SAFIC Joint Workshop no 2 –
Livingstone 26-28 February 2013
SAFIC Project Coordinator
Soeren Jeppesen, Assoc. Prof., CBS
Welcome
SAFIC Joint Workshop no 2 –
Livingstone 26-28 February 2013
Project/workshop ground rules:
Workshops
• Focus on presenters & activities
• Mobiles off
• Laptops only when typing
SAFIC Joint Workshop no 2 –
Program:
1st day (Tuesday 26th Feb 2013):
Results 2012, Country Background
papers/reports, Theoretical
framework/Indicators/survey &
Socialising
2nd day (Wednesday 27th Feb 2013):
Theoretical framework etc (part II)
and PhDs
3rd day (Thursday 28th Feb 2013):
Country plans, The year 2013,
Practicalities & Viewing the Falls
SAFIC – Program –
Day 1 (26 Feb 2013)
• Results (Overall and by teams)
• Break
• Country Background Papers/reports
& what have we learnt, including lunch
& Break
• Theoretical framework/Indicators of
‘success’ and the survey instrument
(part 1)
• Dinner
SAFIC Joint Workshop no 2 –
Practicalities:
* Food (breakfast, lunch and dinner at
Crossroads Lodge)
* Internet (…., password: …..)
* Any other questions, ask us
(Douglas, Godfrey and local team)
SAFIC Joint Workshop no 2 –
Project aims, objectives and
outputs:
To refresh our minds 
Aims:
* To investigate how and why
African firms are able to be
successful in changing
business and institutional
environments
SAFIC Joint Workshop no 2 –
Aims (2):
(LFA-version)
To contribute to enhanced
understanding of economic
growth and employment
through new knowledge on firm
development in the African
private sector
SAFIC Joint Workshop no 2 –
Objectives:
* To identify strategies that lead to
sustained firm performance, and
* To seek to explain the firm’s success by
looking at the interface between firm
internal factors (resources and capabilities)
and firms external factors (market
structures and institutions – formal and
informal)
SAFIC Joint Workshop no 2 –
Objectives (2):
(LFA version):
* To understand the origins of local
firms’ success in Kenya, Tanzania
and Zambia
* as a means to inform firm
strategies and economic
development policy in these
countries
SAFIC Joint Workshop no 2 –
Objectives (Key research question):
* How and why certain local
firms in the three countries
manage to grow with different
degrees of success
under changing conditions and
often volatile market and
institutional conditions?
SAFIC Joint Workshop no 2 –
Outputs:
Academic:
* 20 working & conf. papers
* 20 journal articles
* 3 country background reports
* 1 book (selection of case studies)
* 1 post-doc; 5 PhD theses; 21 Master
theses
* Workshops (13) and Conferences (2)
SAFIC Joint Workshop no 2 –
Outputs (2):
Policy:
* Press releases
* Policy briefs, at least 5
* 4 Policy/stakeholder
workshops
* Interaction with
stakeholders
SAFIC Joint Workshop no 2 –
Results for 2012
What did we achieve in our first
year?
A lot!
• Teams in place
• 5 PhDs enrolled & started
• 2 Associate Professors
• Web site
• Administrative procedures!
SAFIC Joint Workshop no 2 –
Results for 2012 (2)
• Joint plus country team workshops
• Mapping underway (into the field –
organisations/institutions and
firms)
• Country Background
Papers/Reports on the way
• First draft paper/publication
• Master thesis students started
SAFIC Joint Workshop no 2 –
Results for 2012 (3)
The team results/outputs
• Tanzania
• Zambia
• Kenya
SAFIC Joint Workshop no 2 –
Plans and output for 2013:
• CBPs completed
• Survey undertaken
• Case firms selected and
interviewed (first time)
• PhDs moved further
• Master thesis students – more
• 2012 Annual report and accounts
SAFIC Joint Workshop no 2 –
Plans and output for 2013:
• Workshops (one joint plus
team/field workshops)
• Update web (teams and PhDs)
• Working and conference papers?
• Journal articles?
• Initiate discussion of ‘case format’
– what is a case study? And what
does a ‘case’ for teaching entail?
