Hope for Correctional Officers: An innovative program for reducing stress and health risks.

Applied Psychophysiology &

BiofeedbackCorrectional officers 44 U.S.A Quant &Qual

5 Bedell, 2010PASTORS STUDY. Coherence and health care costs - RCA Actuarial study: a cost-effectiveness cohort study

Alternative TherapiesPastors from the Reformed Church in

America.144 U.S.A Quant

6Tatanasiripong,

2012NURSING STUDENTS STUDY. Biofeedback intervention for stress and anxiety among nursing students: a randomised controlled trial

ISRN Nursing Female nurses in Thailand 30 Thailand Quant

7 Britt Pipe, 2012MAYO CLINIC NURSES STUDY. Building personal and professional resources of Resilience and Agility in the healthcare workplace

Stress and HealthNurses from haematology/oncology

and clinical managers100 U.S.A Quant

8Barrios-Choplin,

1997MOTOROLA STUDY. An inner quality approach to reducing stress and improving physical and emotional wellbeing at work

Stress MedicineExecutives, software engineers and

factory workers48 U.S.A Quant

9 McCraty, 2003HYPERTENSIVE EMPLOYEE STUDY. Impact of a workplace stress reduction program on blood pressure and emotional health in hypertensive employees

The Journal of alternative and

complementary medicine

Hypertensive employees in a global information technology company

18 U.S.A Quant


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cognitive performance and improved organizational performance.3.2 Physiological ImprovementsSix out of the nine studies used physiological measures [1,2,3,4,8,9] such as, blood pressure, cholesterol, glucose, DHEA, cortisol and HRV. These physiological measures provide additional information regarding stress and create valuable data when working with groups who tend to under report their stress levels and symptoms [4].Four of the interventions used blood pressure (BP) measures. In one study aimed specifically at hypertensive employee populations[9], the intervention, conducted over a four week period, showed a significantly significant reduction in systolic BP (p< 0.05), whilst there was also a marked reduction of diastolic BP of 6.3 mm Hg. A reduction of 3.9mm HG in the control group however, rendered it not statistically significant. Three of the 18 participants in the experimental group were able to reduce their antihypertensive medication with their physician’s agreement and one of was able to discontinue their medication by the end of the study. The BP reduction achieved compared favourably in magnitude to the results achieved in a meta-analysis of controlled trials on hypertensive drugs therapy of several years duration published in the Lancet (Collins et al, 1990). It was also twice the average BP reduction normally seen with weight loss interventions of 20lbs.In a study conducted at Motorola [8], 28% (five employees) of the experiment group were classified as hypertensive at the start of the intervention. At the end of the six month program, they were all classified as either normal or high normal. Additional significant reductions were also achieved if readings were taken after using the Freeze-Frame®(HeartMath, 2013). In the study with correctional officers [4], over a ninety day period overall BP showed reductions (p = <0.001) as did both systolic (p = <0.001) and diastolic (p = <0.01). However, there was some refutal data from the physician’s study [2] where no statistically significant reduction in BP was recorded. Although it is worth noting that only three of that experiment group of twenty had BP above 140mm at the start of the intervention which renders the comparison less valuable.Cholesterol readings were only taken in one study [4].In this study with correctional officers there was a significant pre-post difference in both total cholesterol LDL and in total cholesterol HDL ratio(p = < 0.001). This study also contained the only reference to glucose readings where it achieved a statistically significant reduction (p = < 0.01).A study[3] using specific techniques of “Cut-Thru®” (HeartMath.com, 2013) and “Heart Lock-In®” (HeartMath.com,2013) which were designed to eliminate negative thought loops and create sustained positive emotion states recorded a significant reduction of 23% in cortisol and a 100% increase in DHEA over the one month period of the study. These results exceed those that can normally be achieved by any medication regime. The only other study that recorded a cortisol and DHEA measure [4] did not show a statistically significant change in either cortisol or DHEA. The interventions differed however, as study 3 specifically focused on restructuring techniques designed to change deep routed patterns, as the intervention in study [4] was more generalised, a simple comparison is less appropriate.Whilst all studies used HRV Biofeedback as a core aspect of the training intervention, five studies recorded the change in the participants’ HRV over the intervention period [1-4,8]. In the studies with correctional officers and Motorola employees [4,8], there was a reduction in resting autonomic activity (p = <0.05), which suggests a shift in baseline emotional state to one of decreased tension and anxiety.Where twenty four hour HRV readings were recorded [3], the autonomic function analysis showed that 20 out of the 25 participants had improvements in their HRV at times that coincided with the log book entries which showed their use of the techniques at that respective time. The studies in this meta-synthesis show that regular practice of these self-regulation techniques can increase HRV, which has been shown to improve autonomic health (McCraty et al., 1998).3.3 Reducing negative affect - overviewThe statistically significant reduction of negative affect was a strong theme that was prominent in all nine studies. The police study [1] showed a reduction in distress, negative emotions, depression, fatigue and sleeplessness. The physician study [2] showed that 15 of the 20 physicians in the experiment group had a reduction in stress score at day 28 relative to day 0. Additional adherence data showed that 100% of those with good adherence to the intervention had a decrease in their stress score. This adherence data highlights that without regular practise, the potential of these interventions will not be realised. In the study of hypertensive employees [3] there was a reduction in guilt, hostility, burnout, over care, anxiety and stress effects. The study of correctional officers [4] showed a reduction in anger and fatigue. Also using the Jenkins Activity Survey it showed significant reductions in the global scale that measure Type A behaviour such as speed and impatience. The success of studies in high stress environments like the police indicates that they are likely to be successful in other high stress occupations [4].The pastors’ study [5] showed a statistically significant reduction in total stress, work stress, physical symptoms of


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stress and a reduction in lack of support. The nursing student study [6] showed only a slight increase in stress at a time when a significant increase in stress was anticipated and was witnessed in the control group. The nurses in the Mayo clinic [7] had significant reductions in fatigue, anxiety, depression, anger management, resentfulness and stress symptoms. The Motorola study [8] showed a statistically significant reduction in nervousness, and the physical symptoms of stress among the white collar workers, and a reduction in tension and anxiety among the blue collar workers.3.4 The reduction of Depression and Anxiety Symptoms.Three studies noted a reduction in depression [1, 7, 9]. This has the potential to impact health care costs in business as depression is linked to significant productivity loss (Steward, Ricci, Chee, Hahn & Morganstein, 2003). Two studies [6,9] used specific measures for anxiety. The study of hypertensive employees [9] used a brief symptoms inventory which showed a reduction in symptoms of depression and phobic anxiety (p = <0.05). A similar p value was achieved in the reduction of stress symptoms and the overall severity of psychological distress. The study of nursing student [6] used the perceived stress scale and showed a reduction of total stress, work stress, physical symptoms of stress and a reduction in lack of social support all with a p value of < 0.05. This study also used the state anxiety scale which showed a significant decrease.Stress results from how an individual perceives and responds to an event. These interventions revised their interpretative style [3,8] by using positive emotion to interrupt their habitual perceptual tendencies and their resultant physiological consequences. These negative thought loops and their impact on the ANS were reprogrammed at a neural circuitry level as a result of a redirection of their emotional state (McCraty, 2006). With practice, this re-pattern can become the new baseline [1]. The police study [1] showed that it was an effective way to deal with chronic stress. With regular practice, the new emotional regulation became familiar and in time automatic. This was reported as an increased insight into their own psychological well-being and an increased ability to manage their moods and more confidence that they could manage their stress reaction [1]. The Police study analysed scenario simulations that showed their heart rates to remain elevated for an average of 60 minutes after a stressful event such as guns raised in a domestic violence incident. Using 24 hour HRV monitors they could evidence a police man trained in the self-regulation techniques having a heart rate increase to 180 beats per minute (BPM) when guns were raised and its return to normal of 80 BPM within 10 minutes, a reduction of 83% compared to his peers who were not trained in this intervention.3.5 Increase in positive affectA statistically significant increase in positive affect was a strong theme in eight of the nine papers [1-5,7-9]. The one exception [6] focused exclusively on measures of stress reduction and did not explicitly collect data on positive affect.There were a variety of dimensions of positive affect: caring, vigour, gratitude, positive outlook, motivation, calmness, contentment, peacefulness and vitality. The average level of change was p = < 0.05. In the oncology unit in the Mayo Clinic [7] where there was a comprehensive, leader lead, total organisation implementation that built the principles and practices into their culture, the results were stronger. They showed a change from base line to seven months post intervention of p = < 0.001 on each of the personal indicators of positive outlook, gratitude, motivation and calmness.The interventions encompass the positive aspects of the relaxation response but are markedly different as they also increase mental clarity and cognitive performance [9]. The psychophysiological coherence mode is associated with increased PSNS activity as in the relaxation response; however the fact the system is oscillating at its resonant frequency, creates a distinctly different physiological state of harmony in the nervous system and heart-brain dynamics, characterised by alertness which is conducive to optimal performance unlike the laid back nature of the state of relaxation (McCraty et al., 2009). 3.6 Improvement in organisational performanceSix out of the nine studies reported improvements in organisational performance [1,3-5,7,9]. The pastors’ study [5] was specifically designed as an actuarial study to analyse the impact the intervention had on health care costs. It recorded a significant improvement with adjusted annual medical costs for the intervention group being minus 3.8% while the control group were plus 9%. Pharmacy costs were also lower for the intervention group at minus 7.95% compared to plus 13.3% for the control group. The correctional officer’s study [4] also showed that at the completion of the intervention, 43% of the experimental group had reduced enough risk factors to place them in a lower category of project cost status, which their analysis showed would reduce their health care costs by 18%.Two studies [7,8] showed that organizational quality was improved as indicated by statistically significant increases in the following factors: communication effectiveness, time pressure, manager support, value of contribution and workplace satisfaction. Two studies [1,3] highlighted the power of improved cortical function that resulted from the intervention. Decision making whilst in a stress response will be impacted by an amygdala hijack (Goleman &


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Sutherland, 1996) that bypasses the rational reasoning of the neocortex (Le Doux, 1998). This can have seriously detrimental impacts on organisational performance as highlighted in the police study [1] where decisions made in the moment can literally mean life or death.The nursing student’s study [6] showed how it helped them make challenging transitions successfully. Increased self-regulation and physiological coherence resultant from the interventions resulted in significant cost savings [5].3.7 Additional insights from qualitative studyThe correctional officers’ study [4] conducted post intervention telephone interviews with twenty of the participants.This created useful insight into continued application of the learning. Nineteen (95%) said they found the tools “useful”.Seventeen (85%) reported using the tools at least three times a week, while eleven (65%) said they used them daily.This is also mirrored by reference in the physicians’ study [2] where a post intervention qualitative study (unpublished data) reported that almost all of them intended to continue using the tools because of the beneficial effect on their workplace stress.4. DiscussionFredrickson and Kok reviewed the efficacy of self-generated positive emotions to improve vagal tone, as measured by HRV (Kok et al., 2013). Their intervention was a loving kindness meditation which did result in improved vagal tone.This meta-analysis shows an alternative intervention which may be more readily adopted in business environments than loving kindness meditation as it may be perceived as easier to learn and less ethereal. The nature of fast paced business environments means that for many employees mindfulness is not a practice they feel they can adopt. The option of moment by moment feedback during brief 5 minute training sessions may lead to higher adoption levels.As previously discussed, the increased self-regulation optimises the performance of the existing employee base. In a time of economic challenges it enables an organisation to be more effective utilising its existing resources. The resultant psycho physiological coherence creates an ideal foundation on which higher states of creativity and flow are more likely to occur. These studies evidence how positive emotions have a profound positive impact on the ANS. It is a highly tangible and credible way to introduce positive emotions into the workplace. Once leaders and employees have reached a strong personal conviction of how they improve their well-being through these interventions they are likely to be more receptive to further work regarding positive emotions in the workplace in order to reap the benefits highlighted in the broaden and build theory (Fredrickson, 1998) such as increased resources and creativity. This would also create a culture in which the principles of appreciative inquiry (Cooperrrider, 1987) are much more likely to be understood and adopted.The emphasis on appreciation as a positive emotion in these interventions has the potential to mirror the benefits of many gratitude exercises, such as 3 good things (Seligman, Parks & Steen, 2004) currently popular in positive psychology. The practice involved in the intervention creates a platform for focused attention and momentary detachment that has some similarities with mindfulness, yet may be a more accessible practice for some. These interventions could create an excellent experiential foundation for learning to shift from the learnt helplessness of pessimism towards agency thinking and optimism (Seligman, 2011). In 2013, an iPhone/IPad application Inner balance™ (HeartMath, 2013) was released that records HRV, using an ear sensor, and illustrates it in bright graphical forms. Its benefit is a significant reduction on the price traditionally charged for this type of technology. This now makes this type of intervention more affordable in business settings and all the more attractive to a generation of digital natives. It will also make research more affordable and could streamline the collection of adherence data.5. ConclusionThe effects of these workplace self-regulation interventions are physiological, psychological and organisational. At the physiological level they can have a beneficial impact on the following factors: blood pressure, cholesterol, glucose, DHEA, cortisol and HRV. At a psychological level they decrease negative affect and increase positive affect. They impacted organisational performance through improvement in: organizational quality, cognitive performance, ability to manage stressful transitions and reduced costs.ReferencesBaumeister, R. F., Gailliot, M., DeWall, C. N., & Oaten, M. (2006). Self Regulation and Personality: How

Interventions Increase Regulatory Success, and How Depletion Moderates the Effects of Traits on Behavior. Journal of personality, 74(6), 1773-1802. http://dx.doi.org/ 10.1111/j.1467-6494.2006.00428.x


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Britten, N., Campbell, R., Pope, C., Donovan, J., Morgan, M., & Pill, R. (2002). Using meta ethnography to synthesise qualitative research: a worked example. Journal of Health Services Research & Policy, 7(4), 209-215. http://dx.doi.org/ 10.1258/135581902320432732

Casp, 2013. Retrieved on the 1st April 2013 from http://www.casp-uk.net/wp-content/uploads/2011/11/CASP-Qualitative-Research-Checklist-31.05.13.pdf

Chida, Y., & Steptoe, A. (2008). Positive psychological well-being and mortality: a quantitative review of prospective observational studies. Psychosomatic Medicine, 70(7), 741-756. http://dx.doi.org/10.1097/psy.0b013e31818105ba.

Collins, R., Peto, R., MacMahon, S., Godwin, J., Qizilbash, N., Hebert, P., ... & Fiebach, N. H. (1990). Blood pressure, stroke, and coronary heart disease: part 2, short-term reductions in blood pressure: overview of randomised drug trials in their epidemiological Eisenberg, N., Carlo, G., & Murphy, B. (1995). Prosocial development in late adolescence: a longitudinal study. Child development, 66(4), 1179-1197.

Cooperrider, D. L., & Srivastva, S. (1987). Appreciative inquiry in organizational life. Research in organizational change and development, 1(1), 129-169.

El-Sheikh, M., & Harger, J. (2001). Appraisals of marital conflict and children's adjustment, health, and physiological reactivity. Developmental Psychology, 37(6), 875. HTTP://DX.DOI.ORG/ 10.1037/0012-1649.37.6.875

Fredrickson, B. L. (1998). What good are positive emotions?Review of general psychology, 2(3), 300. http://dx.doi.org/ 10.1037/0003-066x.56.3.218

Fredrickson, B. L., Mancuso, R. A., Branigan, C., & Tugade, M. M. (2000). The undoing effect of positive emotions. Motivation and emotion, 24(4), 237-258. http://dx.doi.org/ 10.1023/1010796329158

Goleman, D., & Sutherland, S. (1996). Emotional Intelligence: Why it can matter more than IQ. Nature, 379(6560), 34-34.

HeartMath. (2013). Retrieved from www.HeartMath.org on 29th July 2013. Kok, B. E., Coffey, K. A., Cohn, M. A., Catalino, L. I., Vacharkulksemsuk, T., Algoe, S. B., ... & Fredrickson, B. L.

(2013). How Positive Emotions Build Physical Health Perceived Positive Social Connections Account for the Upward Spiral Between Positive Emotions and Vagal Tone. Psychological science. http://dx.doi.org/10.1177/0956797612470827

Kubzansky, L. D., & Thurston, R. C. (2007). Emotional vitality and incident coronary heart disease: benefits of healthy psychological functioning. Archives of General Psychiatry, 64(12), 1393. http://dx.doi.org/10.1001/archpsyc.64.12.1393.

LeDoux, J. (1998). The emotional brain: The mysterious underpinnings of emotional life. SimonandSchuster. com. Malpass, A., Shaw, A., Sharp, D., Walter, F., Feder, G., Ridd, M., & Kessler, D. (2009). “Medication career” or “Moral

career”? The two sides of managing antidepressants: A meta-ethnography of patients' experience of antidepressants. Social science & medicine, 68(1), 154-168. http://dx.doi.org/ 10.1016/j.socscimed.2008.09.068

McCraty, R., & Childre, D. (2010). Coherence: bridging personal, social, and global health. Altern Ther Health Med,16(4), 10-24.

McCraty, R., & Rees, R. A. (2009). The central role of the heart in generating and sustaining positive emotions. Oxford handbook of positive psychology, 527-536.

McCraty, R., Atkinson, M., Tiller, W. A., Rein, G., & Watkins, A. D. (1995). The effects of emotions on short-term power spectrum analysis of heart rate variability. The American journal of cardiology, 76(14), 1089-1093.http://dx.doi.org/ 0.1016/s0002-9149(99)80309-9

McCraty, R., Atkinson, M., Tomasino, D., & Bradley, R. T. (2009). The coherent heart: Heart-brain interactions, psychophysiological coherence, and the emergence of system-wide order. Integral Review, 5(2), 10-115.

McCraty, R., Barrios-Choplin, B., Rozman, D., Atkinson, M., & Watkins, A. D. (1998). The impact of a new emotional self-management program on stress, emotions, heart rate variability, DHEA and cortisol. Integrative Physiological and Behavioral Science, 33(2), 151-170. http://dx.doi.org/ 10.1007/bf02688660

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Oaten, M., & Cheng, K. (2007). Improvements in self-control from financial monitoring. Journal of Economic Psychology, 28(4), 487-501. http://dx.doi.org/ 10.1016/j.joep.2006.11.003

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Porges, S. W., Doussard Roosevelt, J. A., & Maiti, A. K. (1994). Vagal tone and the physiological regulation of emotion. Monographs of the Society for Research in Child Development, 59(2-3), 167-186. http://dx.doi.org/ 10.1111/j.1540-5834.1994.tb01283.x

Pribram, K. H. (1991). Brain and perception: Holonomy and structure in figural processing. Psychology Press. Segerstrom, S. C., & Nes, L. S. (2007). Heart rate variability reflects self-regulatory strength, effort, and fatigue.

Psychological science, 18(3), 275-281. http://dx.doi.org/ 10.1111/j.1467-9280.2007.01888.x Seligman, M. E. (2011). Learned optimism: How to change your mind and your life. Random House Digital, Inc. Seligman, M. E., Parks, A. C., & Steen, T. (2004). A balanced psychology and a full life. Philosophical

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US workers with depression. JAMA: the journal of the American Medical Association, 289(23), 3135-3144.http://dx.doi.org/ 10.1001/jama.289.23.3135

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Considerations Surrounding the Effects of Race, Age, and Genderon GED Success among Jail Inmates

John Stuart Batchelder1, Maria Flynn1, William T. Moseley1, & Megan Pippin1

1University of North Georgia USA.Correspondence: John Stuart Batchelder, Department of Criminal Justice, University of North Georgia, Dahlonega GA 30597, USA.


AbstractWhen viewed in a historical context, researchers have found consistent linkage between criminal offending and lowered educational levels among the general population of incarcerated offenders. Evidence of this is demonstrated by a disproportionate representation of illiterate persons among jail and prison inmates. After reviewing the literature, ample evidence revealed the utility in examining the isolated relationships concerning age, race, and gender on GED success for under-educated jail inmates. The purpose of this study was to explore the many considerations concerning the isolation of those factors, and to assist jail educators with achieving GED certification among subjects. No statistically significant differences were found among the independent variables race, age, and gender; however the effort gave rise to several implications that will assist in establishing guidelines for future research. Keywords: jail, inmate, education, race, age, gender1. Introduction1.1 Predicting Education OutcomesPredicting whether or not an inmate will be successful in a jail education program is important for a variety of reasons, thebiggest of which is the cost of the program. To be cost effective, inmate education needs to deliver the desired result; oftenit means attainment of the General Education Development (GED) certification. Explaining the variability among incarcerated offenders is valuable for increasing the efficiency of the correctional budget. It is widely recognized that widespread differences exist in achievement scores of persons in the general population (Dunleavey, Kutner, & White, 2007; Greenberg, Harlow, Jenkins, & Steurer, 2010; Kena et al., 2014). Although these differences are frequently characterized by income, there are many factors used as an explanation for achievement differences (Dixon-Roman, Everson, & McArdle, 2013; Kena et al., 2014).However, among incarcerated adults it is difficult to attribute educational differences to social class, because jail and prison detainees show very little economic diversity. Although there are examples of attitudinal differences, such as those examined by Alewine (2010) between inmates treated with andragogical learning techniques and traditional instruction, and differences in self-efficacy (Allred, Harrison, & O’Connell, 2013), income differences are practically non-existent among this population. Accordingly, inmate populations are dominated by low-income men and women (Allred, Harrison, & O’Connell, 2013; Harlow, 2003). For that reason researchers have found utility in making comparisons centered on variables other than socio-economic status, to include age, gender, and race (Adorjan & Chui, 2014; Barrick, Lattimore, & Visher, 2014); Batiuk, Lahm, Mckeever, Wilcox, Wilcox, 2005; Celinska, & Sung, 2014; Mueller-Johnson & Dhami, 2010; Munoz & Freng, 2007; Spohn & Holleran, 2000; Spohn & Sample, 2013 ; Spohn, 2013).1.2 Exploration of inmate factorsAlthough there is some disagreement on the utility of those specific independent variables in predicting various outcomes (Strom, Lee, Trahan, Kaufman, & Pritchett, 2009), most research points to the need for further exploration on the implications of using predictive factors when studying inmate education; particularly the attainment of the GED certificate. Given that there is disagreement in the literature, this study will engage in the effort to inform the predictability of educational outcomes for inmates by first testing for statistically significant differences, and then discussing some of the additional considerations found by other researchers in previous studies. The overall goal is to build on previous


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attempts to correct the educational deficiencies of the incarcerated population. The specific objective of this study is to expand on the reasons for using race, age, and gender as predictors, and help direct the focus of educational research in an incarcerated setting. To that end, this study examines the research delivered in a variety of formats, with an eye toward specific categorizations that might facilitate inmate learning. The hypothesis states that inmate achievement will differ according to race, age, and gender. The use of these categorizations informs the instructional delivery in an individualized format, which accentuates the need for additional research based on these demographic variables. 1.3 Literature ReviewAccording to an earlier assessment by the Department of Justice, at the turn of the century, fewer than 40 percent of all inmates in jails and prisons had completed high school (Harlow, 2003). The educational level of the general population as of 2011 was identified as 88 percent (Kena et al., 2014). While researchers had provided a variety of explanations for this fact, in the interest of improving retention in these programs it is important to consider the views of the inmates themselves. Inmates have reported several reasons for not completing high school, or engaging in further educational development. One reason centers on the environmental design inherent in a prison that constrains and undermines an inmate’s ability to focus on extraneous long-term concerns such as education. This impediment is difficult if not impossible to overcome though self-efficacy alone (Allred, Harrison, & O’Connell, 2013). A second reason inmates gave for not continuing education involves the social environment in the correctional facility, which frequently includes mind games within the inmate subculture (Batchelder & Koski, 2002). Inmates find it difficult to gain access to instruction owing to manipulation of influence and power from other inmates. Thirdly, inmates report that loss of contact with family while incarcerated not only exacerbates the urge to reoffend, but having a conviction distracts them from pursuing worthwhile interests as well (Barrick, Lattimore, & Visher, 2014). Additionally, having contact with former associates, who were delinquent individuals, weakens their resolve to resist the temptation to engage in additional criminal activities (Harlow, 2003). In light of these barriers to educational development, insight into the factors associated with this deficiency assist further research on reducing recidivism among this population (Duwe & Clark, 2014). A report from the National Center for Education Statistics literacy-assessment survey investigated educational levels among adults who had not graduated from high school (Greenberg, Dunleavy, Kutner & White, 2007). The report, titled the National Assessment of Adult Literacy (NAAL), compared literacy levels between prison inmates and members of households. Consistent with other research in the field, they concluded that literacy levels were much lower among inmates compared to household members (Greenberg et al., 2007; Harlow, 2003; Harlow, Jenkins, & Steurer, 2010). The findings were based on three measures of literacy designed to assess learning outcomes: (1) reading articles and stories, (2) filling out application forms and single page data-tables, and (3) math computations for everyday application (Greenberg et al. 2007). These measures mirror the basic proficiency expectations of persons enrolled in GED programs, which is the specific outcome variable in the present study. Personal characteristics of inmates presented by Harlow (2003) show that prison inmates are demographically different from their non-incarcerated counterparts. By gender, male inmates tend to be overrepresented (96 percent); by racial category, ethnic minority groups dominate the population (62 percent); and by age, younger adults outnumber the middle-aged group (66 percent) (Harlow, 2003). A connection can be drawn between Greenberg’s (2007) findings and the demographic analysis revealed in the Bureau of Justice Statistics data. The disparity among those three factors is particularly true among GED holders in both the incarcerated and household populations (Greenberg et al., 2007). The U.S. Department of Justice (2003) reported that roughly 33 percent of incarcerated offenders in federal and state prisons, and 22 percent of jail inmates, have completed the GED instruction while incarcerated. This has inspired the investigation of the effects of race, age, and gender, on incarcerated offenders as it pertains to successful GED attainment.1.31 RaceThe research is populated with examples where comparisons are made based on racial background (Connor & Tewksbury, 2015; Spohn, 2013; Spohn & Sample, 2013; Spohn & Holleran, 2000). For example, Harlow (2003) reported that educational levels have risen for prison inmates in the decade between 1993 and 2003 among all three racial backgrounds studied (Caucasian, African American, and Latino). It concluded that Caucasian students outperformed minority students on three measures of literacy, which included: 1) “Prose literacy”, measuring the skills needed to use information from continuous texts such as news stories or instructional materials; 2) “Document literacy,” which measures the skills associated with non-continuous texts such as job applications; and 3) “Quantitative literacy,” measuring the skills needed to perform computations using numbers that are embedded in printed materials such as balancing a checkbook (Greenberg et al. 2007). This comparison produced an unexpected outcome: Although Caucasian inmates had lower literacy scores than Caucasian adult household-members, the opposite was true of African American and Latino adults (Greenberg et al. 2007). These findings seem to suggest that some form of remediation, in the form of GED instruction, could work to


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ameliorate the differences among incarcerated Caucasians as was the case among African Americans and Latinos. Further research on this point is needed to help isolate specific factors that may assist in program design. Connor and Tewksbury (2015) highlighted the utility of race as an independent variable as well. If racial designations can be used effectively when categorizing incarcerated populations, future research studies could benefit from this methodology, although it is not universally accepted (Lenhardt, 2004; Strom, 2009). Lenhardt (2004) suggests “ . . . we should be concerned, not with the meanings associated with conduct, but rather with the meanings associated with race itself” (p. 5). This author implied that the mere designation of a racial identity carried with it so powerful a stigma, the individual ethnic characteristics could no longer have an appreciable effect.Additional support for obtaining valuable distinctions based on race came recently from other authors (Batiuk, et al., 2005; Duwe & Clark, 2014; Pizarro, Zgoba, & Haugebrook, 2014; Spohn, 2013). Spohn (2013) discovered a statistically significant effect of race on pre-sentence release, showing Black and Latino offenders were more likely to be held in pretrial custody while White offenders were more likely to be released on bond. Additionally, Lahm (2009) found that non-white inmates differed in the amount of institutional infractions they committed while incarcerated when compared to Caucasian inmates, and that high levels of misconduct were found to be associated with lower levels of achievement. Although differences in achievement were found to be statistically significant between categories based on race, differences in recidivism were not statistically significant. In a study conducted by Camp and Sandhu (1995), it was shown that African-American inmates failed to respond to treatment efforts when using recidivism as an outcome measure, and these researchers similarly found that Caucasian participants failed as well. Clearly researchers have made extensive comparisons based on racial background, and although not always, the findings often reach statistical significance. Therefore, this notion reinforces the need to understand the research on minority-group inmates and race-specific distinctions. It also gives rise to the need to further investigate the complex relationships among factors associated with achievement that may actually mask true “differences,” such as socio-economic status. Although there are interactive effects to be considered, these findings clearly justify the furtherinvestigation on race as an isolated independent variable in a correctional context.1.32 AgeWhile race seems to dichotomize the research community regarding pros and cons of its use as a predictive factor, “age” is made use of with less controversy, and with many supporters (Adorjan & Chui, 2014; Batiuk, et al., 2005; Bench, & Allen, 2013; Pizarro, Zgoba, & Haugebrook, 2014). Widrick and Raskin (2010) found that age was empirically connected to outcomes, and that it also carries with it a stigma that could have an important impact. Additionally, Spohn (2013) discovered that a complex intermixture of age and gender factors, working in concert with race, affected sentencing outcome. This study helped reinforce the use of age as a viable factor when examining inmate sentencing. Similar to Steffensmeier’s (1998) findings, Spohn and Sample (2013) found that age was a statistically significant factor regarding sentence length. Age was also found to be a contributor in the determination of who is dangerous and who is not, which then also became a determinate in the actual sentence-length. Adorjan and Chui (2014) discovered that criminals attribute a lack of desire to engage crime, and a strong desire to improve themselves through education, to maturation and aging. Likewise, Bench, and Allen (2013) discovered reduced recidivism among offenders as they aged. Additionally, Munoz and Freng (2007) discovered an interactive effect with age, race, and gender on sentencing outcomes in a Midwestern setting. In that research, those authors established a statistically significant link between an offender’s age and the likelihood of receiving a fine. Similarly, Greenberg et. al. (2007) found that age was associated with educational outcomes, showing that younger inmates (age-25 to 39) outperformed older inmates (those over age 40). Batchelder and Koski (2002) found that inmates who were younger tended to be more motivated than older inmates. This research pointed to the conclusion that young inmates reported making the attempt to achieve higher scores, thereby giving the appearance of being more motivated in educational endeavors than older inmates. Also, the older inmates were often lacking in drive, and frequently delayed attempts to enhance their education in classes that were provided by the prison facility. Spohn’s (2013) findings concluded that age, in combination with race and gender, significantly impacted the likelihood of being incarcerated, which confirmed the research conducted by Steffensmeier et. al. (1998) that showed there is a high cost of being young when that person is a black male. Clearly the consensus arrived at by this body of research reinforces the connection that the age factor brings, particularly in light of the constancy of findings.1.33 GenderOwing to the socially-constructed notions concerning gender, it is clear that measurable biases occur within a number of different criminal justice concepts (Munoz & Freng, 2007). The inclusion of gender has been successfully utilized in a number of offender studies (Batiuk, et al., 2005; Celinska, & Sung, 2014; Chen, Lai, & Lin, 2014; Spohn, 2013;). Gender was used as a predictor in pre-trial and sentencing outcomes, where Spohn (2013) discovered that males were less likely to make bail than females. Furthermore, that study investigated the effects of gender on sentence length, finding sentences


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of male offenders to be significantly greater than females. The gender distinction also revealed that both male and female inmates had lower literacy skills than their household counterparts (Greenberg et al., 2007; Harlow, 2003). It was found that 36 percent of women were in possession of a high school diploma, or attended college, when they were sentenced, whereas only 32 percent of men had done so. Additionally, only 28 percent of women had completed the GED while incarcerated, in comparison to 35 percent of men (Harlow, 2003). In 2006, Gee studied the “perception of programs,” as well as the “needs” of inmates who were attending GED courses while incarcerated. The study gathered feedback from inmates, who were grouped by gender, on favorability, expansion, and improvement of GED programs. The study additionally gathered data on reasons for going to prison and recidivism reduction from inmates who were categorized by gender. Although no significant differences were found between treatment groups, feedback indicated that the participants who were engaged in the classes desired more expansive programs that encompassed a wide-range of areas. Open-ended responses showed that some females attended courses primarily to engage in “learning for the sake of learning” (Gee, 2006, p. 320). Chen, Lai, and Lin (2014) investigated the impact of prison adjustment among women offenders and found that pre-prison victimization, as well as prison environmental influences, had statistically significant impacts on both misconduct and depression.1.4 HypothesisThe review of the literature clearly demonstrates the importance of continuing an investigation into the factors that assist in developing comprehensive educational programs behind the prison walls. These programs are aimed at providing marketable skills in convicted offenders, which could lead to employment opportunities after their incarceration, hopefully decreasing the overall recidivism rate. The importance of continuing these efforts was summarized by Dellicarpini (2010) who emphasized the need to help inmates find “employment that will eventually help them attain economic self-sufficiency” (p. 284). To that end, this study aims to explore the specific categorizations of inmates in an education setting. The hypothesis states that inmate achievement will differ according to race, age, and gender. The use of this research design will isolate these categorizations to inform the inmate instruction in an individualized format, and accommodate the need for comprehensive research based on these demographic variables.2. Method2.1 VariablesThe dependent variable in this study, “GED success,” was chosen based on the National Center for Education Statistics literacy-assessment survey that investigated educational levels among adults who had not graduated from high school (Greenberg, Dunleavy, Kutner & White, 2007). The variable has a dichotomous nominal construction with “yes” meaning the inmate completed and attained GED certification, and “no” meaning she or he has not completed the GED certification and has dropped out of the program.The independent variables used in this study were selected for the purpose of empirically testing the measures of educational success in an incarcerated environment among inmates who were grouped by race, age, and gender. It was hypothesized that achievement differences on these three independent variables would be statistically significant. To attain the level of statistical significance, the differences determined by the analysis would have to be consistent with the P. < .05 level, meaning they would be unlikely to occur by chance or sampling error alone if the null were true. This study was conducted to identify any significant differences in achievement between groups among inmates. 2.2 SubjectsInmates in this study were incarcerated in a county jail that could be characterized as a small and lightly populated county in a southern state (population = 30,611). All of the inmates selected for the study are classified as undereducated, as they were participating in a General Educational Development (GED) program. The inclusion of all inmates in the education program precluded the use of any sampling techniques. The inmate GED program was funded in part by the county and in part with private donations. The jail is filled to capacity with 114 inmates in various stages of the criminal justice process. The study was conducted during an 18-month period using inmates who were cycling through the GED program at the facility. As mentioned above, the inmates were categorized according to achievement on the nominal-level dependent variable as having either “completed” or “not completed” the GED certification. Although there can be a variety of reasons for not completing the GED instruction, the purpose of this study was to follow up on the findings reported in the literature that either supported or failed to support the use of common independent variables of age, gender, and racial background as possible factors in the jail’s GED program success. The findings from research designed to employ the investigation of race and other factors into a scientifically-designed methodology, are intended to enlighten the argument and provide stronger predictive capability. 2.3 HypothesesThere were three research hypotheses used in this study for the purposes of isolating the effects of each independent


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variable. The first research hypothesis stated that there would be a statistically significant difference between Caucasian and African American inmates on the dependent variable GED success. The null hypothesis tested was “there is not a statistically significant difference in GED attainment between Caucasian and African American inmates.” The second research hypothesis stated that there would be a statistically significant difference in GED success between younger (less than age-24) and older (age-24 or older) inmates. The null hypothesis tested was “there is not a statistically significant difference in GED attainment between Caucasian and African American inmates. The third research hypothesis stated that there would be a statistically significant difference between male and female inmates on the dependent variable GED success. The null hypothesis tested the statement “there is not a statistically significant difference in GED attainment between female and male inmates.3. Results3.1 RecruitmentComplete data were obtained on 94 inmates; 47 had completed the GED certification program and 47 did not complete the program. By race there were 86 Caucasians and 8 African Americans, by gender, there were 67 males and 27 females; and by age 38 inmates were less than age-24 and 56 were age-24 or older. Three tests of statistical significance were conducted using the Chi-Square procedure. 3.2 Statistics and Data AnalysisThe data revealed that the first null hypothesis was retained because and there was not a statistically significant differencein GED attainment between Caucasian and African American inmates, c2

(1,N = 94) = .137, p. = .460. Additionally, there was not a statistically significant difference in GED attainment between Male and Female inmates, c2

(1,N = 94) = ..052, p. > .05). The final outcome showed that age was not a statistically significant factor in GED attainment. Inmates who were less than age-24 did not experience higher numbers of GED attainment when compared to inmates who were age-24 or older, c2

(1,N = 94) =.177, p. = .674).4. Discussion The purpose was to grasp a better understanding of the educational capabilities of general education participants living in an incarcerated environment. This capability was measured by successfully passing the GED exam. Although the literature is populated with examples where significant differences were found between treatment groups who had been categorized by race, age, and gender, the results of the current study failed to detect any statistically significant differences using separate Chi-Square tests. Wherein other researchers, such as Spohn and Holleran (2000), confirmed that race, gender, and age were viable factors (especially when paired together), this study failed to uncover any isolated statisticallysignificant differences in the variable of principal concern (GED attainment). Although these findings were not consistent with the many instances cited in the literature, there are a number of considerations to take into account. The first consideration is the interactive effects of race across age groups. As Steffensmeier discovered in 1998, age, race, and gender do not act in an isolated manner, each factor co-varies with the other to produce an interactive-effect. However, this concept was explored more by Spohn and Holleran (2000) who examined the interactive effects of the variables in three different locations, and produced inconsistent findings. For example, the Chicago data found that non-white males, regardless of age, significantly differed on the outcome measure (sentence length) from their white counterparts, showing no interactive effect. Similarly, the Miami data found that age did not play a role on that outcome variable between races. However, the Kansas city data showed that the differences between races was not consistent across the age-groupings, indicating an interactive effect. Therefore, since the ages of inmates in this study ranged from 17 to 57 with a mean of 28.85 (9.38), it is suggested future research investigate the interactive effects of race and age among adults on this achievement measure; specifically, if the effect of age is consistent to both gender and race in GED attainment. Second consideration is the stigma of conviction. A stigma occurs when an individual becomes aware of a personal marker, which is a distinguishing feature noticed by another. The marker brings a lowered esteem to the bearer of that marker in the eyes of the observer (Rush, 1998). Examples cited in the literature include racial identity, drug abuse, or physical limitations. The effects of stigma gives rise to four avenues of impact to the population under study: not only the stigma of a racial identity, but education level, low income level, and conviction can all combine in this population to exaggerate thenegative effects. The stigma of poor educational achievement is intertwined with the actual learning experience. In an improved educational environment it might be possible to minimize the stigma generally associated with participation in prison educational programs (Batchelder & Koski, 2002). Since a conviction involves the image of a stereotype that is well entrenched in our society, the negative impacts can be empirically measured and are well-documented (Rush, 1998). The scar a stigma carries is one of potential magnitude, and should be considered in the varied instances among an incarcerated population, especially upon release.Third consideration is the homogeneity in economic makeup between categories. It is possible that any differences that


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might otherwise be theoretically attributed to race or age are minimized by the fact that an inmate population is dominated by members of a lowered socio-economic background. One might expect that adverse aspects of age, race, or gender factors are reduced, particularly when using “literacy” as the variable of principle concern. As we have seen, comparisons between incarcerated offenders and members of households on prose literacy (reading articles and stories) differed depending on income. Reading “prose” competency was assessed by reading a two-paragraph passage, and then answering questions relevant to the “tone” of the passage (or inferring the narrator’s perspective), this measure produced a post-release success predictor that could be considered relevant depending on the degree of exposure a subject has had to reading and learning in general. It is widely established that the exposure to this learning is minimized among low-income groups, which could be controlled for in future research. Although there were no significant findings on document literacy (filling out forms and tables), the quantitative literacy (math computations) were different between economically grouped participants. As previously stated, these measures mirror those used in GED testing, which gave rise to the direction of this study, and clearly illuminate the gap in the research; it is suggested that this line of study be further investigated. The “document” literacy measure assessed organization of numerical values in a data table; and the “quantitative” competency made use of problems such as computing averages or finding distances. These measures are central to this study because they mirror the basic proficiency expectations of persons enrolled in GED programs, and have historically shown to be different between treatment groups.Following up on the findings of Greenberg et al. (2007) showing African American and Latino adults behind bars had higher scores on average than the members of households, this study seems to suggest that the race effect is clouded with ambiguity. These findings indicate that some form of remediation, in the form of GED instruction, could work to ameliorate these differences among incarcerated Caucasians as was the case among African Americans and Latinos.Further research on this point is needed to help isolate specific factors that may assist in program design.4.2 Limitations of the studyThe subjects of this study were adults in the General Educational Development (GED) Program who were incarcerated in a county jail at the time of their tutoring and testing. The aggressively intimidating environment might inhibit the ability of the students to stay focused on their educational goals. Therefore, the populations to which it is possible to generalize these findings may be limited. ReferencesAdorjan, M., & Chui, W. H. (2014). Aging Out of Crime: Resettlement Challenges Facing Male Ex-Prisoners in Hong

Kong. Prison Journal, 94(1), 97–117. http://dx.doi.org/10.1177/0032885513512095Alewine, H. S. (2010). Andragogical Methods and Readiness for the Correctional GED Classroom. Journal of

Correctional Education, 61(1), 9–22.Allred, S. L., Harrison, L. D., & O’Connell, D. J. (2013). Self-Efficacy: An Important Aspect of Prison-Based Learning.

Prison Journal, 93(2), 211–233. http://dx.doi.org/10.1177/0032885512472964Barrick, K., Lattimore, P. K., & Visher, C. A. (2014). Reentering Women: The Impact of Social Ties on Long-Term

Recidivism. Prison Journal, 94(3), 279–304. http://dx.doi.org/10.1177/0032885514537596Batchelder, J. S., & Koski, D. D. (2002). Barriers to inmate education: Factors affecting the learning dynamics of a prison

education program. Corrections Compendium, 27(2), 1–10.Batiuk, M. E., Lahm, K. F., Mckeever, M., Wilcox, N., & Wilcox, P. (2005). Disentangling the effects of correctional

education: Are current policies misguided? An event history analysis. Criminal Justice: International Journal of Policy & Practice, 5(1), 55–74. http://dx.doi.org/10.1177/1466802505050979

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Pollution Risks Accompanied with Economic Integration of ASEANCountries and the Fragmentation of Production Processes

Tetsuo Kida1 & Ryo Fujikura2

1Graduate School of Public Policy and Social Governance, Hosei University, Tokyo, Japan2 Faculty of Humanity and Environment, Hosei University, Tokyo, Japan. Correspondence: Mr. Tetsuo Kida, Graduate School of Public Policy and Social Governance, Hosei University, Chiyodaku, Tokyo, 102-8160 Japan.


AbstractEconomic integration in the Southeast Asian region has been rapidly progressing resulting in an accelerating fragmentation of the production processes. Thai multinational corporations have moved factories over their national borders. Similar fragmentation arose along the US-Mexico border from the 1970s and resulted in serious industrial pollution in Mexico along the national border. This paper examines the risks of pollution accompanied with the fragmentation of the production processes. The current state of industrial areas in Cambodia and Myanmar, along the national border of Thailand, is analyzed in relation to Maquiladoras in Mexico and industrial areas in India. An international environmental agreement, similar to what was agreed upon between Mexico and the US, would seem to be the most effective way to prevent pollution.Keywords: pollution, Maquiladora, economic integration, fragmentation, ASEAN, AFTA

1. IntroductionMember countries of the Association of Southeast Asian Nations (ASEAN) have been integrating their economic activities. The establishment of the ASEAN Economic Community (AEC)1was planned for 2015, as was the elimination of all tariffs for the ASEAN Free Trade Area (AFTA). Multinational corporations (MNCs) have pursued increased productivity by establishing production facilities throughout the region and improving logistics. Factories producing raw materials, primary parts, secondary products and final products are being established in different countries through trans-boundary investment. A common practice has become to produce parts in Cambodia, Laos or Myanmar and to create final products in Thailand. Large production networks have been established in the region and the production processes are becoming fragmented (Ishikawa, 2013). Similar trans-boundary investments were accelerated by the Maquila system enacted in 1965 along the US border in Mexico. Factories designated as Maquiladoras were established in the east and performed simple labors. Then, they moved to the western areas as the economy developed, and factories using high technology to produce such things as electronic components were established. The factories caused significant environmental pollution due to the creation of hazardous waste as the byproduct of auxiliary inputs in the industrial processes (Sanchez, 1990). The environmental damage was unchecked as there was a lack of proper implementation of Mexican environmental laws and regulations during the 1990s (Perry, Sanchez, Glaze & Mazari, 1990). In order to deal with these problems, the governments of the United States and Mexico formed the North American Agreement on Environmental Cooperation (NAAEC), and after later economic integration, the North American Free Trade Agreement (NAFTA). These steps worked to ensure the enforcement of domestic environmental laws in the United States and Mexico, and as a result, succeeded in a reduction of environmental pollution (Kin, 1999). A situation similar to what could be observed in Mexico before NAFTA, in terms of insufficient pollution control, now exists in the ASEAN region. While environmental laws and regulations have been established and enforced to some

1 At the Bali Summit in October 2003, ASEAN leaders declared that AEC shall be the goal of the regional economic integration (Bali Concord ) by 2020. Then, they decided to accelerate the establishment of the ASEAN Community, including its AEC pillar by 2015 at the 12th ASEAN Summit in Cebu, the Philippines, on 13 January 2007 (ASEAN, 2008).


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degree in Thailand, both Cambodia and Myanmar are largely lacking. We are concerned that a similar pattern of events, just as caused the spike in pollution which existed in Mexico in the 1990's, will develop as both the economic integration of the ASEAN region and fragmentation of MNCs production processes increases. In this paper, we first give an overview of the economic integration of ASEAN and fragmentations of MNCs’ production processes. We then analyze the intersection of Maquiladoras in Mexico and NAFTA, and the present situation of pollution control in India as precedent cases of industrial areas established by FDI. A comparison of environmental laws and their enforcement in Thailand, Cambodia and Myanmar is given. Finally, we evaluate the potential environmental impact of the economic integration in the ASEAN region and propose a possible measure.

2. AECASEAN (2008) planned for the AEC to be established in order to integrate the ASEAN countries as a single market and production base, making the entire region more dynamic and competitive with new mechanisms and measures to strengthen the implementation of its existing economic initiatives (ASEAN 2008). As a first step towards completing the AEC, ASEAN will establish AFTA in 2015. However, the economic situations of member countries in AFTA (the population of which is over 600 million) are far more diverse when compared to other free trade area such as NAFTA or the EU. AFTA ranges from the economically-developed Singapore to their least-developed country, Cambodia. Furthermore, both the economic and environmental impacts of the integration of ASEAN countries are anticipated to be more significant than previous similar examples.To realize AEC, ASEAN adopted the ASEAN Economic Community Blueprint in 2008. It clarifies goals and a schedule of actions, presenting 4 "Strategic Approaches" and 15 "Core Elements" (Table 1). The performance of each member country is evaluated by “AEC Scorecards”. The comprehensive percentage of achievement according to the AEC Scorecard from 2008 to 2011 was 67.5% (Shimizu, 2013). It should be noted that environmental policy is not includedin the Blueprint at all2.Table 1. ASEAN Economic Community Blueprint

(Source) Association of Southeast Asian Nations [ASEAN] (2008)

3. Fragmentation of Production ProcessesWhen Japanese companies established their international production networks some decades ago, they located their head office and mother factories in Japan, producing intermediate materials by skilled laborers in Japan. Then, the intermediate materials were sent to Thailand to be assembled by unskilled local laborers, and the final products were sent back to Japan or exported to other countries. As Thailand became a semi-developed country, and developed the ability to produce intermediate materials by skilled local laborers, some Japanese MNCs shifted their mother factories from Japan to Thailand. They started to produce intermediate materials in Thailand, and to have final product assembly done by unskilled laborers in Cambodia, Laos or Myanmar (Figure 1). In 2014, Thailand enacted their Minimum Wage Policy. This policy increased labor costs in Thailand, and further facilitated the fragmentation of production processes to

2 ASEAN Socio-Cultural Community Blueprint details Ensuring Environmental Sustainability, which focuses on Transboundary Haze Pollution and Transboundary Movement of Hazardous Wastes (ASEAN, 2009).


