Towards The Best Corporate Governance Practices Model For Public

Southern Cross University
ePublications@SCU
Theses
2011
Towards the best corporate governance practices

model for public universities in developing
countries: the case of Kenya
Benjamin Mwanzia Mulili
Publication details
Mulili, BM 2011, 'Towards the best corporate governance practices model for public universities in developing countries: the case of
Kenya', DBA thesis, Southern Cross University, Lismore, NSW.
Copyright BM Mulili 2011
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Towards the Best Corporate Governance Practices Model for
Public Universities in Developing Countries: The Case of Kenya
Benjamin Mwanzia Mulili

B.Com (Management), University of Nairobi, Kenya
MBA (Marketing), University of Nairobi, Kenya
A Thesis submitted to the

Graduate College of Management
In partial fulfilment of the requirements of the degree of
Doctor of Business Administration
October 2011
i
DECLARATION
I certify that the work presented in this thesis is, to the best of my knowledge and belief,
original, except as acknowledged in the text, and that the material has not been submitted,
either in whole or in part, for a degree at this or any other university.
I also certify to the best of my knowledge that any help received in preparing this work, and
all sources used, have been appropriately acknowledged in this thesis.
Name: Benjamin Mwanzia Mulili
Signature:
Date: October 2011
ii
ACKNOWLEDGEMENTS
This research thesis would not have been possible if it were not for the support I received
from several individuals and organisations. It is my great joy to acknowledge them here.
Firstly, I thank God for His peace, grace and providence. Without you, Oh God, I would not
have come this far.
Secondly, I recognise the love, support and encouragement I received from my wife Emily
Ndinda Muendo and my children Stephen Ndua, Judah Kiilu and Esther Ndanu over the
period I was away from home.
Thirdly, my supervisors deserve special gratitude. Dr Peter Wai-Hong Wong, my main

supervisor, provided me with extremely professional guidance throughout the whole process
of writing the thesis. Similarly, Dr Don McMurray and Dr Margo Poole offered me highly
valuable advice when I needed it.
Fourthly, I am indebted to all the informants who participated in the research and who
provided me with rich information that was indispensable at the data analysis stage of the
research. Special appreciation goes to Associate Professor Michael Charles for whom I
worked as a research assistant. This enabled me to pay part of my tuition fees.
Fifthly, I am very grateful to all the staff of Southern Cross University with whom I
interacted during the entire period of my doctoral studies. This experience opened my mind
to new ways of thinking.
Last but not least, I appreciate my employer, the Catholic University of Eastern Africa, for
granting me a study leave and partial financial support during the period of my studies.
iii
ABSTRACT
The concept of corporate governance originated in the nineteenth century when incorporation
was being advocated as a way of limiting liability (Vinten, 2001). The concept gained
prominence in the 1980s due to stock market crashes in different parts of the world, and the
failure of some corporations, partly owing to poor governance practices (Tricker, 2011).
Several researchers have found strong links between organisational performance and
corporate governance practices (Gregg, 2001; Hilmer, 1998; Kiel & Nicholson, 2002).
Improved corporate governance practices have also been acknowledged to play an important
role in the growth and development of the whole economy of a country (Claessens, 2006;
Clarke, 2004; Reed, 2002).
Corporate governance is now an international topic due to the globalisation of businesses.

Nevertheless, countries differ from each other in a wide variety of ways, such as politically,
economically, culturally and technologically. This partially explains why corporate
governance approaches in developing countries differ from those of developed economies
(Rabelo & Vasconcelos, 2002).
Solomon (2010) highlights the evolution of corporate governance systems in a number of