SAFIC Joint Workshop no 2 –
Country Background Papers
Presentation of CBPs/CBRs:
• Key findings
• Learnings, and
• Reflections for the upcoming
field work and the conceptual
parts
SAFIC Joint Workshop no 2 –
Country Background Papers
Presentation of CBPs/CBRs:
• Kenyan team
• Tanzanian team, and
• Zambian team
• 20 minutes for presentation
• 10 minutes for comments
SAFIC Joint Workshop no 2 –
Theoretical framework, indicators
and survey
Overall issue:
• Need refinement of analytical
framework (key concepts and
their relationship)
• Experiences and reflections
• Theoretical considerations
• Survey instrument (content)
SAFIC Joint Workshop no 2 –
Reflections on cross-cutting
issues
Methodological/empirical
learnings – for the project?
* Challenges in the field?
* Timing & Content of survey
* (and later case studies)
* Use of existing data (World
Bank and other)?
SAFIC Joint Workshop no 2 –
Theoretical framework, indicators
and survey
Theoretical considerations:
Which main theories and
concepts to use?
Implications for the analytical
framework(s)?
SAFIC Joint Workshop no 2 –
Theoretical considerations (2)
Main theories and concepts:
Firm
Market
Institutions
SAFIC Joint Workshop no 2 –
Theoretical considerations (3)
Firm level:
Resource based theories
Resources
Capabilities (static, dynamic)
Success (performance)
Strategies
SAFIC Joint Workshop no 2 –
Theoretical considerations (4)
Institutions:
Institutional theory
State-business-relations
Formal and informal
SAFIC Joint Workshop no 2 –
Theoretical considerations (5)
Markets (market institutions):
* Macro economic conditions
* Trade
* Industry (global, regional, local)
* Competitors
Not to be theorised – for granted!
SAFIC Joint Workshop no 2 –
Theoretical considerations (6)
Assumptions:
A. Critical regarding usage of
theories and concepts
B. Some to be dealt with in survey,
Other wait until case studies
C. Common core (comparison) with room for individual wishes
SAFIC Joint Workshop no 2 –
Theoretical considerations (7)
A. Critical regarding usage of
theories and concepts
• Keep it simple and practical
‘Resources and capabilities’
• Not ‘dynamic capabilities’ and
• Not ‘ sustained performance
/competitive advantages’
SAFIC Joint Workshop no 2 –
Theoretical considerations (7)
A. Critical regarding usage of
theories and concepts
• Translate into what we will ask
for in the field
‘Resources’
- Physical
- Human, and
- Financial
SAFIC Joint Workshop no 2 –
Theoretical considerations (8)
Translate into what we will ask
for in the field
‘Capabilities’
- How are organisational
practices carried out?
- What do they do in the
firm (selected areas)?
- Changes in this over time?
SAFIC Joint Workshop no 2 –
Theoretical considerations (9)
‘Success’ (performance)
- Which indicators?
- Financial and non-financial?
1) Financial
2) Market
3) Managerial
4) Human Resources, and
5) Technological/innovation?
SAFIC Joint Workshop no 2 –
Theoretical considerations (10)
‘Success’ (performance)
- Missing the institutions
6) No of & level of contacts to
government
7) Involvement in business
associations
8) Knowledge on regulations
(local and global)?
SAFIC Joint Workshop no 2 –
Theoretical considerations (11)
‘Strategies’
- Identification of strategies
- Which strategies seem to be
more or less successful?
* Over time
* In certain sectors, and/or
* Under certain conditions
SAFIC Joint Workshop no 2 –
Theoretical considerations (12)
Institutional theory
- Influence of formal and
informal institutions on firm
strategies
SAFIC Joint Workshop no 2 –
Theoretical considerations (13)
Institutional theory
Formal:
* Infrastructure?