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neighboring countries (Kida & Fujikura, 2015). Tax exemption and reduction for MNCs by ASEAN countries further stimulated the fragmentation (Kasuga, 2014). Moreover, the rehabilitation of infrastructure in the area facilitated trans-boundary transportation. The East-West Economic Corridor (EWEC) is 1,450 kilometers long and internationally connects Mawlamyaing in Myanmar and Da Nang in Vietnam. It was rehabilitated through a collaboration between the Thai, Vietnamese and Lao governments. Myanmar recently joined the rehabilitation project and has opened to immigration for foreigners. The Southern Economic Corridor (SEC) has been developed by Thailand, Cambodia and Vietnam, connecting Bangkok in Thailand and Ho Chi Minh in Vietnam. These trans-boundary investments by MNCs have driven job creation and economic revitalization in neighboring areas, as well as the immediate area.

Figure 1. Fragmentation of the production processes in ASEAN(Source) Prepared by authors from Ishido & Ito, (2014)

4. Environmental pollution in Maquiladoras and NAFTAThe Maquila system in Mexico was enacted in 1965 in order to reduce the number of Mexican illegal residents in the US, mostly landless farmers at home. The Maquila system designated factories located in Mexico as “Maquiladora.” They were exempted of taxation on the raw materials, parts and production equipment needed to produce export products. Maquiladoras were built by American MNCs, and were located along the U.S. border. It was expected that the Maquiladoras would absorb illegal unskilled workers back from the US. In fact, the Maquila system successfully contributed to the industrialization of Mexico, contributing FDIs, job creation, the acquisition of foreign currency and the obtaining of skills and techniques. It later contributed to Mexico’s national import substitution policy (Taniura, 2000). As the Mexican economy developed and matured enough to be able to supply sophisticated infrastructures and skilled workers, the Mexican government adopted the National Development Plan to promote high technology industry. By 1990, new agglomerations of high technology industries were developed near the border of northwestern Mexico: Tijuana, Tecate, Mexicali, Nogales and Agua Prieta etc. (Sanchez, 1990). Some Maquiladoras of heavy industries generated large amounts of hazardous waste and their illegal dumping caused serious pollution (Perry, Sanchez, Glaze & Mazari, 1990, Bowen, Kontuly & Henpner, 1995, Rajaram & Das, 2008). 3

When Mexico negotiated to join the North American Free Trade Agreement (NAFTA), there were concerns expressed that pollution along the Mexican border had become more serious as investment from the US had increased. As a measure to control environmental problems, the US, Canada and Mexico created the North American Agreement on Environmental Cooperation (NAAEC) to complement NAFTA (Gallagher, 2004). The agreement successfully

3 For example, Maquiladoras at Mexicali industrial area in 1990s, 1) they were mostly U.S. subsidiaries, 2) they were imported from the U.S. (98%), 3) hazardous materials were a wide range of solvents (alcohols, freons, cetons, and aromatic hydrocarbons), acid and alkaline substances, and heavy metals, 4) most hazardous materials were auxiliary inputs to the manufacturing process(Sanchez, 1990).


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contributed to the control of pollution problems (Kin, 1999). To put it another way, the economic integration of Mexico by NAFTA facilitated environmental management in Mexico.

5. India5.1 Pollution Control at Industrial Areas India has had established environmental laws since as early as the 1970s.4 However, they are weakly enforced and pollution is still created. Citizens have spoken out against pollution, but both the central and local government have seldom taken effective measures. If an area has an active judge, he or she has prevailingly taken action against an offending factory. However, this depends on the judge’s personal interest, and no regional or national action has taken place (Tsujita, 2005).We conducted interviews with administrators of industrial areas in six states of India: Haryana state (Bawal Industrial Area), Rajasthan state (Neemurana Industrial Area), Uttar Pradesh state (Greater Noida Industrial Area), Andhra Pradesh state (Sri City Industrial Area), Tamil Nadu state (Mahindra Industrial Area) and Gujarat state (Hazira Industrial Area). The interviews revealed that all industrial areas can supply water. Most industrial areas installed water supply facilities or allow the factories to draw up underground water. However, some industrial areas have not installed wastewater treatment facilities or hazardous waste management facilities despite the requirement of installing these facilities. There are regulations made by the government, but there are no penalties for violating the regulations (Table 2).Table 2. Environmental measures at industrial areas in India

(Source) Prepared by authors5.2 A Japanese factory in IndiaWe conducted interviews with a Japanese factory located in the Greater Noida Industrial Area. This industrial area has neither a wastewater treatment nor a waste management central processing facility, so all factories are required to treat their waste within their own properties. This factory is a chemical plant, and it mainly uses water for the manufacturing process, the canteen (cafeteria) and the toilets.Water is used for different purposes at the factory and is given different treatment afterwards depending on the usage. First, the water used in machines for cooling purpose is taken from an underground water tank. Over the course of regular use it becomes dirty, and is sent to an STP (Sewerage Treatment Plant) system for treatment. The water from the canteen contains oil particles, hence the water is sent to a grease trap to separate the oil particles from water. This oil-free water is then sent to an STP system for treatment. The water from the toilet is sent directly to an STP system for

4 The Water (Protection and Control of Pollution) Act was enacted in 1974, and The Water (Protection and Control of Pollution) Cess Act was enacted in 1977.


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treatment.The water in an STP system is treated in two ways:1) Mechanical: In this process, pumps inside the system send the water into carbon filters that rotate the water. Then, the process of air purging is used to agitate the water.2) Organic: In this process, bacteria are induced into the water to remove solid waste. To ensure that bacteria are present, oxygen is used. Then the liquid form of the waste is treated with chemicals.The treated water is used for gardening. As per government regulations, the responsibility to treat waste water is on the organization working at the site (Figure 2).

Figure 2. Waste water treatment system at a Japanese factory in India(Source) Prepared by authorsOther types of waste created during the production process include resin bags, empty solvent drums, and dirty rags used for cleaning purposes. This waste is sent to scrap dealers who are authorized by the government. They deal with the waste in two ways:1) Reuse: The scrap dealer cleans the waste and passes it on for further use.2) Recycle: The scrap dealer sends the waste to private recycling plants who are authorized by the government to clean and recycle it for further use. These plants are present at areas such as the Merrut district (Haryana state) and the Panipat district (Uttar Pradesh state) etc.As per the government regulations, separate “storage yards” need to be built at the site for the storage of waste before it is sent to a scrap dealer. Furthermore, the responsibility to treat hazardous waste is on the organization working at the site (Figure 3).

Figure 3. Hazardous waste treatment system at a Japanese factory in India(Source) Prepared by authorsJapanese factories installed both wastewater treatment facilities and hazardous waste management systems within their own sites. They are highly conscious of the environment, and that compensates for the lack of enforcement of laws in India. In other words, whether pollution from the industrial areas is properly controlled depends on the compliance readiness of the individual companies, where the environmental laws are poorly implemented. It may be too optimistic to expect that pollution will be controlled in the future as more foreign companies move into the areas.6. ThailandThailand enacted the Enhancement and Conservation of National Environmental Quality Act in 1975. Accordingly, the


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government established a department to deal with environmental issues: the National Environment Board. However, environmental pollution in industrial areas was exclusively handled by the Department of Industrial Works, Ministry of Industry and Industrial Estate Authority of Thailand, which are all controlled by the prime minister directly. In 1978, Thailand partially revised their environmental laws and introduced the Environmental Impact Assessment (EIA) system, which effectively began environmental pollution control. When domestic and foreign direct investments into the manufacturing industry in Thailand increased rapidly from the late 1980s to the 1990s, limitations were found in the environmental pollution control system, and the Thai government enacted the Enhancement and Conservation of National Environmental Quality Act in 1992. However, the ability to directly control the environmental pollution of factories in industrial areas still remained under the purview of the Department of Industrial Works and Ministry of Industry, which alone had the authority to supervise the companies (Funatsu, 2013). In this same year, 1992, the Factory Act was enacted. It stipulated effluent standards for contaminated waste and hazardous waste in accordance with the scales and industries of the factories (Touma, 2010).Table 3 shows 23 industrial estates from those listed by Japan External Trade Organization (JETRO) (2010).Approximately 82 percent have already installed water supply facilities and wastewater treatment facilities (19 out of 23), so we can see the trend is towards industrial parks enforcing their own environmental measures. This does not include industrial waste treatment facilities, because they were not included on the list.Table 3. Environmental measures at industrial estates in Thailand

(Source) Prepared by authors from Japan External Trade Organization [JETRO] (2010)

7. Cambodia After decades of civil war and political strife, Cambodia’s first general election was held in May, 1993 under the auspices of the United Nations Transitional Authority in Cambodia (UNCTAD), after which Cambodia enjoyed national reconciliation and relative political stability. After the election, the Constitution of the Kingdom of Cambodia was promulgated in September, 1993. Since then, Cambodia has been transformed from a centrally planned economy to a free market economy (Sotharith, 2011). Concurrent with industrial development, FDI also increased. Cambodia enacted a few environmental laws, but no regulations have been enforced (Table 3).


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Table 3. Environmental laws in Cambodia

1996 Law on Environment Protection and Natural Resource Management LEPNRM1999 Sub-Decree on Management of Solid Waste

Sub-Decree on Water Pollution Control Sub-Decree on Implementation of the Environmental Impact Assessment Process

2000 Sub-Decree on Control of Air Pollution and Noise Disturbance

(Source) Prepared by JBIC (2013)Industrial areas in Cambodia are funded by local, Chinese, and/or Japanese companies as well as through Japanese Official Development Assistance (ODA). Table 4 shows five industrial areas to which foreign companies have already invested in as FDI, and their environmental facilities. The industrial area financed by a Japanese company and ODA are fully equipped with power, water supplies and wastewater treatment facilities while the others, financed by Cambodian and Chinese companies, are not equipped with wastewater treatment facilities. They are not even equipped with water supply facilities. The rent paid for land not equipped with a wastewater treatment facility is around USD 30/m2, much less than those fully equipped, at around USD 60/m2. While Cambodian environmental laws are insufficient, those industrial areas funded by Japanese ODA or Japanese companies enforce environmental measures by themselves. It is likely that factories are attracted to cheaper and subsequently, lesser-equipped land, and that this trend causes pollution.Table 4. Environmental measures at industrial areas in Cambodia

(Source) Prepared by JBIC (2013)8. MyanmarAfter a long period of political turmoil, Myanmar gave up their military government after about 50 years and changed from a blocked economy to an open economy in 2011. While many MNCs are seeking opportunities to invest, the governmental system for a free market has not been established and little FDI has taken place. For example, an industrial area is being developed near the Thai-Myanmar border, but the Myanmar government intends to introduce only labor intensive local SMEs (small and medium-sized enterprises), which do not require heavy machinery partly because of the government’s concern to invite foreigners into a politically-sensitive border area. (Kida & Fujikura, 2015). However, FDI will likely be accelerated as the economy of the region becomes more integrated. The government of Myanmar enacted the Environmental Conservation Law in 2012, but no law stipulating regulations have been developed yet. The existing industrial areas were developed by the former military government, and no environmental measures are currently being enforced. While new industrial areas are being established, no effective pollution control laws have been put in place. Table 5 shows five industrial areas in Myanmar, which were invested in by Kayin state, the former military government, or consortium of Japanese and Burmese companies. This sequence of events is similar to what is currently taking place in Cambodia. Industrial areas financed by Japanese companies are fully equipped with power, water supplies and wastewater treatment facilities, while the industrial areas financed by the government of Burma, Kayin state and the former military government of Burma are not equipped with wastewater treatment facilities. The rent paid for land not equipped with wastewater treatment facilities is around USD 40/m2, much less than that of land which is fully equipped at around USD 58/m2. Although there is one exception to this price


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discrepancy, we can say that investors are attracted to cheaper land, which is subsequently lesser-equipped, and that this trend causes pollution.Table 5. Environmental measures at industrial areas in Myanmar

(Source) Prepared by JETRO (2013)9. DiscussionThe Japanese industrial areas are equipped with water treatment facilities so as not to discharge environmental pollution in Cambodia and Myanmar. However, the proportion of Japanese industrial areas is 8% in Cambodia and only 2% in Myanmar (Table 6). This means that the potential to generate environmental pollution is high, because most industrial areas are populated with industrial sites which are likely not equipped with water treatment facilities.Table 6. Industrial areas developed with Japanese involvement

(Source) Prepared by authorsFigure 4 shows a flowchart of options that exist when choosing land in industrial areas in Cambodia and Myanmar, with relation to water treatment facilities. For example, when investors select land to build factories, they perform a feasibility study which compares costs and sales. These costs include initial costs, such as construction costs, and operating costs such as salaries, taxes and rental fees5 for land, etc. If investors decide to pay a high rental fee, they can usually build in industrial areas equipped with water treatment facilities. This results in controlling pollution levels within the industrial areas (Case 1). However, if they pay a low rental fee, they cannot control the pollution within the industrial area. Therefore, we can see that an environmental consciousness is necessary to control pollution in these industrial areas. When investors have environmental consciousness or a respect for local environmental law, they will control the pollution at their site, such as the example of the Japanese company in India (Case 2). In industrial areas in Cambodia and Myanmar, investors need to pay higher initial costs to minimize their pollution, because of the premium on land with water treatment facilities. However, investors with no environmental consciousness do not make these considerations as current environmental regulations are not enforced (Case 3). This scenario creates the potential to generate large amounts of pollution. If investors intentionally choose Case 3, their industrial factories and the surrounding areas will likely be at risk of pollution.

5 The laws in Cambodia and Myanmar do not allow investors to buy land.


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Figure 4. Flowchart of options regarding water treatment facilities in industrial areas in Cambodia and Myanmar(Source) Prepared by authorsFDIs from developed countries, when given to manufacturing industries located in developing countries, may cause environmental problems, as has happened in Mexico. While the environmental regulations of the investing countries are usually well established and enforced, the regulations of the recipient countries are often insufficient. If companies operating in lesser-developed countries voluntarily set adequate standards and meet them in the same way as in their mother countries, pollution problems may be prevented. One such example is Japanese companies operating in Indian industrial areas. However, such behavior cannot always be expected. Without proper enforcement of environmental regulation, pollution would likely occur as the result of FDI.Thai MNCs have already started to move their factories producing final products to their neighbor countries, Cambodia and Myanmar. While Thailand established environmental policy and its implementation is fairly acceptable, their neighboring countries have not yet fully enforced environmental regulations. The fragmentation just started, and most of the factories are textile and assembly industries, few of whose environmental impact are significant. However, more production processes with significant environmental impact, such as heavy industries or chemical industries, will likely move to the areas as economic integration and fragmentation progress.The Mexican government concentrated on unskilled labor work for import-substitution for about 20 years. When Mexico started to promote export-orientation in Maquiladora areas in the 1980s, the pollution problems became serious and local residents suffered from pollution-related diseases. However, NAAEC was enacted with economic integration of NAFTA. This agreement was proposed by the US government as a response to the concern of NGOs that NAFTA,without proper environmental management, would worsen Mexican pollution problems. NAAEC forbids alleviating environmental regulation to attract FDIs. Mexican environmental problems were mitigated by economic integration partly because of the concern of a developed country, the United States (Figure 5).The Hypothesis of Environmental Kuznets Curve (EKC) states that while environmental degradation sharply increases as the economy develops, further increases in per capita income will induce environmental improvement (Gallagher, 2004). EKC theorizes that there is a peak of environmental degradation. Recent studies estimated the peak will be surpassed when the GDP per capita exceeds the range from USD 14,730 to 35,000. At the same time, the hypothesis also indicates that environmental degradation could occur for decades before turning around, or not at all (Gallagher, 2004). Pollution levels in the Maquiladora regions of Mexico indicate that Mexico has already passed the EKC peak (Figure 5).


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Figure 5. Economic development and pollution levels in the Maquiladora regions(Source) Prepared by authorsASEAN seems to be following a similar pattern of economic integration as NAFTA. However, the stages of economic development are different from that of NAFTA. When Mexico joined NAFTA, it has already industrialized and become a semi-developed country. On the other hand, Cambodia began to have a market economy under import-substitution in 1993. Myanmar transformed from a military regime to a democratic one in 2011 and ran its economy under import-substitution. After the economic integration of AFTA, it also will promote export-orientation with import-substitution. The economic development of both Cambodia and Myanmar are far behind from that of Mexico during the 1990s, and the industrialization of the two countries has not yet started (Figure 6). Rapid economic integration and FDIs might pose significant adverse environmental impacts in both countries as seen in Mexico during the 1990s.

Figure 6. Economic development and possible pollution levels in Cambodia(Source) Prepared by authorsIf the EKC hypothesis is valid for Cambodia and Myanmar, it will likely take decades for them to reach "peak pollution". The AEC Blueprint does not address environmental management on their agenda. It is likely that similar problems will occur as those that transpired in Mexico. However, taking a lesson from NAFTA, a possible measure can be suggested: supplemental environmental agreements like the NAAEC of NAFTA would aid this transition. Under the AEC agreement, Thailand could play a role similar to the US's in NAFTA. When NAFTA was concluded, civil societyand NGOs expressed concern and encouraged the governments to conclude NAAEC. The lessons of NAFTA and the NAAEC would be applicable to the case of the AEC since local NGOs in the region are becoming more environmentally aware. Developed countries such as Japan, US, EU member countries and international organizations may be able to support environmental initiatives in the region.

AcknowledgementThe authors appreciated Mr. Ajit Singh for his thoughtful and helpful comments. This work was partly supported by Hosei Graduate School Research Grant for Doctoral Studies.

ReferenceAssociation of Southeast Asian Nations [ASEAN]. (2008) ASEAN Economic Community Blueprint, ASEAN.Association of Southeast Asian Nations [ASEAN]. (2009) ASEAN Socio-Cultural Community Blueprint, ASEAN.Bowen, M. M., Kontuly T., & Henpner, G. F. (1995). Environmental Auditing – Estimating Maquiladora Hazardous

Waste Generation on the U.S./Mexico Border, Environmental Management, 9(2), 281-296.Funatsu, T., (2013). Pollution and Environmental Administration in Thailand in the 2000s: Analysis of the Map Ta Put


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Environmental Lawsuit in Rayong, Terao, T., (Ed.), The Formation of Environmental Policies in the Process of Economic Development: From the Viewpoint of “Development and the Environment”, the Institute of Development economies, JETRO.

Gallagher, K. P. (2004). Free Trade and the Environment: Mexico, NAFTA, and Beyond, Stanford Law and Politics.Ishido, H., & Ito, K. (2014). Zaiboeki, Ishiguro, I., (Ed), The Economics of East Asian Integration, Nippon Hyoron Sha.Ishikawa, K. (2013). ASEAN kyodotai wa dekirunoka, Ishikawa, K., Shimizu, K., & Sukegawa, N., (Eds.). ASEAN

Keizaikyodotai to nihon – kyodaitougouaijyou no tanjo-, Bunshinsya.Japan Bank for International Cooperation [JBIC]. (2013). Kanbojia no Toushikankyo, JBIC.Japan External Trade Organization [JETRO]. (2010) Taikoku Kogyodanchichosa hokokusyo, JETRO.Japan External Trade Organization [JETRO]. (2013). Data collection of Industrial Zone in Myanmar, JETRO.Kasuga, N. (2014). ASEAN shifutogasusumu nikkeikigyou – toigoukasuru mekonchiiki-, Bunshinsya.Kida, T., & Fujikura, R. (2015). A Chance in Myanmar Induced by the Minimum Wage Policy in Thailand - A Case

Study of Myawaddy Industrial Area- , International Journal of Social Science Study, 3(1), 38-46.Kin, K. (1999). Jiyuboeki to kankyohogo – NAFTA wa choseino moderuni naruka, Fukosya.Perry, D. M., Sanchez, R., Glaze, W. H., & Mazari, M. (1990). Binational Management of Hazardous Waste: The

Maquiladora Industry at the US-Mexico Border, Environmental Management, 14(4), 441-450.Rajaram, T., & Das, A. (2008). Water pollution by industrial effluents in India: Discharge scenarios and case for

participatory ecosystem specific local regulation, Future, 40, 56-69.Sanchez, R. A. (1990). Health and Environmental Risks of the Maquiladora in Mexicali, Natural Resource Journal,

1990 Winter, 163-186.Shimizu, K. (2013). Sekaikeiai to ASEAN no keizaitougou – ASEAN keizaikyoudoutai no tanjo -, shikawa, K., Shimizu,

K., & Sukegawa, N., (Eds.). ASEAN Keizaikyodotai to nihon – kyodaitougouaijyou no tanjo-, Bunshinsya.Sotharith, C. (2011). Industrial Development Policy and Intermediate Goods Trade in Cambodia, Intermediate Goods

Trade in East Asia: Economic Deeping through FTAs/EPAs. Bangkok Research Center IDE-JETRO.Tajima, Y. (2006). Gurobarizumu To Rijonarizumu No Soukatsu-Mekkishiko No Kaihatsu Senryaku-. Kouyou Syobou.Taniura, T. (2000). The industrial development in Mexico: Location, Policy and Industrial Organization, Institute of

Developing Economies.Touma, M. (2010), Maputaputto kogyodanchisyuuhen no sangyouhattenn to kankyouosen ni tuite, Shoho, 34-39,

Japanese Chamber of Commerce, Bangkok.Tsujita, Y. (2005). Development of Controlling Industrial Pollution and Its Problems in India: Reexamining the Role of

the Judiciary, Terao, T., & Otsuka, K., (Eds.), Environmental Policy in a Changing Asia: Industrialization, Democratization, and Globalization, Institute of Developing Economies





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The Impact of Decentralization Policy on the Performance of Colleges of Education in Zambia: The Case of Kitwe,

Mufulira and Copperbelt College of EducationD. Kambilombilo1 & M. K. Banda2

1Mufulira College of Education, P.O Box 40400, Mufulira, Zambia, Central Africa.2School of Graduate Studies, Copperbelt University, P.o Box 21692, Kitwe, Zambia, Central, Africa.Correspondence: Dennis Kambilombilo, Mufulira College of Education, P.O Box 40400, Mufulira, Zambia, Central, Africa.


AbstractThe purpose of this study was to investigate the impact of decentralization on the performance of public Colleges of Education after the introduction of decentralization policy. The study was conducted on three colleges of education, namely; Kitwe College of Education (KICE), Mufulira College of Education (MUCE) and Copperbelt College of Education (CBCE), now Mukuba University. The three selected institutions are all public teacher training institutions located on the Copperbelt Province of Zambia. The sample consisted of thirty (30) respondents, comprising academic staff and administrators. Ten (10) participants were drawn from each college.In order to evaluate the impact of decentralization on the performance of public colleges of Education, the researcher decided to use some performance variables (indicators) of decentralization; quality assurance, efficiency and effectiveness, service delivery, transparency and accountability, responsiveness and staff motivation to guide the study in the investigation of the topic at hand. The methods used to collect data for this study were questionnaires, unstructured interviews and desk research. The research design used for this study was a mixed survey method. Data obtained were analyzed using simple statistics, and the Pearson’s correlation model.The findings of the study were that colleges of educations had failed to take advantage of the decentralization policy as they have continued to depend for instructions and other important things from government. The performance variables showed that nothing significant has taken place in the three sampled public Colleges of Education. Despite this general picture however, the results from individual institution showed significant contrasts among the three institutions sampled on each of the performance indicators. Keywords: Impact, decentralization policy, performance, public colleges of education1. Introduction1.1 Introduction to the ProblemEducational policies depend to a larger extent on the political ideology of the government in power. This is because education is the channel through which government communicates its vision to its citizens. However, these policies are not always determined by individual countries but rather they are a reflection of the external environment or pressures. The 1980s experienced two major revolutions: The political Revolution and the Educational Revolution. During this period there emerged in Europe, Africa, Latin America and Asia political revolutions demanding an end to dictatorship and socialism to be replaced by democracy and free market economy. The disintegration of the Soviet Union in 1991, confirmed the demise of socialism and the triumph of democracy. Therefore, the emergence of democracy gave rise to the demand for more freedoms, human rights, transparency, accountability and privatization. Some authors contended that, this shift occurred partly in response to political pressures for local autonomy, but also to deliver public services more efficiently. The second revolution which took place during this period was in educational thought. Educationalists and Academicians throughout the world started demanding for increased


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participation, access, quality, and efficiency in education. Thus, as a result of these pressures, many developing nations introduced new policies for governance of public education, in pursuit of national goals of economic growth, democratization and equity. 1.1.1 Reasons for Decentralization of the Education System in ZambiaBefore the re-introduction of Multi-Party politics in 1991, the philosophy that guided the education system in Zambia was centred on Humanism. For instance, the education provided during this era did not encourage democratic principles but promoted the values of the ruling party and its guiding philosophy. There was either little or very limited private participation of private sector organizations in the provision of education in Zambia; only the Church or missionaries participated actively in the provision of education. Otherwise, government provided, financed and controlled and maintained the education standards through the Ministry of Education. A policy document entitled, “Principles of Education Boards Government and Management” (August: 2005: 4) summarized the major elements that guided education policy at that time as:

� Equality of educational opportunities for all� Fostering a sense of nationhood and promoting national unity without necessarily promoting educational

uniformity� Serving the needs of national development without frustrating the full development of individual abilities and

satisfactions. This eventually brought about a highly centralized education management system. Nevertheless, with the dwindling economy in the 1970s through to the 1980s, Government found it difficult to mobilize and let alone finance the expanded education sector satisfactorily due to other competing demands. It followed therefore that, the standards in education could not be maintained due to meager resources. Consequently, there was a general slump in the quality of education. This was further compounded by the inefficient and corrupt bureaucratic system of the civil service.On the other hand, the wind of change that swept through Europe, Asia, Africa and America impacted strongly on the political, social and economic land scape of Zambia. First there was change of Government in 1991 from United National Independence Party (UNIP) to the Movement for Multi-Party Democracy (MMD) and Dr. Chiluba became the second president of Zambia. This meant a paradigm shift from socialism to democracy and a Free Market Economy system. As such, it became imperative to repeal the old and conservative socialist policies that guided the education system and replace them with policies that would champion the new political dispensation. To this effect four major educational policies were launched between 1991 and 2002. These include: Focus on Learning which was launched in 1992, the National Educational Policy on education, ‘Educating Our Future’, launched in 1996 and the ‘National Decentralization Policy’, launched in 2002. ‘Focus on Learning’ emphasized issues of resource mobilization to support education provision whereas ‘Educating Our Future’ addressed issues related to democratization, decentralization and productivity on one hand and curriculum relevance and diversification, efficient and cost-effective management, capacity building, cost sharing, revitalized partnerships, equity and quality of education on the other hand (Educating Our Future, 1996; Principles of Boards, 2002). Like in the other countries that had already implemented the decentralization policy, education decentralization policy in Zambia was meant to:

� Grant legal and financial powers over education to local units. � Entrust local units with administrative responsibility and discretion to plan and implement programmes and

projects or to adjust central directives to local conditions, within guidelines set by ministry headquarters � Transfer managerial responsibility for specifically defined education functions to organizations that are

outside the regular bureaucratic structure of the education system and that are only indirectly controlled by the Ministry of Education

� Make Government divesting itself of some responsibility for ownership, power and control over education and the transfer of these to voluntary organizations or private enterprises. (Educating Our Future, 1996; Principles of Education Boards, 2002)

1.1.2 The Research ProblemThe Government of the Republic of Zambia launched the Decentralization Policy in the Ministry of Education in 2002 with the view to improving performance in public education institutions in terms of equity, access, and increased community participation, improved service delivery and quality. To achieve this, the Ministry of Education devolved some powers to management at local units: colleges, high and basic schools to make decisions in areas such as local resource mobilization, student recruitment, and procurement. Makwaya (2005) argued that in practice, decentralization at college level implied establishing board committees to exercise authority and carry out


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responsibilities within the board’s jurisdiction.Now it is over a decade since the decentralization policy was launched in the Ministry of Education and no study has ever been conducted to investigate the performance of Public Colleges of Education in order ascertain whether the benefits of decentralization policy are being realized. Therefore, this study, being the first to be conducted, when successfully completed, will first and foremost add to the body of knowledge on decentralization in public Colleges of Education in Zambia..1.1.3 Scope of the Study The study was conducted on the Copperbelt province of Zambia. It was conducted at three public Colleges of Education. These include CBCE, KICE and MUCE. CBCE trains secondary school teachers; KICE trains primary school teachers while MUCE trains junior secondary school teachers. CBCE and KICE are located in Kitwe town while MUCE is situated in Mufulira town of the Copperbelt province. The study was carried out on thirty members of staff; ten in each college.1.1.4 Importance of the ProblemThis study is the first of its kind and when successfully completed will first and foremost add to the body of knowledge on decentralization in public Colleges of Education in Zambia. In particular, this study will enable stake holders to understand and appreciate the challenges of decentralization in the Ministry of Education especially in Colleges of Education. Consequently, the study will assist policy makers to develop new ways of implementing and enhancing decentralization policy in the education sector, and particularly in colleges of education in Zambia 1.1.5 Organization of the rest of the document This study is divided into six chapters. Chapter one discusses general background to the study, hence illuminating on research problem, research questions, objectives, limitations and justification of the study including literature review. It includes literature from Latin America, Europe, Asia and Africa. Most, if not all the literature consulted is from developing countries. Chapter two is about the Conceptual and Theoretical frame work. It highlights on the research design, research choice, data collection methods, sampling techniques and data analysis. Chapter three is about research method, while chapter four is research findings whereas chapter five is about discussion of research findings. Chapter six is about conclusions and recommendations. 1.2 Relevant Scholarship1.2.1 IntroductionThe aim of this section of the chapter was to review the literature concerning Educational Decentralization in public colleges of education. In order to have a clear understanding of Educational Decentralization, the researcher decided to sample some important studies around the world. In this regard, various definitions of decentralization were examined. This enabled the researcher to appreciate the process of decentralization, particularly, decentralization in the Education sector in Zambia. Besides this, the researcher also conducted an exploration on various theories of decentralization and how it has worked in countries where it has been implemented. This assisted the researcher to develop a conceptual/theoretical framework for this study. 1.2.2 Some definitions of DecentralizationThere are four main types of decentralization, namely; Deconcentration, Delegation, Devolution and Privatization. Deconcentration is the transfer of responsibilities to lower levels, with limited decision- making powers, within ministries or organs of the central government. Delegation on the other hand is the administrative or legal transfer of responsibilities to elected or appointed school governing bodies such as school councils, and school management committees whereas devolution refers to the permanent transfer of decision – making responsibilities in education from the central government to lower levels of government such as provinces, and districts (Weidman J. C and Delpietro- Jurand R; Di Gropello, 1999). Therefore, from the foregoing definition, it can be noted that we cannot easily tell what type of decentralization a country is pursuing unless we understand the implementation process. To this effect, Karstanje (1991) viewed decentralization as an attempt to maximize effectiveness and efficiency by shortening the distance between the parts of an organization and shifting the risks to a lower level. In a similar manner, (Cheema, Nellis and Rondinelli, 1983; and Anon, 2003) defined decentralization as:

“The transfer of responsibilities for planning, management and resource acquisition and provision from the central government and its organs to field units of central government ministries or bodies, subordinate units or levels of government, semi-autonomous public authorities, nongovernmental, private or community based organizations.”Thus, from the sampled definitions, we observe that decentralization contain elements of each or all the four forms of


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decentralization mentioned above. Having looked at the general definition of decentralization, it’s necessary that we narrow down our discussion to Educational Decentralization, the topic of our study. Like decentralization above, Educational Decentralization has been described or defined in different ways by different scholars. Naidoo (2003) for instance, defined Educational Decentralization as a means to establish institutional legitimacy by redistributing power and giving local communities a greater management role and voice. Therefore, we note that the main idea behind educational decentralization is to entrust local units with some powers to take responsibility in the running of education. Admittedly, it’s incumbent upon, each government to choose a form of decentralization which will be suitable and yield the desired and beneficial results for its nationals. This is the reason why the impact of decentralization is felt differently by each country implementing it. This is because governments decide how decentralization should be implemented, who should implement it and when it should be implemented. However, regardless the manner in which decentralization is implemented; proponents of educational decentralization have argued strongly about its benefits.1.3 Benefits of DecentralizationThe benefits of Educational Decentralization are many. Apart from reducing the gap between the central government and local units, the proponents of Educational Decentralization argue that, if well implemented, educationaldecentralization will result into efficiency and effectiveness in the provision of educational services, reduced bureaucratic tendencies thereby leading to the flourishing of transparency and accountability. Asghar (2005), a supporter of Educational Decentralization argued that, the process of decentralization in education will considerably improve transparency, administrative efficiency, parental participation, financial management, the quality and accessibility of services and the development of political responsibility in general. Thus, these and many other benefits will accrue to the education system if the decentralization reforms are well handled. In this respect therefore, it’s the responsibility of the government implementing Educational Decentralization reforms to decide how to achieve these benefits by implementing one of the four types of decentralization policies or a combination of them.1.4 Theories underlying Educational Decentralization The theory underlying Educational Decentralization is that of improved performance of public institutions by granting local organs of the Ministry of Education powers to run education institutions with less or no interference from the central government.Ironically, the rationale behind decentralizing education is based on breaking the information barrier caused by political, geographical, and cultural distance between centralized governments and communities. Ornelas, Galiani and Schardgrodsky (2002), contended that local governments are better prepared than a distant central government to respond to local education issues, such as curriculum development, teacher training, and school management. Moreover, teachers and school administrators may be more responsive to problems if they are accountable to parents within the community, which may reduce immediate conflicts. In a nutshell, the proponents of educational decentralization assume that, shifting authority and management responsibilities to local levels will enhance the quality of education, improve effectiveness and efficient use of resources, and increase responsiveness of public education to local needs, teacher and school level professional autonomy. Dyer (2005), observed that, successful implementation depends on strengthening the capacity of local units and the capacity of central governments to facilitate and support decentralization. 1.5 Experiences on Educational Decentralization1.5.1 Experiences from South America (Latin America) One of the studies consulted was Emanuel di Gropello (1999) entitled Education Decentralization and Accountability Relationships in Latin America.In his study, Di Gropello looked at a broader view of education decentralization in Latin America. Di Gropello stated that decentralization in Latin took three forms, namely; Sub-national government model, Sub-national shared responsibility model and School Autonomization model. Di Gropello argued that, in Sub-national government model emphasis was placed on an immediate political actor at the centre of the decentralization process. Some countries that utilized this model included Argentina and Brazil. On the other hand, the Sub- National shared model encouraged municipalization process of service delivery complimented by regions or departments. This model was prevalent in Colombia and Bolivia. Finally, the School Autonomization model emerged from the idea of school management model and emphasized school autonomy and more community participation in the education provision and delivery. This model was pursued in Nicaragua and El Salvador in Central America. Merchelli (2001) acknowledges that, “There are


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many mechanisms to decentralize and privatize education and they may have different impacts on equity, quality and efficiency. Indeed, their mixed effects may depend on the way policies have been designed and implemented in a specific socio-economic and cultural context.” In this regard, we find that in Mexico, Argentina and Colombia, the Ministries of Education retained centralized authority over national policy, curriculum frameworks, academic evaluation, and specialized training. Abisamra (2003) also observed that, educational decentralization in Mexico was motivated by two factors: strengthening policy control at the national level and federalism in education in order to improve thequality and equity of education. Apart from that, Abisamra concluded that the Mexican educational decentralization was more of cooperation and coordination between the states and the federal government In general however, despite numerous efforts at decentralizing the education system in Latin America, not much headway has been recorded due to various factors ranging from, economic, social, political and geographical. Di Gropello (2003) described the decentralization of education in the countries as limited in the level of participation of the final user and, therefore, had a small impact on achievement. 1.5.2 Experiences from Asia

Asia provided an interesting study area as most countries were communist states where the collective takes precedence over the individual. In these countries, governments took a centralized approach with central governments developing, designing, and executing policies for school finance, curriculum, assessment, and teacher preparation. For instance, a study on decentralization policy of the education system in Pakistan revealed that, decentralization in Pakistan had taken the form of devolution. Naidoo (2000) observed that, the Ministry of Education, in Pakistan undertook educational devolution reforms to address access, equity, and quality. In this way, the Pakistan decentralization of the education system followed the Sub-national government model in that, the government played a significant part in the education sector while at the same time, recognizing the important role of the private sector or other stake holders. In the same vein, China also adopted devolution in its implementation of educational decentralization in the education sector. For instance, the Chinese government issued a document in 1985 which specifically decreed that, “the power for administration of elementary education belongs to local authorities (State Education Commission, 1985).1.5.3 Experiences from some African countriesIn order to have an insight of educational decentralization in Africa, the researcher looked at the decentralization drive in Egypt and South Africa. A study by Nasser-Ghodsi (2006) on educational decentralization in Egypt observed that, the main objectives of the Egyptian decentralization effort were centred on: increased access for female education, improved education quality, and open public participation to education issues. In order to realize these objectives, the Ministry of Education passed a decree in 1997announcing the establishment of Parent-Teacher Councils to facilitate the collaboration of school administrators and parents. Coster (2005) contended that, parent-Teacher Councils officially had the responsibility to work with school administrators to address local concerns, improve communication between parents and teachers, and evaluate schools on their cleanliness, equipment, and teaching quality. In addition, the Government through the Ministry of Education passed a Ministerial Decree concerning the establishment of Boards of Trustees, Parents, and Teachers (BoTTPT) across the country, as an effort to nationally decentralize education system.In case of the South African education decentralization drive, the researcher noted that educational decentralization began seriously after independence in 1994. A study of Educational Decentralization in South Africa revealed that, in the eight years since 1994, there had been a profound restructuring of the South African education system, including a significant element of decentralization. (Naidoo: 2003). Therefore, the restructuring process that the South African Government undertook since 1994, while keeping considerable powers with the national government, had decentralized significant powers to the provincial governments within the context of South Africa’s model of co –operativegovernance. Through the decentralization efforts of the education system, funding to both government and private schools both within and across provinces improved significantly. The South African educational decentralization reforms took the form of devolution. 1.5.4 Experience from ZambiaLike other African countries as seen already, Zambia’s Educational Decentralization drive was propelled by economic, social and political factors. For example, in the 1980s there was a sharp decline in the Zambian economy which culminated in political discontent with the then UNIP government. The people of Zambia started demanding for a change in the political dispensation of the country: The change from One Party dictatorship system to multi-party politics. This demand was fueled up by the deterioration in social services such as schools, water, housing and health services. Worse still, the decline in the education standards and the subsequent ineffective and corrupt civil service led to the introduction of decentralization policy in education.


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From the outset, the design of educational decentralization in Zambia was such that, it was meant to devolve some of powers or duties of the ministry headquarters to local units such as provincial education offices, district education offices and schools. Although provincial and district offices had some powers, these were insignificant and most often were over shadowed by the bureaucratic nature of the Ministry of Education. Thus, to enhance the development of a new decentralization policy, the Ministry of Education invariably demanded the realignment of the existing management structure with the decentralization of operations in mind, to create a close fit between structure, strategy and policy. With this vision therefore, the path of educational decentralization in Zambia was set devolving power, authority and the relevant functions from national and provincial headquarters to the districts, colleges and schools. Nonetheless, within the decentralized system, the Ministry headquarters retained responsibility for key national functions such as: Making legislation, policy formation, planning, resource mobilization and allocation, developing a national curriculum, setting standards and evaluation, collecting and analyzing data and providing effective mechanisms for accountability at different levels (National Report on Zambia, 2000). 1.6 Hypotheses

� OH : Educational decentralization of public Colleges of Education has not resulted into improved performance of these institutions.

� :aH Education decentralization of public Colleges of Education has resulted into improved performance of these institutions

Figure 1.1 is an illustration of how decentralization process gives way or results into improved performance. The figure demonstrates that improved performance of public colleges is dependent on the eight performance variables which in turn depend on each other. Therefore, a faulty in one of these variables, will affect one or more of these variables andtherefore the general performance. Thus, as we discuss the performance of the sampled colleges of education, we expect this kind of relations.1.7 Operationalization of the hypothesisIn order to test the hypothesis above, the following variables (indicators) will be used to measure the performance of sampled colleges of education.

� Service Delivery � Quality Assurance � Transparency & Accountability � Responsiveness � Efficiency & Effectiveness � Communication � Continuous professional Development � Staff Motivation � Staff recruitment

.

Figure 1.1 Conceptual Framework of the StudySource: Researcher


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2. Research Design2.1 IntroductionThe purpose of this chapter was to highlight the suitable methodologies to gather and analyze the data. In this study, the instruments used were questionnaires and unstructured interviews.2.2 Interviews (unstructured) with members of staff from which college were conducted2.3 Questionnaires were administered to the sampled population2.4 The target populationThis study was conducted at three teacher training Government or Public colleges, namely; CBCE (For senior secondary school teachers), KICE (For primary school teachers) and MUCE (For junior secondary school teachers).The target group comprised members of the academic, non-academic staff and the administration. The study focused on thirty (30) people. That is ten (10) participants from each institution. Table 2.1 below shows this data.Table 2.1 People to include in the study

Type of people Number per college TotalsAdministration (Principal) 1 3Academic 8 24Librarian 1 3

The target group either had prior knowledge about education decentralization in Zambia or had no knowledge at all. Simple random sampling method was used in selecting the sample. 3. Method3.1 IntroductionThis chapter comprised four sub-titles; namely research questions, research design, sampling techniques and data analysis plan. Each of these sub-titles will be explained further.3.2 Research Questions 3.2.1. What has been the impact on performance of the introduction of the decentralization policy in public colleges of education?3.2.2 Are there significant differences on the performance among the three sampled institutions?3.2.3 How has been the role of the Government (Ministry of Education) in the three institutions since the decentralization reforms? 3.3 Research Design3.3.1 Population

� Three (3) principals/Vice principals, one from each of three institutions� Three (3) librarians, one from each institutions� Twenty-four (24) randomly selected academic staff, eight (8) from each institution. The sample was randomly

chosen using the factors of gender, length of service and the number of years one served at the college3.3.2 Research Choice: Multi-method3.3.3 Data Collection

� Exploratory/Survey (Individual interviews and structured questionnaires)� Desk research involving getting data from books, journals, Government reports or documents and the Internet

sources)3.3.4 Time Horizon: Cross sectional3.3.5 Strategy: Survey3.4 Sampling TechniquesNo sampling will be used for the following:3.4.1 Principals, because there is only one (1) principal for each institution 3.4.2 Librarians, because there is only one (1) librarian for each institution


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However, for the academic staff, due to a fair and valid population in each institution, non-probabilistic sampling method will be used and a purposive sampling technique will be used to select the eight (8) academic staff from each institution.3.5 Data Analysis PlanData collected will be analyzed using the computer based statistical package of social sciences (SPSS). Data will be analyzed and summarized quantitatively by way of descriptive statistics and Spearman’s correlation model.4. Results4.1 IntroductionThe purpose of this study was to investigate the performance of public colleges of education after the introduction of decentralization reforms. This chapter therefore unfolds the main findings of the study in relation to the performance variables or indicators stated earlier on. In order to investigate the issue at hand, the study addressed the following research questions:

� What has been the impact on performance of the introduction of the decentralization policy in public colleges of education?

� Are there significant differences on the performance among the three sampled institutions? � How has been the role of the Government (Ministry of Education) in the three institutions since the

decentralization reforms?Question 1From the results obtained and using the performance indicators chosen, the study showed that the performance of the sampled public institutions has not improved very much after the introduction of decentralization reforms. For instance, the performance indicators, service delivery, transparency and accountability, responsiveness, efficiency and effectiveness, communication and staff motivation demonstrated that the performance of these institutions was either average or below average. That is 50% or more of the 30 respondents clearly submitted that the performance of the three colleges was just average. Despite what has been alluded to above, the performance of the three colleges on the performance indicators, quality assurance and continuous professional development was above average. Table1below shows a detailed analysis of the participants’ responses to question 1.Table 1 Respondents response on the performance of the institutions after decentralization

Table 2 below aims at highlighting how strong the different performance indicators correlate with each other and how this result in a chain reaction on other performance variables and eventually impact on the performance of colleges of education. Since all the performance indicators used in the study correlate with each other positively, the researchdecided to focus attention on the correlations between 0.9 and 1.0 in the follow up discussion. This is because, 0.9 and 1.0 show a strong positive correlation. For instance, the performance variable service delivery, demonstrated a strong positive correlation (0.921) with the performance variable, communication and less correlation (0.699) with the performance variable, transparency and accountability. This means that, for improved service delivery, the institutions need to communicate more with the customers, itself (within the institution) and other stakeholders. On the other hand, the performance variable quality assurance showed strong positive correlation (0.997) with the variables continuous professional development (0.964) and with staff motivation respectively. However, the performance indicator quality assurance, portrayed a weak positive correlation (0.590) with the performance variable transparency and accountability; implying that institutions need to invest more in staff professional development or in other words, institutions need to employ well qualified academic staff. In addition, the staff must be properly enumerated and well looked after in order for them to put in their best. Furthermore, the performance indicator transparency and accountability showed strong correlation with performance variables responsiveness (0.963), efficiency and effectiveness (0.961) and communication (0.916). This entails for instance that, for the colleges to be transparent and accountable for whatever goes on in the


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college, administrators must communicate issues pertaining to college welfare in an efficient and effective manner to all stakeholders. Above all this, administrators and college staff must take responsibility for their decisions and activities undertaken by the colleges. Further still, table 2 demonstrated significant positive correlation between the performance indicator responsiveness to the performance indicators transparency and accountability (0.963), efficiency and effectiveness (0.987) and communication (0.989). This is very true because to be responsive in their day to day activities, the colleges must be transparent and accountable. For this to happen, the colleges must develop an efficient and effective channel of communication. In a similar way, the results from table 2 also established that the performance indicator continuous professional development is correlated more positively with quality assurance (0.997) and staff motivation (0.970). This is self-explanatory in the sense that, providing further academic qualifications to employees will result in a motivated staff that will be willing to provide quality education or training. In this way, customers (students) and other stakeholders will be assured of the quality of training. This eventually, will attract more customers to the institutions. Finally, the performance indicator staff motivation, demonstrated strong positive correlation with the performance variables quality assurance (0.964) and continuous professional development (0.970). As stated above, a motivated staff is an asset as it will be able to assure prospective customers (students) of the quality of products. However, quality of training or services will not come about without good and effective education of the trainers. Some authors observed that, one of the potential benefits of decentralization is increased accountability to the citizen/beneficiary, resulting in improved efficiency in the use of school resources. The improved efficiency results from two effects. One of the effects is the better match between service provided and the preferences of citizens. The other effect is increased output relative to resources or expenditures.

Therefore, from the above discussion, it can be acknowledged that the results in table 2 are extremely significant to this study; one because they assisted the researcher to appreciate the knowledge level of the respondents. That is, the researcher was able to tell whether the respondents understood the question(s) they answered with the help of table 2. For instance, if a respondent viewed college performance indicator, service delivery as low or average, s/he should also realize that even the performance variable, communication should also score a lower value because the two complement or are related to each other. Thus, as we analyzed the responses from table 1 and table 2, we noted the following: To begin with, the low performance of colleges on the variable service delivery as indicated in table 1 meant that even the performance on the variable communication should also be low. This is clearly demonstrated in table 1 where 12 respondents rated the performance of colleges on the performance indicator, service delivery as average and 17 rated performances of colleges on the performance indicator, communication the same away. Thus, the low performance of colleges on the performance indicator, communication, entails that even performances on indicators, transparency and accountability, responsiveness and efficiency and effectiveness would reflect a similar scenario because of the strong correlation with the variable communication. Indeed, the results in Table 1, clearly confirmed this. For instance, 14 respondents rated the performance of colleges on the variable transparency and accountability as average, 15 respondents rated the performance of colleges on the indicator responsiveness, as average while 18 respondents rated the performance of colleges on the variable efficiency and effectiveness as average. Finally, table 1 indicated that 15 respondents rated the performance of the colleges on the variable quality assurance as average. This in turn implied that even variables continuous professional development and staff motivation were affected in the same manner as can be seen in table 1. In fact Makwaya’s study on the performance of Education Boards at Mufulira and Chalimbana colleges of education concluded that: expected outcomes such as transparency, accountability and sense of ownership had not begun to show to any significant extent. Having established in general that, decentralization reforms in education has not impacted significantly on the three selected colleges, the researcher then decided to investigate the impact of decentralization on each of the tree colleges in order to ascertain variations in terms of performance. Table 3 was used to investigate this fact.Table 2 Correlation of the performance indicators

How do you

rate your

institution

performance

on service

delivery?