developing countries in Africa. Nevertheless, research on corporate governance practices in
developing countries, especially countries in the African continent, is limited (Okeahalam,
2004; Shleifer & Vishny, 1997). This lack of research, as Yakasai (2001) explains, can be
attributed to the culture of trust that prevailed in many African countries. Managers were
trusted to run organisations in the best interests of all stakeholders with little emphasis being
laid on corporate governance or disclosure and transparency of information.
According to Yizengaw (2003), higher education is one of the most effective instruments of
political, economic, human resources and social development of a country. Moreover, a
number of developing countries in Africa perceive education to equalise opportunities
between social classes, distribute income more fairly and develop a more employable labour
force (Carnoy, 1982). This leads to modernisation and social transformation (Ogom, 2007).
iv
This research was conducted in Kenya. In spite of the World Banks and the International
Monetary Funds (IMF) tough conditions on governance and better economic management
(Solomon, 2010), the country is still caught up in macro-economic instability as evidenced by
high inflation rates, account deficits and policy uncertainties (Njanja, Ogutu & Pellisier,
2012). Politically, Kenya is a multiparty democracy whose government has tried to create a
more open and less fearful society that is transparent in its practice, decentralised in its style,
accountable in its procedures, meritocratic in recruitment, efficient in the use of resources and
relevant in its objectives and outcomes. These measures have positively impacted on the
higher education sector. For instance, there has been a move towards greater autonomy of the
universities in the management of their internal affairs and the removal of the somewhat
autocratic culture that generally prevailed in the past. While each university has its own Act
dating back to its foundation, all the universities are affected by numerous legislations with
the Commission for Higher Education (CHE) playing a regulatory role. Socially, the country
is experiencing increased educational levels, partly owing to the demands of an increasingly
sophisticated economy. Moreover, freedom of expression is rampant in the country, and the
citizens are free to question anything that does not seem to make sense to them. There are
also increased efforts to reduce the prevalence of corruption and pressure groups tend to
advocate for all forms of social change.
Public universities in Kenya are faced with numerous challenges that include, among many
others, the need for the rapid expansion of university education, reduced government funding,
gender inequality, low research capability, students living in poor conditions and the spread
of HIV/AIDS (Mwiria & Ngethe, 2007). These challenges imply the need for leaders of the
said institutions to implement broad policy changes. Mwiria (2007) perceives governance to
be the most critically needed area of reform in the management of public universities in
Kenya.
The aim of this research, therefore, was to explore the corporate governance practices
adopted by public universities in Kenya with a view to recommending appropriate changes.
The researcher collected qualitative data from 15 informants using semi-structured interviews.
In order to enhance information richness, the researcher selected informants who were
members of both governing councils and management boards. Three informants from each
university were interviewed. The findings were triangulated using document reviews and a
v
focus group discussion. The data collected was transcribed, coded and analysed qualitatively
using the NVIVO software.
The findings obtained from this research confirm that Kenyas public universities are faced
with many challenges that include large student numbers, overstretched facilities and
inadequate financing. The magnitude of these challenges weighs heavily on the governance
of the said institutions.
On the basis of the findings, several changes are recommended for enhancing corporate
governance of these institutions.
The researcher identifies the following areas as requiring further research:

Comparative analysis of corporate governance practices of public and private
universities in developing countries.
Collaboration in the governance of public and private universities in developing
countries.
Comparison of corporate governance of public universities in developed and
developing countries.
As with most research studies, replication of this study is suggested for validation
purposes.
The use of larger samples is also recommended.
Replication of the study using a different sample of non-university officials would
help to improve our knowledge of corporate governance practices in Kenya, Africa,
and other developing countries.
Replication of the study on a national sample of public directors/executives would
also be helpful in understanding the issues of corporate governance.
A replication of the present study using survey research method would also help to
shed light on the problems and challenges of corporate governance in Africa/Kenya.
Finally, a comparison of private versus public managers using a national sample

would also be helpful.
vi
Key Words
Corporate governance
Public universities
Learning organisations
Organisational culture
vii
PUBLICATIONS
The following publications were produced as a result of the research described in this thesis.
Mulili, B.M. & Wong, P. (2011), Corporate governance practices in developing countries:
the case for Kenya, International Journal of Business Administration, vol. 2, no. 1, pp. 14-27.
Mulili, B.M. & Wong, P. (2011), Continuous organizational development (COD),

Industrial and Commercial Training, vol. 43, no. 6, pp. 377-384.
viii
TABLE OF CONTENTS
DECLARATION .......................................................................................................................ii
ACKNOWLEDGEMENTS ..................................................................................................... iii
ABSTRACT .............................................................................................................................. iv
PUBLICATIONS ................................................................................................................... viii
LIST OF TABLES ................................................................................................................... xv
LIST OF FIGURES ................................................................................................................ xvi
LIST OF PIE CHARTS .......................................................................................................... xvi
LIST OF BAR CHARTS ........................................................................................................ xvi
LIST OF ABBREVIATIONS ................................................................................................xvii
CHAPTER 1: INTRODUCTION .............................................................................................. 1