* Government (ministries)
& regulations
Informal:
* Norms, values and culture
* Trust and relationships
SAFIC Joint Workshop no 2 –
Theoretical considerations (14)
State-Business-relations:
Formal:
* To ministries (decision
makers) – From ministries
* Directly or indirectly
Informal:
* Relationships, networks and
ties (personal, clan, religion)
SAFIC Joint Workshop no 2 –
Theoretical considerations (15)
Analytical framework:
Firm level
* Resources
* Capabilities
* Performance (or indicators)
SAFIC Joint Workshop no 2 –
Theoretical considerations (16)
Analytical framework:
Influence of institutions and
markets
Leading to:
A) Identification and B) analysis
of 1) strategies and
2) degrees of success
SAFIC Joint Workshop no 2 –
Theoretical considerations (16)
Analytical framework:
Influence of institutions and
markets
Leading to:
A) Identification and B) analysis
of 1) strategies and
2) degrees of success
SAFIC Joint Workshop no 2 –
Survey (and case studies)
Methodological implications:
Different steps
A) Survey
B) Case studies
C) Analysis of strategies and
degrees of success
(- Over time etc)
SAFIC Joint Workshop no 2 –
Survey (and case studies)
Methodological implications:
A) Survey
We focus on certain data
Patterns and overview
Selection of cases
SAFIC Joint Workshop no 2 –
Survey (and case studies)
A) Survey
Limitations:
* Changes of time
* Causal relations
* ‘Superficial’
SAFIC Joint Workshop no 2 –
Program
2nd Day (Wednesday 27th Feb)
• Further on theoretical
framework, indicators and
survey
• PhDs
• (Master theses – Thursday)
• The Falls …
• With breaks, lunch and dinner!
SAFIC Joint Workshop no 2 –
Program (Day 2)
Further on
• Theoretical framework
• Indicators, and
• Survey
SAFIC Joint Workshop no 2 –
Program (Day 2)
Summary Day 1:
• Theoretical framework
* Firm (resources,
capabilities, success
/performance & strategies)
* Institutions
* Markets
SAFIC Joint Workshop no 2 –
Program (Day 2)
Summary Day 1:
• Indicators
* Financial and
* Non-financial
* Balance the ‘ideal’ with the
‘realistic’ (time for & can get
from firms and other
respondents)
SAFIC Joint Workshop no 2 –
Program (Day 2)
Summary Day 1:
• Survey
* Merge input from
Goodluck and Kenya/PK
with input from Peter K
* Common core (generic)
* Individual (sector and/or
country)
SAFIC Joint Workshop no 2 –
Program (Day 2)
Summary Day 1:
• Survey
* Clarify understanding of
agroprocessing and/or
agrobusiness
* See T-CBP, p. 7
SAFIC Joint Workshop no 2 –
Program (Day 2)
Summary Day 1:
• Survey
* Align sub-sectors in three
countries
SAFIC Joint Workshop no 2 –
Summary Day 1 (survey)
Countries:
Sub-sectors
Tanzania:
Dairy, Grain Milling, edible
oils, horticulture, fishprocessing
Grain Milling, Dairy,
Horticulture, Juices, Sauces
and Jams, and Snacks
Grain Milling, Horticulture,
Dairy, Meat, Sauces and
Jams, Juices?, Edible oils?
Grain Milling, Horticulture,
Sauces and Jams (Edible
Kenya:
Zambia:
Joint:
SAFIC Joint Workshop no 2 –
Summary Day 1 (survey)
Administration:
• Timing (when, for how long?)
• Face-to-face
• Sequence: Common part first, then
country
• Processing: SPSS
• Analysing: From Analytical
framework
SAFIC Joint Workshop no 2 –
Summary Day 1 (survey)
Additional input:
• Peter K
• Lettice
• Dorothy?
• All ….Processing: SPSS
SAFIC Joint Workshop no 2 –
PhDs
PhD projects – presentations:
One by one
15 minutes
Two discussants
Comments from rest
Summary on cross-cutting issues
SAFIC Joint Workshop no 2 –
PhDs
PhD projects:
A) Status – reflections (How far, the
needed level of clarification, how to
move towards final approval?)
B) Progress (when to be approved –
within next 3-4 months (need input as
part of reporting to DFC plus need to
see ‘satisfactory progress)
C) DFC/FFU: If not completed, pay back!
SAFIC Joint Workshop no 2 –
PhDs
PhD projects:
D) Supervision, timing and other crosscutting issues (next travel to Denmark and
course work) for PhD projects
– if we have time today!