How do

you rate

your

institution

performanc

e on

quality

assurance?

How do you

rate your

institution

performance

on

transparency

&

accountability

?

How do you

rate your

institution

performance

on

responsiveness?

How do you

rate your

institution

performance

on efficiency

&

effectiveness

?

How do you

rate your

institution

performance

on

communicatio

n?

How do you

rate your

institution

Performance on

continuous

professional

development?

How do you

rate your

institution

performance

on staff

motivation?

How do you rate your

institution

Pearson Corr

Sig (2 tailed).

1 0.854

0.146

0.699

0.301

0.853

0.147

0.864

0.136

*921.00.079

0.811

0.189

0.784

0.216


96

performance on

service delivery?

N 4 4 4 4 4 4 4 4


institution

performance on

quality assurance?

Pearson Corr

Sig (2 tailed).

N

0.854

0.146

4

1

4

0.590

0.410

4

0.774

0.226

4

0.700

0.300

4

0.824

0.176

4

**997.0.003

4

*964.0.036

4


institution

performance on

transparency &

accountability?

Pearson Corr

Sig (2 tailed).

N

0.699

0.301

4

0.590

0.410

4

1

4

*963.00.037

4

*961.00.039

4

*916.00.084

4

0.568

0.432

4

0.724

0.276

4


institution

performance on

responsiveness?

Pearson Corr

Sig (2 tailed).

N

0.853

0.147

4

0.774

0.226

4

*963.00.037

4

1

4

*987.00.013

4

*989.00.011

4

0.749

0.251

4

0.851

0.149

4


institution

performance on

efficiency &

effectiveness?

Pearson Corr

Sig (2 tailed).

N

0.864

0.136

4

0.700

0.300

4

*961.00.039

4

*987.00.013

4

1

4

*981.00.019

4

0.664

0.336

4

0.765

.0235

4


institution

performance on

communication?

Pearson Corr

Sig (2 tailed).

N

*921.00.079

4

0.824

0.176

4

*916.00.084

4

*989.00.011

4

*981.00.019

4

1

4

0.794

0.206

4

0.861

0.139

4


institution

performance on

continuous

professional

development?

Pearson Corr

Sig (2 tailed).

N

0.811

0.189

4

**997.00.003

4

0.568

0.432

4

0.749

0.251

4

0.664

0.336

4

0.794

0.206

4

1

4

*970.00.030

4


institution

performance on staff

motivation?

Pearson Corr

Sig (2 tailed).

N

0.784

0.216

4

*964.00.036

4

0.724

0.276

4

0.851

0.149

4

0.765

0.235

4

0.861

0.139

4

*970.00.030

4

1

4

* Correlation is significant at the 0.05 level (2-tailed). ** Correlation is significant at the 0.01 level (2-tailed) Question 2The objective of this question was to find out how decentralization reforms have impacted on each of the sampled colleges of education. This was very cardinal as question one was only aimed at investigating the impact of decentralization on colleges in general. This however did not highlight or demarcate how decentralization reforms impacted on individual colleges. This being the case therefore, analysis of responses from question 2 would provide an insight on the performance of each college of education. This would further guide the researcher to make informed judgments on how decentralization reforms have impacted on the performance of colleges. To answer question 2, the researcher used table 3 below.Table 3. Respondents responses on the performance of individual institutions after Decentralization reforms

PERFORMANCE INDICATORS (PI) OR VARIABLES

RESPONSE TYPECBCE KICE MUCE

Very High

High Average Below Average

Very High


Very High


Service Delivery 1 3 6 3 1 6 3 3 4Quality Assurance 1 4 5 1 3 6 1 3 6Transparency& Accountability

1 5 4 2 2 4 2 1 3 5 1

Responsiveness 1 1 5 3 2 2 4 2 1 3 6


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Efficiency & Effectiveness

1 6 3 2 2 5 1 1 2 7

Communication 1 8 1 2 3 4 1 1 3 5 1Continuous Professional Development (CPD)

1 2 5 2 2 5 2 1 2 3 4 1

Staff Motivation 1 3 4 2 1 4 4 1 1 3 5 1Question 3This question was answered using data in tables 4, 5 and 6. The question was cardinal to the study because it helped to place the way public institutions are performing in perspective. That is, to understand whether the way public colleges are performing in the new era of decentralization could be attributed to Government’s role or not. Government’s role as used in this study implies Government influence or control in the operations of the colleges. In table 5 below, the indicators quality assurance, responsiveness and transparency and accountability, demonstrated that Government’s role was almost the same in the three colleges. For instance, respondents from CBCE rated government’s role in quality assurance as follows: I for high, 7 for average and 2 as below average. In case of KICE, 1 respondent rated it high, 7 indicated average and 2 said below average. For MUCE, 1respondent rated government’s role as high, 6 said it was average while 3 indicated below average. Nevertheless, responses on indicators efficiency and effectiveness, student enrolment and staff recruitment showed varied results. Results from CBCE respondents clearly show that government’s role is insignificant on these indicators. To the contrary, results from respondents from KICE show that of the three indicators, government’s role was felt more in student enrolment and staff recruitment and to a less extent on efficiency and effectiveness. On the other hand, results from MUCE indicated that government’s role was felt more on the indicators student recruitment and efficiency and effectiveness.Thus, the picture portrayed from the analysis seem to suggest that the average performance observed in the analysis of questions 1 and 2 cannot be attributed to Government’s role in these institutions, rather, the average performance of these institutions may be the influence from other factors such as internal factors which the study will investigate.

Table 5 Government role in individual institution after Decentralization reformsPerformance Indicators (Pi) Or Variables

RESPONSE TYPECBCE KICE MUCE

Very High


Very High


Very High


Quality Assurance 1 7 2 1 7 2 1 6 3Responsiveness 6 4 2 8 1 7 2Transparency&Accountability

1 6 3 1 6 3 1 8 1

Efficiency & Effectiveness

1 5 4 3 4 3 3 3 4

Student Enrolment 7 3 6 4 3 7Staff Recruitment 2 8 5 3 2 1 6 2

Nevertheless, to be certain about the results just discussed, a further analysis was performed, the correlation analysis, on the raw data in tables 4 and 5 and the results are presented in table 6. Table 6. Correlations of the Performance Variables

What can you say about government support to your institution in the area of quality assurance?

What can you say about government support to your institution in the area of responsiveness?

What can you say about government support to your institution in the areaof transparency and accountability?

What can you say about government support to your institution in the area of efficiency & effectiveness

What can you say about government support to your institution in the area of student enrolment?

What can you say about government support to your institution in the area of staff recruitment?


98

What can you say about government support to your institution in the area of quality assurance?

Pearson CorrSig (2 tailed)N

1

4

*974.00.026

4

*944.00.056

4

0.7360.264

4

0.8010.199

4

0.3680.632

4

What can you say about government support to your institution in the area of responsiveness?


*974.00.026

4

1

4

**991.00.009

4

0.7320.268

4

0.8980.102

4

0.2310.769

4

What can you say about government support to your institution in the area of transparency and accountability?


*944.00.056

4

**991.00.009

4

1

4

0.7740.226

4

*948.00.052

4

0.2310.769

4

What can you say about government support to your institution in the area of efficiency & effectiveness


0.7360.264

4

0.7320.268

4

0.7740.226

4

1

4

0.8220.178

4

0.7300.270

4

What can you say about government support to your institution in the area of student enrolment?


0.8010.199

4

0.8980.102

4

*948.00.052

4

0.8220.178

4

1

4

0.2160.784

4

What can you say about government support to your institution in the area of staff recruitment?


0.3680.632

4

0.2310.769

4

0.2310.769

4

0.7300.270

4

0.2160.784

4

1

4

* Correlation is significant at the 0.05 level (2-tailed). ** Correlation is significant at the 0.01 level (2-tailed). To start with, the results from table 6 demonstrated clearly that the performance indicators, staff recruitment and efficiency and effectiveness have weak positive correlation ratios with the other four performance indicators. For example, table 6 shows that the correlation between the performance indicator, efficiency and effectiveness and quality assurance is 0.736 and the � value of 0.264 at the level of significance of 0.05. Similarly, the correlation of 0.730 was recorded between the performance indicator efficiency and effective and staff recruitment, representing a � value of 0.270. Apart from this, data from table 6 also indicate that the performance indicator, staff recruitment had no relation or had very weak positive correlation ratio with the other variables. For instance, table 6 demonstrated that the correlation between the performance indicators staff recruitment and student enrolment was 0.216 and � value of 0.784 at the level of significance of 0.05. Similarly, the Pearson correlation between staff recruitment and either responsiveness or transparency and accountability, was 0.231and � value of 0.769 at 0.05significance level. In fact the results in table 6 shows that the higher the � value the lower the correlation between variables hence less association. Therefore, from the fore-going discussion, it can be observed that Government has little or no significant role to play when it comes to ensuring efficiency and effectiveness as well as staff recruitment in colleges of education. Nevertheless, table 6 demonstrated significant correlation between performance indicators quality assurance, responsiveness, student enrolment and transparency and accountability. For instance, the performance indicator quality assurance demonstrated strong positive correlation (0.974; at 0.05 significance level) with the variable responsiveness and a correction of (0.944; at 0.05 significance level) with the variable transparency and accountability. Similarly, the performance indicator, responsiveness also showed strong positive correlation (0.991; at 0.001significance level) with the variable transparency


99

and accountability and � value of 0.009. Finally, the performance indicator transparency and accountability showed strong positive association or correlation (0.948; at 0.05 significance level) with the variable student enrolment and �value of 0.052. Now the results from table 4 clearly show that, Government influence in the areas of responsiveness, quality assurance and transparency and accountability is very minimal, if not insignificant. For instance, from table 4, 97% (29) respondents felt that Government’s role in the issues of quality assurance in public colleges of education had drastically reduced. In other words, colleges of education have more say in quality assurance issues than it was before the introduction of decentralization reforms.5. Discussion5.1 IntroductionThe study was conducted to establish the performance of public colleges of education since the launch of the decentralization policy in the education system. The study was guided by three research questions:

� What has been the impact on performance of the introduction of the decentralization policy in public colleges of education?

� Are there significant differences on the performance among the three sampled institutions?� How has been the role of the Government (Ministry of Education) in the three institutions since the

decentralization reforms? In answering the questions above, the study was guided by the following performance variables: Service delivery, quality assurance, transparency and accountability, responsiveness, efficiency and effectiveness, communication, continuous professional development and staff recruitment. These performance indicators or variables were selected because they are the main reasons or results of implementing decentralization policies. Asghar (2005), outlined the benefits of educational decentralization as considerable improvement in transparency, administrative efficiency, parental participation, financial management, the quality and accessibility of services and the development of political responsibility in general. Thus, the discussions that follow will illuminate on the findings of the research in Zambia. 5.2 Discussion of the Performance Variables 5.2.1 Service DeliveryImproved service delivery is one of results of decentralization reforms. However, for the three sampled colleges of education, the study has found that service delivery was still at its infancy. This implies that, service delivery in the three colleges is still low. Since service delivery entails, by our definition, the manner in which colleges are delivering the teaching or the programmes to the clients, it means that there is a general dissatisfaction by students, parents and guardians and other stakeholders in the manner colleges are conducting the teaching and more so how programmes are being organized. Table 1 for instance, shows that 16 respondents out of 30 rated the performance of the three colleges on the variable service delivery as average, representing 53%. Nevertheless, as individual institutions, MUCE seems to be doing better than CBCE and KICE as demonstrated in table 3. Respondents rated the performance of the three colleges in this manner because of the following reasons:

� The number of students has increased in colleges while classroom space has remained constant resulting in large or overcrowded classrooms. Consequently, teaching such classes has become a challenge. This has eventually resulted in poor service delivery of the teaching and learning in the three colleges. Nonetheless, the extent to which service delivery is affected differs from college to college. This is why colleges such as MUCE have gone a mile ahead of others by constructing some classroom blocks in order to alleviate or reduce the mentioned problem. Apart from having overcrowded classrooms, lecturers are also over stretched because of packed time-tables. In other words, lecturers rarely have space to research because they are always teaching. Ultimately, because lecturers are over worked, lesson delivery is negatively affected as well.

5.2.2 Quality AssuranceQuality assurance is another very important component of educational decentralization policy in Zambia. From the earlier discussions in the study, it was shown that quality assurance is positively and strongly correlated with staff motivation and continuous professional development. On the other hand, it is less positively correlated with responsiveness and transparency and accountability. Generally data indicated that in the three colleges of education, there have been a lot of efforts targeted at quality assurance. This is being achieved through involving external organizations or institutions in teaching and assessment issues. For instance, the three institutions have or are working in association with the University of Zambia (UNZA) where UNZA is providing guidance in terms assessment issues. Furthermore, CBCE and Copperbelt University (CBU) signed a memorandum of understanding where they promised to work together in matters related to general education and quality assurance issues. Apart from this, there is a lot internal


100

effort being made (through CPD activities) to improve the quality of teaching practices by the lecturers and the product (students) graduating from these colleges. While these are recognizable efforts being undertaken by colleges to ensure quality issues in institutions of learning, very little is being done by college managements and boards to provide incentives for lecturers and other staff. For instance, there is no deliberate policy in the colleges to support lecturers pursuing further studies such that, when the lecturers graduate, they rarely stay on. In the same vein, College Boards and College Managements hardly provide monitory and other important incentives to members of staff. In this way, it becomes difficulty to attract qualified staff to work in the colleges. Some authors have argued that, decentralization has the potential to improve service delivery and education quality. From the fore-going discussion, the study has discovered that the three colleges have recognized the importance of quality assurance and therefore efforts are being made in the area of CPD. However, the colleges have no written policy regarding staff development. 5.2.3 Transparency and AccountabilityTransparency and accountability was defined earlier on as the openness of the management in each of the three colleges to accept criticisms. The question being asked is “Do managers in the three colleges listen, for example, to customers’ complaints and act on their concerns?” So, the management style exhibited in each of the colleges determines how flexible or rigid the college management will be. Thus, if we look at data in tables 1 and 3, it’s very clear that the picturebeing portrayed for the three colleges is very gloomy. This is to say that, the three institutions have not performed very well on the performance variable, transparency and accountability. Data in table 1 showed that, the three colleges were operating at below 50%. This means that, college administration and/or the College Boards are not as transparent as they are expected to be. Now, since we know from table 2 that, transparency and accountability have strong and positive correlation with responsiveness, efficiency and effectiveness and communication, we can also argue that the three sampled colleges of education do not communicate efficiently and effectively with students, guardians, themselves and other stakeholders. Table 3 clearly demonstrated that, in terms of individual performance, the least performance on the variable transparency and accountability was recorded by CBCE. For example, out of 10 respondents, 9 rated the performance of the college on transparency and accountability as either average or below average, representing 90% while the remaining 10% rated the performance as above average. To the contrary, 6 respondents each from KICE and MUCE rated the performance of their colleges on this variable as average or below average whereas 40% rated the performance as above average. Makwaya (2004) argued that expected outcomes such as transparency, accountability and sense of ownership had not started to show any significant extent.5.2.4 ResponsivenessIn this study, responsiveness has been defined as the readiness or willingness of college administrators to be accountable (answerable) for their decisions. The results from the research show that, of the three colleges, only MUCE seems to be more responsive in its day-to-day operations. But even then, the overall picture is not impressive. This shows lack of initiative by college administrators at CBCE and KICE to take advantage of decentralization and become more creative and enterprising. Instead they are still waiting to get instructions from the ministry headquarters and hence running away from responsibility when things go wrong in their institutions. In fact, in these colleges, the board members and the college management do not work together and because of that it becomes very difficult to be part of certain decisions. Bowasi (2007) observed that, some of the board members were not free to answer questions as they did not want to contradict their principals or present a negative picture of their college board..5.2.5 CommunicationAccording to our definition in this study, communication refers to internal and external communication; the way colleges associate or relate within themselves and with the external community. Already, we have established thatefficient and effective communication is lacking in the three colleges. College managements are not involving their staff meaningfully in important activities. The creation of college boards has not made the situation any better. It was observed by (MOE, 1996) that communication does not exist in Zambia, between schools, colleges and communities. Makwaya (2004) added that, failure of college authorities and board members to work together indicated by lack of meetings, drew attention to a lack of a shared vision of what the role of the education boards in teacher education is. Thus, in the three colleges sampled, as indicated in table 3, only MUCE seems to be doing fairly well on communication. 5.2.6 Efficiency and EffectivenessEfficiency and effectiveness, according to this study has been defined as the timely and quality delivery of programmes. Now from the findings of the study, the three colleges have not performed very well on this performance variable. Table 3 demonstrated that out of 10 respondents from CBCE, 1 respondent rated the college’s performance as very high, 6


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rated it average while 3 indicated below average. On the other hand, 4 respondents from KICE rated the college’s performance on this indicator as above average while 5 rated it at average and only 1 indicated below average. Finally, 3 respondents from MUCE rated the college’s performance on efficiency and effectiveness as above average while 7 stated average. From this analysis the general picture is that, the three colleges have not performed well on this variable. This is as expected because of the strong correlation this variable has with the performance variables; communication, transparency and accountability and responsiveness. Since the performance of the three colleges on these variables has been average, we expect the same results for the performance indicator, efficiency and effectiveness. 5.2.7 Continuous Professional DevelopmentBy Continuous Professional Development, we mean college policy on staff development: in terms of improving classroom practice and also on staff upgrading of their qualifications. From the findings of the study, colleges are trying to organize internal CPD activities to improve lecturers’ classroom teaching practices. However, no deliberate policy exists in these colleges to sponsor lecturers who want to pursue further studies. Colleges are always complaining about poor funding. (Makwaya) observed that the only role boards played was to recommend for study leave for ambitious individuals. 5.2.8 Staff motivationStaff motivation was defined in this study as the reward system or incentives the college has put in place for hard working and performing staff.Motivation, in whatever form, is a necessary ingredient in improving staff performance. Now at the three colleges sampled, staff motivation has not been embraced as part of improving organization performance. Makwaya (2004) argued that promotions are still the preserve of the administration represented by the principal and the provincial Education Officer (P.E.O) who recommend candidates for promotion to the teaching service.5.2.9 Staff recruitmentStaff recruitment entails the ability of college administration to lobby or employ suitable and well qualified academic staffEmploying suitably qualified and competitive employees is one of the most important things that an institution can do. This is so because having qualified staff gives customers confidence in the institution. Previously, that is before decentralization, government was responsible for employing the teaching staff in colleges. However, with the advent of decentralization, colleges have been tasked to source and employ staff to teach in the colleges. The results in table 5, clearly demonstrated this fact. Of the three colleges under study, CBCE and MUCE seem to be performing well on this performance variable unlike KICE. AT KICE, there is much dependence on government to send lecturers to the college as opposed to sourcing for staff. On the hand, CBCE and MUCE seem to be proactive on this variable in that they are able to source the needed staff. At CBCE, the college management and the board have been employing academic staff on contract to teach during distance education sessions. However, these efforts are being hampered by inadequate funds and bureaucratic nature of the Teaching Serving to recommend the identified staff. 6. Research conclusion and recommendations6.1 IntroductionThis research set out to investigating the performance of three public colleges of education; CBCE, KICE and MUCE since the introduction of decentralization policy in the ministry of education. This was done to find out whether colleges are performing better than before the introduction of decentralization reforms. After a critical analysis of the results, theresearcher was able to conclude the research as follows:6.2 Conclusion The research has shown that decentralization leads to improved service delivery, transparency and accountability, efficiency and effectiveness. Moreover, institutions become more responsive in the way they conduct business and themselves. All these put together, result in high performance of institutions. In the same way, as government lessens its influence, it gives much more freedom to colleges and boards as has been revealed by the data collected and summarized in table 5. The conclusion of this study is that the average performance of the colleges under study could not be attributed to government interference or role in these institutions, but it is as a result of internal problems or frictions within each of the sampled colleges. Therefore, the conclusion of the study was drawn by analyzing internal factors from the findings as follows: Service delivery is very cardinal in any organization whether private or public like the three colleges under discussions. This is what government recognized and wishes to see in the decentralized public colleges. This meant that government colleges should be able to compete and offer quick services to the customers. However, despite the decentralization of colleges service delivery has not improved very much. According to the data


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obtained in sampled colleges this is at just about 50% regardless the fact that government has relinquished about 79% freedom for the colleges to design and sort out quality assurance issues of their colleges. This is not a good picture and it must change if public colleges have to compete very effectively in the education provision. College administrators must also realize that people (customers) are demanding for quality services and products in exchange for their money. Therefore, colleges of education must start working seriously on quality issues otherwise they will find themselves out of business. Since there are internal problems peculiar to individual colleges, there is need for each College Board to sit with all stake holders in the college and sought out quality assurance issues.Transparency and accountability are the engines of good governance and therefore good administration. Decentralization demands that an organization becomes more transparent and accountable for it to perform very well. Now data collected from the three colleges have shown that government has decentralized the issues of transparency and accountability to about 86%. This means that government is encouraging colleges to ‘clean their houses’ by leaving issues of transparency and accountability to be dealt by colleges themselves. In other words, the government is demanding that colleges become more transparent and accountable without being forced by government. The data in table 1 show that transparency and accountability issues are being addressed at 47%. There is need for college managements to emulate government and try to be more transparent and accountable in the way they are managing colleges in terms of both financial and human resources. Like transparency and accountability, college managements are not showing responsiveness in the way they deal with college issues. They still believe that government is still responsible to make certain decisions and even tell them how to manage the colleges. Despite government direct involvement reducing to as low as 30%, colleges have not taken advantage of this as the level of responsiveness is currently as low as 33%: Refer to table 4 and table 1respectively. This demonstrates that college administrators are not so keen in taking initiatives in order to avoid taking responsibilities if things go wrong. However, there is need to encourage college administrators to be more courageous so as to make them more responsive for activities in their colleges. Another variable is not being addressed adequately is communication. In the three colleges included in the study, this has come out as a very serious hindrance and a threat to decentralisation of education. Managements are not communicating with members of staff on important issues of the colleges. In the same vein, College Boards are not also communicating with the staff, students and members of the communities. As a result of this, there is too much mistrust between college boards and the members of the community. Thus, there need for college management and board to learn to communicate efficiently and effectively with all the members of communicate; students members of staff, parents and other community. In a similar way, the study find out those issues to do with efficiency and effectiveness, staff motivation and staff recruitment in the sampled colleges are not being adequately addressed. Table explains much more on how respondents felt about the way these issues are being addressed. In general, the research has find that all the eight performance indicators are not sufficiently addressed in the three colleges. Consequently, this has impacted negatively on the performance of the colleges. Hence, there is need to urgently deal with this situation if the objectives of government of devolving powers to local units will be achieved. Finally, the study has established that there is no significant impact of decentralization policy on the performance of selected public colleges due to several factors outlined above. Hence, the hypothesis that the introduction of decentralisation reforms in public colleges of education has not impacted significantly on their performance is accepted. 6.3 Recommendations In order for decentralization reforms to yield the desired results, in public colleges the researcher would like to recommend the following: 6.3.1 Principals must undergo training in management. The government should ensure that principals running public colleges are given or undergo training in management to equip them with skills relevant to colleges in the 21st century. In fact this was one of things outlined in the education decentralisation reforms. Among the three institutions considered for this study, no principal was trained in management course. Nevertheless, the current principal of MUCE has a master degree in business administration (MBA) which she studied on her own. Because of this, her managerial skills are far much better than the two other principals from KICE and CBCE. Therefore, there is need for all principals to be trained for decentralisation to work effectively. 6.3.2 The College Boards When educational decentralisation policy was being launched in institutions of learning, college boards were seen as vehicles through which the local voice could be heard. It is hoped that through decentralisation, there would be an enhancement of community participation in the running of schools and other educational institutions, such as colleges of education. Makwaya (2004) argued that, to achieve these objectives of decentralisation in teacher education, a need


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arose to design a mechanism through which the objectives and all that they entail could be actualized, hence the creation of Teacher Education Boards. As already pointed out, college boards in the three colleges are not performing as expected. Consequently, the researcher would like to recommend that:

� The composition and selection of board members be re-visited. Perhaps, an inclusion of educational qualification for board members would help to have members who will be able to articulate issues and thereby add value to the boards.

� The ministry of education should ratify the list of selected board members and also government should be more involved in the operations of college boards

� Should be empowered to overrule or discipline the principal and even recommend for his transfer to the teaching service.

AcknowledgementsI would like to express my thanks to my supervisor, Mr. M.K Banda for his support, guidance, advice and encouragement. His kind personality and patience increased my motivation on every step of my study.I would also like to express my heart felt gratitude to Dr. T.K. Taylor for his understanding as Dean of the school of Graduate Studies.Finally, I wish to thank members of staff from the three colleges for the different contributions they rendered in order to enable me successfully conduct this study.ReferencesAbisamra, N. (2001). Educational Decentralization in Mexico. Beruit: American University press.Adamolekun, L. (1999). Decentralization, Sub-national Governmental Relations. Boulder: West view PressAryee, S. (1994a). The Effectiveness of Decentralization Policy in Ghana.Asghar, M. (2005). Decentralization in Education: National Policies & Practices. Paris: UNESCOAstiz, M. F. et al (2002). Slouching towards Decentralization: Consequences of Globalization for curricular control in

National Education Systems. Comparative Education Review, 1(1).Bray, M. (1985). Education and Decentralization in less Developed Countries: A Comment on General Trends, Issues

and Problems with particular reference to Papua New Guinea. Journal of Comparative Education, 21(20).Cheema e.tal (1985).Decentralization in Developing Countries: A review of recent experience. Washington D.C: World

Bank Di-Gropell, O. E. (1999). Educational Decentralization Models in Latin America. ECLAC Review, 68.Hanson, E. (1998). Strategies of Educational Decentralization: key questions and core issues. Journal of Educational

Administration, 36(2).Ho, W. K., & Gopinathan, S. (1999). Recent Developments in Education in Singapore. Journal of School Effectiveness

and School Improvement, 10(1).Kelly, M. J. (1999). Origins and Development of Education in Zambia. Lusaka: Image Publishers.Lee, M. H. & Gopinathan, S. (2003). Centralized Decentralization of Higher Education in Singapore, in Mok, K.H.

Centralization &Decentralization: Educational Reforms and Changing Governance in Chinese Societies.Hong Kong:The University of Hong Kong press.Mc Ginn, N., & Welsh, T. (1999). Decentralization of Education: Why, When, What and How? Paris: UNESCO. Mwanakatwe, J. (1968). The Growth of Education in Zambia since independence. Nairobi, Oxford University Press.Naidoo, J. (2005). Education Decentralization in Africa: Great Expectations and Unfulfilled promises in David, P.

Barker , e tal. Washington D.C: Emerald Group Ltd.Snelson, P. (1974). Educational Development in Northern Rhodesia: 1883 – 1945. Lusaka: Zambia Educational

publishing House (ZEPH). Unpublished Theses and dissertations Bowasi, D. S. (2007). The Role of student representatives on Education Boards: The case of Zambia Institute of Special

Education, Copperbelt College of Education and Kitwe College of Education. (Unpublished master’s thesis). University of Zambia, Lusaka, Zambia.


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Makwaya, M.C. (2005). Decentralization. (Unpublished master’s thesis). University of Zambia, Lusaka, ZambiaDocumentsMinistry Of Education, (2005). Principals of Educational Boards Government & Management: Education Boards Services, LusakaMinistry of Education, (1996). National Policy on Education; Educating Our Future.National Implementation Framework 2008 - 2010: Ministry of Education, LusakaSouth African Constitution (1996)Zambia’s Strategic plan (2003- 2007)Internet sourcesHanson, E. (2000). Educational Decentralization around the Pacific Rim.From http://www1.worldbank.org/education/globaleducattionreform/Hanson%20Editorial.pdfPaper / Speech Husain, S. (2006). Devolution for empowering the poor: Institutions, Norms and Powers.Paper presented at the 22nd AGM & Conference of Pakistan Society of Department of Economics held on 19th - 21st December 2006 in LahoreTan, K.Y.T (1986). Economic changes and formation of education policySpeech delivered at the Nanyanya Technological Institute ForumAmerican Psychological Association. (1972): Ethical standards of psychologists. Washington, DC: AmericanPsychological Association.

Appendix Coding of VariablesVariable Variable label Code

1X Service Delivery Below average = 1, Average = 2, High = 3, Very high = 4

2X Quality Assurance Below average = 1, Average = 2, High = 3, Very high = 4

3X Transparency & Accountability Below average = 1, Average = 2, High = 3, Very high = 4

4X Responsiveness Below average = 1, Average = 2, High = 3, Very high = 4

5X Efficiency & Effectiveness Below average = 1, Average = 2, High = 3, Very high = 4

6X Communication Below average = 1, Average =2, High = 3, Very high = 4

7X Continuous Professional Development

Below average = 1, Average = 2, High = 3, Very high = 4

8X Staff motivation Below average = 1, Average = 2, High = 3, Very high = 4

9X Staff recruitment Below average = 1, Average = 2, High = 3, Very high = 4

10X Student enrolment Below average = 1, Average = 2, High = 3, Very high = 4





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Expanding the Practice of Newsmaking Criminology to EnlistCriminologists, Criminal Justicians, and Social Workers in Shaping

Discussions of School Violence:A Review of School Shootings from 1992-2013

Kelley Reinsmith-Jones1, James F. Anderson2, Adam H. Langsam3

1College of Health and Human Performance, Assistant Professor of Social Work, East Carolina University, Greenville, NC, USA.2College of Arts and Sciences, Professor of Criminal Justice, East Carolina University, Greenville, NC, USA.3College of Liberal Arts, Professor of Sociology, Northeastern State University, Tahlequah, OK, USA.Correspondence: James F. Anderson, Professor, Department of Criminal Justice, East Carolina University, Greenville, NC, USA.

Received: July 1, 2015 Accepted: July 15, 2015 Available online: July 27, 2015doi:10.11114/ijsss.v3i5.974 URL: http://dx.doi.org/10.11114/ijsss.v3i5.974

AbstractNewsmaking criminology argues that criminologists should interpret, influence, and even shape the direction of newsworthy information about crime and justice to the extent that they aggressively make their presence known by engaging the media. This article calls for an expansion in the practice of newsmaking criminology to also include criminal justicians, as well as social workers when it comes to the issue of school violence. Recently, a number of shootings have occurred on school campuses in rural, urban, and suburban America. When these shootings are reported, they quickly become politicized and generate widespread attention from parents, law enforcement, politicians, community activists, and policy-makers. However, what appears to be missing from the discussion is input from criminologists, criminal justicians, and social workers who could bring a wealth of knowledge and understanding to these atrocities. This study used a random sample of 129 items from over a twenty-one year period in a content analysis to categorize the spokespersons used by the mass media to discuss school violence and school shootings. Keywords: Newsmaking criminology, school shootings, school violence, criminal justicians, criminologists, newsworthy, social workers.1. IntroductionRecently, a number of shootings have occurred on school campuses that have either claimed the lives of or dramatically altered the lives of the nation’s children (Wike & Fraser, 2009). This is particularly disturbing since schools are places of learning, growing, and educational nurturing that are also supposed to be safe havens (Wood, 2005; Schreck & Miller, 2003; Ripski & Gregory, 2009). While tragic, these shootings have been instructive in revealing that schools are not the safe places they were decades ago and that random violence can strike anyone and anywhere irrespective of social class position or demographics such as race, ethnicity, or age (Hawkins, McIntosh, Cohen-Silver, & Holman, 2004; Wike & Fraser, 2009). For example, in the past five years, shootings have occurred at schools located in urban, rural, and suburban areas. Despite this, an emerging problem that has become obvious is a lack of commentary and analysis from criminologists, criminal justicians, and social workers in discussions that explain school violence, what must be done to treat surviving students, what efforts should be taken to help communities heal, and how to prevent these atrocities from reoccurring. It appears from our point of view that these trained experts have either been construed as unhelpful, or they have not been consulted about juvenile, as well as other crime that plague the nation’s schools. What one finds and reads in local news reports of school shooting tragedies is non-experts such as politicians, leading the dialog on these matters of violence. Consequently, they shape the debate and create images of these crimes, along with their victims, as well as perpetrators. This is troublesome since most of them simply lack the training, expertise, and research experience to offer viable solutions to these problems. For example, when people are ill, most seek the


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help and assistance of a physician. When they need insurance, they seek an agent who is properly trained in providing such services. However, this does not seem to be the case where crime is concerned. When people fall victim to crime, or when they attempt to make sense of crime, they rarely contact criminologists, criminal justicians, or social workers who are professionally trained to address this issue. Unfortunately, the general public looks to reporters, politicians, and police for answers about crime and its causes. Police agencies and officers are ill-equipped to provide such answers since they typically respond to atrocities after they have occurred. However, they may be aware of how to prevent crimes from reoccurring. With respect to recent school shootings, such as those that occurred in Newtown, Connecticut and North Houston, Texas, one did not see the presence of criminologists, criminal justicians, or social workers who could provide expert analysis on these tragedies. Why are they absent from these discussions? This begs the question, what are criminologists, criminal justicians, and social workers, and can they assist in helping us to better understand and heal from school shootings? Why are they not among those who provide their expertise on violence in general, but on the plight of school safety in America, in particular? This article seeks to address these issues. Therefore, this work defines the role of criminologists, criminal justicians, and social workers. It provides the methodology that examines data sources used by media outlets (to present school violence) in the past twenty-one years. Moreover, this section presents a content analysis that measures who has had ownership of addressing school violence and shooting discussions. It also argues for the need to enlist the help of newsmaking criminologists and expand its practice to include social workers to speak authoritatively on matters related to school violence and community healing. In the final analysis, we argue that the inclusion of criminologists, criminal justicians, and social workers, can add to the public’s understanding of school violence and lead to more effective crime prevention policies.2. Defining Newsmaking Criminology and Examining the Roles of Criminologists, Criminal Justicians, and Social WorkersCrime news receives an enormous amount of attention from the media (Surette, 1998; Barak, 1994; Maguire, Sandage, & Weatherby, 1999). In fact, Surette (1992) argues that there is no other media content given more coverage than matters related to crime and justice. Anyone who watches the local news is aware that “if it bleeds, it leads as a crime story.” Jewkes (2004) argues that violence increases the likelihood that a crime story is reported. This statement suggests that local evening and nightly news programs typically lead with reports about crime. However, a major concern of the news media that may be unknown to television viewers is its’ struggle to report and present stories that are newsworthy. It prefers factual stories to time fillers that are not typically prepackaged or routine. The media likes new releases because they present topics that are likely to be of interest to viewers and readers (Fedler, Bender, Davenport, & Kostyu, 1997). In fact, Fedler and colleagues argue that journalists prefer stories that satisfy their definition of news. This includes topics that are new, local, interesting, and relevant. More specifically, they argue that the news media seeks stories that impact or even affect large numbers in the viewing audience. However, Kappeler & Potter (2005), disagree arguing that crime reporting may be restricted to acts that are gruesome and bizarre that investigative journalists use to uncover certain crime and to ensure a wider viewership and sponsorship. They argue that the competitive nature of the modern media may fuel the engine behind the need to present and create crime problems when they may not exist. Nevertheless, when the media creates myths about crime, they are sustained by other myths related to crime and justice. The continuation of such presentation tends to eventually blind the general public to the realities of crime and justice matters. Consequently, the images that are constructed by the media are impossible to differentiate from the source (Ferrell & Sanders, 1995; Mills, 1951). If the latter position is true, this could bode well foran emerging group of scholars who engage in the practice of newsmaking criminology.2.1 Newsmaking CriminologyNewsmaking criminology was first coined in 1988 by Gregg Barak and has since been advocated by other criminologists and sociologists, such as Stuart Henry, Cecil Greek, James Fox, and John Levin (See Barak, 1988; 2001; Henry, 1994, 1999; Greek, 1994; Fox & Levin, 1993). At that time, Barak challenged criminologists to use their training and expertise to initiate discourse with the media instead of solely focusing their efforts in traditional venues, such as classrooms, lecture halls, and academic conferences. More specifically, Barak felt that criminologists could use their knowledge of crime and justice to present realistic images of crime and the justice system that would unmask the sensational treatment that is routinely given to such issues (Greek, 1994). Barak argued that the mass media could be used to reach larger audiences of people. Barak presented an innovative way of enlisting criminologists into discussions of crime to better inform society by becoming activist agents of the media. In essence, he encouraged criminologists to spark the public consciousness regarding the reality of crime and justice. But, can this approach be effective? Put differently, can criminologists take their knowledge and research findings to a wider audience that goes beyond the classroom, or others who attend scientific conferences, or those who read scientific reports? Some scholars argue that it can be achieved, but it requires understanding of how the media operates, how to communicate successfully, and being


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prepared (see Greek, 1994). Similarly, Henry (1994) was optimistic about the feasibility of newsmaking criminology and argued that it is necessary for criminologists to become active participants in influencing the media on matters related to crime and justice. He suggested that criminologists should intercede in the constitutive process (Henry, 1994, 287). Henry goes on to argue that newsmaking criminologists must actively confront and challenge silences, identify omissions, and help create news stories about crime. Put differently, he suggests that criminologists have been silent for too long about factual aspects of crime and justice and have stood in silence when they should have interceded with presenting the “real” reality about crime and justice.Henry recommends that criminologists offer a replacement discourse as a way of breaking their silence. The new discourse on matters related to crime and justice will interrupt or dismantle what people thought they previously knewand understood about crime and justice reality. Henry and other scholars warn that the new discourse should not be viewed as oppositional discourse, but rather, as a supportive discourse that deconstructs prevailing structures of meanings and replace them with new conceptions, words, and phrases that offer alternative meaning (Henry, 1994; also see Selva & Bohm, 1984). When this occurs, criminologists will be able to advocate issues of crime and justice as spokespersons, make criminological news, engage in the construction of images of crime and crime control, and eventually impact social change in general, and social justice, in particular (see Barak, 1988; also see Barak & Bohm, 1989). To facilitate newsmaking criminology, Henry (1994) identifies several styles of newsmaking criminology that have been used. They include: (1) disputing data, (2) challenging journalism, (3) self-reporting, and (4) confronting media. First, disputing data allows the criminologists to reveal expertise by debunking inaccurate facts and false images that shape viewers’ and listeners’ social reality. Second, the criminologist literally functions as a journalist by presenting newsworthy reports and stories. Third, allows the criminologist to discuss himself or herself. Last, the researcher is an education provocateur. Barak (1998) and Henry (1994) caution that each role comes with advantages and disadvantages that are typically contingent upon the media and the audience to which the criminologist finds himself or herself speaking. For example, these could include print, television, radio, or live versus taped programming (Barak, 1998). Newsmaking criminology holds that criminologists should use mass communication similar to journalists to gain command of crime and justice subject matter. Thus, allowing them to construct more accurate images of crime, justice, and punishment. This approach should be used to address distortions and to present a more accurate reality. Moreover, Barak (2007) argues that newsmaking criminology strives to demystify existing cultural images of crime and punishments to include all behaviors, (and not just some) that are detrimental to society. In doing so, it should have a pronounced effect on shaping the public debate, influencing attitudes, ideas, and thoughts about crime and justice that will affect crime control policies that are inclusive of all offending behaviors detrimental to society. This will empower criminologists to become stake holders in the discourse, dialog, or narrative on matters related to crime and justice since they will have developed language and technical skills of communication for the public to consume. In essence, newsmaking criminologists are advised to use all mechanisms of the mass media (i.e., radio, television, blogging, print and others) to reach large audiences of listeners and viewers to inform them on matters of crime, law, and justice. They are instructed to act as journalists who shape and direct the public debate on justice related matters.2.2 CriminologistsCriminologists are professionally-trained in the study of crime (Wolfgang & Ferracuti, 1967, Siegel, 2009). They haveformal training and terminal degrees in sociology, criminology, medicine, political science, economics, psychology, or even criminal justice since criminology is an interdisciplinary science (Wright & Miller, 2005; Barkan, 2006). However, it is safe to say that criminologists devote their careers to the study of crime (Anderson, Mangels, & Dyson, 2003). They are concerned with the origins of crime, the motivation of criminal behavior, and its trends and patterns that occur over time (Siegel, 2009). Moreover, some criminologists assist lawmakers with decisions to either create new laws or decriminalize existing laws. These same criminologists provide expert opinions on the consequences of either course of action. Because criminologists have different academic backgrounds and training, they are not all the same, nor do they study the same subject matter. For example, there is great diversity in criminology and what a criminologist may undertake as an area of focus. Siegel (2009) provides that since criminologists are from diverse fields of study, criminology has become an interdisciplinary science that has developed into several subareas that offer specialization that includes: criminal statistics and research methodology, sociology of law, theory construction and testing, criminal behavior systems and crime typologies, penology, and victomology. First, criminologists who use criminal statistics and research methods are concerned with measuring crime. They determine whether there are increases or decreases in the crime rate, and whether crime prevention programs are having a deterrent effect. Second, criminologists who focus on the sociology of law examine the role that social forces play in shaping the law and how the law shapes society. They study how the media and a changing culture influence deviant and criminal behavior. Third, criminologists who are concerned with theory construction and testing make valid predictions about crime and understanding what motivates people to


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break the law. Many of them test hypotheses using empirical research. In the end, they find a variety of reasons why offenders violate the law. Fourth, criminologists who study criminal behavior systems are concerned with crime typologies such as serial killers, intimate-personal violence, organized crime, white collar/corporate crime, sex crimes, and even sexual trafficking in children and adults. Fifth, criminologists who focus on penology are concerned with punishment and controlling offenders. They create crime control strategies that can either treat or punish offenders. Their research is focused on evaluating justice initiatives to determine their efficiency, effectiveness and impact. Last, criminologists who study crime victims are referred to as victimologists. They are concerned with the costs of victimization, levels of crime/victimization, and how much actually occur. In the end, they theorize about future victimization, and study the relationship between offenders and victims. Because of the diversity of academic backgrounds and training, criminologists are imminently qualified to engage in newsmaking criminology. 2.3 Criminal JusticiansCriminal justicians are also professionally-trained. They are usually academics (who use the scientific method tosupport their findings and assertions about offenders and justice processes) or practitioners. This could include employment at the local, state, or federal level (Anderson et al., 2003). These agencies provide criminal justice experts with a wealth of information about the demographics of offenders, the nature and extent of crime, and the geographical distributions of crime, respectively. More specifically, criminal justicians examine how offenders are processed in the justice (juvenile and adult) systems and how those experiences impact offenders’ behavior. Many who are now academics were once employed in one of the justice agencies typically as a police officer, parole or probation officer, or as a correctional guard. Their experience as a practitioner affords them the opportunity to “bridge the gap” between theory and practice, and makes them an invaluable resource regarding how the justice systems work. Lovrich and colleagues (2005) argue that because of advances in technology in the use of fingerprint identification systems, DNA evidence, and the public’s fascination with the use of technology to bring offenders to justice, many criminal justice experts have started to engage in forensic science seeking trace evidence that links suspects to crime (Bureau of Justice Statistics, 2000; Swanson, Chamelin, Territo & Taylor, 2009). Moreover, there has been an increase in the number of crime laboratories. In fact, some estimate that there are 350 federal, state, and local crime laboratories (Swanson et al., 2009). There has also been increased use in cybercrime investigations or electronic crime investigation units where officers pursue online sexual predators, child pornography, and other offenders who engage in other computer-related crimes, such as hacking, identify theft, Internet fraud (e.g., online sale of prostitutes and mail order brides), and cyberstalking to only name a few (Libermann, 2001; Moore, 2005; Schram & Tibbetts, 2014; Levy & Stone, 2000). Others have been involved in homeland security efforts to thwart domestic and global terrorism. In essence, while criminologists are concerned with the motivation behind why people violate the laws that govern society, criminal justicians are focused on processing offenders after they have violated those laws. This may include ensuring that suspects’ and the criminally-accused constitutional rights are protected at each stage in the justice process. For example, criminal justice experts must be knowledgeable about issues, such as racial profiling, stop-and-frisk, arrest, informing suspects of Miranda warnings, and interrogations. Therefore, criminal justicians are more versed than criminologists in constitutionally-protected areas, such as rights extended by the First, Fourth, Fifth, Sixth, Eighth, and Fourteenth Amendments. Stated another way, criminal justicians are concerned with processing offenders after they have broken the law. At every stage of the justice process, practitioners must discharge their duties in a constitutionally-correct manner or risk being civilly or criminally responsible for their actions or having the offender go free on a technicality if they fail to ensure equal protection and due process. Put differently, criminologists are concerned with the theoretical, while criminal justice experts are concerned with the applied practitioner-oriented field of study (see Wright & Miller, 2005). Despite these apparent differences, both criminologists and criminal justicians share a partnership. In fact, some experts believe that the two are inextricably linked to each other and what one does has a pronounced effect on the other (Wright & Miller, 2005). Since criminal justicians are versed in all matters of the justice process, they are also viewed as imminently qualified to engage in newsmaking criminology.2.4 Social WorkersSocial workers are professionally trained in the scientific method as well as in using relational approaches to improve quality of life through various interventions. Because of the problems in society that range from poverty, homelessness, child abuse, drug addiction, violence and family dysfunction to others, social workers are in great demand. In fact, the growth of social work employment is better than most occupations. Recent data from the Bureau of Labor Statistics (2014a) reports a 19% employment increase from 2012 to 2022, especially in the areas of health care, social services, child, family, and school social work. Moreover, employment of social workers in the mental health and substance abuse jobs has a projected growth of 23% for the same timeframe. While there is not a projected growth in the number


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of correctional social workers, or correctional treatment specialists, these jobs are quoted as being “plentiful” in the future (Bureau of Labor Statistics, 2014b). The forecasted employment growth in these areas of social work is important because it is in these areas that social workers have the greatest interaction with and impact on violence, its victims, and its perpetrators. Many social workers are employed by health and social service agencies such as the department of child protective services; family violence prevention programs; early childhood education programs (e.g., Head Start); youth clubs; teen substance abuse programs; adoption; and foster care to only name a few. The primary goal of these efforts is child welfare, which is “services that deal with all aspects of children’s well-being, including protecting and promoting their health and social psychological development, strengthening families and addressing adverse social conditions that interfere with . . . health development” (DuBois & Miley, 2014, p. 365). Consequently, these social workers become deeply involved in the lives of children and families in ways that may require performing assessments, making home-visits, liaising with school or legal officials, and examining family dynamics that may cause trauma and stress. Most interventions are family-based, but some may be child-specific. Working in these capacities, give social workers a hands-on opportunity to address individual and family patterns of coping, perhaps even generational, that are self-harming or harmful to others, including the use of violence. Forensic social work is a strategy for effecting change in a culture of violence. Although applied in both adult and juvenile correctional systems, it primarily focuses on interacting with youth involved in criminal activity. It is hoped that intervening with minor crime would pre-empt an escalation of violent behavior such as school shootings. These social workers are employed by police departments, juvenile court programs, juvenile probation, and juvenile correctional facilities. They work with both the youth and legal guardians, as well as in collaboration with school authorities (DuBois & Miley, 2014). In this capacity, these social workers advocate rehabilitative interventions that address troubled and violent behavior. To better address such behaviors, they seek to understand its root causes. These social workers provide consultation, education, and training to correctional systems, law-makers, law enforcement, attorneys, law students, paralegals, and community members and organizations (National Organization of Forensic Social Work, 2014). By assisting in community mobilization efforts, these social workers play a key role in creating safe neighborhoods and reducing violence (Zastrow & Kirst-Ashman, 2013).School social workers are an integral part of the child welfare system. In most areas, there may be one social worker assigned to several schools. They provide services to children and their families using several interventions which might include one-on-one counseling, group work, creating mentoring relationships, making referrals, and being a child’s advocate as part of a multidisciplinary team that might involve legal guardians, other school personnel, and community representatives such as juvenile probation, physicians or nurses, mental health professionals, and health and social service workers (Haight & Taylor, 2013). Experts report that interventions focus on educational, psycho-social, and medical concerns of child and adolescent development such as educational achievement, self-esteem, management of emotions, bullying, depression, suicide ideation, homelessness, physical and sexual abuse, teen pregnancy, and teen gang involvement (DuBois & Miley, 2014). Since social workers are aware of the trauma experienced by children and family members in the aftermath of school shootings that often end in tragedy, they are trained to intervene and assist them in getting the help and resources they need to recover from these traumatic events. Therefore, they are qualified to speak authoritatively on what the community is experiencing and what it needs to heal in the aftermath of school violence that ends in tragedy.3. MethodsThis study began in 2012 and ended in 2014. The time frame of this research extended over a one year period. During this time, secondary data sources were collected that chronicled school shootings that occurred at elementary schools, junior-high schools, high schools, and college campuses throughout the United States. The items that were selected for analysis were published over a period of twenty-one years starting in 1992 and ending in 2013. Stated differently, we selected items that were published and presented by the mass media from 1992 to 2013. In our investigation, we used a content analysis to examine articles, newspapers, and television reports. A content analysis is a nonreactive research technique that examines information in documents. More specifically, Kraska & Neuman (2012) argue that content analysis allows researchers to document specific features or communication in materials that might otherwise go unnoticed. The technique may require that a researcher count the number of times a word, theme, or commonality appear in any form of communication. Hagan (2014) refers to the technique as the systematic classification of the study of mass media, such as journals, governmental documents, newspapers, books, magazines and others. Similarly, Champion (1993) and Bachman & Schutt (2008) provide that content analysis is the systematic qualitative and quantitative description of some form of communication used for the purpose of discovering patterns and meanings. Bryman (2012) reported that there are two types of content analysis: manifest and latent. Manifest content analysis is used to uncover items that are readily recognizable or apparent for inclusion in an analysis. However, latent content