1.1 Introduction ..................................................................................................................... 1
1.2 Background to the research ............................................................................................. 3
1.2.1 Brief background of corporate governance ............................................................. 3
1.2.2 Context of the research ............................................................................................ 4
1.3 Statement of the research problem .................................................................................. 6
1.4 Objectives of the study.................................................................................................. 10
1.5 Research questions ........................................................................................................ 10
1.6 Research propositions ................................................................................................... 11
1.7 Justification for the research ......................................................................................... 12
1.7.1 The existence of minimal research on corporate governance of public sector
organisations in developing countries ................................................................... 12
1.7.2 Specific legislations and expectations placed on public universities in Kenya ..... 12
1.7.3 The role played by public universities in Kenya ................................................... 13
1.7.4 Inadequate case study research .............................................................................. 13
1.7.5 Competitive difficulties faced by public universities in Kenya ............................ 13
1.8 Research methodology .................................................................................................. 14
1.8.1 Research paradigm ................................................................................................ 14
1.8.2 Justifications for the research design ..................................................................... 14
1.8.3 Data collection procedures .................................................................................... 15
1.8.4 Research quality .................................................................................................... 16
ix
1.8.5 Ethical issues ......................................................................................................... 16
1.8.6 Data analysis procedures ....................................................................................... 17
1.9 Definitions of key terms................................................................................................ 17
1.10 Delimitations of scope .................................................................................................. 18
1.11 Outline of the thesis ...................................................................................................... 19
1.12 Conclusion .................................................................................................................... 20
CHAPTER 2: LITERATURE REVIEW ................................................................................. 22

2.1 Introduction ................................................................................................................... 22
2.2 Parent discipline one: Corporate governance ............................................................... 24
2.2.1 Definitions of corporate governance ..................................................................... 24
2.2.2 Background of corporate governance .................................................................... 25
2.2.3 Evolution of the concept of corporate governance ................................................ 26
2.2.4 Theoretical framework .......................................................................................... 28
2.2.4. 1 The agency theory ................................................................................................ 28
2.2.4. 2 The stewardship theory ........................................................................................ 31
2.2.4.3 Stakeholder theory ................................................................................................ 31
2.2.4.4 Managerial hegemony theory ............................................................................... 32
2.2.4.5 Resource dependency theory ................................................................................ 33
2.2.4.6 Transaction cost theory ........................................................................................ 33
2.2.4.7 Political theory ..................................................................................................... 34
2.2.5 Critical evaluation of the extent to which these theories are applicable to public
universities in Kenya ............................................................................................. 34
2.2.6 Key elements of a good corporate governance environment ............................... 35
2.2.7 Differences between corporate governance practices in profit and non-profit
organisations .......................................................................................................... 39
2.3 Parent discipline two: Learning organisations .............................................................. 40
2.3.1 Organisational Development (OD) ........................................................................ 41
2.3.2 Characteristics of OD ............................................................................................ 42
2.3.3 OD change intervention strategies ........................................................................ 42
2.3.3.1 Human process based interventions ..................................................................... 43
2.3.3.2 Techno-structural intervention strategies ............................................................ 44
x
2.3.3.3 Socio-technical intervention strategies ................................................................ 46
2.3.3.4 Organisational transformation (OT) strategies ................................................... 46
2.3.4 Organisational learning......................................................................................... 48
2.3.4.1 Definitions of organisational learning ................................................................. 48
2.3.5 Learning organisation ............................................................................................ 50
2.3.5.1 Distinctions between organisational learning and a learning organisation .... 50
2.3.5.2 Benefits associated with a learning organisation................................................. 51
2.3.5.3 Influence of culture on organisational learning ................................................... 52
2.3.5.4 Approaches to organisational learning ................................................................ 53
2.4 Parent discipline three: Organisational culture ............................................................. 55
2.4.1 Definitions of organisational culture ..................................................................... 55
2.4.2 Models of organisational culture ........................................................................... 57
2.4.2.1 Hofstedes cultural values .................................................................................... 58
2.4.2.2 Schwartzs classification (1994) of culture .......................................................... 63
2.4.2.3 Trompenaars and Hampden-Turners classification of culture ........................... 66
2.5 Immediate discipline: Corporate governance practices of public universities in
developing countries ..................................................................................................... 69
2.5.1 An overview of public sector management ........................................................... 69
2.5.2 An analysis of corporate governance practices of public sector organisations in
Africa ..................................................................................................................... 70
2.5.3 Corporate governance of public sector organisations in Kenya ............................ 73
2.5.4 Higher education in Kenya .................................................................................... 75
2.5.4.1 History of higher education in Kenya................................................................... 75
2.5.5 Challenges facing public universities in Kenya ................................................... 79
2.5.5.1 Rapid expansion of university education .............................................................. 79
2.5.5.2 Reduced government funding ............................................................................... 80
2.5.5.3 Gender inequality and low research capability ................................................... 81
2.5.5.4 Students living in poor conditions ........................................................................ 81
2.5.5.5 HIV/AIDS ............................................................................................................. 82
2.5.6 The need for corporate governance reforms .......................................................... 82
2.5.7 Strengths, weaknesses and relationship of prior studies to the current research ... 83
2.6 Research gaps on corporate governance ....................................................................... 83
xi
2.7 Research issues ............................................................................................................. 84
2.7.1 Research problem .................................................................................................. 85
2.7.2 Research objectives ............................................................................................... 86
2.7.3 Research questions ................................................................................................ 86
2.7.4 Research propositions ............................................................................................ 87
2.8 Conclusion .................................................................................................................... 90
CHAPTER 3: RESEARCH METHODOLOGY ..................................................................... 91