SAFIC Joint Workshop no 2 –
Program February 28th 2013
• Agreement on entry parameters
• Subsectors for the food processing
industry
• Success indicators
• Survey format & process
• PhDs – any additional issues?
• Master thesis students
• Individual country studies & plans
• Farewell to Tanzanian team
• Further work / leisure ….
SAFIC Joint Workshop no 2
Project ground rules (I):
Workshops
• Focus on presenters & activities
• Mobiles off
• Laptops only when typing
SAFIC Joint Workshop no 2
Agreement on entry parameters
• Ownership
• Age of establishment
• Number of permanent employees
SAFIC Joint Workshop no 2
Agreement on entry parameters
• (Local) Ownership
• Majority owned by Citizen(s) of the
country
SAFIC Joint Workshop no 2
Agreement on entry parameters
• Age: Five years since start-up
• Number of employees (full time):
(minimum) Ten
SAFIC Joint Workshop no 2
Subsectors in food processing
•
•
•
•
•
•
Grain Milling
Edible Oils
Horticulture (minus flowers)
Dairy
Sauces and jams
Snacks
SAFIC Joint Workshop no 2 –
Summary Day 1 (survey)
Countries:
Sub-sectors
Tanzania:
Dairy, Grain Milling, edible
oils, horticulture, fishprocessing, tea and coffee
Bakery, Grain Milling,
Horticulture, Juices, Sauces
and Jams, and Snacks
Grain Milling, Horticulture,
Meat, Sauces and
Jams
Kenya:
Zambia:
SAFIC Joint Workshop no 2 –
Thursday 28th Feb 2013
Indicators of degrees of success:
A. Financial & Non-financial
B. Measures of high or low
performance
C. Limited number for survey
SAFIC Joint Workshop no 2 –
Indicators of success
Financial:
1) Change in turnover
Non-financial:
2) Market – Expansion
3) Managerial – No of person trained
4) Human resource – Retention rate
5) Technology – level of investment
SAFIC Joint Workshop no 2 –
Indicators of success
Non-financial (continued):
6) Membership of BAs
7) Membership of committees
8) Growth in no of employees
9) ?
SAFIC Joint Workshop no 2 –
Survey format revised
A. New draft
B. Process
* Comments
* Committee
* Administration (tool-kit ..)
* Deadline
SAFIC Joint Workshop no 2 –
Survey format revised
B. Process
* Comments?
SAFIC Joint Workshop no 2 –
Survey format revised
B. Process
* Committee & tasks
* Who? (David/Goodluck,
Radha/Wamalwa, Soeren)
SAFIC Joint Workshop no 2 –
Survey format revised
B. Process
Tasks:
1. Finalise instrument
2. Write tool-kits
A. Content of questions
B. Administration
SAFIC Joint Workshop no 2 –
Survey format revised
B. Process
Deadline(s):
1. Instrument?
2. Tool-kits?
A. Content of questions
B. Administration
SAFIC Joint Workshop no 2 –
PhDs
Additional issues?
Deadline for plans
Supervision?
Courses?
Trip to Denmark?
SAFIC Joint Workshop no 2 –
Master theses:
• Kenya (6), Tanzania (10), Zambia (5)
• Small funds for support
• Link closely to project, e.g.:
* Data collection (quantitative &
qualitative), with particular focus
* Theoretical perspectives
* Sector wise
• Status and reflections?
SAFIC Joint Workshop no 2 –
Individual country groups
Plans and objectives for 2013:
•
•
•
•
•
Field work
Team workshops
Organisation
Publications
Other?
• Plan to project coordinator
SAFIC Joint Workshop no 2 –
Coming year & Next workshop
Survey
Case studies (when & what do we
mean?)
PhDs
Travel
Next joint – conference in Tanzania
SAFIC Joint Workshop no 2 –
Goodbye
SAFE TRAVEL!
Development path
and history
FIRM
Resources and
Capabilities
(Successful)
performance
Strategy
Political and Social
institutions
Figure 1: Conceptualisation of the Firm
and its Key Relationships
Market structures
and economic
institutions