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requires an interpretation of meaning that is not immediately apparent (Bryman, 2012; Hagan, 2014). This research study used manifest content analysis.In our research, we examined school shooting data published and presented from 1992 to 2013. We coded and categorized those interviewed and used as spokespersons on the issue of school violence and shootings as either: Police Officer (PO); Politician (P); Reporter (R); Community Activist (CA); Legal Expert (LE), Newsmaking Criminologist (NC), Medical Doctor (MD), School Administrator (SADM), and Teacher (T). More specifically, we defined policeofficer or law enforcement officer as an investigator responding to investigate a shooting. Politician was defined as a local, state, or federally elected official. Reporter was defined as a news affiliate with a local or national network. A community activist was defined as anyone who expresses an interest in issues that affect his or her community. A legal expert was defined as a lawyer who provides a legal opinion or commentary. A newsmaking criminologist was defined as either: a criminologist, criminal justician, or social worker who offers an expert opinion by using the practice of engaging the media. A medical doctor was someone either at the crime scene or hospital who treated a victim and verbally responded to the issue of violence in school. A school administrator was a principal, a representative from the board of education, or college or university administrator who offered commentary about a shooting at their respective institution. We further designated the number of sources used in the reports as either: a singular, several, or multiple which addressed whether one, two, or more of the categorizations of spokespersons were used in reports on school shootings. Some experts suggest that when multiple sources are used in reporting, it increases the likelihood those reports will reach a wider audience of people and offer more prospective about what transpired (Hagan, 2014; Fedler, Bender, Davenport, & Kostyu, 1997). In this investigation, we present two hypotheses. First, newsmaking criminology (as a practice) is not being used (through mainstream news media) to inform the general public about school violence and shootings. Second, reports of school violence and shootings do not use multiple sources that offer an opinion as to why these events transpired.3.1 SampleFrom a population of 385 reports, we selected a random probability sample of 129 items (n=129) for the time frame of 1992 to 2013 to engage in a content analysis to categorize the spokesperson used by the mass media to address and discuss school violence and shootings. More specifically, we used a systematic sample by setting an interval of three and then randomly selecting every third report from the total population. The sampling interval was determined by the size of the population. Researchers argue the use of randomly selected samples allow every element in a population an equal probability of being selected. While some researchers argue the systematic sample is not a probability sample, others believe the random starting point of the interval selection allows every element an equal probability of being selected (Lanier & Briggs, 2014; Babbie, 1995; Champion, 1993; Hagan, 2014). Therefore, it satisfies the requirement of probability theory as long as the sampling frame is noncyclical. Random samples are an excellent way to approximate the population of content used in publications and presentations for the time frame. This allows for valid inferences to be drawn from our findings. Therefore, when random samples are selected using this method, they approximate the target population parameter and allow researchers to generalize or make inferences about a given population (Bachman & Schutt, 2008; Maxfield & Babbie, 2011; Hagan, 2014; Kraska & Neuman, 2012). Because research experts argue that investigators typically make mistakes in coding data, data entry, and analyzing data, we used several coders of the same data to ensure validity. This technique allowed for mistakes to be quickly discovered, discussed, and corrected (Hagan, 2014; Lanier & Briggs, 2014).Table 1. Systematic Sample of 67 Items from 1992 To 2001

Table 1(1992-2001)

YearSource Singular Several Multiple Total NumberPO, P, R, CA, LE, NC, MD, T SADM ________________________

1. 1992 PO R LE SADM X2. 1992 R SADM X3. 1992 PO R X4. 1992 PO R X5. 1993 PO R X6. 1993 PO R X7. 1993 R X 8. 1993 R X9. 1993 PO R X10. 1993 R X11. 1993 R X12. 1993 PO R X13. 1993 PO R SADM X


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14. 1993 R X15. 1993 R X16. 1993 R X17. 1993 R LE SADM X18. 1993 R X19. 1993 PO R SADM X20. 1993 PO R SADM X21. 1994 PO R LE X22. 1994 P R SADM X23. 1994 R X24. 1994 R X25. 1994 R X26. 1994 P R LE SADM X27. 1994 R X28. 1994 R LE X29. 1994 R X30. 1995 PO R T SADM X31. 1995 R X32. 1995 PO P R SADM X33. 1995 PO R SADM X34. 1995 PO R MD X35. 1995 R X36. 1995 PO R SADM X37. 1996 R X38. 1996 PO R SADM X39. 1996 R LE X 40. 1996 PO R SADM X41. 1996 R SADM X42. 1996 R X43. 1997 R X44. 1997 PO R SADM X45. 1997 PO R T SADM X46. 1997 R X47. 1997 PO R X48. 1998 PO P R LE SADM X49. 1998 PO P R LE T X50. 1998 PO P R T SADM X51. 1998 PO R SADM X52. 1998 PO R SADM X53. 1998 PO R SADM X54. 1999 PO R X55. 1999 PO R SADM X56. 1999 PO R SADM X57. 1999 PO R SADM X58. 1999 PO P R SADM X59. 2000 PO P R LE X60. 2000 PO R SADM X61. 2000 PO R MD SADM X62. 2000 R X63. 2001 PO R LE SADM X64. 2001 PO R MD SADM X65. 2001 PO P R SADM X66. 2001 PO R CA SADM X67. 2001 PO R SADM X______________________________________________________________________________

Police Officer(PO), Politician (P), Reporter (R), Community Activist (CA), Legal Expert (LE), Newsmaking Criminologists (NC), Medical Doctor (MD), School Administration (SADM), and Teacher (T)

N=67PO=40 (59.7%) Single=20 (29.9%)P=9 (13.43%) Several=12 (17.9%)R=67(100%) Multiple=35 (52.2%)CA=1(1.49%) N=67 (100%)LE=10 (14.92%)NC=0(0%)MD=3 (4.47%)SADM=33 (49.25%)T= 5 (7.46%)


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Table 1 shows a systematic sample of 67 items published from 1992 to 2001. It reveals that when it came to who was the spokesperson, or who had ownership of the issue of school violence and shootings, local news reporters (R) were the dominant voices at 100%, followed by police officers (PO) at 59.7%, school administrators (SADM) at 49.2%, legal experts (LE) at 14.9%, medical experts (ME) at 4.47%, teachers (T) at 7.4%, and community activists (CA) at 3%, respectively. However, no data revealed the use of any newsmaking criminologists (NC) or the practice of newsmaking criminology. Moreover, the analysis revealed that in the 67 items that were examined, 29.9% of the reports used a single source, 17.9% relied on several sources, and 52.2% used multiple sources. Overall, the data for this period reflects a movement from relying on only 1-2 sources of information for reporting purposes to seeking out multiple sources of information. More specifically, it reveals that for the 20 shooting events reported from 1992 through 1993, there were 8 single spokespersons, 7 used several spokespersons, and 5 used multiplespokespersons during that time. It shows that for the 16 shooting events reported on during 1994 through 1995, there were 7 single spokespersons used, 1 used several spokespersons, and 8 used multiple spokespersons. Moreover, it reveals that for the 17 shooting events reported from 1996 through 1998, there were 5 single spokespersons used, 2 used several spokespersons, and 10 used multiple spokespersons. In the 14 shootings published from 1999 through 2001, there was 1 single spokesperson used, 1 used several spokespersons, and 12 used multiple spokespersons. In the end, it shows that 47.8, or 32 of the 67 items, did not use multiple spokespersons. However, 52%, or 35 items did employ multiple spokespersons.Table 2. Systematic Sample of 62 Items from 2012 To 2013

Table 2 (2002-2013)YearSource Singular Several Multiple Total Number

PO, P, R, CA, LE, NC, MD, T, SADM___________________________________________________________________________________________

1. 2002 PO R SADM X2. 2002 PO R X3. 2002 R X4. 2003 PO R TSADM X5. 2003 PO P R LE MD SADM X6. 2003 PO R X7. 2003 PO R T SADM X8. 2003 PO R X9. 2003 PO R LE MD SADM X10. 2003 PO R SADM X11. 2003 PO R X12. 2004PO R MD TSADM X13. 2004 PO R LE X14. 2004 PO R SADM X15. 2004 PO R T X16. 2005 PO P R TSADM X17. 2005 PO R SADM X18. 2005 PO R SADM X19. 2005 PO R LE SADM X20. 2006 PO R X21. 2006 PO P RCA X22. 2006 PO R SADM X23. 2006 PO R MD SADM X24. 2006 PO R SADM X25. 2006 PO R SADM X26. 2007 PO R SADM X27. 2007 PO R SADM X28. 2007 PO P R CA LE X29. 2007 PO P R LE NC SADM X 30. 2007 PO R X31. 2008 R SADM X32. 2008 PO R SADM X33. 2008 PO R X34. 2008 PO P R SADM X35. 2008 PO R LE SADM X36. 2008 PO R X37. 2009 PO R SADM X38. 2009 PO R X39. 2009 PO R SADM X40. 2009 R SADM X41. 2009 PO R SADM X42. 2009 PO R X43. 2009 PO R X44. 2009 PO R X45. 2009 PO R LE SADM X46. 2009 PO R CA LE SADM X


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47. 2009 PO R X48. 2009 PO R SADM X49. 2010 PO R X50. 2010 PO P R SADM X51. 2010 PO R X52. 2010 PO R LE SADM X53. 2010 PO R SADM X54. 2010 PO R LE X55. 2010 PO R X56. 2010 PO R LE SADM X57. 2011 PO R SADM X58. 2012 PO R LE SADM X59. 2012 PO P R SADM X60. 2012 PO R SADM X61. 2012 PO R SADM X62. 2013 PO P R SADM X

_________________________________________________________________________________________Police Officer(PO), Politician (P), Reporter (R), Community Activist (CA), Legal Expert (LE), Newsmaking Criminologists (NC), Medical Doctor (MD), School Administration (SADM), and Teacher (T)N=62PO=59 (95.16%) Single=1 (1.61%)P= 9 (14.51%) Several= 19 (30.64%)R=62(100%) Multiple=42 (67.74%)CA=3 (4.83%) N=62(100%)LE=13 (20.96%)NC=1 (1.61%)MD=4 (6.45%)SADM=39 (62.90%)T=5 (8.06%)Table 2 shows a systematic sample of 62 school shootings reported in the media from 2002 to 2013. It reveals that when it came to who was the spokesperson or who had ownership of the issue of school violence and shootings, local news reporters (R) were the dominant voices at 100%, followed by police officers (PO) at 95%, school administrators (SADM) at 62.9%, legal experts (LE) at 30%, medical experts (ME) were used at 6.45%, community activists (CA) were used in 4.47%, and Teachers (T) were used in 8.06%. During this 11 year period, while there was no mention of the use of any newsmaking criminologists or the practice of newsmaking criminology, we discovered one report of a social worker at 1.49%. Moreover, the analysis revealed that in the 63 items that were examined, 1.61% of the reports used a single source, 30.6% relied on several sources, and 67.7% used multiple sources.Overall, Table 2 reveals the continuation of a trend toward using multiple sources of information for reporting purposes. More specifically, it reveals that for school shootings reported from 2002 through 2004, consisting of 15 shootings, there was 1 single spokesperson, 4 used several spokespersons, and 10 used multiple spokespersons during that time. It shows that for shootings reported during 2005 through 2007, consisting of 15 occurrences, there were 0 single spokespersons used, 2 used several spokespersons, and 13 used multiple spokespersons. Moreover, it reveals that in shootings reported from 2008 through 2009, comprised of 18 incidents, there were 0 single spokespersons used, 9 used severalspokes persons, and 9 used multiple spokespersons. In shootings reported on from 2010 through 2013, containing 14 shootings, there were 0 single spokespersons used, 3 used several spokespersons, and 11 used multiple spokespersons. In the end, it shows that 31%, or 19 of the 62 items did not use multiple spokespersons. However, 69% used multiple spokespersons.4. Enlisting the Help of Newsmaking Criminologists and Expanding Its Practice to Social WorkersBetween December 2012 and June 2014, there were 74 school shootings, or nearly one shooting per week (Fantz, Knight, & Wang, 2014). To many people, this may signal failed efforts to understand school shootings and the persons instigating violence perpetrated against themselves and others. The numbers may also speak to the issue of failed prevention efforts. Nevertheless, when the media reports on these incidents, they have almost exclusively turned to predictable news sources for information: police authorities, legal experts, school administrators, and teachers, as well as students and family members involved. Those who are hardly sought after for their expert analysis, opinions, and commentary are physicians, psychologists, and psychiatrists. To the point, in our investigation, we discovered that in


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only one instance, a social worker was interviewed in response to the aftermath of school violence. This suggests that the media relies on sources that are convenient, and not necessarily the most knowledgeable or notable about the causes, ramifications, and consequences of violence in general, and school shootings, in particular. We also found that typically news reports on school shootings are disproportionately based on eye witness accounts. At times, there were significant discrepancies about the facts as reported in the various media outlets. In fact, for some deaths, there was nothing to be found other than a brief statement written by a single reporter.Newsmaking criminology as explained earlier in this work is the practice of actively engaging the media to present the reality of crime and justice. More specifically, those experts using this practice should be professionally trained and educated about crime in general, specific behaviors that are injurious to society, and about justice in particular. Most importantly, these experts use the media to inform the public in a non-sensation seeking and non-biased manner to effectively present the reality of certain behaviors and the possible resultant events (Henry, 1994; Greek, 1994). This could add distinct and significant dimensions of truth and understanding that are consistently absent from the media accounts of the school shootings that have transpired over the past twenty-one years. Moreover, an educated public is different from one that is simply given news information since education allows for the objective processing of information in such a way that it is of value for meaning-making, whereas news in-and-of itself may only evoke innate reactions to a tragedy. Along with confusion and emotions attached to school shootings, inaccurate data, poor journalism, and assumptions about the event seemingly go unchallenged. Consequently, those who engage in newsmaking criminology are trained to ensure that crime reports provide an accurate reality and are not distorted, and that the information disseminated to the public is useable. Traditionally, newsmaking criminologists have been understood to only include criminologists and some criminal justicians. However, we argue that the practice should be expanded to include social workers since they bring a highly valued level of expertise and understanding of everyone involved in school shooting tragedies ranging from perpetrators, victims, and the degree of suffering and treatment needed by those in a community that have experienced violence directly as well as indirectly. Arguably, social workers may know more about locating appropriate treatment centers and healing agencies than their criminal justice and criminological counterparts. The treatment and healing aspect or consequence of crime and violence may be addressed differently by social workers. Therefore, their expertise and voice should be part of the discussion. The link between criminal activity, such as school shootings, and criminologists and criminal justicians may appear more relevant than between criminal activity and social workers. Social workers have not previously been considered as those who participate in newsmaking criminology, but the relationship is plausible. For example, it is widely known that social workers engage in therapeutic interactions with both youth and adult perpetrators of crime, in the roles of case manager, advocate, counselor, therapist, and probation officer. They may influence policy or serve as a prevention specialist. Their roles also touch the lives of victims of violence. However, being recognized as an expert reporter on crime and justice is a very different societal function.Monell (2014, p5) provides that “social workers are trained to pay attention, to notice, and to probe the behaviors of the people we interact with on a daily basis.” Monell, a forensic social worker, has discussed social workers focusing on how events unfold more so than on the reasons why they might occur. For example, a social worker is more likely to concentrate on the early behavioral cues of violence perpetrators and how those cues went ignored or unnoticed, as compared to others who may theorize about motives for violence. Social workers might not perceive school violence asa school structural problem, or as a failure on the school’s part to react appropriately to interpersonal violence occurring at school. Instead, social workers may be more inclined to examine the home or community for clues regarding why violence is carried out in the school environment (Cawood, 2013). This is known as utilizing the biopsychosocial perspective for understanding how behaviors develop, and for creating more effective violence prevention measures.Similar to criminologists and criminal justicians, social workers draw from a myriad of theories, some of which are even used in both social work and criminology, such as the strain theory (Weller, Bowen, & Bowen, 2013). This theory posits that the type of noncompliant behavior which emerges is in direct relationship to the type of environmental strain being experienced. If the behavioral cues are noticed, social workers can then assess a person’s environment to construct appropriate behavioral interventions that are aimed at correcting ill- adaptive mechanisms used to cope with strain. For example, some youth and adults might be reacting to one of the three types of popular strain: anticipated strain that occurs when a person fears being victimized; vicarious strain which is due to being a witness to violence; and experienced strain is when someone has actually experienced violence, such as bullying. In terms of school violence, social workers are probably the most adept at both educating the public about these matters and effectively assessing and intervening on nonconforming or disobedient behavior before a tragedy occurs.


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4.1 Accomplishing Newsmaking Criminology In order to effectively accomplish the practice of newsmaking criminology, the criminal justician, criminologist, social worker, or any other professional must first present the objective reality on all matters related to crime and justice and become an expert on the media. Perhaps of the two requirements, the latter is more challenging since one does not instantaneously become an expert on the media. In point of fact, how does one become an expert on the media? Must the expert (academic or practitioner) become a journalist or at the minimum learn to think as a journalist or news reporter? Should he or she have journalists, reporters, and editors as contacts? Should these experts learn to write and deliver news releases? For many, this may be a radical departure from writing and researching styles that they have grown accustom to, especially if their writings are typically peer reviewed or read by other practitioners. After all, they would be writing and reporting to a different audience with diverse backgrounds including different levels of education. Nevertheless, those engaging in the practice of newsmaking must learn to use the media to inform the public on the reality of crime and justice even if it means demystifying or unmasking the truth about areas the public has simply taken for granted as being reported as true. The processing of doing newsmaking will also require learning who is in charge of different news departments. It will invariably mean identifying the editor in charge so that they can either consult or send their independent work to the appropriate person in order to save time and to get their news releases out (Fedler et al., 1997). Moreover, when it comes to being interviewed on public radio or participating in radio broadcasting, newsmaking criminology requires flexibility. 5. ConclusionAt the beginning of our investigation, we presented two hypotheses: First, newsmaking criminology is not being used to inform the general public about school violence and shootings. Second, reports of school violence and shootings do not use multiple sources that may increase the likelihood of reaching a wider audience and offering more perspective as to why these events transpire and what can be done to prevent them. Because of the serious nature of school shootings, we believe that multiple sources are necessary since they can better inform the public about the nature and extent of such behavior and invariably help lead to prevention. The results from our research were mixed. We did find support for the first hypothesis, in that, we discovered only one case where a social worker spoke on the issue of school violence and shootings, but never a criminologist or criminal justician. We also found that of the 129 items that were systematically selected for this twenty-one year period, when we divided these data into two periods from (1992-2001) and (2002-2013), multiple sources were used at 52% and 69%, respectively. While the use of multiple sources has increase over the years, more experts need to be spokespersons because of the serious nature of school shootings. More specifically, the study reveals that the majority of sources used by the media that were published during this period, disproportionately relied on law enforcement, news reporters, and school officials, respectively. Our explanation for this is twofold: First, police, reporters, and school officials are easilyamong the first to respond on the crime scene to school shootings. More specifically, police investigate the facts in these matters to make arrests, reporters inform the viewing public about these matters, and school officials update parents and television viewers on the circumstances and impact that shootings have on their respective campuses. Furthermore, these sources provide a different level of involvement and participation. This is not the case for the practice of newsmaking criminology or this group of experts who the public may know very little about. Our sample and research findings did not reveal evidence of newsmaking criminology efforts in the literature from 1992 through 2013. This does not mean that experts using this practice are not working behind the scenes with the media, meeting and working with editors and reporters, helping media with the reality of facts, attending town hall meetings, utilizing social media, or engaging in other activities. What it means is that the content analysis method is unable to detect activities that are not published in the literature. Therefore, further research should be conducted to uncover the impact of newsmaking criminology on activities that are not reported in the literature. With that said, we challenge those who engage in newsmaking criminology (e.g., criminologists, criminal justicians, social workers and others) to incorporate their important work into the academic literature. We believe that the practice of newsmaking criminology can better explain and impact public policies that will effect change.ReferencesAnderson, J. F., Mangels, N. J., & Dyson, L. (2003). Criminal Justice and Criminology: A Career Guide to Local, State,

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Brooks/Cole.





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Searching for a Biblical Worldview:From an Ecofeminist Theological Perspective

Ioanna Sahinidou1

1Wales University Trinity Saint David, 16 Lazeon str, 11741 Athens, Greece.Correspondence: Ioanna Sahinidou, Wales University Trinity Saint David, 16 Lazeon str, 11741 Athens, Greece.

Received: May 4, 2015 Accepted: May 19, 2015 Available online: August 4, 2015doi:10.11114/ijsss.v3i5.1003 URL: http://dx.doi.org/10.11114/ijsss.v3i5.1003

AbstractThe paper draws from my doctoral thesis (Sahinidou I., 2014)1. I make my case for an Christological perichoresis as an evolutionary step further in the direction of ecofeminist theology. God is present in all things by virtue of their being created. A few discussed paradigms by theologians help us see whether a non-anthropocentric biblical view, counter to dominion could be possible. If Gen. 1.26-28 is isolated, we may think that dominion is the normative biblical orientation for human-earth relations (Rasmussen, 2000).2 Yet, a theology of creation must be situated within the context of the entire Bible.A holistic theology realizes that together with all beings, we must live responsibly. This perspective can evoke the religious sense that every being is valuable and that the whole forms a unity. A retrieved biblical, patristic, ecological view of the scheme of things and our place in it can be a call for us to know the world neither anthropocentrically, nor as isolated beings, but displace humans as the central goal of creation and re-position them as partners in its process. New science helps us realize our cosmic interrelated being and a sense of the whole (Eaton, 2005).3 The paper was presented during the Conference: ECOTHEE June 2015, Orthodox Academy of Crete. Keywords: Anthropocentrism, dominion, Christology perichoresis, interrelatedness, creation. 1. Introduction How did evil enter creation since God “saw all that he had made and it was very good (Gen. 1.31)? The verses “[Adam, said God] Cursed is the ground because of you” (Gen. 3.17b-18) tell us that the earth is cursed, after the fall because of humanity. What is creation’s future? The verse Romans 8.20 “creation was subjected to frustration, not by its own choice but by the will of the one who subjected it, in hope that the creation itself will be liberated from its bondage to decay andbrought into the glorious freedom of the children of God” brings hope for creation to be liberated along with the children of God.2. An Christological, Non Anthropocentric WorldviewΠεριχώρησις (Liddell &Scott, 1902)4names the dynamic process of making room for another around oneself, or to extend one’s self round about. I focus on Christological Perichoresis that is the co-inherence in Christ of the human and divine natures for the bridge they build between the Creator and creation. Trinitarian inter-relationships go further than the cosmological scientific mode of relatedness, bearing an Christological message for wilful openness towards the ‘other’, when Logos was incarnated (Grey, 2003).5 I reclaim the patristic Christological use of perichoresis to show how we could bring together different entities, such as God and nature, look at them in unity, as the one person of Christ, and acknowledge the perichoresis between divine and human, divine and nature, while their identities are not confused. Christological perichoresis supports the idea that the whole of creation will be included in God’s recreated cosmos responding to the redeeming power of Christ who became flesh, entering the web of life as a creature. In my doctoral

1 Sahinidou I. (2014). What Hope for the Suffering Ecosystems of our Planet? The Contextualization of Christological Perichoresis for the Contemporary Ecocrisis. Frankfurt: Peter Lang.

2 Rasmussen L.L. (2000). Earth Community Earth Ethics. Maryknoll, New York: Orbis. p.229. 3 Eaton H. (2005). Introducing Ecofeminist Theologies. New York: T & T Clark International. pp.93-102. 4 Liddell H & Scott R. (1902). ‘perichoreo’ Dictionary of the Greek Language v. 3 L-P. Athens: Konstantinidis. p.570.

5 Grey M. (2003). Sacred Longings. London: SCM Press. pp.72-74.


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thesis, I defend an Christological, perichoretic non anthropocentric worldview that unites the temporal with the eternal, the divine with the cosmic, in Christ (LaCugna, 1993).6

The relations between the divine and fleshy natures of Christ permeate ineffably through not just human flesh. This becomes a key idea for theological anthropology undercutting ideas of human existence apart from the rest of creation (McFague, 1993).7 Realizing the Word as creator and re-creator of creation, a Christian scientist can recognize the task that can free nature from exploitation under modern technocratic cultures (Louth, 2004).8 We may discern and retrieve Christological perichoresis and the sense of the whole, lost in the mechanistic era. The relationship between created and uncreated is based on the ‘union without confusion,’ between divine and human natures in the one Christ incarnate(Bishop Kallistos Ware, 1998).9 Christological perichoresis can be an original starting point in perceiving both the economy of incarnation and resurrection that places perichoresis in the mystery of the communion between the trinity and the cosmos (LaCugna, 1993).10

Since Augustine, in the west theology emphasizes human uniqueness focusing the doctrine of redemption on the salvation of the human soul. The anthropocentric conception of salvation led to the exclusion of non-human creation from the vision of redemption realizing only humans as the object of divine cosmic concern (Northcott, 2004).11Christian trinitarianism reveals for Christians and affirms for modern science, the sacred cosmic nature (Nesteruk, 2004).12 Our encounter with God in Christ is a renewal of ourselves so as to discern the will of God and follow it; it is a rebirth, not an intellectually gained knowledge (John 3.7-8).2.1The human and the earth stories in Genesis 1A common place in the patristic texts is the belief that the Trinitarian God is imaged in the entire creation since creation is an icon of Godself (Keselopoulos, 2001);13 based on Romans 1.20: “since the creation of the world God’s invisible qualities—his eternal power and divine nature—have been clearly seen, being understood from what has been made.” The story of humans (Gen. 1.26-30) subduing earth violates the previous earth oriented story (Gen. 1.1-25). Within the earth story, no reason is given as to why a pristine earth revealed as a source of life and fertility had to be ‘subdued’. Elohim finds earth as good. The story concerns the era before humans spoiled the pristine earth. Τhe text moves from honouring earth as a geophany, to negating it as a force to overcome. Putting the text into context, we can see the narrator as living in the harsh Palestine environment and viewing the land as an alien force to be harnessed by hard work to produce food. We must recognize the intrinsic value of the earth and restore the earth story as a counterpart to the human story with which it interacts in (Habel, 2000)14 other stories in the Bible. The context makes a difference to exegesis. Psalm 8 from the context of Palestinian farming communes struggling to make a living in harsh conditions in a life style treading on the earth, can be read as inviting the poor farmer to take a wider view of creation and his part in it and glorify its creator. If the text is read from our own contexts, given our exploitative ecological footprint it justifies domination of nature (Grey, 2003).15

2.2 God’s Covenant with the Earth and the Entire CreationAfter the flood, the covenant is entered into the entire creation (Gen.9: 8-17). God said to Noah: ‘I am establishing my covenant with you and your descendants to come and with every living creature that was with you,’ ‘I now set my bow on the clouds and it will be a sign of the covenant between me and the earth.’ Israel received the land as a gift from God the caretaker: ‘the land shall not be sold in perpetuity, for the land is mine; for you are only strangers and sojourners with me’ (Lev.25: 23). Care for the earth, concern for the poor, sensitivity for both wild and farm animals, are met in Ex.10-2 and in Lev 25.4-7. All workers need rest:

the seventh year you shall let [the land] rest… the poor of your people may eat; and what they leave the wild animals may eat. You shall do likewise with your vineyards, and your olive orchard… you shall

6 LaCugna M. (1993). God for Us. New York: HarperSanFrancisco. pp. 270-4.7 McFague S. (1993). The Body of God. Minneapolis: Fortress Press., pp.105-6. 8 Louth A. (2004). The Cosmic Vision of Saint Maximos the Confessor. Clayton & Peacocke (Eds). ,In whom we Live and Move and

Have Our Being. Grand Rapids, Michigan, Cambridge: William B. Eerdmans Publishing Company. pp.194-6. 9 Bishop Kallistos (Ware) of Giokleia. (1998). Foreword. Sherrard, Christianity Lineaments of a Sacred Tradition. Brookline,

Massachusetts: Holy Cross Orthodox Press. p.xix. 10 LaCugna M. (1993). God for Us. New York: HarperSanFrancisco. pp.270-4.11 Northcott M. (2004).Ecological Crisis and Environmental Ethics. In Lucas Vischer (ed.) Listening to Creation Groaning. Geneva: John

Knox Series, 2004, p.212. 12 Nesteruk A. V. (2004). The Universe as Hypostatic Inherence in the Logos of God. Philip Clayton & Arthur Peacocke (ed.). In whom

we Live and Move and Have Our Being. Grand Rapids, Michigan/Cambridge: William B. Eerdmans Publishing Company. p.183. 13 Keselopoulos A. (2001). Man and the Environment. New York: St Vladinir’s Seminary Press. p.22.14 Habel N. C. (2000). Geophany: The Earth Story in Genesis 1. In Habel N. C. (ed.), The Earth Story in Genesis. Sheffield: Sheffield

Academic Press. pp.34-48,47-8.15 Grey M. C. (2003). Sacred Longings: Ecofeminist Theology and Globalization. London: SCM Press. pp.12-3.


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rest; your ox and your ass may have rest, and the son of your bondmaid and the alien may be refreshed. (RSV)

We now know about the environmental benefits of allowing land to lie fallow every few years, giving working and production animals a rest periodically and this also for laborers. We must consider the rotational grazing of livestock.2.3 The Wider Ecology of CreationPraise of God was not confined to humans alone. In Ps 148:1, 2-4, 7-12 the entire creation is invited to praise God. When we know humans as representatives of creation in front of God, we forget that any creature has its own voice to praise God. A reading of the wisdom literature confirms the contention that the Genesis 1 account is not anthropocentric. God’s response to Job places Job in the fragile economy of creation’s world. Reading Job 38-40 next to Gen. 1.26-28 the sense of domination evaporates. Job as representative of humanity does not have the knowledge or power to rule any of creation’s domains. The demands of justice must be located in the broader frontiers of God’s freedom and love unknown to humans. God’s speeches to Job reject an anthropocentric creation. God takes care of the creatures (Job 38.41, 39.1-3), having a bond with them. God places Job within the diversity of the life forms to find his place in creation as a member of a wider community, offering a cosmology where humans stand alongside all creatures (McDonagh, 1990).16 God challenges Job’s cosmology because Job cannot account for all natural phenomena. The wild is full of mysteries unknown to us; creatures live independent of humans (Palmer, 1992)17 who are not God-authorised to rule over all creatures. Job is led into wider visions of wisdom. Redemption is the creation’s healing and transformation; the realization of the life potential of all being; the celebration of the gift of life of a caring (Rasmussen, 2000)18 Creator, sustainer and redeemer of creation:

Who is this that darkens my counsel with words without knowledge?... Where were you when I laid the earth’s foundation?.. (38.1-4)

Have you ever given orders to the morning or shown the dawn its place. (38.12)

Have you journeyed to the springs of the sea or walked in the recesses of the deep? (38.16)

Who fathers the drops of dew?

Look at the behemoth, which I made along with you (45.15) He ranks first among the works of God (40.19).

To renew our bond with the cosmic spheres of life (Abram, 1997)19, we need languages to show a cosmological phenomenon happening in an animate cosmos. A galaxy activates the dynamics of a cloud; ‘listening’ the cloud of hydrogen responds by making itself into stars. To say that hydrogen’s quantum tendency is influenced by the waves passing through the cloud and a shock wave initiates a cloud’s implosion, we describe events in a univocal physics-language. A metaphorical expression might be to say that the hydrogen ‘listens’ to the galaxy voices and responds by creating stars (Swimme & Berry, 1992).20 ‘Do we hear the heavens declaring the glory of God, the skies proclaiming God’s work; the speech that the days and nights pour forth, displaying knowledge? Their voice goes out into all the earth’. (Psalm 19.1-6). ‘Go to the ant, you sluggard, consider its ways and be wise. It has no commander, no overseer or ruler, yet it stores its provisions in summer and gathers its food at harvest.’ ‘ask the animals, and they will teach you, or the birds of

16 McDonagh S. (1990). The Greening of the Church. Maryknoll, New York: Orbis. p.127,147-8,151. 17 Palmer C. (1992). Stewardship: A Case Study in Environmental Ethics. In Ian Ball et al. (eds), The Earth Beneath: A Critical Guide to

Green Theology. London: SPCK. p.70. 18 Rasmussen L. L. (1996) Earth Community Earth Ethics. Maryknoll, New York, Orbis. pp.256-7.19 Abram D. (1997). The Spell of the Sensuous. New York: Vintage. pp.138,179,273-4. 20 Swimme B. & Berry T. (1992). The Universe Story. .New York: HarperSanFrancisco. p.43.


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the air and they will tell you; or speak to the earth, and it will teach you, or let the fish of the sea inform you. Which of all these does not know that the hand of the Lord has done this?’(Proverbs: 6:6-8. Job 12: 7-9).In Deuteronomy 22.6 we read: ‘If you come across a bird's nest beside the road, either in a tree or on the ground, and the mother is sitting on the young or on the eggs, do not take the mother with the young,’ an analogy that speaks to environmental sustainability - human beings, can utilize the products of the world's ecosystems (the young birds), but not destroy the source (the mother bird) while developing societies.2.4 The Ecology of Creation in the NTIn the parables, nature is included in Jesus’ vision of liberation from oppression. God’s kingdom is like a woman with yeast; or a mustard seed becoming a tree; or the birds that take shelter (Luke 13). Jesus compares growth to being pruned and tended like the vines (John 15.1-6); the lilies are a model for God’s providence (Luke 12.28). Jesus’ ministry was bedrock of a healed creation. He dealt with creation’s natural phenomena. He revealed his glory by changing the water into wine (John 2.9); raising Lazarus from the dead (John 43.9); calming the storm (Luke 8.24). The voice of the earth beings manifests itself in earth-languages of communication as sign, image, sound; it points to a reality embodied in nature as a hermeneutic tool to relate to the earth as kin (The Earth Bible Team, 2001).21 NT passages read in a perichoretic language show the Creator communicating with all the beings in distinct ways. Perichoretic languages express the interrelatedness of all that exist. Some paraphrased biblical verses: Jesus ‘rebuked the wind and said to the waves, be still;’ the waves responded to his words as living nature to its Creator ‘and it wascalm’. ‘The star, responding to Jesus’ birth, went ahead stopping over the place where he was.’ ‘When Jesus gave up his spirit, the earth shook and the rocks split shocked. The tombs broke open and the bodies of many holy people who had died(Mark 4:9, Matthew 2:9, Matthew 27: 51) reacted bringing new life.’ 3. Epilogue Jesus’ life, healings, miracles; engagement with animals are seeds of new creation (McDonough, 1990).22 The word for

Adam from adamah-earth assumes a kinship of earth and humans. God’s covenant with the earth, the voices of the other beings besides human that praise God, the inclusion of animals in sabbatical rest, restrictions on the use of mammals, the blood mammals share with us limit our rights to the lives of other beings (Ruether, 1999).23 Α main contribution of ecofeminist theologies is that they stretch the limits of Christology and salvation toward ecological responsibility and a vision of cosmic salvation.References Abram, D. (1997). The Spell of the Sensuous. New York: Vintage. Bishop Kallistos (Ware) of Giokleia. (1998). Foreword. Sherrard, Christianity Lineaments of a Sacred Tradition.

Brookline, Massachusetts: Holy Cross Orthodox Press. Eaton, H. (2005). Introducing Ecofeminist Theologies. New York: T & T Clark International. Grey, M. C. (2003). Sacred Longings: Ecofeminist Theology and Globalization. London: SCM Press. Habel, N. C. (2000). Geophany: The Earth Story in Genesis 1. In Habel N. C. (ed.), The Earth Story in Genesis.

Sheffield: Sheffield Academic Press. Keselopoulos, A. (2001). Man and the Environment. New York: St Vladinir’s Seminary Press. LaCugna, M. (1993). God for Us. New York: HarperSanFrancisco. Liddell, H., & Scott, R. (1902). ‘perichoreo’ Dictionary of the Greek Language v. 3 L-P. Athens: Konstantinidis. Louth, A. (2004). The Cosmic Vision of Saint Maximos the Confessor. Clayton & Peacocke (Eds). In whom we Live

and Move and Have Our Being. Grand Rapids, Michigan, Cambridge: William B. Eerdmans Publishing Company. McDonough, S. (1990). The Greening of the Church. Maryknoll, New York: Orbis Books. McFague, S. (1993). The Body of God. Minneapolis: Fortress Press. Nesteruk, A. V. (2004). The Universe as Hypostatic Inherence in the Logos of God. Philip Clayton & Arthur Peacocke

(ed.). In whom we Live and Move and Have Our Being. Grand Rapids, Michigan/Cambridge: William B. Eerdmans Publishing Company.

Northcott, M. (2004).Ecological Crisis and Environmental Ethics. In Lucas Vischer (ed.) Listening to Creation

21 The Earth Bible Team. (2001). The Voice of Earth: More than Metaphor? In Habel N. C. The Earth Story in the Psalms and the Prophets. Sheffield: Sheffield Academic Press.pp.23-8.

22 McDonough S. (1990). The Greening of the Church. Maryknoll, New York: Orbis Books. pp.158-164.23 Ruether R. R. (1999). Gaia and God, an Ecofeminist Theology for Earth Healing. New York: HarperSanFrancisco. pp.19-22.


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Groaning. Geneva: John Knox Series. Palmer, C. (1992). Stewardship: A Case Study in Environmental Ethics. In Ian Ball et al. (eds), The Earth Beneath: A

Critical Guide to Green Theology. London: SPCK. Rasmussen, L. L. (2000). Earth Community Earth Ethics. (2nd ed.) Maryknoll, New York, Orbis. Ruether, R. R. (1999). Gaia and God, an Ecofeminist Theology for Earth Healing. New York: HarperSanFrancisco. Sahinidou, I. (2014). What Hope for the Suffering Ecosystems of our Planet? The Contextualization of Christological

Perichoresis for the Contemporary Ecocrisis. Frankfurt: Peter Lang.Swimme, B., & Berry, T. (1992). The Universe Story. .New York: HarperSanFrancisco.The Earth Bible Team. (2001). The Voice of Earth: More than Metaphor? In Habel N. C. The Earth Story in the Psalms

and the Prophets. Sheffield: Sheffield Academic Press.





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The Regulatory and Supervision Framework of Microfinance in KenyaAbd Elrahman Elzahi Saaid Ali1

1Islamic Research and Training Institute, Saudi ArabiaCorrespondence: Abd Elrahman Elzahi Saaid Ali, Islamic Research and Training Institute, Saudi Arabia.

Received: June 11, 2015 Accepted: June 25, 2015 Available online: August 4, 2015doi:10.11114/ijsss.v3i5.1004 URL: http://dx.doi.org/10.11114/ijsss.v3i5.1004

Abstract Microfinance is one of the essential branches of lending that is used to mitigate the negative impact of the increasing incidence of poverty and unemployment in Kenya. This highlights the important need for an effective regulatory and supervisory framework for Microfinance Institutions (MFIs) in this country. This research attempts to investigate the performance of the Kenyan microfinance regulatory and supervisory framework through extracting and analyzing secondary data sources. Kenya has not unified the regulatory and supervisory framework for the microfinance sector based on the results of the logical descriptive analysis. The involvement of different bodies, which are include associations, clubs and churches, in regulation might have weakened the effectiveness of outreach and represents more challenges for the microfinance sector in Kenya. However, these results have strong implications for the regulators and the governments when they tried to regulate MFIs. Keywords: Microfinance Regulatory System, poverty alleviation, Kenyan MicrofinanceJEL Classification: G21, G23, G281. Introduction:Like in other African countries, Kenya’s association with weakness in infrastructure, security, land tenure, education, employment, and drought management strategies, has led to severe poverty particularly in the northern part of the country. The previous report showed that 50% of the Kenyan population are poor and hence has no access to formal banking. Based on the Financial Sector Deepening Trust (FSD)1, Kenyan banks serve no more than 4 million people, leaving the rest of the economically active population to depend on risky and expensive informal and semi-formal sources of finance. These sources of finance are not subject to the prudential regulations that apply to banks and other formal-sector institutions. The challenge is that informal and less regulated funds are highly expensive and sometimes beyond the capacity of the active poor. Because of these, the informal lenders themselves leverage and mobilize expensive capital from external resources.The high level of poverty and the growing awareness of the role of microfinance drew the attention of the Kenyan Government to the importance of microfinance in alleviating poverty. Microfinance is the money loaned to low-income people or the economically active poor and small-scale enterprises that lack access to funds through the formal lenders. The Central Bank of Kenya (CBK) defines a microfinance institution (MFI) as an institution that offers financial services such as credit, savings, insurance, and money transfer services to the poor, low-income households, and Small and Medium Enterprises (SMEs) that do not qualify for, and therefore lack access to traditional formal financial institutions. CBK broadly divides the microfinance institutions into deposit-taking and non-deposit-taking microfinance institutions. The deposit-taking microfinance institutions (DTMs) are licensed and regulated by the CBK and are permitted to mobilize and intermediate (or lend) deposits from the public. However, unlike commercial banks, DTMs can only engage in a limited range of products. They are not allowed to invest in enterprise capital; undertake wholesale or retail trade; underwrite place of securities; and purchase. On the other hand, non-deposit-taking microfinance institutions are regulated by the Ministry of Finance, and are not allowed to mobilize public funds. Thus, they can only lend their own funds or borrowed funds. Both categories of MFIs support the economic activities of the youth, the marginalized and the poor, and SMEs

1 http://www.fsdkenya.org/The researcher appreciates the efforts of Wahida Mohamed, the research assistant who helped in data collection


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contribute immensely towards poverty alleviation. Therefore, the sound development of a conducive regulatory and supervisory environment in Kenya should take into account the different categories of MFIs. In addition, facilitating their rapid growth is vitally important. Hence, this study attempt to investigate the effectiveness of Kenya current microfinance regulatory framework and suggest some modification for more improving if found ineffective.2. The Financial System Development of Microfinance Sector in KenyaThe earliest forms of microfinance and microcredit in Kenya were church-based lending programs that arose in the 1980s. Most were confined to specific church parishes that started with local financing for members before they developed into institutions that could cover a wider number of people in the rural and suburban areas of Kenya. While these church-based lending programs served the primary function of providing credit to the members of their congregations, they were often very small and their operations are limited to specific geographic locations but with limited reach and financial resources. However, they still served the function of providing limited credit facilities to their members for use in specific purposes.However, in many cases, these organizations were overwhelmed by the demand for credit by their membership. From the beginning, nongovernmental organizations (NGOs) began to fill this gap by extending the credit services more widely. Due to this, in the 1990s, the NGOs developed functioning systems to facilitate the administration of the credit delivery. The programs were funded and were not necessarily considered as outright business ventures in spite of the success that most of the schemes achieved. As the successes of the microcredit institutions grew, they received considerable funding and began to turn into full commercial entities. This development was also supported by the increased competence in administration, credit assessment, and the organization of individuals into groups to facilitate the collective guarantee of loans by individual members. Thus, as the microfinance industry in Kenya grew, the institutions assumed various formal structures and were registered under different statutes.In the 1990s, many microfinance institutions moved away from serving closed groups into more formalized institutions. This institutionalization required that the microfinance and micro-credit institutions should also move away from being subsidized institutions into more of commercial entities. Evidence of the growth and increasingly significant role played by the micro-credit and microfinance institutions is seen in the development of the K-Rep Bank. The K-Rep Bank is the first of the microfinance institutions in Kenya to develop into a full commercial banking enterprise. In order to conduct its business as a banking institution, the K-Rep Bank was registered under the Central Bank of Kenya Act (Cap 488)i.The Kenyan banking sector has experienced a continued growth trajectory. It is developing and deepening faster than the overall economy. It grew by 9% in 2010 and 7.8% in 2011, while the economy grew by 5.8% and 4.4% in 2010 and 2011ii, respectively. This development within the financial sector is strongly guided by the medium-term objectives of the financial sector reform and development strategy embedded in the economic development blueprint, ‘Vision 2030’, which covers the period of 2008-2030. The 2030 vision for financial services is to create a vibrant and competitive financial sector that will create jobs and promote a high level of savings to finance Kenya’s overall financial needs. It provides for the introduction of both legal and institutional reforms in the sector that will enhance transparency in all transactions, build trust, and make the enforcement of justice more efficient. Therefore, Kenya is one of the first African countries that discovered the importance of microfinance as one of the essential tools for poverty eradication. The country exert more efforts to develop and promote microfinance business in its territory. Microfinance business in Kenya is usually carried out through different institutional forms. These institutions are formal, semi-formal, and non-formal microfinance providers. The formal institutions cover the commercial banks, non-bank financial institutions, microfinance companies, etc. Others are semi-formal such as co-operative societies, trusts, NGOs, and state corporations (such as the Uwezo Fund and Women’s Enterprise Fund). In addition, there are other in-formal financial institutions, such as Rating Savings and Credit Association (ROSCAs), and Accumulating Saving and Credit Associations (ASCAs). The ROSCAs, ASCAs, and moneylenders are user-owned, and they are managed to offer products tailored towards the needs of their different communities (Figure 1).


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Figure 1.Kenya’s Financial Sector LandscapeRecently, the total asset of the Microfinance Institutions (MFIs) in Kenya has increased steadily compared to the previous years. The growth was at an average of 30.4% and are worth over KES 220bn (USD 2.59bn) as of December 2011, up from KES 129bn (USD 1.71bn) as of December 20092.Equity bank represents the main contributor to this growth. It represents 80.4% of the total asset in the sector. Despite this growth, Kenyan microfinance sector is still weak compared to the size of its clients. Recent reports showed that if commercial banks are excluded, the Kenya microfinance sector is less strong, and relatively stagnant. In 2011, DTMs recorded a negative growth despite the fact that there was an increase in the number of granted DTM licenses. However, the number of borrowers in this sector reached nearly 1.5 million with the value of the outstanding loanbook standing at KES 138.4bn as of December 2011 (USD 1.6 bn), which represented positive growth trends. Total liabilities amount to KES 178.4bn (USD 2.2bn) as of December 2011 which showed steady growth trends of 40% in 2011compared to 27.6% in 2010. However, the sector largely funds itself with deposits collected from the public, which account for 58.9% of total assets. In addition, total equity accounts for 18.2% of total assets, followed by borrowings accounting for 16.6%. Thus, the compulsory savings on the other hand, accounts only for 4.16% of the funding structure.

Figure 2. Liabilities and Equities of Kenyan MFIs The report on Kenyan financial inclusion shows an increase in formal prudential. Figure 3 showed that formal financial inclusion grew 10.6% between 2009 and 2013 compared to a 7.1% growth between 2006 and 2009. Thus, the growth of financial inclusion in Kenya has been reflected positively by the decrease in the proportion of people excluded for the same period. As indicated in Figure 3, the number of people excluded decreased gradually to 6% between 2009 and 2013. This was a little less than the decrease between 2006 and 2009, which was recorded as 7.9%.

The period between 2006 and 2009 also showed that the formal financial inclusion outperformed the informal financial inclusion. Hence, the proportion of people relying solely on informal types of financial services has been steadily decreasing from 33.3 in 2006 to 7.8 in 2013 as shown in figure 3. Likewise, the formal registered financial

2 AMFI Kenya’s 2012 annual report on


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inclusion also showed negative increase. The statistical status of the inclusion for the period between 2006 and 2009 clearly reflects the great efforts exerted by the Kenyan government in regulating the promotion of financial inclusion tools across the society, particularly the formal prudential inclusion.