3.1 Introduction ................................................................................................................... 91
3.2 Definitions..................................................................................................................... 93
3.2.1 Research strategies ................................................................................................ 93
3.2.2 Types of business research .................................................................................... 94
3.2.3 Research problem and research issues................................................................. 100
3.3 Justification for the interpretative paradigm ............................................................... 101
3.3.1 Research paradigms ............................................................................................ 102
3.3.2 Qualitative versus quantitative research ............................................................. 106
3.3.3 Justification for the qualitative method .............................................................. 109
3.4 Research design .......................................................................................................... 109
3.4.1 Justifying the use of case study research ............................................................. 110
3.4.2 Definitions of case study research ....................................................................... 110
3.4.3 Criteria for judging the quality of case study research ........................................ 113
3.5 Framework for case study research............................................................................. 118
3.5.1 Prior theory .......................................................................................................... 118
3.5.2 Research design for case selection ...................................................................... 120
3.5.2.1 Types of case study research designs ................................................................. 120
3.5.2.2 Replication logic within multiple-case design .................................................... 123
3.5.2.3 Selection of the cases and number of interviews ................................................ 124
3.5.3 Data collection procedures ................................................................................. 127
3.5.3.1 Data collection methods for this research .......................................................... 128
3.5.3.2 Participants actions during the interviews........................................................ 132
3.5.3.3 Case study protocol ............................................................................................ 133
3.5.4 Analysing the data ............................................................................................... 134
xii
3.6 Limitations of case study methodology ...................................................................... 135
3.7 Ethical considerations ................................................................................................. 137
3.8 Conclusion .................................................................................................................. 138
CHAPTER 4: DATA ANALYSIS ........................................................................................ 139

4.1 Introduction ................................................................................................................. 139
4.2 Profile of respondents ................................................................................................. 140
4.3 Description of the data analysis method ..................................................................... 143
4.3.1 Coding ................................................................................................................ 144
4.3.1.1 Open coding ........................................................................................................ 144
4.3.1.2 Axial coding ........................................................................................................ 145
4.3.1.3 Memoing or selective coding .............................................................................. 145
4.4 Data analysis in relation to the research questions ..................................................... 146
4.4.1 Research question 1: How are governing councils of Kenyas public universities
constituted? .......................................................................................................... 147
4.4.2 Research question 2: What functions do the governing councils of Kenyas public
universities perform? ........................................................................................... 148
4.4.3 Research question 3: What mechanisms do the councils adopt to enhance
governance of the public universities? ................................................................ 150
4.4.4 Research question 4: What challenges do Kenyas public universities encounter? ..
............................................................................................................................. 155
4.4.5 Research question 5: What challenges do governing councils of Kenyas public
universities face? ................................................................................................. 156
4.4.6 Research question 6: What culture prevails in the boards of directors of Kenyas
public universities? .............................................................................................. 159
4.4.7 Research question 7: How can the governance of Kenyas public universities be
improved? ............................................................................................................ 161
4.5 Conclusion .................................................................................................................. 165
CHAPTER 5: CONCLUSIONS AND IMPLICATIONS ..................................................... 166

5.1 Introduction ................................................................................................................. 166
5.2 Summary of the research contribution ........................................................................ 169
xiii
5.3 Conclusions about the research issues ........................................................................ 171
5.3.1 RQ1: How are university governing councils constituted? ................................. 171
5.3.2 RQ2: What functions are performed by governing councils of Kenyas public
universities? ......................................................................................................... 172
5.3.3 RQ3: What mechanisms do councils adopt to enhance governance in Kenyas
public universities? .............................................................................................. 174
5.3.4 RQ4: What challenges are encountered by Kenyas public universities? .......... 176
5.3.5 RQ5: What challenges are encountered by governing councils of Kenyas public
universities? ......................................................................................................... 178
5.3.6 RQ 6: What culture prevails in the boards of directors of Kenyas public
universities? ......................................................................................................... 179
5.3.7 RQ 7: How can the corporate governance of Kenyas public universities be
improved? ............................................................................................................ 180
5.4 Implications for theory, policy and practice ............................................................... 183
5.5 Limitations of the research.......................................................................................... 185
5.6 Suggestions for further research ................................................................................. 186
5.7 Conclusion .................................................................................................................. 187
REFERENCES ...................................................................................................................... 189
APPENDICES ....................................................................................................................... 227

Appendix 1: Information sheet ............................................................................................. 227
Appendix 2: Informed Consent Form ................................................................................... 231
Appendix 3: Interview Guide................................................................................................ 235
Appendix 4: Interview Lists.................................................................................................. 241
Appendix 5: Data for Memo Preparation.............................................................................. 314
xiv
LIST OF TABLES
Table 2.1 The ASX corporate governance principles 35
Table 2.2 UK Corporate Governance Code 2010 38
Table 2.3 Key elements of a good corporate governance environment 39
Table 2.4 OD change intervention strategies 43
Table 2.5 Differences between organisational learning and learning organisation 51
Table 2.6 Synthesis of Hofstedes cultural values 61
Table 2.7 Correlations between Scwartzs (1994) and Hofstedes (1980)
classifications of cultural values 66
Table 2.8 Trompenaars and Hampden-Turners classifications of culture 68
Table 2.9 Kenyas public universities and their constituent colleges 77
Table 2.10 Private universities operating in Kenya 78
Table 3.1 Common research strategies used in social science research 94
Table 3.2 Types of business research 97
Table 3.3 Business research methods 98
Table 3.4 Factors considered when selecting an appropriate research strategy 100
Table 3.5 Alternative inquiry paradigms 103
Table 3.6 Distinctions between qualitative and quantitative research 108
Table 3.7 Tests for establishing validity and reliability in case study research 114
Table 3.8 Framework for case study research 118
Table 3.9 Major differences between deductive and inductive approaches to
research 119
Table 3.10 Types of case study research designs 121
Table 3.11 Major categories of interviews 129
Table 3.12 Six stage interviews and the activities involved in each stage 131
Table 3.13 Sections of the case study protocol 133
Table 3.14 Limitations and criticisms of case study research 136
Table 4.1 Profile of the respondents 141
Table 4.2 Open coding process for this research 145
Table 4.3 An illustration of memoing as used in this research 146
Table 5.1 Summary of the research contribution 170
Table 5.2 Approaches of improving corporate governance of Kenyas
public universities 181
xv
LIST OF FIGURES
Figure 1.1 Structure of chapter 1 2

Figure 1.2 Structure of the thesis 19
Figure 2.1 An outline of chapter 2 23
Figure 2.2 The four steps of organisational learning 54
Figure 2.3 Hofstedes (1980) cultural dimensions by countries 62
Figure 2.4 Sample country rankings on Schwartzs dimensions 65
Figure 2.5 Layers of a culture 67
Figure 2.6 Research problem for this study 85
Figure 2.7 Research objectives for the study 86
Figure 2.8 Research questions for the study 87
Figure 2.9 Research propositions for this study 88
Figure 2.10 A summary of the research issues 89
Figure 3.1 A graphical outline of chapter 3 92
Figure 4.2 Data analysis process 144
LIST OF PIE CHARTS

Pie chart 4.1 Gender of the respondents 142
LIST OF BAR CHARTS

Bar chart 4.1 Tenure of the respondents 143
xvi
LIST OF ABBREVIATIONS
ACUs AIDS control units