Figure 3. Access Strands by Year (%)(Source FinAccess 2013 Report) 3. Micro-finance Regulatory and Supervision Overview Current literature and actual practice show that the government and donor funds collectively could only supply a small fraction of global microfinance demand. Hence, financial intermediation by self-sufficient institutions is the only way that financial services can be supplied to lower-income people worldwide (Marguerite S. Robinson, 2001). Despite the importance of microfinance as a means of poverty alleviation and a labor-intensive sector, their providers face even the challenges of survival. The previous study argued that only the microfinance provider can cover its costs, continue its operations in a sustainable way, and generate benefits to its clients (H.Schmidt and Zeitinger, 2003). In order to promote microfinance effectively and maintain its sustainability, there must be a suitable regulatory system in place. The literature showed that microfinance institutions must be able to enter the arena of a licensed and prudentially supervisedfinancial intermediation, while at the same time; regulations must be crafted in such a way that allows the effective and efficient development of the MFIs (Peck Cristen et al., 2003). Therefore, the availability of a set of enforceable binding rules called prudential regulation or prudential supervision that govern the conduct of microfinance providers are essential. Prudential regulation refers to a set of general principles or legal rules that aims to contribute to the stable and efficient performance of financial institutions and markets (Chaves and Gonzalez_Vega, 1994). The purpose of prudential regulation is to ensure the financial soundness of financial intermediaries such as banks, microfinance institutions, etc., and to prevent financial system instability.Many countries are applying different instruments of prudential regulation. Therefore, there is a variation on the type and scope of government regulation of depository financial intermediaries. The two frequently adopted instruments of regulation are preventive and protective regulation. The preventive regulation is a pre-crisis measure that is taken by external supervisors in order to reduce the probability of failure of the financial institutions. It tries to control the riskexposure of the financial system. The external supervisors use entry and ongoing requirements as instruments of preventive regulation. In addition, entry requirements ensure that only financially healthy institutions join the market place. The entry requirements are usually based on the minimum capital requirements, ownership criteria, feasibility studies, capital to asset ratio etc. This type of regulation is one of the most powerful actions that were taken by external regulators. Preventive regulation might be most difficult to apply in Kenyan microfinance sector. Kenya is associated by a less-regulated sector that follows different jurisdiction.Protective regulation on the other hand is a post-crisis measure taken by external regulators to avoid run on deposits by assuring the depositors that they will be the first to withdraw the funds from the financial intermediaries. Protective regulatory instruments include government as a lender of last resort, deposit insurance, and the formalized process of financial intermediaries restructuring and reform. The regulations, whether preventive or protective, need an effective enforcement framework called prudential supervision. Prudential supervision refers to the process of enforcing the regulatory framework (Chaves & Vega G., 1994). It is an external oversight of the financial institution through examining and monitoring mechanisms to verify compliance with the approved regulations. Through effective supervision, financial institutions are monitored and directed to ensure that they comply with the regulatory requirements.


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Evidence showed that efficient regulatory policies are useless if not backed by the enforcement mechanisms of efficient supervision (Christen and Rosenberg, 2000). The prudential supervisory system works as an early warning for the financial system. Thus, the more important aspect in the supervisory role is the existence of effective and accurate supervisory indicators. Hence, the challenges that might face Kenyan regulatory authorities is to design effective supervisory indicators for measuring risks, monitoring, and analyzing the impact of external events on the performance of the microfinance services providers. In addition, the effective mechanisms of supervision of financial institutions comprises offsite and on-site supervision. The off-site supervision is an early warning system based on the analysis of the data reported to the supervisory authority. On-site supervision such as CAMEL and PEARLS involves actual visits to the financial institutions to verify that the data fed to the off-site system are accurate. However, recent development indicated that central banks are moving towards introducing risk-based supervision approach. The main source of the microfinance institutions are external and internal auditors. Adoption of a sound system of regulation and supervision framework has gained substantial attention at the top level. The rationale of that attention is to minimize the effects of market failure, protect public deposits and small depositors, ensure integrity and financial stability of financial systems, and promote efficient performance of the institutions.3 The regulatory framework of any country should therefore have a clear rationale and objectives for regulating the financial sector; otherwise, it will lead to wastage of scarce supervisory resources, unnecessary compliance burdens of licensed institutions, and development of the financial sector will be constrained. Hence, any authority needs to design an effective regulatory and supervisory system for microfinance that is flexible enough to comply with the diversity of clients, permit fairness and cost effectiveness. According to (Chaves and Gonzalez_Vega, 1994), the regulatory and supervisory system should be flexible enough to fit into the environment in which the MFIs operate, the market niches they serve, and their institutional design.4. Kenyan Microfinance Regulatory and Supervisory Legal FrameworkDespite the low growth of the Kenyan economy in recent years, the country’s microfinance sector continues to evolve rapidly as shown previously for the years between 2006 and 2009. The country encourages the introduction of communication technology. Consequently, mobile money services are being used widely in Kenyan communities. This innovation and rapid development of many local efforts driven by the demand side to provide financial services to microfinance clients unreached through the formal channels, seem to have generally overtaken policy formulation by the Kenyan government. The country recently encouraged the regulator to formulate a regulatory system for microfinance through mandated standards of performance that assist the financial sector in moving from a less-regulated environment to a tightly-regulated one. Kenyan microfinance sector is quite unlike the formal banking sector or like other microfinance sectors in the neighboring countries. In Kenya, the sector is regulated and supervised under different jurisdictions and laws. Because of that, it faces various challenges and constraints that might limit its role to achieve the desired level of outreach and sustainability. There are primary and secondary legislation regulating the microfinance industry in Kenya. Kenya issued separate laws to promote microfinance. Despite of that microfinance in Kenya is regulated under different laws, including the banking law and the Microfinance Act, which was issued in 2006 and amended in 2013. Hence, the Microfinance Act 20064 and the Central Bank of Kenya Act5 primarily governed the industry.The main objective of the Microfinance Act is to provide the legal, regulatory and the supervisory framework for the Deposit-Taking Microfinance Institutions (DTMs). The Act categorises the Deposit-Taking MFIs as nationwide MFIs (operating countrywide) with a minimum core capital of KES 60M (USD 860,000) and Community MFIs (operating within a specific administrative region) whose minimum core capital is KES 20M (USD 300,000). The Act makes provisions for MFI license issuance, revocation, and restriction; provides for MFI entry into regulated status; defines the minimum core capital requirements and prohibited activities; provides limits for loans or credit facilities; defines ownership and management structure; provides for supervision by CBK; and stipulates the terms for periodic reporting to the CBK. The Microfinance (Amendment) Bill 2013 increased the range of financial services that the DTMs can offer. Moreover, the amended version has differentiated between the regulated microfinance institutions and the un-regulated microfinance lenders. This was because the law requires the regulated MFIs to incorporate the term DTM into their names. Therefore, the amended Act enhances market confidence in Kenya’s microfinance sector. In addition, Section 14

3 Armstrong and et al., cited in Thankom Arun, 2004 4 Laws of Kenya, the “Microfinance Act 2006”, (Chapter 19)5 Laws of Kenya, the “CBK Act”, (Chapter 491)


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of the Microfinance Bill gives DTMs the right to issue third party checks, operate current accounts, and perform foreign trade operations. This recent amendment in the Kenyan microfinance law has transformed the DTMs into microfinance banks. This transformation will help in reducing their reliance on expensive loans from local and international banks for lending. Hence, foregoing evidences support that microfinance sector in Kenya is regulated under the various primary and secondary legislations. Apart from Microfinance Deposit Taking Institutions, other microfinance providers regulated under different formality such as Building Societies, Churches. Based on that the sector, was expanded both formally and informally. Thus, there are a number of microfinance licenses issued under Kenya microfinance laws. These are about nine Deposit Taking Microfinance Banks providers, and 35 credit microfinance institutions. These are in addition to the informal microfinance institutions and development partners.The second element after the primary and secondary legislation is the supervisory authority and delegation. The main supervisory authority for the deposit-taking microfinance institutions is the Central Bank of Kenya, while the non-deposit taking microfinance activities are delegated to be supervised by the Microfinance Finance Unit of the Ministry of Finance. Based on that, Kenya has defined three regulatory tiers. These tiers are defined under Deposit Taking Microfinance (DTM) Bill and they represent both formal and informal microfinance providers.The DTM bill is intended to regulate the three different tiers of microfinance institutions. The first tier comprises formally constituted deposit-taking MFIs which are regulated and supervised by Central Bank of Kenya (CBK) via the Deposit Taking Microfinance Bill. The Bill empowers the CBK to license, regulate, and supervise formally constituted microfinance institutions intending to take deposits from members of the public. Furthermore, specific performance parameters and appropriate guidelines were developed to facilitate the supervision of this group of MFIs. This group of MFIs is also a member of the Deposit Protection Fund Board (a deposit insurance scheme) that protects depositors’ deposit up to KES 100,000. The second tier comprises formally constituted credit-only MFIs that do not take deposits from the public, but can accept cash collateral tied to loan contracts. This tier is regulated and supervised by the Microfinance Unit in the Ministry of Finance through regulations issued by the Minister for Finance. The third tier consists of informal MFIs such as ROSCAs, club pools, and financial services associations (FSAs) which are not supervised by any government agency. However, donors, commercial banks, and government agencies from which they obtain funds or that support this group are obligated to carry out due diligence and make informed decisions about them.In the year 2000, CBK set up a microfinance division in the Bank Supervision Department to participate in the drafting of the Microfinance Bill and to develop prudential guidelines/regulations to be used once the Bill was in place. In 2004, the Central Bank established a Rural Finance Department to address various policy issues concerning rural finance, including microfinance. This department, in liaison with the Financial Institutions Department, is involved in developing capacity to regulate and supervise those microfinance institutions that will be licensed under the DTM Bill.Moreover, a full-fledged microfinance unit is envisaged at the Ministry of Finance to formulate policies and procedures to address the challenges facing microfinance institutions that are not supervised under the CBK, especially those in the rural areas. Also, they aim to build a database to facilitate better regulation and monitoring of their operations. Likewise, an Association of Microfinance Institutions (AMFI) was registered in 1999 under the Societies Act by the leading MFIs in Kenya to build capacity for the microfinance industry. AMFI currently has 59 member institutions serving more than 6,500,000 poor and middle class families with financial services throughout the country. AMFI is governed by a General Assembly and is led by a Board of Directors whose experienced practitioners are running some of the leading microfinance institutions in Kenya. AMFI’s mandate is to enhance collective action by MFIs and other stakeholders to foster a conducive policy and regulatory environment for microfinance in Kenya. In addition, the association is to strengthen the capacity of MFIs in delivering appropriate and sustainable microfinance services to low-income people. That is through organization and coordination of workshops and training sessions; develop effective systems for information collection, analysis and dissemination; develop and operationalize a Performance Monitoring System for MFIs that will set standards and increase professionalism in the industry; and enhance collaboration, linkages and partnerships.Moreover, Kenya has established a Financial Reporting Centre under the Proceeds of Crime and Anti-Money Laundering Act 2009 (the “AML Act”) that was operational in 2012. The center’s principal role is to assist in the identification of the proceeds of crime and the combating of money laundering. All banks, financial institutions, non-bank financial institutions, mortgage finance companies, and forex bureaus are obliged to monitor and report suspected money-laundering activities to the center, verify customer identity, establish and maintain customer records, and establish and maintain internal reporting procedures. With regard to cash transactions, the reporting threshold for reporting institutions is set at US$10,000 or its equivalent in any other currency, irrespective of whether or not such


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transactions are suspicious. The government issued new prudential guidelines to deal with a wide range of issues including licensing requirements, corporate governance, board composition, remuneration of directors, capital adequacy requirements, liquidity management, stress testing, foreign exchange exposure limits, prohibited business, anti-money laundering, consumer protection, enforcement of banking laws and regulations, agent banking, and representative offices. These guidelines are best summarized by reference to the circular issued by the CBK, which states that: “Pursuant to its mandate of fostering the liquidity, solvency, and proper functioning of a stable market-based financial system, the Central Bank of Kenya has conducted a comprehensive review of the Prudential Guidelines and Risk Management Guidelines currently in use. The review has been necessitated by developments in the national, regional, and global arenas and the need to proactively strengthen the regulatory framework for banks and other institutions licensed pursuant to the Banking Act.” As part of Kenya’s recent move to bring in adequate measures for consumer protection and to prevent money laundering, the CBK has also published Retail Transfers Regulation, 2013 for the provision and regulation of electronic retail transfers and e-money. Stakeholders were invited to review and comment on this draft regulation before it was enforced. This regulation applies to all retail transfers utilizing an electronic payment method, as well as all payment service providers that are not licensed as banks or financial institutions. The country has launched a credit information-sharing mechanism in July 2010 that might positively affect the MFI operations. Through a mechanism that is used by both individual and commercial banks, the CBK has ensured that banks strengthened credit appraisal standards by incorporating credit reference reports in the credit risk appraisal. Moreover, Kenya Deposit Insurance Act 2012 provides for the establishment of an autonomous body called the Kenya Deposit Insurance Corporation, which will replace the current Deposit Protection Fund Board, a department of the CBK. The KDI Act provides for the setting up of a deposit insurance system, and the liquidation of deposit-taking institutions. The above argument indicates that regardless of some shortcomings associated with the diversity of the regulatory and supervisory Acts, rules, and bodies, Kenya has set clear guidelines for suspending, canceling, or revoking microfinance licenses for illegitimate operations in cases where institutions cannot achieve acceptable performance and operating standards for deposit takers and for the informal microfinance providers. Despite the performance of Kenyan microfinance sector, it is still below the required level, which proved that the regulatory and supervisory rules alone are helpless for microfinance sector outreach. 5. Summary and Conclusion RemarksMost of the literature in the area of regulating and supervising MFIs confirms that the microfinance sector must be regulated in order to have massive and sustainable delivery of financial services to the low-income people. Therefore, the issue of prudential regulation and supervision might be one of the key successes for MFIs; yet, it is also a complex matter because it keeps evolving. This article is an attempt to generate some evidence from Kenya’s regulatory and supervisory framework for microfinance through identifying its challenges and binding constraints that might hinder its outreach for the clients countrywide. The results showed that regardless of some shortcoming associated with the diversity of the regulatory Acts and bodies, Kenya set clear guidelines for operating, suspending, canceling, or revoking microfinance licenses for a successful handling of microfinance formal and informal institutions. This helps the regulated MFIs to strategize their operations in such a way that avoids poor financial and operating performance. Despite that, the existence of more regulatory and supervisory bodies involved in regulating and supervising microfinance providers in Kenya such as clubs, associations, apart from KCB and the Ministry of Finance, might represent the main challenges, which have weakened the regulation process. The informal microfinance sector is less regulated and associated with high risk. Hence, there is a need fordevelopment of appropriate documentation tools/procedures, management information systems, governance and internal control systems, particularly for the less-regulated tiers. The microfinance sector in this country and particularly the informal sector lacks the expertise, which spotlights the need for capacity building to enhance operations and improve risk management. Moreover, the high costs of transformation and operation, licensing, and the cost of stiff competition from other financial institutions have hindered the performance of the DTMs. It is also worthy to note that many MFI are moving towards the use of mobile phones for various transactions; yet there seems to be minimal regulatory or supervisory framework in place to supervise these popular and globally acclaimed services. Hence, one this research might recommend Kenya to adopt more unified microfinance model regulated between the Central bank for deposit taking microfinance providers and the rest such as non-formal microfinance provider might be under the Ministry of Finance with the assistance of the ministry of interior for the security matter.Finally, Kenya needs to conduct further revision on the framework of regulation and supervision of its microfinance sector since it might lead to performance improvement, thus enhancing the necessary resources mobilization for poverty alleviation. This improvement in financial performance can be attributed to access to cheaper funds, which can then


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be lent to the MFI customers as compared to dependence on expensive credit from macro-financial institutions. ReferencesAlbino, D. O. Micro-finance Unit, Bank of Southern Sudan, Microfinance in Sudan, Regulatory framework and VisionAnne P. (2012). The Regulation and Supervision of Microfinance: The International Institute for Sustainable

Development.Bikki, R., Joselito, G. (2003). Microfinance Regulation in Tanzania: Implications for Development and Performance of

the Industry Africa Region Working Paper Series.Cassian, J. N. (2008). Central Bank of Kenya, The Status Of The Microfinance Industry In Kenya Presentation At The

5th Afraca Microfinance Forum 2nd - 4th July 2008 Cotonou, Benin Chaves, R., & Gonzalez-Vega, C. Principles of Regulation and Prudential Supervision and Their Relevance for

Microenterprise Finance Organizations.David, K. (2005). Bank of Uganda, Uganda’s Experience with the Regulatory and Supervisory Framework for

Microfinance Institutions.David. L. K. Uganda’s Experience with Tiered Banking RegulationGeorge O. Central Bank of Kenya, March 2005 Regulation And Supervision Of Microfinance Institutions In KenyaHennie van Greuning Joselito Gallardo Bikki Randhawa. A Framework for Regulating Microfinance Institutions,

Financial Sector Development Department, The World Bank, December 1998. http://www.fsdkenya.org/Marguerite, S. R. (2001). The Microfinance revolution: Sustainable Finance for the poor.Michael, F. (2001). Prudential Regulation and Supervision for Agricultural Finance, Food and Agriculture Organization

of the United Nations.Reinhard H. S., & von Pischke, J. D. Networks of Micro and Small enterprise banks: a contribution to financial sector

development, Frankfurt and Washington. Robert, P. C., Richard, R. (2000). The Rush to Regulate: Legal Frameworks for Microfinance, Consultative group to

assist the poorest (CGAP).Robert, P. C., Timothy R. L., & Richard, R. (2003). Microfinance Consensus Guidelines © 2003 by CGAP/The World

Bank Group.Sonal, S., & Mona, D. A., & Khanna. Banking Regulation: Kenya, Global Legal insights, 1st EditionSpecial Issue, Kenya Gazette, Supplement No. 169 (Acts No. 41) Acts, 2013 Nairobi, 2nd December, 2013 The

Microfinance (Amendment) Act, 1101.Stefan, S. Regulatory Requirements for Microfinance, A Comparison of Legal Frameworks in 11 Countries Worldwide

Deutsche Gesellschaft fürTechnische Zusammenarbeit (GTZ) GmbH, 2003Arun, T. G., & Turner, J. D. Corporate governance of banks in developing economies: concepts and issues 2004www.amfikenya.comYigrem, K. (2010). National Bank of Ethiopia, Regulation & Supervision of Microfinance Business in Ethiopia:

Achievements, Challenges & Prospects, presentation at the International Conference On Microfinance Regulation, March 15-17. Bangladesh, Dhaka


i http://www.bu.edu/bucflp/files/2012/01/Central-Bank-of-Kenya-Act.pdfii https://www.centralbank.go.ke/index.php/acts/.../153-2012-annual-report




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Effort and Collective Creation: Experience in Air Traffic Control WorkAlice Itani1

1 Universidade Estadual Paulista Unesp, São Paulo, BrazilCorrespondence: Alice Itani, Av. Higienopolis, 195 São Paulo 01238-001, Brazil.

Received: July 7, 2015 Accepted: July 20, 2015 Available online: August 5, 2015doi:10.11114/ijsss.v3i5.1007 URL: http://dx.doi.org/10.11114/ijsss.v3i5.1007

AbstractHow can work also represent a perspective of creation? We start from the hypothesis that air traffic controllers make an effort to cope with very hard work and to develop improvement processes when carrying out the activity, which can be considered creation. Our objective is to analyze the working conditions of air traffic controllers starting from the experience of the controller. There is effort, which is above all both cognitive and physical, of an activity developed with mental representations that cannot always be analyzed by simple observation. This is a reflection based on studies carried out with air traffic controllers since 1997 in São Paulo and Rio de Janeiro.Keywords: air traffic controller; São Paulo; Rio de Janeiro; aviation; cognitive effort; collective creation.1. IntroductionCan work provide the conditions necessary for creation? Despite the type of organization to which the worker is subordinated, what meaning can work assume? These are the questions we seek to discuss in this text. Despite the types of organization with their rules and established structures, in which production processes are found, the production process as established by the rules has been unable to cope with the failings and uncertainties of systems, or with the unforeseen circumstances that occur on a daily basis and that involve the incoherencies of the forms of organization and their management policies. No organization could function without the organization of workers,regardless of the management and its rules. On the other hand, it cannot be said that organizations are in total control of the work groups. It is a fact that workers included in a production process do not dominate the whole process and are subject to the rules of the organization and the systems established for controlling them. However, they are not reduced to a simple machine. The act of the worker is not reduced to mechanical acts since there is intention and action, as argued by Castoriadis (1950 and 1974). The presence of rational systems in production processes does not mean that there is only a duality of domination and servitude, as analyzed by Castoriadis (1950/1974) and Habermas (1973). Even in more rigid systems, worker action is a conscious act and they are not reduced to being simple executors. As social and historical beings, individuals think, mobilize their acts to cope with their functions and know what they do and how they do it. However, they do not always manage to apprehend the relationships that are established in production processes. The challenge of seeking to understand some facets of the relationships that are established in the daily life of workers can be undertaken by way of an activity that does not allow for mistakes when it is being carried out and that has a strong impact on the safety of people. Some of the activities in commercial civil aviation, as is the case with piloting and air traffic control, are included in such cases. Studies carried out by Moreira & Vidal (1999) and Motter (2006) in air traffic control centers in Brazil showed the extent of the work load and the complexity of the activity. Nevertheless, reflection about the dimension of work, considering it to be part of creation, also deserves to be the object of study. This work is realized with effort and the effectiveness of the control depends much more on collective creation.2. Objective and MethodThe objective of this paper is to reflect on data from a study that has been carried out since 1997 with air traffic controllers. The hypothesis is that air traffic controllers make an effort to cope with the density of their work and develop strategies for improving the process of carrying out the activity, which can be considered akin to creation. Effort is understood to be the action of the worker in carrying out the activity that involves the conscious intention and action of mobilizing their capacity for work, and for carrying out these activities with the aim of achieving a specific purpose. Creation is understood to mean what the worker does as a result of their knowledge and experiences to make


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their activity more effective. It involves a conscious action for improving the process of carrying out the activity attributed to them, which alters what is established. This creation is analyzed by way of three items: the development of new strategies for improving the process for carrying out the work; sharing experiences; and the organization of a common language, which is effective and legitimate.The experience, as it is experienced, is a way of understanding the facets of the work condition. The perspective of Gianini (2013) can be used because it comprises experience that is not just personal; it is collective - it incorporate other experiences individuals communicate the fact that they are suffering from the same situation. There is a constant interchange of voices and expressions, of a common feeling, transforming small everyday stories into an experience, a way of understanding that is also common and collective. That is why the experience may be apprehended within its own territory, which is the territory of daily life, where it becomes possible. A singular social condition is intertwined with that of the worker within a daily spatial structure, which is the workspace. In this sense, in the way in which workers express themselves, their words are not passive. It also raises the possibility for reflection on their identity situation, between what they are doing and what their prospects are. The experience is constructed during the habitual cycles and the identity situation depends on this order, on a space-time continuity as a symbol of human singularity (Gianini, 2013). It is also the result of accumulated knowledge resulting from learning processes, because of the references created, with their own meanings. So when they express themselves in their statements, they also reveal an experience that is common, with its own meaning.This experience is analyzed by way of six items: how an activity, such as the one air traffic controllers do, is carried out;to what extent air traffic controllers dominate the process, from the perspective of what they do; their understanding of the work process, by how they explain each of their activities; their knowledge for undertaking the activity seen in terms of their daily acts and the speed with which they respond to complex situations; the responsibility with which they respond to the activities, and their learning capacity for incorporating new situations. The study of the work of air traffic controllers, which has been developed since 1997, involved an investigation of the documents relating to the existing rules and standards of this activity. The work process was monitored as it is developed bythe controllers, based on long periods of observation in air traffic control rooms in São Paulo and Rio de Janeiro and notes that were taken about the way in which each controller understands and explains the work they do. Observation took six months and took part on different days of the week and at different times, as well as at different periods in the year, accompanying teams on all three shifts. Statements were also taken from the controllers while they were working and also outside the workplace. During the study period this work involved 141 controllers in São Paulo and 89 in Rio de Janeiro. Some 10% of the controllers in São Paulo were civilians and 90% came from a military background; six were women. In Rio de Janeiro, around 20% of the controllers are civilians and 80% had a military career. 3. Air Traffic Control WorkThe work of air traffic control consists in ensuring that flights move safely in air space. There is a series of activities for guiding the pilots of flights moving within the airways, notably in areas where movement is more intense. To develop this activity, they rely on communication systems and an operational system for controlling circulation within the air space. The Brazilian air traffic control system was devised and structured as part of the military defense system and the Aeronautical Command is responsible for managing it. With its function of defining policies for the circulation of traffic in Brazilian air space this organ also has a public air traffic safety and control function. Sisdacta (Integrated Air Defense and Air Traffic Control System) was introduced in the 1970s and has been updated over the last twenty years. The control system includes the circulation routes in air space, control of the approaches in cities with the greatest amount of traffic and traffic control at the airports. To control the air space in a territory covering the 22 million square kilometers, as well as sea areas, the system is organized by way of a national and regional control centers, spread throughout the main regions in the country. The airport control towers in the main cities are linked into these regional centers. The air transport industry has been growing constantly and particularly so over the last thirty years. The number of flights doubled in the ten years between 1990 and 2000 and grew by 84% between 2000 and 2010. The number of passengers almost tripled in ten years between 2003 and 2012. From 2009 to 2010 growth was 24%. In 2012, more than 107 million passengers were carried, most of them on domestic flights, with around 83% of the total (ANAC, 2013). Air traffic control monitored more than one million flights that circulated around the country (ANAC, 2013). Most of the passengers fly into or out of airports in the southeast of the country, with around 43% of the total in 2012 spread between the airports of Rio de Janeiro and São Paulo, notably because of the policy of centralizing flights leaving from these airports. The shuttle service between Rio de Janeiro and São Paulo leads this movement, with around seven million passengers in 2012 (ANAC, 2013); these are the biggest air traffic control centers in the country. The airport infrastructure, however, is not growing at the same pace as air traffic and the numbers of air traffic control


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staff have not accompanied the increase in traffic or the number of passengers. Some changes have been carried out over the last ten years in airport management, particularly with the privatization of airport services.4. Work Content and EffortIn order to understand the work of air traffic controllers we need initially to check the context in which this function is situated, which is the world of aviation, with the changes that have been occurring over the last thirty years and on three levels. The first level is the increase in the number of flights. The second is the increase in the number of passengers and the number of passengers per flight; each flight carries as many as 400 passengers, as is the case with Boeing equipment. This increase in the number of passengers on each flight brings consequences for the air traffic controller to the extent that this translates into an increase in responsibility for the safety of the passengers. The same applies with regard to the pilots. To these two changes has to be added the increase in the speed of the systems and equipment, which altered the world of aviation, notably over the last three decades with the spread of jet aircraft. How is this experienced by the air traffic controller? 4.1. Organization of the workTraffic control in the control room is organized in sectors. Each of the sectors is responsible for an area of the region to be controlled and for the type of control. In the case of flights that are visually controlled, like helicopters and small jets, for example, which fly at low speeds, they are organized in one sector. The other sectors control large jets on commercial flights. Each sector is coordinated by two controllers, supported by a console and three main monitors. The first monitor shows a map of the air space, on which can be identified a figure 8 shape. Within it is the image of the area, which represents the specific air space under the responsibility of the team. The second monitor shows an image of the region’s air space. The third monitor has a screen showing a larger image of the air space under control and the flights moving along the routes. Alongside these monitors is the communication system equipment, like the radio and a telephone. When entering the control room we see a semicircle with six sectors, side by side. There is a strategically placed central table from which all sectors, which are also known as positions, can be seen. In this central position is a supervisor who is responsible for controlling the traffic of the period. He is also supported by monitors and equipment, the central system of the regional area being controlled and by a communication system. 4.2. Work ContentThe working day of the controller starts with a briefing, in which the team from the previous shift reports the main happenings of the day and the traffic conditions. Within the flight monitoring activities, the eight most important are as follows: a) checking the flights that are programmed for the working day using the PH hourly schedule program; these can beseen on one of the monitors. Controllers then have to check the flights that appear on their monitor screen and that are represented by icons: numbers and letters;b) decodifying or deciphering the symbols, by distinguishing the colors and numbers with the corresponding letters;c) analyzing the route possibilities existing in the sector’s space, by assessing them in relation to other flights en route;d) deciding on the route to be allocated, ensuring that there is no other flight planned for the route at that time and ensuring there is a minimum horizontal distance or nine kilometers between flights. In emergency situations some strategies may be put into practice. One of them is stacking flights, one above the other, at a distance of between 300 and 800 meters, according to the type of equipment; e) identifying the pilot and his demand by the radio and then confirming the flight details and checking that they are the same as those presented on the screen; f) recodifying the information using air traffic codes; g) transmitting the route to the pilot over the radio; h) inputting the route allocated, once it has been confirmed by the pilot, in order to insert it in the programming sequence. Many of the controllers also undertake a ninth activity, which is to write down the route on a piece of paper, called a strip. This activity, which used to be compulsory, was abandoned with the introduction of new equipment and systems. However, many do not feel secure and retain the activity, since during the observation period it was necessary to use them, above all in case of emergency situations, like a breakdown in the transmission of the data system.Of all these activities, there are four that demand concentration and attention. They are those corresponding to dataidentification, interpretation, recodification and due processing. These data appear on the monitor screen as symbols, like numbers and letters and in different colors. This act of seeing is not simply looking at the symbols that appear, but


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also observing the movement and committing it to memory. Some blocks of colors move constantly on the screen, while others do not. In some cases, it is necessary to look for other data that are not on the monitor. For example, certain flights that only pass through the controlled region’s airways and that do not land, undergo guidance from the controllers. There is also a need to control flights that may enter the area under their control. As soon as the visualized point on the monitor has been localized, a cursor is used to open a window located in the lower corner of the monitor to open other data. These are data about the route and sequence of flights that will be soon moving. In these cases the controller mobilizes different levels and functions of the controller’s brain system. These data must be identified and understood so that they can be sure of the decisions they take. These identification, analysis and data treatment activities for preparing information require a mental representation and memorization effort, understood by Luria (1973) as being efforts that make demands on the brain system as a whole. This is justified by the fact that the information needed for the control activity is not given a priori. It is prepared by way of image processing - an activity heavily supported by images – or the visual representation of the control system, the icons that appear on the screen and the representation of the air space. Panofsky (1939) and Mitchel (1986) also analyzed that the images do not exist per se,but are constructed as mental representations. They are constructed on a set of other representations that form part of the experience of each one, which is associated with the specific context. That is why these images undergo an identification, interpretation, perception, memory and treatment process. Based on Luria (1973) image processing activities depend on a set of cerebral activities and there is an effort expended, which is understood as being a cognitive effort. Another aspect of this activity is that the controller carries out a set of activities and decides on a large number of routesand this is done within a short cycle of quickly performed acts. Flights move at between 1000 and 1600 km an hour, which means between three and four kilometers a second. Although the speed at which they move does not correspond to the same speed on the ground, it is experienced in the same logic of the displacement speed. Each controller is responsible for six flights simultaneously and at peak times, corresponding to the period between 6 a.m. and 9:30 a.m. and between 6 p.m. and 9 p.m. they also experience more intense traffic, when each one becomes responsible for up to 12 flights. In some cases a controller has as many as 20 flights simultaneously under their guidance. As the support system data are transmitted at the speed the flights move, when the number of simultaneous flights increases the controller needs to be able to cope with this speed. This is why the activities are developed under pressure from the chronometer. It is necessary to be able to accompany the data that are transmitted as well as the volume of data corresponding to each flight. The data alter every three to four seconds. This demands that the controller rapidly visualizes the data to identify and memorize them. Besides this, they need to be able to cope with the different types of equipment involved in each of these flights, which have differing capacities and are flying at different speeds. This requires knowledge of the capacity of each one of these pieces of equipment and the possibilities of each one. Each airline company also adapts the equipment within their service models, even when they are operated under established rules. The icons that represent flights in movement are numbers and letters, which are also differentiated by colors. Based on studies, such as those by Murch (1984) and Handbury & Serra (2002), identifying colors requires as much cognitive effort as it does the physical force of the eye system, notably when the work is carried out in a digital environment, like the screen on a monitor. The colors are also differentiated by hue, intensity and shade, but hue is what distinguishes the color, as Dondis (1997) stated and the dimension of the color is given by the intensity, while shade is the value of its luminescence. So muscles move the lens to visualize the image of the desired object by way of the retina. To cope with greater or lesser amounts of light and reddish or blue colors, the lens changes to become more or less convex. So the eye system exerts physical force to cope with the change in colors, like the cognitive effort to identify and process their meaning within this context. For these reasons, Handbury & Serra (2002) recommend avoiding intense colors, blinking signs and a dark monitor background that demand more of the eye system and increase eye fatigue. It was precisely these three items that were found to be present on the monitors of the air traffic controllers when the field survey was carried out. The situations experienced in flight control show that the traffic controller is aware of the need to dominate the sector’s traffic data. It also noted that each of them feels responsible for passenger safety in flight. They are concerned with always bearing in mind aviation rules and the weather information of the region and adjoining regions that is updated all the time in order to check the take-off and landing conditions at the airports they control. Weather changes have an influence on safety conditions and attention. Risk situations are avoided. Even so, controllers know that unpredictable and unexpected conditions occur all the time, even when they take all precautionary measures to ensure greater control. Because this is unpredictable and unexpected content, part of the work is unplanned and so is not considered beforehand.


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4.3. Organization vs. ContentSome aspects of the work content of the controller result from the organization and management of the process. Four of the aspects of this organization can be mentioned:a. the composition of the teams and their working hours. In the control room in São Paulo, for example, the number of flights for each sector increases because of insufficient staff numbers. There are five teams, comprising fourteen controllers in each, who are spread across the day’s three shifts, in addition to the teams that are used for covering vacations and rest days. There is a certain idea that working days, breaks and rest days are managed by the teams. However, what might appear like a certain notion of self-management of their working hours masks the responsibility that is attributed to them for ensuring teams are complete for all three shifts, 24 hours a day. What is implicit in the shift allocation decision is that if there are not enough people to complete the day’s teams, many people feel obliged to double up their working day. The justification for the lack of people is that staff numbers were not filled and there is now no possibility of hiring new people. This is a management accounting issue, however. In the control room in Rio de Janeiro, for example, the permanent staff contingent is 80 controllers, with 50 controllers in the control tower at Galeão Airport. But according to one of the supervisors, of the 80 controllers only 46 are available for shift work allocation. This represents almost half the staff. Of the 34 not available for nrormal control duties, some are on leave from the function, or have been sent to look after emergency situation, like systems maintenance and administrative services. Some had been invited to carry out investigations, while some of the controllers were on sick leave. There were also nine on vacation. The 46 are distributed across the 6 teams, with at least 8 controllers in each one. In each team there are two interns being trained and they need to be monitored, which is mainly done by the most experienced controllers. b. a deficiency in the organization, which « is left up to the controllers » to sort out. There are failures and problems with the infrastructure in the airports, as is the case with São Paulo and Rio de Janeiro, with a large amount of air traffic. Functioning dimensions and conditions are disassociated from the increase in the number of landing and take-off operations and the circulation of passengers. As a result, the amount of time that flights need to be controlled increases, with an increase in the number of flights for each controller and greater time under their responsibility for vigilance and guidance, when flights are en route to the airport. Visibility problems are also frequent at these airports, above all in certain periods in the winter when there is dense fog, when it rains a lot and there are storms. c. the fragility of the support system, given the complex activity. Breakdowns in the systems, which occur frequently, leave the controller « in the lurch », without any information. As the controllers recall it, « the system fails », it blocks, stops or blacks out, which is incompatible with the level of responsibility they have over flight safety. In these cases controller resort to the old control strategies that they used when there were no support systems for visualizing the data. However, as the controllers point out, this was used when the amount of air traffic was something other than it is now.d. slow decision making when it comes to solving the defects that affect the functioning of the support systems. There is always the expectation that the solution for these failures and defects will be quick. This slowness assumes another dimension, since it relates to decisions that are not within the competence of the control room and require the action of other sectors, which have another time for doing things, both with regard to decisions about purchasing or exchanging parts or fixing the equipment. There is stress associated with this dichotomy between the pace at which controllers work and the demands to which they are submitted, given the speed of the systems and the amount of flight traffic, which is very different from the responses of the organization. 5. Density, Effort and Collective CreationAir traffic control is an activity that allows for no mistakes. Decisions need to be taken within a precise timescale. As a result, the acts require accurate timing and correct information and this has to occur within the operation of the communication systems. Air traffic controllers need, above all, to make all the communication systems function. They are aware that they need to rely on visual data, which is transmitted by an information system. However, there are a considerable number of failures in each working day ; failures in the way the equipment functions or even in data transmission systems are very frequent and increase at times when there are meteorological alterations, like rainfall, storms, fog, wind, etc. Furthermore, there are various other types of system breakdown, like a power outages, as we saw during the observation periods.The daily experience of these controllers shows that they cannot always rely on this information and these communication systems, and this is a complex task. This is because it requires them to « get round the systems » in order to avoid blockages in the control system. This «getting round » means anticipating the failures, testing different ways of obtaining data and relying on their knowledge and experience. When these operations are successful this is shared with their colleagues and tested by various people, and when it is effective it is adopted by everybody.


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However, the complex situations that appear are unpredictable. There are situations considered simple that arise from failures in the airport infrastructure or the air transport system itself. Flight delays, for example, affect the programmingschedule both of take-offs and the landing of other flights. As a result they cause accumulative alterations in flight schedules. There are delays because of a lack of staff for loading and unloading baggage, for maintenance procedures and for refueling. But there are complex situations too, as is the case with a breakdown in the systems or power outages at peak periods or when it is raining. There are also flight incidents and accidents. In all these situations it is the flightcontroller who seeks out alternative solutions.How can this learning and knowledge process be analyzed?5.1 Density and EffortUnderstanding the work of the air traffic controller includes also analyzing the process that links the tasks and that is notrestricted to carrying out the tasks themselves. In this activity there is a cognitive process linked to language. Based on studies by Vygostky (1962) and Luria (1973, 1993 and 1996), we can say that there is a cognitive effort in this processing, notably when dealing with those traffic control functions in which data are fundamental instruments in thecontrol decision process. Controllers work with data and their understanding of a piece of information cannot be wrong. In the same way, a demand from the pilot over the radio needs to be well understood. Attention is required for hearing and understanding the demand over the radio and for understanding the data that appear by way of images on the monitors. This is why attention is multiple. It is just as necessary for correctly identifying the data as it is for hearing,seeing and preparing information. These actions of seeing and hearing are essential. They include the functions of data treatment, which need above all vision. Sight needs to get accustomed to working in twilight with the monitors, for example, when the cells of the retina receive images in the form of luminous data. These data are transmitted to the brain by way of a physical-chemical mechanism, cone-like cells that are concentrated in the central part of the retina and used for seeing and recognizing colors.In this activity the act of seeing is not a question of just looking, but of seeing well, seeing in order to be able read the data correctly. This means looking, seeing and understanding the data. These are visualized data that come from the support system of the monitor screens and that can be presented to the controller by way of a volume of information. These are air traffic data, like the movement of aircraft on the runways that is transmitted by the control systems of the control tower. They are also data of the planned time schedule and data about what is being done. They are also data of flight movements in the air space. The data are picked up by the radar, treated and transmitted by the support system. But it is up to the controller to identify those data that are most important, select them and prepare them. 5.2 Guidance structure and knowledge networkStudies that Sacks (1995) did with blind people can be important for understanding that the act of seeing in itself is not sufficient. The author shows, for example, cases in which it is necessary to see using the eyes, sight. But the world as we see it is not a given, but is constructed from experience, in a process of continuous and cumulative construction. It is necessary to identify and classify it in a never-ending process of visual memory that produces a network of representations and recognitions. The visual memory is an instrument that serves as support for visual perception, which allows us to perceive the world as we see it in a coherent way. The sensation of this coherence becomes a perception relative to visual behavior. Looking requires the construction of a framework, a guidance structure that is developed by way of the learning of space and time, of image and sound and by simultaneous visual perception. These data are recognized and reconstructed by treatment activities that are carried out by the brain, which comes from a capacity for analysis, synthesis and hierarchization. The sight captures the data that are treated to transform them into information in its multiple paths and that is transported under different aspects by the visual cortex, as Meyer (2002) analyzed it.In this sense, we resort constantly to this guidance structure for looking at and understanding what is seen and for producing new representations and associations. These are neural connections using the visual memory, which is why we can construct on this structure what we might call a knowledge network. The use of this guidance structure and knowledge networks can be also compared with what Fayol (1992) called situation models, activities of the visual cortex that are being continuously transformed. In this sense an object we see must be recognized by the representation activity, by the memory and by the construction of an integrated representation model, by way of the interaction of the identification, data treatment and preparation of information on the existing knowledge networks. 5.3. Understanding soundThese processing activities, known as cognitive treatment, are carried out in environments with different noise levels. As the need to see also applies to the act of understanding, people need to listen well and understand well. That is why it can be analyzed as a learning process that is carried out by the simultaneous perception of image and sound and with the construction of sound representations in time and space. The act of hearing is developed on this guidance structure with


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the help of experience and in a never ending way, with each one of the sounds having its own meaning. This act of understanding sound demands the identification and processing of data for preparing the information so that people can understand what is being demanded of them and prepare solutions and act.In the case of the control room in São Paulo, noise is a problem. Among the issues present in the control room is that of sensitivity to sound, notably after a period of two or three hours’ work. Taking into account the problem of the tiredness to which the controllers are exposed, an assessment was carried out of the level of sound pollution. Noise levels were measured at different times of the day and night and on different days of the week and month. The result showed that noise was within the 75 dB (A) tolerance limit established by legislation. However the fatigue discourse of traffic controllers required an analysis of the noise they experience.By way of audiology studies, like those by Boothroyd (1986) and Russo & Santos (1993), we find that listening to what pilots say, over and above any other noise, requires neurocognitive activity. Understanding pilot demands over the radio depends on auditory processing, which involves detecting the words said, sensation, discrimination, localization, recognition, understanding, attention and memory. This requires that the controller perceives and interprets the sound models of what the pilot says and prepares a linguistic analysis of this demand.The studies of Ptacek & Pinheiro (1971) corroborate the above statements and we can say that in order for there to be accurate communication with the pilot these auditory processing movements are prepared by the hearing system and that it is not just physical, but above all neurocognitive. A demand is made of the hearing memory that absorbs the words of the pilot and stores the information. This information needs to be ordered in time, because processing it requires auditory perception of the temporal sequences and patterns of sounds for acquiring and understanding the conceptual or symbolic components of the language and the acoustic properties of the pilot’s speech from the duration, frequency and intensity.Sound in this control space is not, therefore, a simple noise that needs to be analyzed within this context. Exposure to constant and intermittent noise has an effect on the organism and on work performance. This exposure to noise requires a cognitive effort that, with the changes in mood and the sensation of fatigue that are apparent afet juste on and half hous of work at same pace, is effective to the extent that it produce disorders.Sound, therefore, forms part of this content of the work process, over and above simple communication or noise. It is codified communication. The word that comes from a sound is an enunciation, with information, or a fact that is introduced in a system of relationships in a semantic field. Based on studies by Luria (1982; 1986) we see that in this communication process work needs to be done for deciphering the system of sounds, which is not just listening. This process is constituted in stages, as the perception of the system of sounds, and by a system of verbal codes; decipheringor decodifying these codes and understanding the general meaning of the information. To do their work, air traffic controllers need to be alert to the calls from the pilot over the radio and to telephone calls.The ear captures the sounds and then selects those that are a priority and those that are not. There is no selective listening, a priori. In this listening all the sounds in the room are intercepted, which is an experience of permanent listening. In these cases it is not the auditory apparatus that is overloaded, but the cognitive system. So it is not the volume of the sound, which is considered tolerable in general measurement, or the reference value of the standard tolerance of the sound pressure level that the organism can support, but the large volume of data that the ear sends from the sounds it hears to the cognitive system that needs to process it and that is translated as being a large volume of information. The ear collects and retransmits the signals as codified sounds, as words that represent data. Among the situations experienced by the controllers there are two main ones to be analyzed. In the first situation the number of flights controlled that is considered acceptable is between one and four and they manage to accompany the time schedule program of the flights. This programming appears on the monitor of each controller, divided by sector. Flights can be visualized by way of icons that appear on the monitor, indicated by a code, two letters and a number. This code indicates the flight number and its altitude. The controller is vigilant and accompanies each of the flights and calls the pilot to provide guidance on the route. In the second situation each controller is faced with a large number of flights, between six and twelve. The controller is unable to control everything and monitor the program as is necessary. But this number of flights can reach twenty, as occurred on various occasions. At this moment it is always the pilot who calls first to inform his position and ask for guidance.In these situations, the traffic controller pays attention to all the information coming from the pilot via radio communication. He compares it with the data he can see on his monitor and also in the programmed sequence. The controller checks all the data, assesses it and certifies it. This assessment means analyzing the data that arrive, the various pieces of information he has and comparing it with the existing data. He then checks the route possibilities in the air space represented on the monitor, the distribution of flights in the space and the flights subsequently programmed. For this he needs to assess the time necessary for a flight to pass through a particular air space by way of a


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calculation he does of seconds and minutes. He also confirms the calculation to ensure the position to be allocated to a flight on a specific route. This whole assessment process is carried out from the data presented on the monitor. The controller identifies them and those relative to the routes and distribution of flights in the space, by analyzing them with the flights that are programmed subsequently for that route. The controller does not attribute a route to a pilot until they are certain and dominate all these facts. They decide on the route and transmit it within the space available when they are certain of the seconds and minutes available for this flight on this particular route. In this second situation the controller feels they are not always in control of the whole situation. In fact, the norms and rules are set aside and people « roll up their sleeves and pray to God ». This is when people chase after things, as controllers always say. The figurative term, also created inthe everyday speech of the control tower, of « chasing after things », means carrying out activities at a fast pace, in fractions of a second, seeking to cope with « racing against the clock » ; and all this effort is to avoid greater problems.5.4. Knowledge and CreationWe also found unforeseen and uncertain situations in this work of traffic controllers, which demand redoubled attention to control collision risks, accidents, on a permanent basis. In this process the cognitive activities are engaged and permanently functioning in order to solve problems and incorporate the construction of the mental representation of situations into the new data that must be composed for preparing information. This action also requires analytical anticipation activities to control situations that may conflict. To do so the controller needs to mentally assess a situation in a subsequent scenario at a near future moment in time. And he is prepared for this. When this occurs the action needs to be correct, prompt and is usually one-off. The memory containing registered data is used for this assessment and among these data are those shown on the monitor. These data alter every four seconds; the time schedule program and the data that are printed on the strip change every four seconds.When an unforeseen situation occurs, the controller has recourse to his memory to review similar situations he has experienced before and the strategies that are established for it. He also discusses it with his colleagues to check out solutions and alternatives. Every time conflicting situations occur with routes and flights the controller discusses them with his colleagues and his bosses. In fact, different or unforeseen decisions are always discussed to ensure the best alternatives. These unforeseen situations, which are not established in the rules, are frequent. The team develops strategies for facing up to the different problems that appear. This is why they put into practice work that is elaborated as creation to respond simultaneously to the demands.Based on studies by Vigotsky (1986) and Luria (1986), people are capable of creating images of numbers, sounds and colors using their experience. But the social environment is considered to be an important factor in the development of the complexity of the mental activity. These images may be graphic, optical, perceptual, mental or verbal. Mental images can be developed by the memory and by ideas. Interests, needs and emotions are part of the motivation that stimulates thinking. In this work there is image content and representations, as well as textual or symbolic spoken words like communication signs. But these spoken words, as text or signs, are part of the long time work experience that is shared between the controllers. Perceptual images may be absorbed by the senses as well by visualisaton of the appearance. But these images have a meaning that is also shared. They are images in movement that are transformed into a mental image or idea.However, a positive perception of the meaning of the activity can be noted. This meaning of the importance of the activity exceeds the notion of work with tasks to perform. The work of air traffic control is much more than a task to be performed. It becomes relevant as results, based on both what the controller attributes to it and also from the perception of the importance that is attributed to this activity. This perception of the value that is attributed to this activity, both by the reference group and by society as a whole, starts to play an important role in the identity imaginary. This was understood by Castoriadis (1975) as an identity reflection that contributes to the affirmation of social and professional identity as such. Along this same line of understanding the experience of São Paulo subway workers was analyzed (ITANI, 1997). Within the context of the subway being introduced between 1970 and 1980, the success of the undertaking at that moment in time, with its innovative and automated technology within a social and industrial fabric that was still developing, relied on the effective action of the workers. This was much more than the result of the effectiveness of management strategies; this was an effort, a super-effort, by the subway workers. It’s can also be considered to be an occupation of political action spaces by way of the possibilities present at that time. It was also understood as an effort at insertion by a group of workers into a new world of codes and systems. It was an effort to create a new social and professional condition, that of “subway laborer”. Then, more than an intended participation submitted to control it can be understand by the worker organization within the production process.Referring to the studies on the question of relevance of Sperber & Wilson (1986; 1995) communication is effective