ASX Australian Stock Exchange
CEO Chief Executive Officer
CIPFA Chartered Institute of Public Finance and Accountancy
IBM International Business Machines
I/C Individualism versus collectivism
IFC International Finance Corporation
IMF International Monetary Fund
LTO Long-term orientation to life
M/F Masculinity/Femininity
PD Power distance
SAPs Structural adjustment programs
UA Uncertainty avoidance
UK United Kingdom
xvii
CHAPTER 1: INTRODUCTION
1.1 Introduction
This research explored the corporate governance practices of Kenyas public universities. The
researchers motivation for the research arose out of his experiences as a former student in
one of the public universities and as a current lecturer in a regional university based in the
same country. This chapter has twelve sections and provides a foundation and overview of
the research.
Section 1.1 introduces the research while section 1.2 presents a background to the research by
illustrating the importance of corporate governance to Kenyas public universities. Kumar
(2011) argues that research must start with a problem that explains what the researcher seeks
to find out. Accordingly, the research problem for this study is stated in section 1.3. It is
based on the literature reviewed in chapter 2. The objectives of this research are presented in
section 1.4 while section 1.5 contains the related research questions. Section 1.6 presents the
research propositions crafted for the research. The research is justified in section 1.7. A
summary of the research methodology is presented in section 1.8 and this is followed by
definitions of key terminologies in section 1.9. Section 1.10 provides delimitations of scope
for this research while section 1.11 presents an outline of the research. Finally, a conclusion
of the chapter is presented in section 1.12. The overall structure of the chapter is captured in
Figure 1.1.
1
Figure 1.1: Structure of chapter 1
Chapter One: Introduction
1.1 Introduction
1.2.1 Brief background of corporate

1.2 Background to the research governance
1.2.2 Context of the research
1.3 Statement of the research

problem
1.7.1 Existence of minimal research on

1.4 Objectives of the study
corporate governance of public sector
organisations in developing countries
1.5 Research questions 1.7.2 Legislations and expectations placed on
public universities in Kenya
1.7.3 Role played by public universities in
1.6 Research propositions Kenya
1.7.4 Inadequate case study research
1.7.5 Competitive difficulties faced by public
1.7 Justification for the research
universities in Kenya
1.8 Research methodology

1.8.1 Research paradigm
1.8.2 Justifications for the research design
1.9 Definitions of key terms 1.8.3 Data collection procedures
1.8.4 Research quality
1.8.5 Ethical issues
1.10 Delimitations of scope
1.8.6 Data analysis procedures
1.11 Outline of the research
1.12 Conclusion
Source: developed for this research.
2
1.2 Background to the research
1.2.1 Brief background of corporate governance

Having introduced the research in the previous section, this section lays a background for the
study. The Australian Stock Exchange (ASX) Corporate Governance Council (2007, p. 3)
defines corporate governance as the framework of rules, relationships, systems and
processes within and by which authority is exercised and controlled in corporations while
the Cadbury Report (1992) associates corporate governance with the process of directing and
controlling organisations, and holding them accountable for their activities.
The concept of corporate governance began to be used and spoken about more commonly in
the 1980s (Parker, 1996) but it originated in the nineteenth century when incorporation was
fronted as a way of limiting liability (Vinten, 2001). Tricker (2011) explains that the 1980s
were characterised by corporate collapses, board level excesses, and dominant chief
executives in different parts of the world. As more corporate entities in different parts of the
world collapsed in 1980s, there was a change of attitude with a much higher performance
expectation being placed on management boards to ensure that firms were run effectively and
in the right direction (Adams, 2002).
Moreover, there was a growing acknowledgement that improved corporate governance was
crucial for the growth and development of the whole economy of a country (Claessens, 2006;
Clarke, 2004; Reed, 2002). Other studies established strong links between the performance of
corporations and the governance practices of their boards (Hilmer, 1998; Kiel & Nicholson,
2002). Gompers, Ishii and Metrick (2003) found a strong correlation between good corporate
governance practices and superior shareholder performance, with two-thirds of the investors
surveyed reporting that they were prepared to pay more for shares of companies that had
good corporate governance practices.
Corporate governance is now an international topic due to the globalisation of businesses