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when there is a reciprocal assessment of a particular subject between the speakers, which is shared cognitively. By this theory of relevance the construction of a collective idea can only be promoted when a group previously assesses the relevance of what needs to be done. This communication does not necessarily have to be by way of words. But it is assumed to be textuality, in other words, the communication is constructed by the memory and cognition. From these studies by Luria (1986), Vygotsky (1986), and Sperber & Wilson (1995) we can say that there is collective creation that results from a cognitive effort arising from the stimulus that this activity represents, as well as from the result or the product that is presented as resulting from this work. However, this involvement may also have its setbacks. Involvement may be highly positive and healthy and it may also be stressful. In some cases there is a lot of involvement and the worker requires perfection in carrying out the task and in the result and they are not always able to mobilize the organizational structure in which the activity takes place to the same extent, so cases of stress are common. 6. Final Considerations The work of air traffic controllers is an experience that cannot accept misunderstanding. Air traffic controllers never stop or vacillate in their activity. They are always ready. They do not feel at ease asking for information to be repeated that they did not hear clearly, or that they may not have fully understood. They need to decide at the moment they are called. These are activities that demand the cognitive treatment of a set of sounds, numbers and letters that represent the words of the pilots, the flights and the routes in the air space that appear on the screen of their monitor. Controllers do not see objects, but work with the sound and visual representation of a knowledge network, which requires an effort by the neurocognitive system. This work cannot be understood from the activities they do in the function that is established for them, but in the development of the process, in the ways in which they seek means to cope with the responsibilities they assume within their functions. It is not only a problem of the pace of work, but its density, which requires concentrated efforts on the part of the worker in order to complete the work. This density is always submerged by a work capacity of the workers,but also involves the creation process of a set of strategies that are developed and put in place by the controller in this activity so he can « sort it out himself ». This is the creation of knowledge that is diluted in a vague concept of qualification. In order to carry out the activity, guidance schemes are created and developed. This is work capacity in action, which demands to be analyzed from another perspective; one that is interwoven with various meanings, since it is constructed in the daily routine of the work situation. We find strategies for defending themselves from the super-effort, above all to protect themselves from risks and avoid the health damage to which they are exposed.Even when we consider that this work is under military control and subject to strict rules from the military perspective, we found that these workers develop knowledge and create strategies in order to make the systems they operate work. This control would not function without the structures that are created and developed in order to carry out the traffic control function better. In this process there is a mobilization of effort and capacity associated with the knowledge that is developed. The activity is appropriated to make it professional. From being someone who accomplishes tasks, the controller develops in this experience to make this work an active process and they are the subject of their own knowledge and capacity. So, it is constituted as the result of the knowledge that is constructed within this work situation and it is, therefore, the result of a collective creation.It is also an experience of work with a risk content. The risks are accidents and incidents, which are impressivesignificant, given the degree of unpredictability and uncertainty of the automated systems. It is also experiencing the number of uncertainties and unforeseen situations that come from different points, from the systems, the equipment, the flight teams, the weather and problems arising with the airport infrastructure. Associated with these are the difficulties arising from the incongruences of air traffic organization systems, notably as far as concerns the infrastructure and the maintenance programs, as well as the functioning of on board equipment and systems and systems on the ground. These are facts that the controller faces as common in their daily routine. In short, they are confronted also by other risks, above all those arising from the forms of organization and management policies as they are established in this workspace. As this is work in which the chronometer is implacable it is also professionalism put into practice to cope with the degree of responsibility attributed for passenger safety during the lengthy time it is being monitored. In this collective creation we see that a group effort is really made in the search for common purposes, which are taken as their own, because controllers have developed a common language that is used by the group with a common perspective of achieving the objectives of the activity. We also find appropriation of the work as part of a work process that is verbalized, as a product obtained by the group and that is effective and recognized as such. This work is constructed in a dynamic process and the perspective of the experience as a way of analyzing this process helps bring to the surface what cannot always be apprehended. The rules of the code of ethics were followed. The reports were discussed with SINPROVOO (Protection Controller and


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Flight Controller Trade Unions). AcknowledgementsOur thanks to all air traffic controllers, especially to Ruy Ciarlini and José Carlos Botelho of Sinprovoo, to FAPESP and CNPq for the funds for carrying out this study in aviation. Our thanks to Eda Muller, Paulo Sergio Silva, Rita Araujo and José Carlos do Carmo of the Cerest Centro de Referência em Saúde do Trabalhador, that they working between 1998 and 2000 in APP-São Paulo. Our thanks to Robert Dirham for help with revision.ReferencesAgência Nacional da Aviação Civil ANAC. (2013). Anuário do transporte aéreo. Brasilia: ANAC.Boothroyd, A. (1986). The sense of hearing. In: A. Boothroyd (ed.), Speech, Acoustic and Perception Disorders. Austin:

Pro-Ed Studies in Communicative Disorders. Castoriadis, C. (1950). L’expérience du mouvement ouvrier, 2, Paris, UGE/10/18. (reimprinted in 1974 UGE/10/18).Castoriadis, C. (1975). L’institution imaginaire de la société. Paris: Seuil.Dondis, D. A. (1997). Sintaxe da Linguagem Visual. São Paulo: Martins Fontes.Fassin, D. (1996). L’espace politique de la santé. Paris: PUF.Fayol, M. (1992). Compreendre ce qu’on lit : de l’automatisme au contrôle, in M. Fayol et al. (Eds.) Psychologie

cognitive de la lecture. Paris: PUF.Habermas, J. (1984). La technique et la science comme “idéologie”. Paris: Denoël. Hanbury, A., & Serra, J. (2002). 3D-polar coordinate colour representation suitable for image analysis. Institute of Computer

Aided Automation. Pattern Recognition and Image Processing Group. Technical report PRIP-TR-077, Wien.Itani, A. (1997). Subterrâneos do trabalho. São Paulo, Hucitec/Fapesp.Itani, A. (1998). Trabalho e saúde na aviação. São Paulo:Hucitec/Fapesp.Itani, A. (2009). Com a cabeça no ar. Trabalho no tráfego aéreo. São Paulo: Fapesp/Hucitec.Luria, A. R. (1973). The working brain. London: Penguin.Luria, A. R. (1982). Language and cognition. New York: John Wiley.Luria, A. R. (1986). Pensamento e linguagem. Porto Alegre: Artmed.Meyer, P. (1997). L’oeil et le cerveau. Paris: Odile Jacob.Mitchell, W.J.T. (1986). Iconology: Image, Text, Ideology. Chicago: Chicago University Press.Moreira, S. B., & Vidal, M. C. (1999). Relatórios de pesquisas ergonômicas realizadas no Controle de Tráfego Aéreo

do Rio de Janeiro (APP/RJ). Rio de Janeiro: APP/RJ. Technical Report.Motter, A. A. (2007). Análise da carga de trabalho em sistemas complexos: Gestão da variabilidade e imprevisibilidade

nas atividades do controlador de tráfego aéreo. (Unpublished doctoral thesis). Universidade Federal de Santa Catarina, Florianópolis, Brazil.

Murch, S. (1984). IEEE Computer Graphics and Applications, 4(11). Panofsky, E. (1939). Studies in Iconology. Oxford: Oxford University Press.Ptacek, P.H., & Pinheiro, M. (1971). Pattern reversal in auditory perception. Journal of Acoustical Society of America,

49(2), 3-8. http://dx.doi.org/10.1121/1.1912377.Russo, I. C. P., & Santos, T. M. M. (1993). A prática da audiologia clinica. São Paulo: Cortez. Sacks, O. (1995). An anthropologist on Mars. New York, NY: A. A. Knopf.Sperber, D., & Wilson, D. (1986). Relevance: communication and cognition. Oxford: Blackwell.Sperber, D., & Wilson, D. (2002). Pragmatics, modularity and mind-reading. Mind & Language, 17(1), 3- 23. Retrieved

from HAL Id: ijn 00000002 http://jeannicod.ccsd.cnrs.fr/ijn 00000002.Tragtemberg. M. (1980). Administração, poder e ideologia. São Paulo: Moraes.Vygostky, L. S. (1987). Pensamento e linguagem. São Paulo: Martins Fontes.





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Political Efficacy and Community Well-being of the Residents in Davao City, Philippines

Rico B. Maghuyop, Ed. D.1, Melanie R. Bonita2, Alily Grace M. Sardeñola2 & Ivanne M. Lumain2

1Social Science Discipline, University of Mindanao, Davao City, Philippines 2Political Science Program, University of Mindanao, Davao City, Philippines

Correspondence: Rico B. Maghuyop, Ed. D., Social Science Discipline, University of Mindanao, Davao City, Philippines.

Received: June 23, 2015 Accepted: July 8, 2015 Available online: August 6, 2015doi:10.11114/ijsss.v3i5.1011 URL: http://dx.doi.org/10.11114/ijsss.v3i5.1011

Abstract Recently, community well-being had been the new trend in identifying good governance and progress of certain areas. It can be affected by different factors and highly reflects not only well-being of the people living in the community but also the performance of the local government unit in the area as perceived by the citizens. The research trust of this study was to determine the level of political efficacy and community well-being of the residents in Davao City, Philippines. Using descriptive correlational method, results of the study revealed a high level of political efficacy contributed by internal and external efficacy of the residents. While the other findings of the study revealed high level of community well-being with respect to healthy, safe and inclusive community; culturally rich and vibrant community; dynamic resilient community; and sustainable and democratic environment. Also, the study further revealed a significant relationship between political efficacy and community well-being which implies that the feeling of an individual towards his or her political action affects the political system and the perception of the living conditions of the residents in the area. Keywords: Political efficacy; Community well-being; Davao City, Philippines.1. Introduction Throughout the world, it has been the prime duty of the government to secure and maximize the well-being of its citizen (O’Donnell, Deaton, Durand, Halpern, & Layard, 2014). In economics, measuring well-being has been the center of prominence in determining and achieving greater progress (Anderson, Cooper, Layard, Litchfield, & Jane-Llopis, 2012). In fact, it was discovered in Taiwan that life satisfaction of the people is investigated based on two aspects namely people’s personal life and their perceived condition of living. Through these two aspects which initially reflect both personal and national well-beings; Taiwanese people are considered to be moderately happy within their own boundaries (Ip and Cheung, 2014). On the other hand, Africa which is known to be the poorest continent in the world is currently facing a challenge on improving their well-being. One factor which is espoused as an instrument in improving well-being is social capital which takes in trust with the government to be a potent force to achieve economic growth in some African regions (Ddai, Opoku-agyeman and Ghartey, 2013). Meanwhile in the Philippine context, well-being is measured through the Philippine Happiness Index (PHI) by the National Statistical Coordinating Board (NSCB). They used 20 indicators such as work, economy, friends, sex- life, religion, and community participation including volunteer works in measuring the happiness index among Filipinos (Ubalde, 2012). Based on the 2007, 2008, and 2010 study on PHI, it was found out that most of the respondents think that progress is synonymous with happiness and gender difference which is a variable that determines the well-being of an individual (Virola, Encarnacion, Pascasio, & Clavido, 2010). Also, it was found out that the most important source of happiness among the Filipinos is their family (Virola, 2010). On the other hand, Mangahas (2014) stated that it was the first time for Davao City to have a social poll covering topics pertaining to politics and its life in the city. In fact, most of the respondents are satisfied with the city government particularly with Mayor Rodrigo Duterte’s administration despite the specific threats to peace and order that threaten the citizens’ well-being of the city. Generally, the respondents consider themselves happy living in the city.


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It is in this context that the researchers are impelled to conduct a study to find out if the political efficacy has a significant relationship on measuring the level of community well-being of the residents in Davao City. Further the result of the study could be a source of reference for Davao City to enhance their community well-being and more importantly a supplementary foundation for future policy formation bringing this study a record with ample social significance. 1.1 Statement of the Problem The thrust of this study was to find out the relationship between political efficacy and community well-being of the residents in Davao City. More specifically, this study endeavoured to determine the following objectives: 1.1.1 To determine the level of political efficacy of the residents in Davao City in terms of:

1.1.1.1 Internal efficacy 1.1.1.2 External efficacy.

1.1.2 To determine the level of community well-being of the residents in Davao City in terms of: 1.1.2.1 Healthy, safe and inclusive community 1.1.2.2 Culturally rich and vibrant community 1.1.2.3 Dynamic resilient community 1.1.2.4 Sustainable and democratic environment.

1.1.3 To determine the significant relationship between political efficacy and community well-being of the residents in Davao City. 1.2 Hypothesis The null hypotheses will be tested at 0.05 level of confidence. There is no significant relationship between the political efficacy and community well-being of the residents in Davao City. 2. Research Methodology This study made use of non-experimental quantitative research design utilizing descriptive-correlation technique. This study is non-experimental research because the independent variables of the study are not manipulated and are not randomly assigned to groups (Johnson and Christensen, 2000). The data of this study also describes the barangays’ level of political efficacy as well as the level of community well-being of the residents of selected barangay. Furthermore, the study is correlational because the study has determined whether the single independent and the single dependent variable have a significant relationship with each other. The respondents of this study are the one hundred fifty residents of Davao City, Philippines. 2.1 Measures The instrument used in this study consisted of two parts. Part 1 dealt with the residentslevel of political efficacy which focuses highly to the two identified indicators: Internal Efficacy and External Efficacy. The said instrument is patterned and modified based on the questionnaire developed by Xiaoyi Hu (2011). Part 2 dealt with the level of community well-being of the residents which give importance on the four aspects of community well-being provided in the barangay which are: healthy, safe, and inclusive community, culturally rich and vibrant community, dynamic resilient community and lastly, the sustainable and democratic environment. The questionnaire was based on Community Wellbeing Indicators developed by Alan Morton and Lorell Edwards (2012). A five-point Likert response rating scale is used (5 - 1), which includes Very High (5 points), High (4 points), Moderate (3 points), Low (2 points) and Very Low (1 point) respectively. 3. Discussion of Result 3.1 Political Efficacy of the Residents Presented in Table 1 is the level of political efficacy of the residents in Davao City, Philippines with an overall mean of 3.58 which corresponds to a high descriptive equivalent indicating that the level of political efficacy of the residents in Davao City, Philippines was performed frequently or many times but not continuously done. The cited mean score was obtained from the result of the mean of the two (2) identified indicators of political efficacy that was specified in the given questionnaire appended in this study. The high level of political efficacy of the residents may attribute to the high rating of both indicators of political efficacy respectfully shown in table 1. Internal efficacy with a mean score of 3.57


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describe as high as well as external efficacy with a mean score of 3.58 also describe as high both contributed to the overall mean score which denotes to a high level of political efficacy of the residents. Table 1. Level of Political Efficacy of the Residents

Indicators Mean DescriptionInternal Efficacy 3.57 HighExternal Efficacy 3.58 HighOVER-ALL 3.58 High

The high level of result shown in the study reflects that the residents in Davao City, Philippines often believe to their capacity to take part and affect their political system or society and further develop changes in it. It only implies that the level of political efficacy of the residents is high and it is frequently practice or even many times. Also, this manifests that the residents had a high political effectiveness and system responsiveness that denotes trust in one's ability to change or alter the system and trust in the capacity of the government to provide necessary improvements in the community as well as in promulgating what the residents wants as a citizen for the future development and synchronization of the public that are all often related to the identified indicators of political efficacy which are internal efficacy and external efficacy respectively. In terms of internal efficacy, the high result obtain indicates the residents has a high perception about their impact in the political process as a result of their own skills and confidence. According to Grootel (2010), internal efficacy substantially requires knowledge which involves ensuring local politics, the individual sense of political competence and the ability to calculate the capabilities to act politically which involves self-qualification in politics, understanding politics, self-rating on public office, and being politically informed and active. In the same manner the subjective competence referring to the individuals’ self-perception towards understanding and participating in politics effectively associated with political interest, knowledge and engagement (Sharoni, 2012; Hu, 2011; Xena, 2011). Consequently, internal political efficacy indicates that people or residents that often perceive themselves competent in understanding and participating in politics effectively are most likely based on how they think and know about their government, political environment as well as the actions they take similar with their involvement to the political spectrum. According to Grönlund, Setälä, and Herne (2010) that the subjective measure of an individual's evaluation of his or her own political competence and improvement of political knowledge and skills through a process of deliberation reflects an increase sense of internal efficacy. On the other hand, external efficacy high rating obtained implies that the residents agree and believes to the local government unit had sufficiently provided and guaranteed their respective needs and demands in the community which reflects the residents high trust over the local government and believes in its capacity to provide necessary services for the development of the community. These findings support the idea of Sharoni (2012) and Zhao (2012) that external efficacy reflects the trust of the citizen to their government in achieving and providing their needs and demands. As such, high level of political efficacy somehow influences in return other political characteristics of a person most likely constitutes to political awareness and participation in the government as well as the actions done by the government in response to the needs of the society. According to Grootel (2010) that in external political efficacy the openness of the political system to the citizen’s needs and demands is important that offers the citizens to an idea that the governmental authorities are interested in their demands and take their demands into consideration. 3.2 Community Well-being of the Residents Shown in Table 2 is the level of community well-being of the residents of Davao City, Philippines with a descriptive equivalent of high which indicates that the activity was performed frequently or many times but not continuously done. It shows an overall mean of 3.68 which means that the level of community well-being of the residents in Davao City, Philippines was prominent but not at all times seen as adequately provided and given to the residents. The overall mean was the result of the mean scores of 3.86 for healthy, safe and inclusive community; 3.53 for culturally rich and vibrant community; 3.64 for dynamic resilient community; and 3.67 for sustainable and democratic environment that all contributed to the overall mean score of community well-being with which all identified indicators obtained high descriptive equivalent. Table 2. Level of Community Well-being of the Residents

Indicators Mean DescriptionHealthy, Safe and Inclusive Community 3.86 HighCulturally Rich and Vibrant Community 3.53 HighDynamic resilient Community 3.64 HighSustainable and Democratic Environment 3.67 HighOVER-ALL 3.68 High


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The high level obtain for healthy, safe, and inclusive community denotes that residents in Davao City, Philippines felt safe and secure at all times in their respective communities and do not have any problem in terms of security around it. Also, residents imply that their respective community is a viable environment for children and young adults and appropriate for their respective development. According to Weaver, Born, and Whaley (2010) specific indicators related to how citizen feel about and fit into their community such as safety, social cohesion, and inclusion could be a means in measuring community well-being. In addition, a healthy community is a safe place and cities only achieve social sustainability when its citizen’s basic needs are met thus, it become a fully inclusive community that refers to each person’s participation and contribution are all welcomed, recognized, and valued (Annis, Racher, & Beattie, 2008;Wachtel, 2008). This also post that the residents see their communities as an integrated and inclusive community which promotes basic services and facilities that expands positive development and security among their citizens which somehow summarizes the idea of various authors that community safety is one of the factors that influenced the citizens’ participation in the community activity because the citizens put high regard on safety and it greatly affects the surroundings and the quality of life in the community. In addition, the said community safety addresses with various impact and harmful effects of crime and the ability of an individual to act and react from it (Sulaiman, Othman, Samah, Yero, D'Silva, & Ortega, 2014; Idriss, Jendly, Karn, & Mulone, 2010). Another indicator describe as high is culturally rich and vibrant community, this indicator express the residents satisfaction towards the local government action to provide to the residents sports and recreational activities that helps develop themselves and also encourages them to develop their abilities and artistic and cultural diversity through activities that engage them to such domains apparently giving importance in making a diverse range of activity for the community that supports and provide not only the physical but social benefits for the residents. In this regard, it is congruent with the idea that a healthy community is one that is constantly creating and improving the physical and social environment of the citizen and expanding the resources found in the community in which people are able to mutually support each other in performing all the functions of life and developing their maximum potential (Perreault and Morrow, 2010). Thus, well-being based to various authors refers to different factors affecting their state of health, happiness and freedom reflected on their social, economic, environmental, cultural and political conditions which also help to further develop and flourish the full potential of the local community setting (Whaley, 2010; Wiseman and Brusher, 2014). Meanwhile, dynamic resilient community also posts a high descriptive equivalent that denotes the residents’ belief in their community to have a great deal of motivating factors such as job and economic development that changes and affects their way of life. This finding is congruent on the idea of Lucas (2012) that a person’s life satisfaction in the community appears to have a great deal of motivating factor that influences the level of life satisfaction of a person. Factors such as income and wealth, availability and quality of jobs and work-life balance is a part of the community development and well-being of the citizen that should be provided and keenly examined by the local government to sustain the people’s well-being that eventually creates a more productive and healthy society (Durand and Smith, 2013).Hence, economic diversity plays an essential role in community well-being and robustness in which contributes to community strength and resilience (Stubbs, 2009). The last of community well-being indicator which also has a high descriptive equivalent is sustainable and democratic environment which means that the residents frequently perceives their local government as a community that provides basic needs of the citizens and put out opportunities for them to be heard and express their ideas for the development of their respective communities as well as engaging them to decision making process. This gives the readers an idea that local government act accordingly with its responsibility given by the higher authority and was delegated with task directly engaging with the citizen as part of the decentralization of the country’s government. This idea support the viewpoint of Warner and Kern (2013) that in shaping the community well-being of local government should have the capacity to recognize and respond to the paramount and varied needs of its citizen. Government policy today has increasingly emphasized the need to involve community residents in decision making as well as informing them the community conditions and situations in the community social capital which is associated with health, low level of crime, educational achievement, and a strong sense of community relationship (Gilchrist, 2009). This highly reflects the idea of White (2011) that decentralization of government provides positive effects for decision making, finance, and administrative management of quasi-autonomous unit of local government. 3.3 Correlation between Measures Table 3. Correlation between Measures

Variables r-value p-value InterpretationPolitical Efficacy Community Well-being .577 .000 Significant


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Table 3 shows the test of relationship between variables which reveals that there is a significant relationship between political efficacy and community well-being of residents. The data denotes that political efficacy and community well-being with a total r-value of .577 and probability value of .000 has a significant relationship. This means that the feeling of an individual towards his or her political action affecting or creating an impact on the political process or system may somehow relied or affected by his or her idea of the community basic factions. This further implies that an individual state of being in the community can also be affected or related to the idea or perception of the individual toward his or her political action that affects the totality of the political system of a locality. Furthermore, this idea gives an understanding that political efficacy and community well-being mirrors each other. This finding is supported by Harris and Murphy (2012) that political efficacy reflects the overall well-being of the citizen and of the state. Results further imply that the null hypothesis of no significant relationship that was formulated and tested at α .05 level of significance between political efficacy and community well-being is rejected. 4. Conclusions The government as a focal edifice of governance should see to it that the well being of its constituents are in place. With respect to the findings of this study, it is concluded that political efficacy and community well-being of the residents is meaningfully high which manifest their high political effectiveness and system responsiveness in their community that further contributes to the effectiveness in their community conditions, that are often positive and be fitting to the advantage of their community. The results then revealed that there is a significant relationship between political efficacy and community well-being as identified through their corresponding indicators. It is then a clear manifestation that an individual’s feeling towards his or her political action affecting or creating an impact on the political process or system may somehow rely or affected by his or her idea of the community basic factions and an individual state of being in the community can also be affected or related to the idea or perception of the individual towards his or her political action. 5. Recommendations On the basis of the findings and conclusions of this study, the following recommendations are offered: The respective barangays in Davao City should be provided with the results of the study for the feedback on the level of political efficacy and community well-being of the area. Such can be helpful in reference to creating new and improved plans and programs in the barangay to maintain the citizens’ participation in the barangay level. It is a helpful instrument in determining the factors affecting the level of political efficacy and community well-being of the barangay. It can also be a basis of barangay policies promoting and achieving community well-being and political efficacy of the citizens. The students of the University of Mindanao particularly the political science discipline should be provided with the result of the study to give them a range of information and perspective about political efficacy and community well-being to understand the importance of the two variables in understanding governance in the barangay level and how it affects the way of life of the people. Similar study may be conducted in other places exploring other variables that affect political efficacy and community well-being in a larger scope of study. References Anderson, P., Cooper, C., Layard, R., Litchfield, P., & Jane-Llopis, E. (2012).Well-being and Global Success. Retrieved

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Innovation in Small and Medium Enterprises in the United Arab Emirates Daniele Schilirò1

1Department of Economics, Business, Environment and Quantitative Methods, University of Messina, Messina, ItalyCorrespondence: Daniele Schilirò, Department of Economics, Business, Environment and Quantitative Methods, University of Messina, Messina, Italy.

Received: July 16, 2015 Accepted: July 29, 2015 Available online: August 7, 2015doi:10.11114/ijsss.v3i5.1014 URL: http://dx.doi.org/10.11114/ijsss.v3i5.1014

AbstractThis article focuses on innovation as the main driver of the competitiveness and market success of small and medium enterprises in the United Arab Emirates. The study overviews the still limited literature dedicated to innovation in SMEs in the UAE. It also analyzes the innovation model of small and medium enterprises in the UAE, and focuses particularly on Dubai’s SMEs. The article highlights the need to strengthen the entrepreneurial culture and promote the development of innovative SMEs with high value added in the UAE.The general purpose of this study is to contribute to the business and innovation literature on SMEs in the context of an emerging economy, namely the United Arab Emirates.Keywords: innovation, SMEs, firm strategy, business model, UAE’s economyJel Classfication: L10, L53, M21, O310.1. IntroductionThe aim of this article is to focus on innovation as the main driver of the competitiveness and market success of small and medium enterprises in the United Arab Emirates. In particular, the study seeks to analyze the innovation model of small and medium enterprises in the UAE, along with their strengths and weaknesses in terms of innovation capabilities, with a focus on Dubai’s SMEs. The general purpose is to contribute to the business and innovation literature on SMEs in the context of an emerging economy, namely the United Arab Emirates.The United Arab Emirates is the most lucrative business market in the Arabian Gulf region and the most innovative economy among the Arab nations. The UAE is already among the 37 countries recognized by the Global Competitiveness Report of World Economic Forum (Schwab, 2013) as an innovation-driven economy. This means that innovation contributes to more than 30 per cent of economic activity, and knowledge has become the driver of growth1.Although it is a hydrocarbon-rich country, the UAE government, in line with its Vision 2021, has recognized the need to transform the economy into a diversified knowledge-based one to sustain long-term economic growth and generate job opportunities for the country's young and growing population (Grant et al., 2007; Schilirò, 2013). A knowledge-based economy is characterized by fast innovation (David, Foray, 2003; Schilirò, 2012), so it can be an innovation-driven economy, wherein change becomes the only true constant, and the pace of change tends to accelerate year by year.Moreover, an innovation-driven economy is not merely dependent on total expenditure on R&D, but relies also on the efficient allocation of investments and the correct innovation strategy. Strong science and technology skills as well as soft and entrepreneurial skills are essential in an innovation-driven economy for developing and distributing new products and innovative processes.Innovation, however, comes not only from large corporations, but also from dynamic small and medium enterprises (SMEs) which can make positive and original contributions to the innovation domain. SMEs have become main actors in global markets, pursuing their special innovation strategies and determining a high share of new products (Forsman, Annala, 2011; Schilirò, 2011). In the UAE, SMEs account for 92 per cent of the total number of companies and contribute around 50 percent of the GDPgenerated in the economy; in addition, as many as 200,000 UAE-based SMEs are currently providing over 85 percent of

1El-Sokari et al.(2013, chap. III).


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private-sector jobs, according to the UAE Ministry of Economy (2013, p.66). These firms enable the creation of skilled manpower and share expertise to reinforce innovation and strengthen the pillars of the knowledge economy. This is why it is important to focus on SMEs, understand their innovation model, and assess their innovation performance and advancements in terms of efficiency.Therefore, this article aims at analyzing the innovation capabilities and practices of SMEs in the United Arab Emirates, paying special attention to the SMEs in Dubai, through an overview of the limited literature dedicated to the study of SMEs in this country. It also examines the recent innovation strategy decided by the UAE Government to boost innovation and favor growth. The remainder of this work is structured as follows. Section 2 discusses the concept of innovation as the driving force to compete. Section 3 looks at innovation in the small and medium enterprises of the UAE. Section 4 provides a focus on Dubai SMEs. Section 5 examines the recent government policy on innovation in the UAE. Section 6 contains the conclusions of the article.2. Innovation as the Driving Force to Compete.Innovation is crucial if an enterprise wants to become successful in today’s highly competitive global economy. Formost enterprises, innovation is, or at least should be, a priority (Cefis, Marsili, 2005). Innovation involves thinking differently and creatively to find solutions that have an impact in terms of economic and social value. Innovation is critical for creating competitive or collaborative advantage, but also for improving governance. It can redefine products, processes, and services and it involves individuals, organizations and institutions.Joseph Schumpeter (1934, 1942) stressed that the fundamental impulse that sets and keeps the capitalistic engine in motion comes from the entrepreneur’s innovative capacity. He highlighted the important role of radical innovations that transform existing markets or industries and create new ones. He was aware that innovations become effective when they can be implemented in new products, services or processes that have a commercial relevance. Innovation is, therefore, about economics rather than technology and is a complex activity which may arise from any part of the production process, not only from the R&D labs. There is no one single best way to innovate. Innovation can be induced by users, but also societal developments rather than technological developments can take the lead. Intangible skills such as entrepreneurial ability, communications skills, adaptability, tacit knowledge, etc., contribute strongly to innovation, especially in services and in organizational innovation.Since innovation is pursued in an uncertain environment and it is essentially an activity with uncertain outcomes, it can result from focus on systematic processes as well as serendipitous moments. Innovation requires, apart from R&D, the right leadership, culture, organizational structure and allocation of resources. Teece (1986), Chesbrough (2006) andother scholars highlight that the success of enterprises depends on their effort to optimize economic organization, business strategy, technology and innovation. However, to implement a successful innovation it is necessary to enable a wide range of complementary actions in the firm, including organizational changes and training of the workforce, marketing and design and specific business services. According to Teece (1986, 2006), innovations will only pay off if the firm owns the best complementary assets. These complementary assets shape the forward enterprise strategy2.Therefore, Teece’s theoretical analysis explicitly takes into account the business environment. But the business environment is constantly changing also because the evolution of technology is carrying with it the reconfiguration of many industries. Today, competitive threats often come from outside the traditional industry boundaries. In various industries – for instance, in health care or energy – technologies and distinct knowledge bases are changing and converging (Hacklin, Battistini, Von Krogh, 2013). The most dramatic example of such convergence is taking place in telecommunications, information technologies, media and entertainment (‘TIME’ industries). Another, more disrupting type of convergence, determined by the exponential change in technological innovation, is between the physical world and the virtual world that are merging as never before in the ‘Internet of Things’. Enterprises must take this change in the environment into account and understand the factors driving convergence, since this will affect innovation strategy. At the same time, entrepreneurs must be aware that the business world is also driven by contention between the incumbents in every industry and the ascendancy of the challengers; therefore their business model becomes a strategic choice to get ahead. The right choice of the business model is crucial for firms to compete and to take advantage of innovations even if this is very difficult to achieve. Thus, an important aspect of innovation for the firm is the outline of the business model. Researchers have produced a rich and growing body of theory and empirical studies on this topic. Chesbrough and Rosenbloom (2002) clarify that a business model is a plan for the organizational and financial architecture of a business, which makes valid assumptions about the behavior of revenues and costs, potential customers and competitor behavior. David Teece (2010) explains that business models have become popular only recently. “Driving factors include the emerging knowledge economy, the growth of the Internet and e-commerce, the outsourcing

2Teece (2006, p. 1135).


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and off-shoring of many business activities, and the restructuring of the financial service around the world[…]The existence of electronic computers that allow cost financial statement modeling has facilitated the exploration of alternative assumptions about revenues and costs” (Teece, 2010, p.174). A good business model allows a firm’s innovations to be transformed into commercial success (Chesbrough, 2010). Innovation in business models means that the firm must innovate in areas where the competitors do not act. Business model innovation usually consists of adding new activities, linking current activities in novel ways, and changing the party performing the activity (Amit, Zott, 2012). As explained above, firms have become aware of the importance of being able to adapt and keep innovating to overcome intense competition and to match changing market demands. Consequently they make efforts to build up appropriate capabilities to innovate (Lawson, Samson, 2001; Brem, 2011; Ellonen, Jantunen, Kuivalainen, 2011). Innovation is the outcome of deliberate investments and strategic efforts at firm level, and firm-level heterogeneity plays a key role in explaining innovation. Not only large companies, but also small and medium firms need to seek new strategies and business models, introduce new and better products and services, consider new knowledge and technologies and build up networks to extend their technological competences (Rothwell, Zegveld, 1982; Rothwell, 1991; Terziovski, 2010; Lee et al., 2010). SMEs must incorporate innovation into their activities in order to achieve long-term success. The literature on SMEs has recognized the ability of these firms to adapt their business model; moreover, it has identified numerous factors contributing to innovation such as management strategic orientation,networking, customer demand, and the internal culture. Also important is their flexibility to adjust inputs, improve technological methods and products continuously, and modify prices rather quickly according to changes in the external environment (Reid, 2007; Laforet, Tan, 2006; Whyman, Petrescu, 2013).3. Innovation in the small and medium enterprises of the UAE.This section seeks to focus on the features of the innovation model in the SMEs of the UAE by drawing on the data and information contained in two recent reports on innovation there. The first report is the GE Global Innovation Barometer (Edelman, 2014), an important global survey on innovation involving more than 3,200 executives in 26 countries3. The UAE is one of the countries involved in this global survey. However, in particular the survey describes the multinational and global companies operating in the country, and the large State companies in sectors like energy and the environment, aerospace, transport and logistics, while it does not fully represent the attitude to innovation in small and medium enterprises. In any case, according to this report (Edelman, 2014), UAE emerges as a country with a strong awareness of and a positive attitude towards innovation. The GE Global Innovation report highlights that innovation is increasingly becoming a global game; thus merging and combining talents, ideas, insights and resources across the world is the only way to be successfully innovative. However, more than ever before, innovation needs to be localized to serve specific market needs (Edelman, 2014, p.23). The survey reveals that a very high percentage of executives regard innovation as a strategic priority to help drive business growth, with more than half the respondents stating that developing new business models is a promising way to boost future performance. This result, therefore, confirms the crucial role of business model innovation as the best pathway for firms to pursue innovation and create a lead in the market (Amit, Zott, 2012; Casadesus-Masanell, Ricart, 2011; Chesbrough, 2010; Teece, 2010). The executives surveyed identify the following key drivers to innovation: collaboration, Big Data, industrial internet or ‘internet of things’ 4. Actually, innovation rarely occurs in isolation; it is a highly interactive and multidisciplinary process and increasingly involves collaboration between a growing and diverse network of stakeholders, institutions and users (OECD, 2010)5. Collaboration and networking are now mainstream; in particular 85% of the respondents say that collaboration with start-ups and other entrepreneurs will drive innovation success (Edelman, 2014, p.51). UAE, for instance, is one of the countries where the revenue and profit generated by collaborative innovation activities has been growing over the last year. Another key to successful innovating is to adopt emerging technologies quickly; the time factor is decisive in innovation, since it is best to get to market as quickly as possible to keep an edge on competition. Furthermore, the majority of respondents believe that innovation can originate from companies of any size and that SMEs and individuals are seen as the innovation champions and the most promising collaboration partners (Edelman, 2014, p.51). However, smaller and younger businesses suffer the most from innovating challenges such as an incapacity to scale up successful innovations to a wider international market, insufficient investment and financial support, a lack of talent/skill, difficulty in coming up with radical and stimulating ideas, difficulty in defining an effective business model to support new business ideas and make them profitable, the incapacity of the business to take risks, etc.

3The senior business executives interviewed manage large companies. The average size of the company investigated has 650 employees. 4Although Big Data has become a critical tool and is no longer a buzzword, in the UAE the large majority of respondents are unfamiliar with this tool. 5Hagedoorn (2002) has already pointed out the relevance of networks in innovation, see also Rothwell (1991) on networking and innovation in the SMEs.


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(Edelman, 2014, p.43). Lastly, as regards the role of government, the executives interviewed expect governments to provide a framework to support top drivers of innovation. The top business expectations for government support are: fighting bureaucracy and cutting red tape (87%); ensuring business confidentiality and trade secrets are adequately protected (86%); aligning student curricula in the education system with the needs of business (85%) (Edelman, 2014). The picture of the innovative behavior of firms in the UAE according to this GE Global Innovation Barometer (Edelman, 2014) looks fairly good but, as explained above, it is a picture that describes especially the large private companies and State companies operating in the country, rather than small and medium enterprises. Another major report is Entrepreneurship. An Emirati Perspective by El-Sokari et al. (2013), which pays attention to the relationship between entrepreneurship and firm performance in the UAE, and specifically concerns small and medium enterprises. This report focuses on the Emirati population and builds on GEM Adult Population Survey (APS) data6. The survey provides a problematic picture of innovation in the Emirati owned and managed SMEs. This in-depth study of the UAE business environment analyzes the attitude to innovation among Emirati entrepreneurs. El-Sokari et al.(2013, p.27) explain that, given increased international competition, a key to competitive advantage for SMEs is to offer goods and services which are unique to the customers or deemed innovative. To this purpose, the survey presents the opinions of Emirati entrepreneurs on their customers’ perceptions of their products and services. In 2011 more than two out of three Emiratis who own businesses over 42 months old consider that none of their customers views their products and/or services as innovative7. This is a high percentage and it is higher than the UAE average referring to the total population of established entrepreneurs in the UAE. Thus this result seems to show that, once a business venture is started, “Emirati entrepreneurs expend less effort on continuous improvement of products and services and maintaining a competitive advantage” (El-Sokari et al., 2013, p.27).Since high-innovative firms have the potential to become high-growth firms, the survey investigates the expectations of Emirati entrepreneurs regarding the introduction of new technologies as part of their growth strategy. The results of the survey reveal that only a small minority of Emirati entrepreneurs (12.2%) expect to use or to introduce new technologies as part of their growth strategy (El-Sokari et al., 2013, p.76). The UAE GEM data also indicate low rates of innovation and a desire to copy rather than invent among the Emirati owned and managed companies; actually most offer products and services that many of their competitors also sell (El-Sokari et al., 2013, p.78). Indeed, it is extremely difficult to measure innovation, due to its constantly changing nature and to the continuously changing environment. GEM, in general, associates innovation with corporate renewal and new venture creation. More specifically, in the GEM survey there are two different ways to assess innovation: product originality and the degree of business competitiveness. A consideration derived from the data shown in the survey is that Emirati entrepreneurs have minimal involvement in the high-tech sector and this may be due to a number of reasons such as the higher degree of risk and the higher level of expenses related to technological innovation (El-Sokari et al., 2013, p.79).8

Table 1 illustrates the level of technology of products in start-ups in the UAE for the years 2006, 2007, 2009, 2011. The table distinguishes two groups of start-ups on the basis of the level of technology of their products: No/Low-Tech and Med-Tech/High Tech. Table 1. Level of Technology of Products in Start-Ups in the UAE

Year No/Low-Tech Med-Tech or High-Tech Total 2006 97.0% 3.0% 100.0%2007 99.4% 0.6% 100.0%2009 99.0% 1.0% 100.0%2011 97.7% 2.3% 100.0%

Source: UAE GEM data (El-Sokari et al., 2013) Table 1 shows, for the year 2011, that almost all new businesses started in the UAE had no or low technological levels, with only 2.3% being medium-tech or high-tech new ventures. This result is the second lowest rate among the innovation driven economies, and far removed from the best performing country like Norway at 14.3% (El-Sokari et al., 2013, p.81).

6The Global Entrepreneurship Monitor (GEM) research consortium measures and compares entrepreneurial activities of working-age adults around the globe. In 2011, the GEM study conducted surveys in 54 economies in which the UAE was a country participant and benchmarked internationally as an innovative driven economy. The GEM Adult Population Survey (APS) is normally conducted among a random representative country sample of at least 2000 adults. However, in the UAE, the norm has been to incorporate an oversampling of an additional 1000 Emirati nationals to allow for a deeper analysis of the entrepreneurial landscape specifically amongst the Emirati population (El-Sokari et al., 2013, pp. 9-10). 7In this survey, according to the GEM methodology, the rate of established entrepreneurs refers to those who have owned and managed an enterprisefor more than 42 months and who have paid wages and salaries for over 42 months as well. 8The low involvement in high tech sectors contrasts with an IT industry (especially in Dubai) that is the most developed in the MENA region. However, many IT companies are regional sales offices of international firms, not Emirati owned SMEs.


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According to the findings of this survey, the features of the innovation model of the SMEs owned and managed by Emirati entrepreneurs can be summarized in the following way: firstly, in most cases Emirati SMEs are characterized by a low level of innovation, since their products are generally not original and innovative. Secondly, since they tend to copy products and processes rather than invent or create something new, there is little effort made to continuously improve products. Lastly, Emirati SMEs specialize mainly in products with low technological levels instead of the high-tech sector. However, SMEs in the UAE often show a low level of productivity: this is mainly due to the absence of any spur to do more. What is probably lacking in these enterprises is enough exposure to competition.A policy implication that the authors of the survey derive from their analysis is that fostering an entrepreneurial culture is a priority for the UAE, since Emiratis are less risk-oriented than citizens in other innovation-driven economies9.However, it is even more important to generate high-value entrepreneurs who can enhance economic growth (El-Sokari et al. (2013, p.81). The survey by El-Sokari et al. (2013, pp.47-48) also shows that the relevant obstacles to entrepreneurship in the UAE seem to be: access to finance, lack of entrepreneurial skills and complex administrative procedures. As far as access to finance is concerned, it is known that SMEs have difficulty in securing finance, especially from the banking sector. Moreover, financial markets are far from perfect and there has been a lack of SME equity financing in UAE. Thus, SMEs mainly find the capital they need through the savings and income of their entrepreneurs or their family network. To partly overcome this problem, the UAE government has provided financial resources to be allocated through organizations such as the Khalifa Fund and Dubai SME to support Emirati owned SMEs in the form of loan programs and government-backed loan guarantees. But it is also necessary to favor the development of a more efficient venture capital market, especially for innovative start-ups. However, a major factor that hinders the development of innovative entrepreneurial activities is the bankruptcy laws in force in the United Arab Emirates. These laws are still highly punitive for entrepreneurs that fail, thus discouraging riskier but often promising activities. In conclusion, El-Sokari et al. (2013, p.105) suggest focusing on integrating entrepreneurship and innovation policies. Both are viewed as relevant catalysts to unlocking higher levels of economic growth, since UAE is a country in transition towards a knowledge-based economy10.Another aspect which is very important for innovative behavior is human capital development, since today the economic and production environment is changing fast. In the UAE, nine out of ten jobs come from small and medium enterprises (SMEs); however, the potential of the SME sector is limited by the relatively large size of the government sector, and the bureaucracy that comes with it. The UAE is characterized by a public sector share of the economy that crowds out entrepreneurialism and a thriving private sector11. In addition, the UAE, like other countries in the region, has high levels of youth unemployment (about 24%), since about half the population is under the age of 25. Lastly, the most highly educated members of the population, specifically women, are not making it into the workforce. The majority of university graduates in the UAE are women, which represent 70% of university graduates, yet they are not proportionately represented in employment figures (women represent only 25% of the workforce). Thus, boosting entrepreneurship and the private sector becomes a strategic move for the economy of the UAE. In this regard, El-Sokari et al. (2013) stress the important role of entrepreneurship education12. They suggest that much more needs to be done to integrate entrepreneurial skills into the UAE education system, especially at University level (El-Sokari et al., 2013, p.94). These authors point out that the building blocks of entrepreneurship are: creativity, innovation and problem solving (El-Sokari et al., 2013, p.92). Yet, unfortunately, in the UAE there is no specific national strategy for entrepreneurship education in general13, despite some good initiatives at all levels (El- Sokari et al., 2013, p.97).The argument concerning the importance of human capital development for innovative behavior is also confirmed in Edelman (2014). He emphasizes that in the global market, leadership must be based on a multifaceted skill set with, in addition, an intuitive understanding of the changing economic environment, technology and talent. At present, young Emiratis must compete for jobs with people around the world, be able to master a changing set of skills and adapt to the demands of an ever-changing economy. In the current world, the growing role of ICT technologies is changing

9Among the Emirati population in general there is a relatively low labor force participation rate in the private sector. 10A similar conclusion is reached in the article by Al Allami, Van Horne, Huang (2013) “Technological innovation in the United Arab Emirates: process and challenges” wherein the analysis, based on a survey, shows that in the UAE what differs the innovation process is the lack of access to public industrial research centers or universities research groups who could assist local companies with applied research projects. The authors suggest to increase support and government backed initiatives for large-scale R&D processes by creating government funded applied research centers, funding opportunities for collaborative research with universities and researchers and increase support for graduate engineering and technical education for the local Emirati population. 11As Pissarides (2001) has argued, in the long run the most detrimental impact of extensive government hiring is that it traps human capital in unproductive public sector jobs, thus limiting its contribution to economic growth. 12The report dedicates chapter V to this topic.13However, the recent National Innovation Strategy in the UAE seems to partly encompass this important issue. For an analysis of the National Innovation Strategy see section 5.


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production at a global level and the skills of human capital, since these technologies are key enablers of innovation. In addition, social, mobile, analytics and cloud technologies (i.e. ‘SMAC’ technologies) are reshaping business models and rendering many traditional skills obsolete. Many skills and capabilities that are relevant today will not be relevant by 2020. Job creation in the next years will be concentrated mainly in four major fields collectively known as STEM, or Science, Technology, Engineering and Mathematics14. The ‘digital natives’ are joining a multi-generational and cultural workplace at a time when many companies are realizing that their contribution and their diversity can become a strategic asset. The digitalization of commerce, for instance, could offer real opportunities to young Emirati, especially since connectivity in the UAE is very good15. This is an opportunity for young people who grow up as ‘digital natives’ and for women who are looking for more flexibility in where and how they work.Since Information Technology today touches every facet of business in ways that traditional enterprise technology never did, the success of firms, in particular of SMEs, is achieved through the leveraging of the ICTs16. But the adoption of ICTs is strictly related to the innovative capabilities of the firms. However, as already explained, the innovative capability of the SMEs depends on the entrepreneurial culture and the overall environment, including market conditions and the regulatory framework. 4. A focus on Dubai’s SMEsThe previous section focused on innovation in the SMEs of the UAE, particularly those owned and managed by Emirati entrepreneurs. In short, it can be argued that Emirati SMEs are characterized by a low level of innovation and that Emirati SMEs specialize in products with low technological levels instead of high-tech products.This section focuses on Dubai’s SMEs. The management literature on SMEs in Dubai is limited but growing. Al-Ansari,Pervan, Xu (2013), in particular, seek to delineate the innovative characteristics of SMEs in Dubai through a survey of 200 SMEs. Firstly, they observe that the UAE (including Dubai) has a lower share of early-stage entrepreneurial activity among innovation-driven economies, an observation in line with what emerges in El-Sokari et al. (2013). The business model of the SMEs in Dubai, according to Al-Ansari, Pervan, Xu (2013), is characterized by centralized organizational structures, a short-term focus, high administrative intensity and top-down and formal communication. However, the findings of the survey by Al-Ansari, Pervan, Xu (2013, pp.171-174) are very interesting, despite various limitations regarding the number of the respondents, the conceptualization of innovation and so forth17. The authors find a significant positive link between innovation and business performance. Their survey reveals that the drivers of innovations in Dubai’s SMEs are management, customers, technology and employees; moreover, quality improvement, customer value added, strategic growth, and also new business models constitute the main platforms of innovation. A surprising result is that, in the period considered in the survey (the last three years), SMEs in Dubai have made a greater number of radical innovations and fewer incremental innovations. Another finding is that innovation in new products and services is influenced externally by the nature of industry and internally by organizational culture. Economic risks, capital resources, the market, lack of skilled labor, and the nature of legislation and regulation policies are among the most relevant barriers to innovation.Unlike the research work of Al-Ansari, Pervan, Xu (2013), the present study did not involve any specific survey on SMEs in Dubai; however, it analyzes two recent and influential reports made by the government agency Dubai SME. One is The State of Small and Medium Enterprises in Dubai (Dubai SME, 2014), which is the first comprehensive report on the SME sector in Dubai18. This report consists of a survey of 500 SMEs in Dubai in order to assess them by investigating various themes: degree of international orientation; prevalence of innovation; level of IT adoption; human capital development; degree of corporate governance; level of access to finance and scalability potential (Dubai SME,2014, p.19)19. The report shows that the current state of innovation amongst Dubai SMEs is low. This result is coherent with the findings by El-Sokari et al. (2013) for the UAE, and is not in contradiction with the more limited survey of Al-Ansari, Pervan, Xu, (2013). The Dubai SME report distinguishes between SMEs in trade, services and

14Computer science is the most highly desired skill for data experts; recently, demand for Big Data professionals has increased more than IT roles. 15The level of ICT skills amongst the population of UAE is high compared to most Middle East countries. For instance, 99 per cent of educational establishments have computer labs. Also, the UAE has the highest mobile penetration rate in the Middle East. 16The United Arab Emirates continues to move up in the rankings of ITC at a global level, as suggested by The Global Information Technology Report 2014 (Bilbao-Osorio et al., 2014). In fact the country has reached 24th place. In particular, improvements in its ICT infrastructure and ICT uptake by individuals have led to greater economic impact and thus a rise in the rankings. 17For a detailed analysis of the limitations in the survey see Al-Ansari, Pervan, Xu (2013, p.174).18The Dubai SME report (2014) offers a statistical snapshot of the structure of Dubai’s SME sector, followed by a detailed analysis of the economic and business performance of the SMEs operating in the Emirate of Dubai. The state and characteristics of SMEs in Dubai have been assessed on the basis of a survey conducted on a sample of 500 SMEs across the Manufacturing, Trading and Services sectors. The government agency Dubai SME, which developed this report, operates to enhance the overall business environment in order to make it more conducive for SMEs in Dubai to thrive and grow.19The scale of the survey ranges from Low to High. Low refers to orientation on the specific theme indicated by up to 20% of the surveyedrespondents. High refers to orientation on the specific theme indicated by more than 40% of the respondents (Dubai SME, 2014, p.30).


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manufacturing and reveals that SMEs in the services sector tend to innovate less, whilst SMEs in the manufacturing sector have the highest orientation to innovation. In addition, micro and small firms tend to be less innovative compared to medium firms, which is a result in line with other international economies. SMEs are the backbone of Dubai’s economy, representing 95% of all establishments in the Emirate; they are primarily responsible for driving job creation, innovation, exports and new business models. SME businesses, in fact, account for 42% of the workforce and contribute around 40% to the total value added generated in Dubai’s economy (Dubai SME, 2014, p.4). Among SMEs, micro-firms account for 72% of the overall businesses in Dubai, followed by small firms that account for 18% of the business count, and by medium-sized firms which represent 5% of the business count. Trade and service sectors are the key pillars of Dubai’s economy. Dubai has the vocation to be an international service economy and a trade hub. Foreign trade is a key driver for Dubai's economic growth. At present, the trading sector accounts for the majority of SMEs in Dubai (57%), followed by the services sector (35%) and subsequently followed by the manufacturing sector (8%) (Dubai SME, 2014, p.23). The Emirate has become a global village with 90% of the population coming from all countries in the world. Dubai is less oriented towards R&D activities, due partly to the shortage of Emirati researchers and partly to the fact that skilled expatriates do not stay for a long time in the country, asR&D activities require stability and a long-term perspective. Dubai is increasingly focused on finance, tourism, shopping, real estate development, exports and re-exports (Schilirò, 2013). To assess whether Dubai’s SMEs have a focus on innovation and R&D in their business, the respondents of the survey were asked about: the allocation of an annual budget for R&D; the implementation of innovation in the business at a product and/or process level; key objective/ motivation for implementing innovation. The key findings are the following: a small percentage (8%) of the survey respondents indicated that they maintain an annual budget for R&D and product development; only 13% of the survey respondents indicated that they have implemented some level of innovation either in terms of product innovation or process enhancement/improvement; the major prevalence of innovation amongst Dubai SMEs is at the product/service level (42% of the total prevalence of innovation), as compared to innovation within internal processes (30%) and distribution and delivery formats (28%); the key/objective of investing/implementing innovation in business, as elicited by the majority of respondents, is to create competitive advantage through product/service differentiation (38% of the SMEs indicated product/service differentiation as the key objective for implementing innovation in business)20

. In Dubai, like other countries (e.g. New Zealand, UK, Malaysia), a higher proportion of manufacturing SMEs (at 29%) have implemented some level of innovation within their business, as compared to services (at 16%) and trading (at 4%). Lastly, the survey shows that innovative SMEs are more internationally oriented as compared to non-innovative SMEs; a higher prevalence of innovation is observed amongst exporting businesses (75%), vis-à-vis non-exporting SMEs (48%) (Dubai SME report, 2014, p.35). Actually, in a small market knowledge economy, like the UAE, innovation and technology can be key to increasing exports and the sale of intellectual property. The survey also investigated the level of IT adoption amongst the Dubai SMEs , since it is related to innovation. The overall result is that the degree of orientation regarding IT adoption is moderate21. Instead, there is a high degree of international orientation of SMEs in the Dubai survey and the enterprises show a strong focus towards exports. In addition, the report highlights that SMEs in Dubai which are more internationalized tend to be more innovative and have a higher rate of IT adoption. The relationship between internationalization and innovation has often been demonstrated in the empirical literature of SMEs (Kafouros, Buckley, Sharp, et al., 2008; Bratti, Felice, 2012; Altomonte et al., 2013; Halilem, Amara, Landry, 2014)22. SMEs in Dubai, according to the report, seem to confirm this important relationship. Table 2. Summarizes the State and Characteristics of Dubai’s SMEs, by adopting the scale: Low-Moderate-High.

International Orientation of SMEs HighOrientation towards Innovation among SMEs LowIT Adoption among SMEs ModerateFocus on Human Capital Development by SMEs ModerateAccess to Finance for SMEs ModerateScalability Potential of SMEs LowOrientation towards Corporate Governance Lowamong SMEsSource: Dubai SME (2014).

20The percentage of 13% referring to product development is much lower than other international economies (such as New Zealand, Malaysia, the UK and the UE).21Approximately 21% of the total survey respondents indicated use of advanced IT systems within their business operations. For more figures and details, Dubai SME report (2014, p.37).22Italian medium-sized multinational enterprises show the same relation (Schilirò, 2011; Musca, Schilirò, 2013).


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Table 3. Summarizes the Sector-Wise Orientation of Dubai’s SMEs towards Specific Themes.

Sectors

Themes Manufacturing Services Trading

Degree of International Orientation of SMEs Moderate Low High

Prevalence of Innovation amongst SMEs High Moderate Low

Level of IT Adoption amongst SMEs Moderate High Low

Extent of Human Capital Moderate High Low

Development amongst SMEs

Degree of Corporate Governance High Moderate Moderate

Orientation of SMEs

Access to Finance Moderate Low High

Scalability Potential of SMEs Moderate Moderate Moderate

Source: Dubai SME (2014). In Table 3 the sector in which the proportion of SMEs indicating a positive response is observed to be the highest has been marked as ‘High’ and conversely the sector with the lowest proportion of SMEs indicating a positive response has been marked ‘Low’.The second report by the government agency Dubai SME, complementary to that just examined, is The State of Small and Medium Enterprises in Dubai. Case Studies (Dubai SME, 2013), which concerns ten actual case studies relating to the following themes: international orientation, innovation, IT adoption, human capital development, corporate governance. These case studies focused on companies that ranked top in the Dubai SME 100 ranking23. As far as international orientation is concerned, the focus is on two enterprises (Dubai SME, 2013, pp. 3-12). The first is Intercoil,a medium-sized company with 350 employees and three main manufacturing divisions – polyutherane foam, furniture and mattresses – located in Dubai. In the last ten years, the company has evolved from being a domestic market oriented company by changing its strategy and aiming at the international markets. At present, Intercoil has eight distribution centers across seven countries. During its transformation, the share of exports in its total revenues has grown from less than 10% in 2000 to 40-45% in 2012. In order to become more competitive, the company has constantly striven to upgrade its products through incorporation of customer feedback and introduction of technological advancements. In addition, the company has also focused extensively on continuous R&D to launch innovative products, because of the strong link between innovation and international competitiveness. However, the company aims to augment its manufacturing capability through capacity expansion, improvement in production technologies and further automation of its manufacturing processes.The second enterprise is EnerPlastics, a leading exporter of color and additive master batches in the UAE. Currently, the company’s products are exported to 32 countries across the MENA, European, and other regions. The company has adopted a distributor-centric model outside the UAE rather than focusing on setting up its own offices. One feature of the Ener Plastics business model is that the company is able to provide high quality technical support to its customers in the GCC region, something that is not offered by international manufacturers. In about ten years, the share of international markets in its total revenues has increased from 20% to 70%. The company managed to maintain an annual growth rate of 10% of its revenue after the global financial crisis. Lastly, EnerPlastics has pursued important product innovation through R&D in collaboration with a French university.These two cases regarding enterprises with a strong international orientation confirm the view in the literature (e.g. Schilirò, 2011; Altomonte et al., 2013; Halilem, Amara, Landry, 2014) that internationalization and innovation are two strictly related business strategies. In fact, access to the international market is important because best practice requires a scale of production larger than the domestic market can provide for national producers. Competing as part of the world economy is thus an important way of gaining access to scale and also of being pushed to innovate. Finally, the two cases show that a more close and efficient relationship with customers is important for being successful in foreign markets24.The theme of innovation is analyzed through other two case studies (Dubai SME, 2013, pp.13-24). The first company is

23Dubai SME 100 identifies the top-performing SMEs in Dubai to support them in their growth into larger and internationally oriented companies. The objective of Dubai SME 100 is to inspire willing and able SMEs that have the potential to be world-class enterprises, to invest in innovation and people, and to sustain growth.24See Musca, Schilirò (2013).


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MicroAutomation, pioneers in the field of R&D and the manufacturing of power protection and power management in the UAE with about 100 employees. The company has constantly evolved and innovated its products based on market feedback. Also, the company continues to focus on R&D to constantly improve the quality and functionality of its products (around 30% of the company’s annual profits are allocated to R&D). Its knowledge center is in Belgium (since 2010) in order to leverage the research being conducted within leading universities in the country. MicroAutomation has invested not only in R&D for its products, but also in the development of its brand image. Pursuing its innovation strategy, the company has also focused strongly on internationalization. In fact, more than 80% of the company’s sales are from exports. A continuous interest in developing innovative and intelligent power-related systems continues to be a key strategic focus area for the company. The second company is E-Home Automation, a major firm in the field of automation solutions for residential and commercial properties in the UAE. The true innovation of this company was to create its own range of hardware and software that provided a single interface for the end user. Currently, the company derives the majority of its revenues from outside the UAE. E-Home Automation aims to focus its efforts and investments on technology enhancement and product development, rather than distribution of its products. Both these companies have a business model based on technology improvement, product development, business growth, focus on international markets and a close relationship with clients25.The two case studies concerning IT adoption (namely, Propertyfinder.ae and SamTech Middle East) (Dubai SME, 2013, pp. 25-32), confirm that innovative technologies and the adoption of IT solutions are able to open up new markets, boost company growth, and increase efficiency and productivity in various sectors of the economy. The crucial role of human capital development is proven by the other two case studies (OnTime and Ethos Consultancy)(Dubai SME, 2103, pp. 33-44). In particular, OnTime has changed its business model, thanks to its well-trained and well-motivated staff who are able to provide a high level of customer service.Although the cases cited above show SMEs that have capacity for innovation, internationalization and that are successful in the markets, yet all these companies face several difficulties and challenges. Among these are the access to bank finance, the availability of manpower (in particular, qualified workers and professionals), and the inadequacy oftechnological infrastructures.5. Government Policy on Innovation in the UAESince innovation is the key to success for any company (Porter, Stern, 2001), this analysis highlights the need to strengthen the entrepreneurial culture, and promote the development of innovative SMEs with high value added in the UAE26. Following the seminal book by Peter Drucker (1985), Innovation and Entrepreneurship, the recent literature has deepened the relationship between innovation and entrepreneurship (Brazeal, Herbert, 1999; Bessant, Tidd, 2007; Brem, 2011; Zhao, 2005), since an entrepreneur is essentially one that tries to beat his or her competitors with new ideas that are implemented in new businesses (Schumpeter, 1934). Hence, the modern entrepreneur is a multifunctional individual able to adapt to and develop new technologies, innovations, and businesses amid a wider environment of change and uncertainty. This study shows that UAE businesses, especially small and medium enterprises, need innovation. Despite many cases of Emirati SMEs successfully innovating and competing in the global markets, most firms have a low level of innovation while they operate in traditional sectors and still have a moderate level of internationalization, despite the fact that competing in the world economy is an important way of being pushed to innovate. However, to innovate SMEs need to reconsider their business model. In addition, the overall environment and the regulatory framework are essential to making innovation possible. Thus, SMEs need Government support.The UAE Government has demonstrated a will and has the funds to invest in infrastructure, human capital and job creation, and to foster innovation and growth. Significant investments have already been made in key industries, such as oil/gas services, semiconductor, aerospace, clean tech, and ICT in line with its vision to be a leading knowledge-based economy (El-Sokari et al., 2013). The Government has also been committed to favoring innovation determining the main goals of its innovation policy27. The recent National Innovation Strategy launched in October 2014 by Sheikh Mohammed bin Rashid Al Maktoum, Vice President and Prime Minister of the UAE, with a focus on seven sectors –renewable energy, transport, education, health, technology, water and space – is a further important step aimed at the

25This business model is in many aspects similar to the business model of Italian medium-sized enterprises (Schilirò, 2011).26The conclusions of the report of El Sokari et al. (2013) are in this direction.27The Department of Economic Development has recently established a Council of Competitiveness (COAD) in Abu Dhabi. COAD contributes tocreating a sustainable business environment conducive to innovation and productivity, which encourages investment and the success of businessprojects in the emirate.


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innovation policy. According to this strategy, innovation today is driven by effective institutions, strong policies, specialized skills and an economy where all sectors work together to discover new ways to conduct business. Indeed, the strategy goes in the right direction of strengthening the innovation capability of the UAE economy and of its companies, including SMEs. It is a primary tool to achieve Vision 2021 and an engine for the growth of distinctive skills and capabilities across the nation28. Already the most innovative Arab nation, the UAE aims to be among the most innovative nations in the world. The first phase of the Innovation Strategy encompasses 30 national initiatives to be completed within three years including new legislation, innovation incubators, investment in specialized skills, private-sector incentives, international research partnerships, and an innovation drive within government. The strategy works along four parallel tracks. The first track will anchor a stimulating environment for innovation in the form of supportive institutions and laws. The second track will develop government innovation by institutionalizing innovative practices with the support of an integrated system of modern tools. The third track will encourage private sector innovation by stimulating companies to establish innovation and scientific research centers, to adopt new technologies, and to develop innovative products and services. The fourth track will qualify individuals with highly innovative skills by concentrating on science, technology, engineering and mathematics, including the creation of educational material for schools and universities. Regarding particularly this last track, there is a strong need to improve the investment in education in the UAE, especially in technical subjects and vocational training. It is not a question of money, since spending on education in the country is among the highest in the developing world per capita. Rather it’s a question of measurable outcomes. The private sector can also have a role by helping the government to identify what practical skills are needed on-the-job, and by offering strong and structured apprenticeship or internship programs 29. Later in November 2014, the UAE Federal Cabinet of Ministers met to approve the designation of 2015 as the Year of Innovation in a plan to make the UAE a world innovative leader. At the same time, the Prime Minister directed the formation the National Innovation Committee (NIC) which will oversee the UAE's efforts to become one of the world's most innovative countries within seven years. The committee includes a number of federal government entities to monitor the implementation of the national innovation strategy.More recently, in February 2015, a seven-point scheme was launched by the Government to make innovation the driving force in schools and universities, taking inspiration from the experience of South Korea, a successful innovation-driven economy. According to this scheme robot laboratories will be set up in schools. As second step, the study curriculum will be overhauled to place innovation at its core. The third step will make innovation a basic criterion in assessing schools. The fourth initiative will be an annual exhibition for innovation, with the participation of university students and school pupils, in cooperation with the private sector. The fifth initiative will establish innovationincubators for university students and other young people, initially supported by the Government until the ideas are concrete and compete on the market. The sixth step will encourage teachers to discover new talent and the possible innovators of the future. The final initiative will establish training camps for innovators featuring intensive training programs under experts and specialists. All these initiatives will have UAE Government funding of about 1.2 billion USD. Undoubtedly, this innovation scheme concerning schools and universities and the National Innovation Strategy are crucial to boost innovation among people and enterprises in the UAE, but like any innovation strategy it must be assessed in the long run. In fact innovation is a strategic long-term process of which short-term results might not be visible, making it difficult to show results. However, what is important is to implement effectively the innovation strategy.In conclusion, as Sheikh Mohammed bin Rashid Al Maktoum stated in presenting the National Innovation Strategy, “A flexible and creative economy based on a national culture of innovation is the fastest and most sustainable way to reinforce the UAE’s competitiveness on a global level."6. ConclusionsThe UAE is a country with high potential, wherein SMEs can play a primary role. Porter and Stern (2001, p.28) point out that a company’s competitiveness depends on its innovativeness at the global frontier. The present contribution has focused on innovation as the main driver of market success of small and medium enterprises in the United Arab

28Announced in 2005 by President Sheikh Khalifa bin Zayed Al Nahyan, the UAE Vision 2021 is aimed at improving the competitiveness of the national economy, led by Emiratis. The strategy seeks to make the UAE one of the world's best countries by 2020.29As a concrete step towards the transformation towards an innovation and knowledge based ecosystem, Sheikh Al Maktoum issued Law No. 15 for the Year 2014 entitled the “Creative Community Law in the Emirate of Dubai” setting the legal basis for the establishment of two new projects, an “Innovation Hub” and a “Creative Community”, in the Dubai Technology and Media Free Zone (known as TECOM Free Zone). The new law opens the door for innovation-based companies operating in certain activities defined under the law to benefit from the 100% ownership, tax free and other benefits regulated by the TECOM Free Zone.


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Emirates. The main purpose of this study has been to contribute to the business and innovation literature on SMEs in the UAE. Part of the limited literature concerning SME innovation in the UAE has been examined. Some relevant observations and propositions concerning innovation have been drawn from the data and information available on SMEs in the UAE.In the last decade the evolution of technology has changed the innovation landscape. The world is becoming more competitive every single day, leaving behind anyone who is not able to keep up with the pace. Since the arrival of the internet, the power of innovation has been partly transferred from production to demand, i.e. to customers. Also the convergence of different technologies and distinct knowledge-bases is disrupting many industries (Hacklin, Battistini, Von Krogh, 2013). SMEs in the UAE must become aware of this changing scenario and act accordingly. A first important proposition that can be derived from the analysis conducted in this study is that innovation and entrepreneurship must be put at center stage. A second proposition is that innovation is first and foremost about culture and mindset. Entrepreneurs who are involved in innovation must understand their role as enablers of innovative ideas and behaviors. Thus, an effort must be made in the UAE to enhance and spread the culture of innovation among companies and SMEs in particular; however the recent National Innovation Strategy is a major step in this direction. Thirdly, innovation is not a question of company dimensions. The discriminating factor for innovation is not whether the company is small or large, but whether it is open or closed to innovation and innovative practices, and, through innovation, to being connected to the world. There are good examples of SMEs which are successfully innovating in the UAE and becoming global players in their markets, although many SMEs in the UAE still have a low propensity to innovate. Thus, SMEs in the UAE have a great potential for exploiting innovation and the UAE Government will support them also through the National Innovation Strategy. To sum up, SMEs must prioritize innovation, change their business models, and adapt to a changing environment, but to favor this process they must become more internationalized, upgrade the quality of their human capital, adopt more IT solutions, and improve their corporate governance (Dubai SME, 2013). AcknowledgementsThis paper is the result of a research period spent at the University of Dubai in the United Arab Emirates in 2014. I am very grateful to the President Dr. Eesa Bastaki for giving me the opportunity to stay at the University of Dubai as a Visiting Scholar. I also wish to thank Mouawiya Al Awad, Geoffrey Gachino, Sami Miniaoui and Alexandar Williams for fruitful discussions and useful suggestions. Finally, I must thank the anonymous reviewers for their valuable suggestions. The usual disclaimer applies.ReferencesAl Allami, M., Van Horne, C., & Huang, V. Z. (2013). Technological innovation in the United Arab Emirates: process

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Constructivist Grounded Theory Approach in Understanding Couples’ Perceived Fairness of Gendered Division of Labor: Implications on

Marxist Feminist Approach and Third Wave Feminist ThoughtAurora E. Araojo1, Jimmy T. Masagca2, Ernesto T. Ibardaloza3, Donna DB. Salih4,

Catherine G. De Leon5 & Medie M. Lopez6

1 College of Arts and Sciences-Social Science Department, Catanduanes State University, Catanduanes, Philippines2 College of Arts and Sciences-Natural Science Department, Catanduanes State University, Catanduanes, Philippines3 College of Arts and Sciences-Social Science Department, Catanduanes State University, Catanduanes, Philippines4 College of Arts and Sciences-Social Science Department, Catanduanes State University, Catanduanes, Philippines5 College of Information and Communications Technology, Catanduanes State University, Catanduanes, Philippines6 Research and Development Services, Catanduanes State University, Catanduanes, PhilippinesCorrespondence: Dr. Aurora E. Araojo, College of Arts and Sciences-Social Science Department, Catanduanes State University, Catanduanes, Philippines ([email protected])

Received: September 26, 2014 Accepted: November 6, 2014 Available online: August 10, 2015doi:10.11114/ijsss.v3i5.531 URL: http://dx.doi.org/10.11114/ijsss.v3i5.531

AbstractThis study uses a constructivist Grounded Theory (GT) Approach guided by feminist and pro-feminism perspectives in developing a new model that analyzes the paradoxical question of why couples especially women perceive gendered division of labor as fair. Responses from agricultural partner dyads were subjected to the three-step method of the GT approach. Theoretical analysis revealed that perceived fairness of the gendered division of labor is grounded on the themes of (i) type of family upbringing, (ii) perceived physical advantage of men and perceived physical disadvantage of women, (iii) feelings of self-entitlement among men, (iv) role performance as indicator for self-worth among women, (v) sense of duty shared by the couple, (vi) open communication channels between couples, and (vii) observed family cooperation that entails delegation of household tasks to children. A new model illustrating the process of how gendered division of labor is regarded as fair between agricultural couples has been developed. Implications of this new model to Marxist Feminist Approach and Third Wave Feminism as basis for future social and policy reforms are also presented in this paper.Keywords: gender, feminism, agricultural labor, household labor, constructivist grounded theory1. Introduction1.1 Women in agriculture: Excerpts from the Philippine settingWomen remain to be one of the marginalized and underrepresented sectors of our society. In spite of various efforts to put women’s issues and concerns at the forefront of international, national and local agenda, gender inequality still remains. As testament to the prevailing gender disparity, a recent study (Asian Development Bank [ADB], 2013) highlighted that:

Women’s labor market participation is constrained by time-consuming domestic and care responsibilities. Women often face a triple burden of caring for family, attending to domestic chores, and bearing and rearing children. These constraints begin during childhood and continue throughout the life cycle. Women often lack access to fertility control information and services that would enable them to plan if and when to have children. They are also constrained by the time spent on repetitive, tedious domestic work. This is often linked to inadequate public infrastructure for potable water, electricity, fuel, and roads as well as the availability of quality, affordable, convenient child care services. (p.49)

Tiefenthaler (1997) as cited in the same ADB study stressed that in the Philippines, women provide 84% of the total


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household time allocated to child care. Further, women in the Philippines have significantly lower employment rates than men, which in 2012 gave rise to a gender gap of 26.2 percentage points in the employment rate. The gender gap in vulnerable employment (being the sum of own-account and unpaid contributing family workers) is 6 percentage points in the Philippines. The ADB study further pointed out that women are not only more likely to be in vulnerable employment, but they are also more likely to be in the category of unpaid contributing family members, which offers the least opportunities for decent work. Agriculture is one of the largest sectors of women’s employment in the Philippines (22%). Despite ongoing agrarian reform, when compared with men, women own less land in their own name than men and are disadvantaged through inheritance laws and land titling systems and in their ability to purchase land. Women are more likely than men to be responsible for subsistence crops and to lack access to cash crops and the resulting income. Furthermore, women receive less agriculture extension training and less credit. In addition to these, women in agriculture in the Philippines are also confronted with unpaid domestic work and care burden (ADB, 2013). In an unpublished study by Briñes (2008) on the role of women in the abaca farming system in Catanduanes, most women farmers perform many roles in their abaca farms from planting, harvesting, stripping, drying to marketing but the bulk of their role is in the drying of abaca farmers. In a later study by Batingul (1996) on the role of women in the Rice-Based Farming System in San Isidro, Bohol as cited in the unpublished study by Briñes (2008), women played a major role in the different agricultural activities not only in the on-farm/ conventional aspect but also on the non-farm extended economic activities. Further, women were essential contributors to the social and agricultural economic well-being of their families both in on-farm and non-farm activities. In another unpublished study by Manalalo (1999) on the role of women and participation in the self-help community development program in Dasmariñas, Cavite as cited in the same unpublished study by Briñes (2008), the role of women were classified as conventional roles, which included their responsibility of managing the home and attending to the needs of the family, and social development roles such as learner, follower, teacher, health care provider, leader, and consultant.In another study by Gaddi (2013), the contribution of rural women in the different aspects of farm work was examined and was considered as invisible and unrecognized given that women’s work can be found in the ‘Both’ column but it is not indicated in the ‘Female’ column as shown in Table 1 below.Table 1. Gender division of labour in rice production

Farm Activities Female Male Both

Land preparation x

Seedbed preparation x

Ploughing x

Harrowing x

Leveling x

Care of seedlings x

Pulling and bundling of seeds x

Planting/ Transplanting x

Irrigation x

Care of irrigational canal x

Care of crops x

Mechanical weeding x

Manual weeding x

Fertilizer application x

Spraying x

Picking of snails x

Harvesting x

Threshing x

Hauling x


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Drying x

Other farm activities x

Food preparation x

Accessing capital x

Source: Bureau of Agricultural Statistics, 2004 (cited in FAO Fact Sheet Philippines and the study of Gaddi, 2013)Gaddi (2013) further argued that although agriculture continues to be the backbone of a developing country like the Philippines, agriculture production nowadays is still a family affair. However, family members, mostly women and children, remain to be unpaid farm workers in traditional farming systems.1.2 Gendered division of labor and the paradox of fairnessGender stereotypes result to skewed expectations, regardless of whether it is implicit or explicit, between and among couples. Males are generally expected and even encouraged to exercise dominance over their female counterparts, while obedience and understanding are required from women. It is also generally accepted for men to look for employment outside the home, while there has still been some resistance against women who decide to undertake the role of provider particularly if she will be the one to leave home.Extending the effect of gender stereotyping further, in spite of the increasing number of women who join their husbands in performing economic activities in order to provide for their family, women still bear the “double burden” of working to earn for their family’s keep and at the same time trying to meet society’s (and even her partner’s) expectation to care for her family (ADB, 2013). In spite of these, most women prefer to bear the burden silently. Perplexed by this phenomenon, researchers attempted to provide an explanation as to why women, in spite of carrying this ‘double burden’, still regard this arrangement as fair. Blair (1998), as cited in the work of Nameda (2013), observed that psychological research on the division of household work has focused on the linkage between perceived fairness and the division of household work with the main issue as to why some women do not perceive the objectively unfair division as unfair. Blair (1998) further stressed that despite women’s increased participation in the paid workforce, couples continue to perform quantitatively unbalanced division of household work. Dixon and Wetherell (2004) and Fuwa and Tsutui (2010) as cited in the same study by Nameda (2013) were all in agreement that this question on why some women perceive this gendered work relation as fair is a crucial paradox to be resolved.In an attempt to shed light on this matter, several research studies have been conducted that resulted into three proffered frameworks that attempted to explain why women hold this view: (a) time availability, (b) resource dependence, and (c) gender ideology (Bianchi, Milkie, Sayer, & Robinson, 2000). Athough the arguments raised by the first two frameworks may be valid for some couples, unlike the gender ideology framework, they cannot be used as an explanation on why women perceive the unfair division of labor as fair particularly in agricultural households where both couples are engaged in farming activities.Time Availability Framework argues that hours spent in paid employment presumably affect the division of household labor because the partner who has the most time available after work will do the most at home (Shelton & John, 1996). However, in some local communities for developing countries such as the Philippines where patriarchy is highly pronounced, husbands who are unemployed refuse to perform household chores as they consider these as unmanly tasks. Their free time is mostly devoted to other activities that have nothing to do with household chores as observed in most household communities.In contrast, Resource Dependence Framework bases its argument on the couples’ relative resources and claims that the partner with fewer economic resources (e.g. income) has little power and cannot “win” negotiations about who does the household chores (Becker, 1991 & Brines, 1993 &). However, this framework is not applicable to the same local communities wherein unemployed husbands have the tendency to resent their wives’ financial capacity, which is perceived as supremacy, over them. Providing a seemingly more valid argument, Gender Ideology Framework contests the assumption of economic theories that decisions about the division of labor are gender neutral, rational and driven by constraints rather than fixed prefences. This framework further contests these assumptions by proposing that household labor is intertwined with beliefs about certain behaviors being typically male or female (Poortman & Van Der Lippe, 2009; Berk, 1985; De Vault, 1991). Hence, the Gender Ideology Framework presents a more credible argument than the first two frameworks.Expounding further on the capability of gender ideology to explain why women view this unequal distribution of labor as such, Nameda (2013) incorporated the Procedural Justice Theory with gender theory and included the perceptions of males in his study. Results revealed that in performing the division of labor, not only “participation,” such as expressing


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one’s opinion, but also “treatment with dignity and respect,” such as acknowledging appreciation, is an important aspect of perceiving fairness. However, the importance of the procedural and interactive aspects in performing the division of labor was only true for women. Acknowledging the limitations of his study, Nameda (2013) recommended for future research to examine couples’ marital interaction in the performance of household labor and to use scales that measure the participants’ sense of fairness for themselves, for their partner, and for both themselves in gaining a clearer understanding of this phenomenon.1.3 Qualitative research with partner dyads: Is a feminist approach useful?Foucault (1984) and Grimshaw (1993) as cited in the work of Mann and Huffman (2005) stated that recent developments in social thought have heightened our awareness of how theories of emancipation can be blind to their own dominating, exclusive and restrictive tendencies and that feminism is not innocent of such tendencies. In this paper, we echo Mann and Huffman’s (2005) argument that within movements of emancipation, counter discourses that produce new knowledge, speak new truths, and constitute new powers may occur as a form of resistance against a current ideology’s growing inadequacy. In the work of Peters, Jackson and Rudge (2007), the value of feminist approaches when undertaking narrative-based research with partner dyads and when researching sensitive issues are underscored. By using qualitative methodologies guided by feminist perspectives, they argue that feminist narrative methods have the capacity to contribute to understandings of human experience for individuals and couples, despite differences in gender or sexuality, by highlighting individual as well as shared experiences within partnerships. By partner dyads, we use it to refer to heterosexual relationships that are the subject of this study. By labor, we refer to duties and tasks usually carried out by couples in the internal and external home environment. By feminist approaches, we mean Marxist Feminist Perspectives and Third Wave Feminist Thoughts (Mann and Huffman, 2005; Zimmerman, McDermott and Gould, 2009).We argue in this paper that although the three theories mentioned in the preceding section of this paper may be applicable to dual-earning and highly-educated couples, its applicability to rural agricultural households that are non-dual earners and non-highly educated may not hold true. For instance, agricultural women also spend their time in the fields to help their husbands during farming activities (Batingul, 1996; Briñes, 2008) and resource dependence by the wife to the husband is eliminated considering that the wife also engages in other non-farming activities to help augment the family income (Briñes, 2008). In addition, women abaca farmers also perform farming tasks that may be considered as appropriate for males only (Briñes, 2008). In this paper, we adopt a constructivist Grounded Theory (GT) Approach guided by feminist and pro-feminism perspectives in developing a new model that explains this phenomenon. Implications of this new model to Marxist Feminist Approach and Third Wave Feminism are also presented as basis for future social and policy reforms.2. MethodAs initially developed by Corbin and Strauss (1990), Grounded Theory (GT) is a general methodology for developing theory that is grounded on in data that was systematically gathered and analyzed. The continuous interplay between analysis and data collection enables theory formulation during actual research. We decided to adopt GT Approach enriched by a constructivist perspective to examine agricultural couples’ perceived fairness on the gendered division of labor. Ackerly and True (2010) as cited in the study of Hall (2014) described the fit between a feminist research ethic and grounded theory methodology as follows:

Grounded theory is a form of structured inquiry that is useful for studying questions that themselves have been concealed by dominant discourses, conceptualization, and notions of what questions are important. By design, then, grounded theory is a research design that enacts a feminist research ethic. (p. 204)

As stated by Hall (2014), constructivist GT stands out among the various strands of GT for its reflexivity about the role of the researcher in engagement with data, which lends itself to a feminist research ethic. It defines theory as interpretative and understands the researcher as an integral part of the data. Collection of data was done during a three-month period of observation and participation in a rural village in the municipality of Virac, Catanduanes, Philippines, and included semi-structured interviews and focus group discussions (FGDs). Throughout this study, we were guided by the principle that GT and analysis should be grounded in the data, not the single perspective of the academic (Ackerly and True, 2010; cited by Hall, 2014). Although we maintained our feminist and pro-feminism orientations, we made sure that questions during interviews and FGDs were neutral so as not to create unnecessary tension in the study area, which has largely retained its patriarchal orientation in spite of recent efforts by the municipal local government unit to promote gender and development awareness in the area. As another


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measure to capture the data in full during the data gathering procedure, verbatim notes and transcripts were copiously maintained. Field notes describing actual observations were also made. Head notes were made, filed and coded separately.2.1 Participants and ProcedurePurposive and snowball or chain sampling methods were used to identify the respondents of the study. To facilitate a smooth point of entry into the local community, permission to conduct the study was secured from the village chief (barangay captain). Upon approval, the village chief gathered the members of their local farmer organization, which became the first wave of respondents for the study. Subsequent respondents were then identified through the initial wave of respondents. Fifteen agricultural partner dyads were the respondents of this study (n=30 individuals). The average age for female respondents is 53 while the average age for male respondents is 55. The ages ranged from 38 to 70 years for males, while it is 35 to 75 years for females. In terms of education, only two (2) out of the 15 female respondents were able to earn a college degree. The rest were able to reach high school level (n=8) and elementary level (n=5) only. None of the male respondents were able to finish their college degree. Ten were able to reach high school level while five (5) were unable to finish elementary level. All of the respondent partner dyads in this study are married with a range of 19 to 51 years of marriage. All of the couples have children. The average number of children per couple is five with the age range of 19 to 50 years of age. All of the partner dyads have been engaged full-time in rice farming and vegetable production for an average of 27 years with a range of four (4) to 48 years. Given that constructivist GT approach employs theoretical sampling, we collected and analyzed data until the point of theoretical saturation was reached. FGDs were first conducted among husbands and wives in separate groups and then as couples. Participants were asked four (4) central questions during the course of the data gathering period: (1) ‘What tasks do perform inside and outside your home as husband/ wife’?; (2) ‘How about your spouse?’; (3) ‘How will you describe your relationship with your spouse?’; and (4) ‘Do you think that this division of labor between you as a couple is fair for you both?’. Structured and unstructured individual interviews were also conducted to validate and substantiate responses gathered during the FGD. We also maintained ethnographic data such as observations and experiences through field notes. Given that what is being examined under this study is a sensitive issue, interviews were not recorded. Rather, notes were immediately written after the conduct of an interview. During FGDs, note-taking was also done. Although consent was requested from and given by the respondents before their participation in the study, we proceeded cautiously with the study so as not to disrupt the social environment of the group being studied. Furthermore, confidentiality of the respondents’ responses and identity were maintained at all times.2.2 Three-Step Method of GT for data analysisStrauss and Corbin’s (1998) three-step method of grounded theory was used to analyze the data gathered. Although we remain guided by a constructivist approach, by using this three-step method, we believed that systematic theoretical analysis could be done through this and a new theory could be generated to understand why agricultural couples, particularly women, regard gendered division of labor as fair. The first step in data analysis under this approach is open coding. It consists of breaking down the data by identifying and labeling different concepts/ phenomena that are grounded within it. The concepts are compared for their similaritiesand differences and then are grouped together to form categories and sub-categories. The categories are known as open codes whilst the subcategories include the relevant information that make up the open codes. During this process the researcher writes memos to aid in the generation of a theory later on. The second step, axial coding involves linking categories together. By looking at the sub-categories of a category it is possible to come up with its conditions if these are similar to that of another then these would link together to form an axial code – a statement which summarizes the information from all connected categories. The last step, selective coding, involves the incorporation of axial codes to come up with one central category or a theory of the phenomena being investigated that successfully include all relevant categories from both open-coding and axial coding. (Williams and Reid, 2007).3. Results3.1 Actual Division of labor between CouplesPartner dyads in the study generally performed the following division of labor as shown in Table 2 on the succeeding page (type/ category of work performed are modified from the categories used by Nameda (2013) to conform to the local context of the study area):


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Table 2. Division of labor between respondent partner dyads Type of Work Wife Husband Other Actors

Basic Household Chores� Meal Preparation x x� Washing Clothes x x� Organizing/ Folding Washed Clothes x x� Ironing Clothes x� Cleaning the dining area after meals x Children

(girls and boys)� Washing the dishes x x Children (girls)� Cleaning the toilet and bathroom x Children (girls)� Garbage disposal x x Children

(girls and boys)Child-rearing

� Teaching discipline x x� Playing with the children x x� Taking care of the children’s things such as clothes

and school itemsx x

Agricultural Work� Ploughing the field x x Paid farm helper for

those that can afford� Looking after the carabao x x� Planting/ Sowing x x Paid farm helper for

those that can afford� Weeding x x� Harvesting x x

Other livelihood activities/ activities as alternative sources of income

� Selling the harvest in the market x� Tricycle as paid public transport x

Seventeen out of the 18 types of work identified are being performed by the female respondents. On the other hand, only 14 types of work are being performed by the male respondents. Ironing clothes, cleaning the dining area after meals, cleaning the toilet and bathroom, and selling the harvest in the market are considered to be tasks for females only. Although both couples play an active role in child-rearing, their children also follows the same pattern of gendered division of labor. Except for cleaning the dining area after meals and garbage disposal, which are performed by both their female and male children, only girls wash the dishes and clean the toilet and bathroom. 3.2 Themes leading to the perceived fairness of gendered division of laborThemes such as type of upbringing from family of origin, perceived physical advantage (by the husband) that also leads to a sense of entitlement by the husband, perceived physical disadvantage (by the wife) that makes the wife regard her role performance in the family as indicative of her self-worth, sense of duty (for both couples), and other related concepts such as open channels of communication (between couples and within the family), family cooperation, and external sources of support for the couple can be linked to the core category of perceived fair division of labor between couples even though the arrangement is regarded by gender advocates and scholars as generally unfair for the wife. Figure 1 on the succeeding page illustrates the new model developed regarding the phenomenon of agricultural couples perceiving gendered divison of labor as fair.


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Figure 1. New model illustrating how gendered division of labor is regarded as fair between agricultural couples using the constructivist GT approach

3.2.1 Type of Upbringing from Family of OriginBoth couples in this study refer to their experiences from their birth family in gauging the fairness of their division of labor (‘My parents had this kind of arrangement…’; ‘My father was the one working on the rice fields even though my mother would also help at times, but I remember my mother being the one to take care of us, cooking meals, etc.’; I feel like it was a long time ago but I remember that both my father and my mother attended to the fields. However, when it comes to doing household chores, my mother is the one in-charge and we as children are also required to help.’). Allrespondent couples admitted that their current parenting roles and styles were influenced by how they were brought up by their families (‘My father was a very serious man. He does not speak much but he was the family’s disciplinarian. When my mother and he would come home from the fields after a day of harvest, my mother was still the one who prepared the family dinner. However, when we became older, our mother taught my sisters how to cook and clean the house.’; ‘My father was the discplinarian and we would always run to our mother whenever he would get mad.’; and ‘My father was always in the rice fields and my mother would bring him his lunch. During harvest time, we would all go the fields together with our mother and help.’)3.2.3 Perceived physical advantage and sense of entitlement (of the husband)Although modern feminist science challenges the biological essentialist view of gender (Code, 2000) particularly on the proposed theory on the innate biological difference between men and women’s minds (Fine, 2010; Bern, 1993; and Sterling, 1992), all of the female respondents acknowledged the physical superiority of their partners (‘His work in the fields is heavy. It’s back-breaking work.’; ‘Being out in the rice fields requires endurance and I understand why my husband is the one doing this type of work for our family.’). Other respondents further highlighted the physical difference between women and men (‘As a couple, we each have our own strengths and weaknesses. I work in the field though she would also help me whenever she can but I am the one mostly doing the work.) However, an outlier among the female respondents was noted thus the red ‘x’ mark on Table 2 (‘I plow the field. When my husband cannot work on the field because he has to go someplace or he is not feeling well, I tend to our rice field. I will get the carabao and then go on with ploughing. It’s hard but I understand why I have to do it for my family.) The implication of this outlier will be discussed in the succeeding sections.3.2.4 Perceived physical disadvantage and role performance as indicator of self-worth (of the wife)In relation to the preceding section, it is evident that majority of the female respondents acknowledged their husbands’ advantage in terms of physical strength. Given this, they expressed their felt need to compensate for their husbands’ perceived physical advantage (‘My husband is always out working in the fields so I make sure that when he comes home, the food is ready.’; ‘Though I help my husband in the field, I try to make it a point to prepare the food that we will bring


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when we go to the rice fields. He does most of the heavy task so I try to help him in any way I can.’). When asked whether she perceives that she and her husband are of equal strength considering that she can also plow the field, the outlier responded that she does not think so (‘It just happened that I know how to do it but if my husband had been there, he will be the one to do it for me. Plus, he has been doing the hard work for many years now.’)3.2.5 Sense of duty (for both couples)All of the respondents believed that it is their duty as husband and wife and as parents to care for their family, and that the best way to do this is to divide labor between them. The male respondents felt that because of their perceived physical advantage over their wives, they need to do more for their family (‘I am the head of our family so it is my duty to provide for them.’). Relatedly, the female respondents, acknowledging their perceived physical disadvantage, felt that it is also their role as wives and mothers to care for their family (‘As a wife, I need to be supportive of my husband. As a mother, it is my duty to take care of our children.’). However, both couples no longer hold the view that men should be the one to provide for the financial needs of the family while women should be confined at home to care for the children. All of the respondents acknowledged that providing and caring for the family is a duty of both husband and wife (‘I no longer believe that men should be the one to work while women should stay at home. Times are difficult and we need to work together to ensure that we have food for our family.’)3.2.6 Other Intervening Themes All respondents of the study indicated that open channels of communication between couples and within the family, aswell as the observance of family cooperation enhances their perceived sense of fairness in the division of labor. Most of the respondents stated that they did not explicitly discuss their current division of labor, while the remaining respondents did at the time of their marriage. In spite of these implicit and explicit arrangements, all respondents agreed that they maintain the same work division as their partners has not voiced any objection to this system (‘I don’t recall that we talked about who will be in charge of whom when we got married. I think it just came naturally that he was the one working in the fields while I take care of the children. However, we all work together as a family particularly during harvest season. I make it a point to help my husband during this time and also my children when they are not in school.’; ‘When we got married, we talked about how we wanted our family to be. I am lucky that my husband listens also to what I say.’; ‘My wife tells me whenever there is something bothering her. I am not very expressive of my moods but my wife can sense what is on my mind. I also know when she has something to tell me so we would go outside our house to talk about it.’; ‘It’s important in a marriage to talk about problems. I tell my husband whenever I am not in favor of something. Family decisions are also made between us.’; ‘We have our disagreements but we try to resolve our differences.’).Because all of the respondents’ children are already grown-up, the couples emphasized that cooperation in a family is very important (‘We taught our children the value of hard work. I taught them (daughters) how to cook and to help me in the household chores.’; ‘After meals, I no longer worry about the dishes because my children cleans the dining table and washes the dishes afterwards. However, I also wash the dishes and even wash the clothes when my wife is away or unable to do these tasks.’)4. DiscussionIn spite of women respondents accounting for 17 out of 18 types of work and their husbands responsible only for 14 out of 18 tasks, all respondent couples agree that this division of labor is fair. Several themes leading to the unifying theory on why these couples, particularly the women, regard this gendered division of labor as fair emerged from this study. Foremost is the type of upbringing from the respondent’s family of origin. All respondents of the study admitted that their current roles and parenting styles were heavily influenced by their parents. As evidenced by their responses and the observed performance of tasks, all the couples were unconsciously repeating the work arrangement they have previously observed from their parents. From this, two types of themes further emerged: perceived physical advantage and sense of entitltment of the husband, and perceived physical disadvantage and role performance as indicator of self-worth for the wife. The male respondents are convinced of their supremacy over their wives in terms of physical strength hence performed all of the heavy tasks. Although they also help in caring for the children and perform other lighter chores that are mainly performed by women, they refuse to perform four types of tasks that they believe should only be for women (see Table 2). In response, all female respondents believe that their husbands are superior in strength and thus made up for this by performing tasks that are perceived to be for women only even though they also perform From these two diverging themes emerged the central category or theory about the phenomenon that is both shared by the respondent couples: a sense of duty to care for their family. However, all couples believe that the role of provider is no longer limited to the husbands but to the wives as well. They attributed the need for both couples to earn a living for their family on the difficult financial conditions they feel is prevalent today.


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Reinforcing the perceived fairness on gendered division of labor are the themes on open channels of communication and family cooperation. All female respondents who stated that they regard their division of labor as fair also responded that they are able to talk to their husbands about family concerns whenever they need to. Furthermore, all of the couples have younger children that are able to help in the household chores (see Table 2).Interspersing the above results with feminist ethnographic data, respondents observe a gendered division of labor as evidenced by the observed work schedule performed by the respondents. However, they unanimously agree that this arrangement is fair for them.5. ConclusionPerceived fairness of the gendered division of labor entails several concepts that led to this view. Foremost is the family upbringing, followed by perceived physical advantage of men and perceived physical disadvantage of women that in turn led to feelings of self-entitlement for the former and role performance as basis of self-worth for the latter. Both couples developed a sense of duty in their marital roles for the sake of their family. Reinforced by an open communication system between couples and observed family cooperation that translates to delegation of household tasks to their children, couples particularly women regard this arrangement as fair. Although both couples are engaged in agricultural activities, the wives feel the need to compensate for their perceived physical disadvantage by undertaking nurturing/ caring roles in the family. However, both also acknowledged the importance of changing gender roles to adapt to the current economic changes being experienced by the family. In the new model developed, socio-cultural determinants, procedural justice theory interspersed with gender role ideology, and couples’ interaction shaped the way couples perceive this division as fair. Further, although Marxist Feminist views may still hold true today, Third Wave Feminist Thoughts which take into account a non-essentialist view on women and men are necessary should we want to truly divide the gender gap for inclusive development.5.1 Implications on Marxist Feminist Approaches and Third Wave FeminismIn an attempt to provide a comprehensive analysis of this phenomenon, we offer the following arguments based from the model and in relation to Marxist feminist approach and third wave feminist thought:First, the identified concepts on perceived physical advantage/ disadvantage between the couples and the resulting concept of feelings of entitlement/ basis for self-worth are reflective of what Marxist Feminism has tried to reverse (Mann and Huffman, 2005). Based from the ideology of Karl Marx and Freidrich Engels, gender inequality is rooted in the capitalist structure of society. However, the extremes depicted in this perspective do not reflect the actual situation observed in this study. Gendered roles in relation to unequal social structures are observed although in a subtle level. Second, Marxist Feminism was unable to take into account the different socio-cultural determinants of gender bias prevalent in a rural community within the context of a developing nation. Rural communities, as observed in the study site, unconcsciousy consider gender stereotyping as the norm. They perceive this arrangement as crucial for the family to survive. Based on the responses gathered validated by ethnographical observations, there was no trace of the man-oppressing-a-woman as wives were able to express their views on household matters. In spite of the perceived gender difference due to physical strength, all of the respondent couples agreed that the role of family provider is not only confined to the males but should rather be shared between the couple given the economic conditions present today. Third, we noted that although male respondents were sharing in basic household chores, the observed behavior of delegating these tasks to their children particularly females is also another area of concern. We therefore argue that interventions to address the gender divide should begin at home. Hence, we turn to Third Wave Feminism.Third wave feminists argue that this perspective seeks to end relationships of domination and oppression by beginning with individual understanding of power relations. Echoing Paulo Freire’s Pedagogy of the oppressed (1993, p. 44) as cited by Zimmerman, McDermott and Gould (2009), third wave feminists acknowledges that the struggle to end relations of domination begins with the oppressed. It invites those who feel oppressed and marginalized to share their experiences. In this sharing, the face or the subjectivity of that person who has been objectified is revealed. Relating this concept to the studied group, the homogeneity of women as claimed by second wave feminism cannot be applied in this situation. The studied group possesses socio-economic and cultural characteristics that are different from the women that have been the subject of second wave feminism. In addition to this view, we argue against Connell (2011) as cited in Peters, Jackson and Rudge’s (2007) study that feminist research should be about women and undertaken by women. We believe that the oppressive social structure does not affect women alone but rather men as well. As such, it is imperative that we work closely with both women and men to better understand gender inequality and work effectively towards bridging the gender divide.


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AcknowledgementsWe would like to express our profound gratitude to the following: our respondent couples for trusting us enough to participate in the study; local barangay officials of the study site for patiently attending to our concerns; Catanduanes State University (CSU) R&D Services Staff for their invaluable assistance; the CSU Technical Evaluation Committee for their substantial recommendations; the CSU Management for their support in making this study realized; and most importantly, to the One above for keeping us sane during those tumultuous period of writing this paper.ReferencesAsian Development Bank. (2013). Gender inequality in the labor market in the Philippines. Retrieved from

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countryside agricultural development. University of Bohol, Tagbilaran City.Becker, G. S. (1991). A treatise on the family: Enlarged edition. Cambridge, MA: Harvard University Press.Berk, S. F. (1985).The gender factory: The appointment of work in American Households. New York: Plenum Press.Bern, Sandra L. (1993). The lenses of gender: transforming the debate on sexual inequality, Yale University Press, ISBN

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Different Socio-Demographic Variables and their Impact on the Knowledge and Consciousness about HIV/AIDS

Md. Behzad Noor1, Rubaiyat Shaimom Chowdhury 2&Md. Yunus Hossain Bhuyan3

1Department of Business Administration, Shanto-Mariam University of Creative Technology, Dhaka, Bangladesh2Department of Business Administration, Shanto-Mariam University of Creative Technology, Dhaka, Bangladesh3 Department of Business Administration, Shanto-Mariam University of Creative Technology, Dhaka, BangladeshCorrespondence: Md. Behzad Noor, Department of Business Administration, Shanto-Mariam University of Creative Technology, Dhaka, Bangladesh.

Received: July 20, 2015 Accepted: August 4, 2015 Available online: August 19, 2015doi:10.11114/ijsss.v3i5.952 URL: http://dx.doi.org/10.11114/ijsss.v3i5.952

AbstractThis study is brought into to identify the bivariate distribution of the different Socio-Demographic variables with the variable named “Use Condom at the Time of Sexual Intercourse” as the dependent variable. The present study utilizes the BDHS with having a sample of 3151 where 2000 are females and 1151 are males. It has also been noticed that among all the age group, majority of the respondents belonging to the age group of 21-30 have the tendency of using condom at the time of sexual intercourse. The study imitates that it is the urban people who are the majority (58.9 percent) to use condom at the time of sexual intercourse comparing to the respondents who used to stay in the rural area (17.1 percent). It can be reflected that the respondents who are familiar to the term HIV/AIDS most of them (61 percent) use condom at the time of sexual intercourse on the other hand 38.9 percent of those who are not familiar to the name of HIV/AIDS use condom as their security measure.1. Introduction1.1 Introduce the ProblemHIV and AIDS have changed the way we go about our daily lives. We have seen an increase in the prevention, treatment and care for this disease over the years, at the same time more lives have been lost to this preventable and fatal disease. In 2008, there were about 32.2 million People Living with HIV (PLHIV) worldwide,1 2.7 million people newly infected with the virus annually and about 2 million deaths. 1 In the Pacific region, there were about 29,629 reported HIV cases and 5,162 new cases in 2008 (Ontario Public Health Library Association (OPHLA), (2008)). Although most Pacific Island Countries (PIC) are classified as low prevalence, the incidence of HIV has been increasing since the first case was reported in 1984 (Leenaars et al.,2012).When someone has HIV, it can be present in potentially infectious quantities in blood, semen, vaginal fluids, rectal secretions and breast milk. Transmission of HIV can happen if one of these fluids gets into somebody else’s body, either directly into the bloodstream (such as in injecting drug use, or from an HIV-positive woman to her baby), or through unprotected anal, or vaginal sex, and much less often, unprotected oral sex (Taylor, 2010).Various factors affect the risk of HIV transmission. How likely it is that transmission will occur is directly linked to the viral load of the HIV-positive person. The more virus that is present, the more likely it is to be passed on. In this context we sometimes talk about ‘infectiousness’ (Taylor, 2001).In spite of the “epidemiological transition” or change in the pattern of diseases such that chronic and degenerative diseases have become more important as major causes of morbidity, disability and mortality in wealthier countries,infectious diseases remain as major threats to the health and well-being of human populations. There is also the ongoing HIV/AIDS epidemic which continues to infect and kill large numbers of people worldwide. Social factors are related to the emergence and spread of infectious diseases. However, except for diseases which are more obviously social in their origin and patterns of spread (e.g. sexually-transmitted and blood-borne infections such as HIV/AIDS), social scientists are less prominent in the battle against infectious diseases vis-à-vis their counterparts from the natural sciences (Garson, 2002).


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It is estimated that 40% of the world's population is become conscious through the process of accessing the different electronic medias (Peters, 2007). This has been similar to our study where it has been got that for both of the diseases (i.e., HB and HIV/AIDS) the access of the electronic media has been the pivotal contributor in the case of being aware. In this study it has been found that the variable named “Sources of Drinking Water” has the contribution to the selected dependent variable as we have got that the respondents who get the protected drinking water are 1.6 times more likely to get the vaccination of HB than of the reference category. The sources of drinking water has also the connection in the case of vaccination taking tendency (Alter, 2011).1.2 Importance of the ProblemIt is essential to integrate knowledge, awareness and consciousness about infectious disease and promote social program on attitude, behavior, prevention, and also thereby organize health promotion program in social setting. From this point of view this study is aimed to analyze the knowledge, attitude, behaviours and the institutional readiness and potential for integration of various life threatening infectious diseases related knowledge, awareness among the people of the developing country like Bangladesh. Infectious disease related education as HIV/AIDS and other STIS and other viral or bacterial infectious diseases, mode of their transmission and means of prevention are not available to all in developing countries. One of the ways to prevent or slow down the transmission of infectious diseases is to recognize the different characteristics of various diseases (World Health Organization, 2008). Some critical disease characteristics that should be evaluated include virulence, distance traveled by victims, and level of contagiousness. It is notified that HIV/AIDS and HB as appeared as two silent killer diseases and become threatened to modern civilization for developed and under developed countries. So any study regarding knowledge and consciousness is very important to have the clear idea regarding this issue. In contrast, Human Immunodeficiency Virus (HIV) kills its victims very slowly by attacking their immune system. As a result, a lot of affected persons transmit the virus to many others before even realizing that they are carrying the diseases. Also, the relatively low virulence always its victims to travel along distance, increasing the likelihood of an epidemic. This study tackles these issues head on. Regarding all the facts discussed above it could be understood that through more and more impeccable and quality research on the infectious diseases the vulnerability group could be detected and also it will be possible to make some rescue activities to bring those groups out from various types of the pandemic created by theses infectious diseases (World News, 2012). Considering all the discussion mentioned above, this study has been made by more and more comprehensive and intensive approach to develop the knowledge and increase the consciousness level about Hepatitis B and HIV/AIDS. 1.3 Literature ReviewIt is estimated that 40% of the world's population is become conscious through the process of accessing the different electronic medias (Peters, 2007). This has been similar to our study where it has been got that for both of the diseases (i.e., HB and HIV/AIDS) the access of the electronic media has been the pivotal contributor in the case of being aware. The result from our study implies that the electronic media which is one of the vital sources of knowledge about HIV/AIDS could only be afforded by those who have a certain enhancement level of education and of those who have comparatively a better place of residence (i.e., those who live in urban area). This has been supported by Naser et al.,2009. The urban people are more aware in terms of having more habit of using condom for keeping themselves way from HIV/AIDS that of the counter part of the respondents who belong to some rural place (0.809 times more likely to use condom than the reference category 1). This result has been supported by Mauss et al., 2012 as it has been found that the urban people is more conscious in gaining the knowledge on HIV/AIDS and HB for having the up-to date facilities than that of the rural counterpart.Economic status has it’s own role to play as it has been found by Kesow et al., 2010 that the higher economic status holder are more conscious and knowledgeable than that of the respondents who are less economical status. This finding has been similar with our study that the majority of the respondents with high economic status (77.1 percent) used to use condom at the time of sexual intercourse but for the respondents with low economic it can easily be seen that the majority of 67.5 percent not used to use condom at the time of sexual intercourse.Furthermore the respondent’s income and the habit of watching TV also have an impact on the respondent’s educational attainment. With the advancement in income and watching TV a respondent can be able to enhance his educational attainment and with the advanced educational attainment the knowledge regarding the HIV/AIDS and HB have been enhanced. The correlation between the watching TV and educational attainment has also been found(Chein et al.,2011).Income and place of residence has a very pivotal contribution increasing the conscious level about HIV/AIDS. It is quite clear that with the increase of income and having been an urban resident a person could be able to know many important information regarding various diseases through exploring verities of information as electronic media, mass


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media, internet and like. It ahs been found from the study of Murary et al.,2012 that the respondents belong to the urban area have the tendency of having a higher economical status are more frequent to access more up to date information regarding the pandemics (i.e., HIV/AIDS and HB). 1.4 Research DesignInfectious diseases continue as the major cause of morbidity and mortality in Bangladesh and worldwide. As a result of poverty, population density, poor sanitation, malnutrition, and disease transmitting insect vectors, there is further need for enhanced prevention, diagnosis and management of a wide array of diseases with infectious diseases with infectious etiologies including pneumonia, diarrohoeal diseases, tuberculosis measles, vector born diseases with infectious diseases like dengue, malaria, visceral leishmaniasis (Kala azar) and HIV/AIDS. Drug-resistance infectious diseases will continue to strain resources and threaten existing methods for effective therapy. The scientist identified a new strain of cholera, V Cholera O 139 (Bengal) that emerged in 1992 and traced its evaluation. This is the first time that the scientists have been able to watch a new pathogen emerge and evolve prospectively (World News, 2012). Presently the scientists are in a position to prepare how to deal with this new pandemic strain, and potentially develop a vaccine that would decrease the number of deaths as caused by past cholera pandemics. Now, the objectives of this research are:1. To investigate the differential patterns of the knowledge and consciousness about HIV/AIDS.2. To identify the interaction effects of the factors which influence knowledge and consciousness of the studied population.3. To find out the factors affecting the conscious level of the people.To find out the intensity of the effect of the different socio-demographic and health related characteristics act as the determinants of HIV/AIDS virus.2. Method2.1 Bivariate AnalysisThe contingency analysis investigates the degree of association within the two categorical variables. Examining of association is performed by means of contingency table.Table 2.1Contingency Table and Chi-Square Test

Y

X

Y1 Y2 .............Yc

X1X2

:Xr

:

011 012 .............01c021 Y22 .............Y2c

:

:0r1 0r2 .............0rc

N= Grand totalHere X1 X2 .............X3 are the r- category of the attribute X and Y1 Y2 .............Yc are the c- category of the attribute Y. 0ij is the observed frequency of i-th category of X and j-th category of Y. N is the grand total. To test the homogeneity between two attributes the following hypothesis is used. Null hypothesis (H0): There is no association between X and Y Alternative hypothesis (H1): Ho is not true

To test the homogeneity the following statistics is used:We know that the null hypothesis might be accept at the 5% level of significance, if the 2-sided asymptotic significance level is less than. 0.05, otherwise the null hypothesis is may be reject. For this particular problem, we observe that the null hypothesis is might be accepted at the 5% level of significant when the when the Perso’s chi-square test is used.2.2 Sampling ProceduresThe sample for the Bangladesh Demographic and Health Survey (BDHS) 2007 also covered the entire population residing in private dwellings units in the country. Administratively, Bangladesh was divided intro six divisions, which in

��

�i j crijE

ijEijO 2)1)(1(

2)(2 ��


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turn, each division were divided into zilas and upazilas. Each urban area in the upzila was divided into wards, and into mahallas within the ward; each rural area in the upazila was divided into union parishads (UP) and into mauzas within the Ups. This survey was based on a two-stage stratified sample of households. The urban areas were stratified into three groups, i) Standard metropolitan areas, ii) Municipality areas, and iii) Other urban areas.These divisions allowed the country as a whole to be easily separated into rural and urban areas. The 2007 BDHS sample was a stratified and multi stage cluster sample consisting of 361 primary sampling units (PSUs), 134 in the urban area and 227 in the rural area (PSUs). A total of 10,819 households, on average 30 households from each PSU, were selected for the sample using and equal probability systematic sampling technique, of which 10,461 were found to be occupied and 10,400 were successfully interviewed. Finally, the survey was designed to obtain 11,485 completed interviews with ever-married women age 10-49, covering 4,360 interviews from urban areas and 7,125 from rural areas. All ever-married women age 10-49 in selected households and ever-married men age 15-54 in every second households were considered as eligible respondents. But finally, a total of 11,178 eligible women age 15-49, 4,230 from urban areas and 6,948 from rural areas were selected in these households and 10,996, 4,151 from urban areas and 6,845 from rural areas were interviewed. Data for ever-married women age 10-14 have been removed from the data set to use for the present study. Accordingly 4,074 potential eligible men in every second households were selected, of them, 3,771 were successfully interviewed.In this survey five questionnaires vize. households questionnaire, women’s questionnaire, men’s questionnaire, community questionnaire and facility questionnaire following MEASURE DHS Model Questionnaires have been used. The survey was conducted to determine on the respondent’s background characteristics (age, residential history, education, religion, media exposure etc.); reproductive history; knowledge and use of family planning methods; antenatal and delivery care; nutrition; vaccinations and health of children under age five; marriage; fertility preference; husband’s background and respondent’s work etc.Data collected from field were edited, coded and processed at MItra and Association using CSPro, a joint software product of the US Census Bureau, Macro International, and Serpro S.A. The data has collected from these six administrative divisions for the country- Barisal, Chittagong, Dhaka, Khulna, Rajshahi and Sylhet. The present study utilizes the BDHS with having a sample of 3151 where 2000 are females and 1151 are males. 2.2.1 Sample Size, Power, and Precision The data of this study was taken from the 2007 Bangladesh Demographic and Health Survey (BDHS 2007).The BDHS 2007 is a nationally representative survey from 10,996 women age 15-49 and 3,771 men aged15-54 from 10,400 household covering 361 sample points (cluster) throughout Bangladesh 134 urban areas and 227 in the rural areas. The daya has collected from these six administrative divisions for the country- Barisal, Chittagong, Dhaka, Khulna, Rajshahi and Sylhet. The present study utilizes the BDHS data, 2007 ever-married women of age 10-49 are considered by the study. Our study sample is 3151.The text size of formula should be similar with normal text size. The formula should be placed in the middle and serial number on the right. For example:3. ResultsThe following Table 3.1 represents the bivariate distribution of the different Socio-Demographic variables with the variable named “Use Condom at the Time of Sexual Intercourse”.Here it is seen that among the respondents of age group <20, 77.8 percent don’t have the habit of using condom at the time of sexual intercourse. It has also been noticed that among all the age group, majority of the respondents belonging to the age group of 21-30 have the tendency of using condom at the time of sexual intercourse. Again the respondents of the age group of 41-50 have the lower tendency of using condom (20.5 percent) among all the respondents of all other age group holder (Table 3.1). As far as the gender factor is concerned it is being seen that females are not used to use the female condom at the time of sexual intercourse. On the other hand among the male 71.1 percent persons have the habit of using condom at the time of sexual intercourse.Here it can be interpreted as the males are more conscious in terms of gathering the information regarding the prevention procedure about HIV/AIDS by using condom as the security measure at the time of sexual intercourse (Table 3.1).Again the occupation has the significant effect on the variable titled “Use Condom at the time of Sexual Intercourse”.Among all the occupational categories it has been seen that 83.8 percent job holders used to use condom where on the other hand it has been seen that the 73.5 percent labours haven’t have the habit of using condom. So, it is the job holder


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who are generally more educationally sound to gather more consciousness oriented knowledge than of the other occupational categories (Table 3.1). Urban people are generally more up to date than of those who belong to the rural area. From our study it has been found that it is the urban people who are the majority (58.9 percent) to use condom at the time of sexual intercourse comparing to the respondents who used to stay in the rural area (17.1 percent) (Table 3.1).Here also it has been found that the literate people more frequent in using condom (75.5%) than that of the illiterates (31.8%) (Table 3.1). It can be reflected that the respondents who are familiar to the term HIV/AIDS most of them (61 percent) use condom at the time of sexual intercourse on the other hand 38.9 percent of those who are not familiar to the name of HIV/AIDS use condom as their security measure. From this finding it can be noted that the respondents who have the information about HIV/AIDS are more aware regarding the process of prevalence of this pandemic than of other counterpart (Table 3.1). Table 3.1 Bivariate Distribution of the Respondents Used to Use Condom at the Time of Sexual Intercourse with the Different Socio-Demographic Variables

Variable

Use Condom at the Time of Sexual

Intercourse Total

2.cal�

and� value

No Yes

Age group

≤20 650 (77.8%) 185 (22.1%) 835 (26.4%)

2.cal� =59.3

� =.000

21-30 389 (47.7%) 426 (52.6%) 815 (25.8%)

31-40 415 (52.7%) 371 (47.2%) 786 (24.9%)

41-50 568 (79.4%) 147 (20.5%) 715 (22.6%)

Total 2022 (64.1%) 1129 (35.8%) 3151(100.0%)

Sex

Female 1525 (76.2%) 475 (23.7%) 2000 (63.4%) 2.cal� =17.6

� =.001Male 332 (28.8%) 819 (71.1%) 1151 (36.5%)

Total 1554 (49.3%) 1597 (50.6%) 3151 (100.0%)

Occupation

In job 135 (16.1%) 701 (83.8%) 836 (26.5%)

2.cal� =16.4

� =.000

Business 365 (41.0%) 525 (58.9%) 890 (28.2%)

Agriculture 85 (26.1%) 240 (73.8%) 325 (10.3%)

Labour 175 (73.5%) 63 (26.4%) 238 (7.5%)

Others 475 (55.1%) 387 (44.8%) 862 (27.3%)

Total 1235 (46.3%) 1916 (53.6%) 3151 (100%)

Place of

Living

Village 1325 (82.8%) 275 (17.1%) 1600 (50.77%) 2.cal� =19.2

� =.000Urban 636 (41.0%) 915 (58.9%) 1551 (49.2%)

Total 1961 (62.2%) 1190 37.7%) 3151 (100%)


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Educational Status

2.cal� =36.79

� =0.000

Literate 340 (24.4%) 1051(75.5%) 1391 (44.1%)

Illiterate 1200 (68.1%) 560 (31.8%) 1760 (55.8%)

Total 1540 (48.8%) 1611 (51.1%) 3151 (100%)

Heard the Name of

HIV/AIDS

Yes 527 (38.9%) 825 (61.0%) 1352(42.9%) 2.cal� =19.9

� =0.000No 988 (54.9%) 811 (45.0%) 1799 (57.0%)

Total 1515 (48.0%) 1636 (51.9%) 3151(100.0%)

HIV/AIDS is Transmitted through Using Same Needle

Yes 350 (29.0%) 855 (70.9%) 1205 (38.2%)2

.cal� =18.5

� =0.000No 1626 (86.5%) 320 (16.4%) 1946 (61.7%)

Total 1976 (62.7%) 1175 (37.2%) 3151 (100%)

HIV/AIDS is Transmitted through the Affected Mother’s Breast Milk

Yes 568 (35.5%) 1032 (64.5%) 1600 (50.77%) 2.cal� =22.0

� =.000No 1056 (68.0%) 495 (31.9%) 1551 (49.2%)

Total 1527 (48.4%) 1624 (51.5%) 3151 (100.0%)To get information regarding the preventive knowledge of the studied population it has been found that the respondents who know the matter of prevailing HIV/AIDS through used needle are 70.9 percent conscious as they protect themselves from the prevalence of HIV/AIDS by using condom. So the respondents who have gathered the mode of transmission of HIV/AIDS are naturally more conscious than of others. Since the people who will have more information regarding the prevalence procedure, mode of transmission and like will be more aware and conscious. So it is the knowledge about the pandemic that could keep away from the prevalence of the pandemic (Table 3.1).Again it has been found that the respondents who responded as HIV/AIDS could be transmitted by feeding the affected mother’s breast milk are 64.5 percent more likely to use condom as their security measure. Here it also been reflected that the respondents have more information regarding the mode of transmission have more knowledge regarding the preventive measure and are more conscious about the pandemic (Table 3.1). Again some confusing questions have been put on to get the idea about the depth of the knowledge of the respondents regarding the prevalence of HIV/AIDS. Here it has been found that the respondents who have shown the positive attitude to the matter of prevalence of HIV/AIDS through the process of taking food from the infected people’s plate are wrongly informed and that’s why those respondents are lees in number who use the protected measure (12.7 percent) (Table 3.1). 4. DiscussionFrom the aforesaid part of the research attempted to make the bi-variate distribution with the chi-square test.It hans been reflected that the respondents of age group 21-30 are more aware in keeping themselves away from HIV/AIDS by using condom at the time of sexual intercourse. As far as the occupational category is concerned it has been found that the job holders are the mostly aware in terms of using condom for protecting themselves from HIV/AIDS respectively 72 percent use condom at the time of sexual intercourse). HIV/AIDS have been considered. We have observed that 61 percent of the respondents who are familiar to the term HIV/AIDS have the habit of using condom as the protective measure. Again it ahs been seen that the respondents who have the idea about the mode of transmission of HIV/AIDS have more knowledge and consciousness in terms of using the protective measure to keep themselves away from the pandemic. Again it has been come across that the literate respondents are more likely to use condom as their preventive measures. In these regard HBV co infection with HIV is becoming a major challenge In acknowledging this problem, an international forum was convened in Jackson Hole, Wyoming in September 2006, recommending the search of treatment options for HIV and HBV co –infected patients. A key topic of conversation was the development of new agents for treating viral hepatitis in patients with HIV though Challenges including the risk of hepatic injury and low


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patient tolerance, which limits compliance, will accompany the upcoming treatment. (Fauci et al, 2011)Thereafter, some therapeutic drugs designed to slow HIV replication has been known to slow the replication of HBV as well in patients co-infected with HIV and HBV (Gomez-Gonzalo et al., 2012)In the treatment of HIV/HBV co-infection, a number of treatment options are recommended. Since there is not a ‘cure’ at this time for hepatitis B, the main goal of treating HBV/HIV-coinfection is to stop or slow down HBV viral activity as much as possible and for as long as possible and prevention of HIV and HBV reverse transcriptase resistance mutations. Several nucleosides and nucleotides used as part of a combination antiretroviral regimen have activity against HBV (Gomez-Gonzalo et al., 2012).Doctors are learning more about the best way to treat HIV, but it is still not known for certain when is the best time to start taking HIV treatment. There is no cure for HIV, but many doctors think that HIV treatment could mean that a person with HIV can live a more or less normal lifespan. Anti-HIV drugs work by lowering the amount of HIV in the blood (viral load). The aim of HIV treatment is an undetectable viral load. This means that the amount of HIV in a blood sample is so low that it cannot be detected using a standard test. Reducing the amount of HIV in your blood allows your immune system (measured by your CD4 cell count) to strengthen. The higher your CD4 cell count, the lower your risk of becoming ill because of HIV (and possibly some other serious illnesses as well) (Naser et al., 2009). The affected should discuss with your doctor the best time for you to start HIV treatment. There are a number of factors you might want to consider, including: � The benefits of starting treatment now.� The potential risks if you delay starting treatment.� Are you ready to start treatment now?� Are there other factors in your life that affect your ability to start taking HIV treatment?There may be other things which are relevant to your treatment and care and you may have other questions. It's a good idea to take some time to think about these before you go to an appointment at your clinic. To help you prepare for these conversations with your doctor, we have put together an online tool called Talking points. You can find it at www.aidsmap.com/talking-points (Naser et al., 2009). Specifically it could be stated that the opportunity should be created to get the data on the hepatitis b and HIV/AIDS affected people directly to get closer about the sources of infection and by exploring those data the core research could be made to detect factors affecting the prevalence of the pandemic. Most importantly, more comprehensive research is needed to the better understanding of the factors relevant to the development of risk reduction interventions for the prevention of the diseases and to let the people know about the risk factors those are associated with this disaster pandemic, so that they could be aware of those risky factors. AcknowledgementsAt the outset all praises and utmost gratitude to the Almighty Allah, source of all power and knowledge, for giving me strength, patience and ability to accomplish my research work. On this research paper I have tried my best to bring out good research work with all my sincerity, honesty, merit and hard labor. This research work has been completed and made possible only through the sympathetic help enthusiastic assistance and proper guidance, given so logically and systematically by honorable supervisor Dr. J.A.M Shoquilur Rahman, Professor, Department of Population Science and Human Resource Development, University of Rajshahi and co-supervisor Dr. Nazrul Hoque, Ph.D. Associate, Director for, Estimate and Projections, Faculty Research Associate, the University of Texas at San-Antonio Texas.Finally, I would like to thank my little sweet daughter for creating the source of inspiration. Lastly, I am grateful to my family members, especially to my beloved grandfather & parents for their continuous inspiration throughout the whole period of my study life.ReferencesAlter, A. S., & Shamuelson, A. H. (2011). Techalew A. L., & Rober, S.T. (2010). HIV and AIDS: 20,Years of Science.

Nature Medicine, 9, 839–843Chein, F. F., Devaux, I., Alix, J., & Nardone, A. (2011) HIV/AIDS in Europe: trends and EU wide priorities.

Eurosurveillance at www.eurosurveillance.org/ew/2006/061123.aspGarson, G. D. (2002). Guide to writing empirical papers, theses, and dissertations. New York: Marcel Dekker.Keswa, S., & Robin, L. A. (2010) Migrant Health. Infectious diseases in non-UK born populations in England, Wales

and Northern Ireland. At www.hpa.org.uk/publications/2006/migrant_health/default.htm


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Leenaars, M., Hooijmans, C. R., van Veggel, N., ter Riet, G., Leeflang, M., Hooft, L., & Ritskings-Hoitinga, M. (2012). A step-by-step guide tosystematicallyidentify all relevant animal studies. Laboratory Animals, 46(1), 24–31.

Mauss, K., & Jackob, L. I. (2012). Researching your topic [Webpage]. Retrieved from Dartmouth University website at http://www.dartmouth.edu/~writing/materials/student/ac_paper/research.shtml.

Murary, N., & Robin, K. (2012). West Nile Virus: Epidemiology and Ecology in North America. Advances in VirusResearch, 61, 185–234.

Naser, G. D., & Iaqube, T. L. (2009). Guide to writing empirical papers, theses, and dissertations. New York: Marcel Dekker.

Ontario Public Health Library Association (OPHLA). (2008). Critical appraisal of research evidence 101 [Webpage]. http://www.health.gov.on.ca/english/providers/program/pubhealth/oph_standards/ophs/progstds/pdfs/caore.pdf

Peter, A. T., & Fix, H. (2007). Doing a literature review in health and social care: A practical guide (2nd ed.). Maidenhead: McGraw- Critical Appraisal Skills Programme (CASP) at thePublic Health Hill/Open University Press.CASP International Network (n.d.). Research Unit. Appraisal Webpage]. Retrieved fromTools

Peter, A. T., & Fix, H. (2007). Doing a literature review in health and social care: A practical guide (2nd ed.). Maidenhead: McGraw- Critical Appraisal Skills Programme (CASP) at thePublic Health Hill/Open University Press.CASP International Network (n.d.). Research Unit. Appraisal Webpage]. Retrieved fromTools

World Health Organization. (2008, February 25). Systematic reviews of evidence [PowerPoint presentation]. http://www.gfmer.ch/400_Publications_En.htm.

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Study on Links between Cerebral Infarction and Climate Change Based on Hidden Markov Models

Hiroshi Morimoto1

1Graduate School of Environmental Study, Nagoya University, Nagoya, JapanCorrespondence: Hiroshi Morimoto, Graduate School of Environmental Study, Nagoya University, Nagoya 464, Japan

Received: July 29, 2015 Accepted: August 14, 2015 Available online: August 19, 2015doi:10.11114/ijsss.v3i5.1045 URL: http://dx.doi.org/10.11114/ijsss.v3i5.1045

AbstractSeveral studies have shown that variability in weather has been linked to stroke occurrence. However, the association has not been clear. The purpose of this study was to determine the effect of the change of weather pattern on stroke onset using Hidden Markov Models (HMMs). The daily data of emergency transport from 2002 to 2005 in Nagoya City in Japan were used. As "weather patterns", we used 11-classes classified by Japan Weather Association (JWA), including "East high pressure and West Low pressure", "Two centers of Low pressure" and so on. We proposed a new type of application of HMMs. Normally, HMMs were used to predict a hidden state from observed data. In this paper, HMMs were applied to show the existence of influence of weather variability on stroke occurrence. Our HMM was compared with the stochastic process which ignores the influence of weather states. A statistical test leaded to conclude that weather influenced the occurrence of stroke. These findings suggest that further research is possible to give more detailed study of the relation between weather states and stroke occurrence, if we use more specified data of weather elements such as daily temperature, sea level pressure and so on.Keywords: cerebral infarction; stroke; biometeorology; hidden Markov process; weather; weather pattern; stochastic process; Markov process1. IntroductionMany observational studies were devoted to assess the links between changes in weather and disease occurrences. Among diseases, stroke (or cerebral infarction) was one of the commonly known targets to be discussed. However, the links stayed unclear (Field et al. 2002, Mcdonald et.al. 2012, Biller et al. 1988, Jimenez-Conde et al. 2008). Many studies used regression model to identify quantitatively a threshold of weather elements, such as temperature, humidity and so on, against onset of cerebral infarction (Chen, 1995, Ebi 2004). Regression models were quantity models and were too critical to determine whether diseases were influenced by weather or not.The purpose of this study was to assess the effect of the change of weather pattern on the onset of cerebral infarction, providing a new approach based on Hidden Markov Models (HMMs). Normally HMMs were used for forecast, but here in this paper, we used them to assess the existence of the influence of weather states on occurrence of cerebral infarction.We defined two types of stochastic models: one is HMM with consideration on weather change, the other is a simple MM (Markov Model) with no regards to weather change. These two methods were compared.Our HMMs were described in Section 2 (Method section). Section 3 (results section) evaluated the simulation of HMM and MM. In Section 4 (discussion section) we discussed the differences of HMM and MM.2. Data and MethodThe daily data of emergency transport from 2002 January up to 2005 December in Nagoya City in Japan were used. The data contained the number of patients of many diseases other than stroke who were transported by ambulance to some hospitals in Nagoya City for each day. The data of “weather pattern” were extracted from Japan Weather Association (JWA), which were called "11-types of weather patterns" by JWA. Typical patterns of these 11-types were the pattern of “high pressure”, “a cold front” and so on. All the patterns were listed in Table 1.


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Table 1. 11 classes of weather patterns

Weather state1 North high pressure and South low pressure2 East high pressure and West low pressure3 South high pressure and North low pressure4 Strong West high pressure and East low pressure5 West high pressure and East low pressure6 High atmospheric pressure7 Weather front 8 Typhoon9 Strong low pressure10 Weak low pressure11 Two centers of low pressure

We constructed our database collecting the above data together. Among them the data from 2002 January up to 2004 December were used for model development (training data), and those of 2005 were used for model evaluation (test data).In this paper, we used Hidden Markov Models (HMMs) for modelling the occurrence of cerebral infarction associated with the changes of weather patterns. HMMs were a well-known tool for models which incorporated randomness, and were applied in numerous fields. For example, statistic models for precipitation were used to relate atmospheric circulation to local rainfalls (Hughs and Gutorp 1994). They proposed a HMM over "weather states" which brought out rainfall occurrences as observed data. Here in this paper, we proposed to develop a new type of application of HMMs, not only to make a model for random series of observed data (i.e., the number of patients of cerebral infarction) but also to prove the existence of links between risk of cerebral infarction and the change of weather patterns.

In general, HMM was a tool for representing random process over sequences of observations. The observation at time t was represented by the variable Rt . A hidden Markov model consisted of two random processes. First, it assumed that the observation Rt at time t was generated randomly by some process whose state St was hidden from the observer. Second, it assumed that the state St was determined randomly from the state St�1. Both random processes were

assumed to be Markov process (See Figure1). For basic elements of HMM, see Ghahramani, Z (2001).

Figure1. Sequences of states and observations in a hidden Markov modelWe considered the set of "weather states" as hidden states St and supposed each weather state resulted stoke occurrences Rt as observation data. The weather patterns used in this paper were those proposed by "Japan Weather

Association"(JWA). They suggested that the weather patterns in Japan were classified as the following 11 classes in

Table 1. These classes were abbreviated as s1, s2,� s11 . Each weather pattern was called "weather state" in this paper.

St St+1St�1

Rt�1 Rt Rt+1


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We defined S to be the set of all these 11-classes

s1, s2,� s11

and called it the set of "states". They were numbered as 1,2,...11 by Japan Weather Association(JWA), therefore the set S could be considered as the set of numbers from 1 to 11. A weather state in S was supposed to change to another

weather state in S daily. Let St be the weather state at time t .

Let Rt be the number of persons (the number of risk) who were taken to hospitals by ambulance at time t in

Nagoya City. Thus we have two kinds of random series St{ } and Rt{ } .

We then calculated the probability Pij from one weather state s j to another weather state si ,

Pij = P St = si | St�1 = sj( )extracting the daily data of 11-classes from 2002 January to 2004 December.This gave us 11x11 number of probabilities, thus forming 11�11-matrix

P = Pij( ),1� i �11,1� j �11.

This matrix was called "transition probabilities".

We defined the probability of the occurrence Rt of ci (cerebral infarction) for given weather state St as follows:

P Rt | St( )

Let m be the maximum number of Rt during the period considered. Then Rt takes the value from 0 to m, and St

from 1 to 11. Let R be the set of numbers from 1 to m. The above probability forms together (m+1)�11-matrix:

Q = qij( ),1� i �m+1,1� j �11

qij = P Rt = i�1| St = sj( )Each column of the above matrix gives the distribution of the occurrence of ci for given weather state.

As a consequence, we have a set S,R,P,Q{ }

S = s1,� s11{ } = 1,� 11{ }

R = r1,� rm{ }= 1,� m{ }

11�11- matrix P(m+1)�11- matrix Q .

This set was called a Hidden Markov Model. We calculated these two matrices P and Q from the data from 2002


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January to 2004 December in the next section.3. Results

We defined, in the previous section, a Hidden Markov Model S,R,P,Q{ }:

S = s1,� s11{ } = 1,� 11{ }

R = r1,� rm{ }= 1,� m{ }

11�11- matrix P(m+1)�11- matrix Q .

We calculated these two matrices P and Q from the data from 2002 January to 2004 December. Data were daily series of

the occurrences of ci and daily series of weather states. From this data we counted the probability that weather state s j

changed to si as follows. First fix j, then we counted the numbers of the dates where the states changed from s j to

si , i=1,...,11.

sj s1, , sj s11

Dividing these numbers by the total number of occurrence of s j , we obtained the distribution function from state s j

to another state. This gave the j - th column of the matrix P as in Table 2. Table 2. Transition Matrix P of Weather States

Probability (current day)Weather type(next day) 1 2 3 4 5 6 7 8 9 10 11

1 0.26 0 0.04 0 0.05 0.07 0.08 0.03 0 0.14 0.072 0.15 0.26 0.02 0 0.02 0.1 0.02 0.03 0 0 03 0 0.04 0.2 0 0.05 0.05 0.03 0 0 0.05 04 0 0.07 0.02 0.25 0.04 0.02 0.02 0.07 0.38 0.08 05 0.05 0.04 0.12 0.58 0.41 0.07 0.1 0.13 0.13 0.27 0.66 0.31 0.14 0.18 0.12 0.37 0.44 0.26 0.16 0.19 0.17 0.277 0.06 0.21 0.27 0.02 0.02 0.12 0.32 0.19 0.25 0.17 08 0.05 0.06 0.04 0 0 0.01 0.03 0.36 0 0.01 09 0.02 0.01 0 0 0.01 0.03 0.01 0 0 0 0

10 0.1 0.17 0.1 0.02 0.02 0.09 0.12 0.03 0.06 0.1 011 0.01 0 0 0.02 0.02 0.02 0.01 0 0 0.01 0.07

Recall that Q was defined by the (m+1)�11-matrix:

Q = qij( ),1� i �m+1,1� j �11


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qij = P Rt = i�1| St = sj( ) ,

where each column j of the above matrix gives the distribution of the occurrence of ci for given weather state s j .

Fix j and suppose that the weather state is St = sj at time t .

From the daily data from 2002 up to 2004, select only data, the weather state of which is s j . Calculating the

distribution of the occurrence of ci of these data, we obtained the j -the column of the matrix Q . Changing j , we had the whole Q as in Table 3. This defined the Hidden Markov Model {S, R, P, Q}.Table 3. Result of the matrix Q of 14 rows and 11 columns

11 classes of weather statethe numberof patients 1 2 3 4 5 6 7 8 9 10 11

1 0 0 0 0 0 0.01 0.01 0.03 0.06 0.02 02 0.07 0.08 0.1 0.06 0.02 0.05 0.05 0.13 0 0.03 03 0.12 0.08 0.12 0.04 0.07 0.1 0.15 0.06 0.13 0.11 0.134 0.15 0.19 0.12 0.06 0.12 0.16 0.16 0.29 0.13 0.18 0.135 0.15 0.26 0.1 0.17 0.21 0.22 0.19 0.13 0.25 0.17 0.136 0.12 0.11 0.24 0.25 0.21 0.15 0.18 0.13 0.13 0.16 0.067 0.11 0.14 0.06 0.08 0.15 0.14 0.09 0.06 0.19 0.1 0.318 0.11 0.1 0.1 0.15 0.08 0.07 0.04 0.06 0.06 0.11 0.069 0.11 0 0.1 0.08 0.05 0.04 0.07 0.06 0 0.03 0.06

10 0.04 0.03 0.04 0.06 0.03 0.03 0.01 0.03 0 0.03 0.0611 0.01 0 0 0 0.02 0.01 0.04 0 0 0.01 012 0.01 0 0 0.06 0.01 0.01 0.01 0 0 0.01 013 0 0 0 0 0 0 0.01 0 0 0 0.0614 0 0 0 0 0 0 0 0 0.06 0.01 0

For the evaluation of our HMM, we applied it to the daily data of 2005. The original data gave us real data of occurrences of ci,

c1,c2,� ,cT ,

and we compared these real data series with data series produced by our HMM, {S, R, P, Q }.We selected arbitrary month in 2005 and selected one day (for example, 1-st day or 15-th day and so on) as the initial value of HMM. We used also the weather state of the initial day as the initial value of HMM. The Figure 2 showed a typical sample of simulation of HMM during one month (November 2005).


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Figure 2. An example of simulation result of HMM and original data for November 2005.We proceed our HMM for these initial values for the period of T = 3 days. Then we had a time series of expected ci (expected ci-occurrence)

r1,r2,� ,rTwhich could be compared with the original data.

c1,c2,� ,cTFor this comparison, we used the method of Root Mean Squared Error (RMSE).In order to argue the existence of influences of weather states to the occurrences of ci, we constructed a simple stochastic model (MM: Markov Model) which did not use the information of weather states. This MM depended only on the distribution of the occurrences of ci.We had the time series of real ci-occurrences from the original data from 2002 to 2004. Gathering these 3-year data gave us the distribution of ci-occurrences. That is the function of the integers, 0, 1, ... , m(maximum of ci-occurrences during three years) taking values of the probability. This simple model was described by a distribution function

f :[0,m]R .

For given month, a simulation could produce a time series obeying to this f ,

s1, s2,� , sT

starting from the same day like r1,r2,� ,rT and c1,c2,� ,cT .

Then we calculated RMSE for this series s1, s2,� , sT compared with the original c1,c2,� ,cT . We totally obtained


186

RMSEs for r1,r2,� ,rT and s1, s2,� , sT for every month of 2005 as in Table 4.Whether the difference of these two RMSEs was statistically significant or not had been investigated by t-test. The p-values of t-test were described in the Table 4. That showed that samples generated by HMM and MM were statistically different for most of months. This implied that the influence of variability of weather states existed with respect to the occurrence of cerebral infarction.

4. DiscussionTo develop a HMM, we classified weather states into 11-states, and calculated a transition matrix, which was composed of probabilities of change of a weather state to another state. We also calculated the distribution functions of ci-occurrence, given arbitrary weather state.For the evaluation of our HMM, we applied it to the daily data of 2005. The original data gave us real data of occurrences of ci, and we compared these real data series with data series produced by our HMM, {S, R, P, Q }. We selected arbitrary month in 2005 and selected one day as the initial value of HMM (such as 1-st day or 15-th day).

For given month, a simulation of our HMM could produce a time series r1,r2,� ,rT . We also constructed a simple

Markov Model (MM), which excludes the influence of weather change. Starting from the same day, suppose that this

MM produced s1, s2,� , sT . Let the original ci-occurrence to be c1,c2,� ,cT . Then we calculated RMSE for series

c1,c2,� ,cT and r1,r2,� ,rT compared with the original c1,c2,� ,cT . The results were given by the Table 4.

The statistical significance was investigated by applying t-test, and results were in the same table.Table 4. RMSE (Root Mean Squared Error) of MM and HMM and p-value of t-test applied to the data of 2005month 1 2 3 4 5 6 7 8 9 10 11 12MM 2.64 3.20 2.77 2.62 3.30 2.31 2.83 3.24 2.51 3.70 2.33 2.39 HMM 2.56 3.13 2.89 2.59 3.24 2.24 2.86 3.17 2.48 3.72 2.21 2.48 p.value 0.09 0.11 0.00 0.45 0.22 0.08 0.53 0.14 0.41 0.71 0.00 0.05 From this t-test, we could conclude that the model HMM (with weather states) was better than the model MM (without weather states), by comparing RMSE. This fact was proven to be stochastically significant by t-test for RMSE. The general conclusion is that cerebral infarction is influenced by weatherJune is a rainy season in Japan. In November, the weather is relatively good, but there are some days when the sudden cold wind rages over Nagoya City. These months could be considered as typical months when the change of weather state induces the risk of ci.The result of March did not support our theory. This might be due to the fact that March is a typical month when the season changes from winter to spring. The weather state changes too quickly that our theory could not follow the variability of ci well.December seemed critical in that more experiments by simulations showed sometimes that December fitted our theory.Since we focused our efforts on the effect of variability of weather patterns, the following question may arise. Which pattern of weather change is threatening our health? In order to assess this question, we calculated the means of the number of patients of ci (transported by ambulance during 2002 up to 2004) with respect to all types of change of weather pattern. The results were listed in Table 5, where only the cases with means higher or equal to 7 were listed, associated with change of weather patterns. Most of cases happened when a weather pattern changed to low pressure type. Other cases happened when a pattern of pressure changed significantly.

Table 5. Pattern of weather change and means of patients of ci transported by ambulance (per day).weather of previous day weather of current day mean of patientsNorth High, South Low East High, West Low 7East High, West Low Strong West High, East Low 7East High, West Low Weak Low pressure 7South High, North Low Weak Low pressure 7Strong West High, East Low High pressure 8West High, East Low East High, West Low 9


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West High, East Low Strong Low pressure 9West High, East Low Two centers of Low pressure 9High pressure North High, South Low 11High pressure Strong Low pressure 7High pressure Weak Low pressure 7Strong Low pressure Strong West High, East Low 8Weak Low pressure Strong West High, East Low 7

Discription: “North High, South Low” means “North high pressure and South low pressure” and so on.Our theory argued the dependency of the risk of ci on variability of weather patterns. But there is a risk of ci-occurrence, even when weather pattern does not change at all. When the weather is stable, then combining our theory with other method (such as regression model, decision tree or support vector machine and so on) will be useful to develop more detailed analysis in future.We assumed that the state of this hidden process satisfied the Markov property: that is, given the value of St�1

, the current state St is independent of all the states prior to t-1. This rule does not hold in general. For example, the

weather state of two days before current day might affect the weather state of the current day. In such cases, we only have to change the daily data of states to a series of couples or triples of weather states. Then the assumption of Markov property would hold. Our theory did not use weather elements, such as temperature and so on. In this meaning, our theory appears very rough, but this means that we could develop further detailed theory, taking weather elements in consideration. Given the weather pattern, the detailed analysis of weather elements may be possible in order to forecast the occurrence of cerebral infarction (cf., Kojima et al 2014).ReferencesChen, Z. Y., Chang, S. F., & Su, C. L (1995). Weather and Stroke in a Subtropical Area: Ilan, Taiwan Stroke, 26,569-572.

http://dx.doi.org/10.3174/ajnr.A3059Ebi, K. L., Exuzides, K. A., Lau, E., & Kelsh, M. (2004). ‘Weather changes associated with hospitalizations for

cardiovascular diseases and stroke in California, 1983–1998’, Int J Biometeorol, 49, 48–58. http://dx.doi.org/10.1007/s00484-004-0207-5

Field, T. S., & Hill, D. (2002). Weather, Chinook, and Stroke Occurrence’ Stroke, 33, 1751-1758. http://dx.doi.org/10.1161/01.STR.0000020384.92499.59

Ghahramani, Z. (2001). ‘An Introduction to Hidden Markov Models and Bayesian Networks’, Journal of Pattern Recognition and Artificial Intelligence, 15 (1), 9 - 42. http://dx.doi.org/10.1142/S0218001401000836

Hughes, J. P., & Guttorp, P (1994). ‘A class of stochastic models for relating synoptic atomospheric patterns to regional hydrologic phenomena’, Wat. Resour. Res., 30, 1535-1546. http://dx.doi.org/10.1029/93WR02983

Hughes, J. P., & Guttorp, P. (1999). ‘A non-homogeneous hidden Markov model for precipitation occurrence’, Appl. Statist, 48(1), 15-30. http://dx.doi.org/10.1111/1467-9876.00136

Jimenez-Conde, J., Ois A., Gomis, M., Rodriguez-Campello, A, Cuadrado-Godia, E, Subirana, I., & Roquer, J. (2008). ‘Weather as a Trigger of Stroke’, Cerebrovasc Dis.,26, no.4, pp.348–354. http://dx.doi.org/10.1159/000151637

Kojima, M., Ogasawara, N., & Morimoto, H. (2014). ‘Relationship between onset of cerebral in-farction and classification of meteorological elements’, Open Journal of Applied Sciences, 4, 242-248. http://dx.doi.org/10.4236/ojapps.2014.45024

McDonalda, R. J., McDonaldb, J. S., Bidae, J. P., Kallmesb, D. F., & Cloft, H. J. (2012). ‘Subarachnoid Hemorrhage Incidence in the United States Does Not Vary with Season or Temperature’, Am. J. Neuroradiol, 33, 1663-1668. http://dx.doi.org/10.3174/ajnr.A305


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International Journal of Social Science Studies, Vol. 3, No. 5, September 2015

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Transcript of International Journal of Social Science Studies, Vol. 3, No. 5, September 2015