(Reed, 2002). Nevertheless, Davies and Schlitzer (2008) note that corporate governance
practices are not uniform across nations while the OECD (2004) and ASX Corporate
Governance Council (2007) point out that there is no single model of corporate governance
practice that is applicable to all organisations even within one country. Consequently, every
3
country adopts a unique set of corporate governance procedures that are based on such factors
as the countrys legal and the financial systems, culture, corporate ownership structures and
economic circumstances. However, Judge (2010) challenges scholars and practitioners to
develop globally applicable models of corporate governance.
There is a general lack of research into corporate governance practices in developing

countries, especially countries on the African continent (Okeahalam, 2004; Shleifer & Vishny,
1997). This lack of research can be attributed to the fact that, before the 1980s, the issue of
corporate governance received minimal attention in the developing world. In fact, Yakasai
(2001) observes that historically there was little doubt about management's ability to run
organisations and hence there was little emphasis on corporate governance or disclosure and
transparency.
1.2.2 Context of the research

Given that this research was conducted in Kenya, it is necessary to provide a brief
background of the political, economic and socio-cultural environment under which it was
conducted. This is partly because all organisations exist in environments that have challenges
to be overcome and opportunities to be exploited.
Since the late 1980s, the Kenyan government adopted economic liberalisation policies with
the aim of reducing economic distortions. The World Bank and the International Monetary
Fund (IMF) also began imposing tough conditions that touched on governance and better
economic management (Solomon, 2010). Although these policies achieved some benefits, the
country is still caught up in macro-economic instability as evidenced by high inflation rates,
account deficits and policy uncertainties (Njanja, Ogutu & Pellisier, 2012).
Politically, Kenya was governed through a one-party autocratic rule from the time of
independence (1963) to January 2003 when multiparty politics were introduced and a new
government elected to office. The new government promised to be more democratic and to
create a more open and less fearful society that would be transparent in its practice,
decentralised in its style, accountable in its procedures, meritocratic in recruitment, efficient
in the use of resources and relevant in its objectives and outcomes. These changes extended
4
to the present time and positively impacted the higher education sector. For instance, there
was a move towards greater autonomy of the universities in the management of their internal
affairs and the removal of the somewhat autocratic culture that generally prevailed in the
society. Further, the requirement that the president was the head of all Kenyan public
universities was removed, and each university was allocated its own chancellor. In short,
there was a move towards reducing the politicization of the higher education sector (Mwiria,
2007).
Closely related to the political environment is the regulatory framework under which the
higher education sector operates in Kenya. While each public university has its own Act
dating back to its foundation, all the universities are affected by numerous legislations with
the Commission for Higher Education (CHE) playing a regulatory role. In spite of these
legislations, the sector is plugged into such challenges as (a) the absence of a mechanism for
determining and assessing universal quality standards, (b) chronic resource deficits for
programme expansion, research and staff development, (c) the lack of decision-making
autonomy for the universities, and (d) the absence of a clear mechanism for the opening of
satellite public university campuses across the country.
Socially, Kenya is made of 42 tribes and the tribal differences are highly pronounced in all
sectors of the society. A major social trend in the country has been increased educational
levels of many people, partly owing to the demands of an increasingly sophisticated economy.
Secondly, freedom of speech is rampant in the country, and the citizens are free to question
anything that does not seem to make sense to them. There are increased efforts to reduce the
prevalence of corruption and pressure groups tend to advocate for all forms of social change.
As a result of these changes, there is a great push for improved governance not only in the
public sector but also in the private sector.
Nafukho (2008) notes that Kenyas public sector is today faced with tremendous challenges
that include, among many others, an uncertain economy, political changes, the need to
operate in global markets and the need to continually change technology. Due to these
challenges, the performance of some public sector organisations in Kenya has declined to the
extent that they are barely surviving. Nevertheless, the public sector in Kenya has to adapt to
5
environmental challenges. Organisations that are not able to adapt to environmental changes
risk the hazards of stagnating and going out of business (Yeo, 2009).
Public universities are a part of the public sector in Kenya. According to Mwiria (2007, p. 4),
governance is the most critically needed area of reform for public universities in Kenya.
The same author contends that poor governance practices in Kenyas public universities have
contributed to numerous strikes and closures over the past decade. Strikes and closures have
prolonged the time required for students to graduate, disrupted academic life and driven
prospective students and staff to private universities and overseas institutions. Effective
governance of public universities in Kenya is necessary given the challenges they face and
the key roles they play in the country. Proper governance of public universities will ensure
that they deliver better services to customers and generate more revenues for their use.
1.3 Statement of the research problem

The previous section examined the background to this research. This section presents a
statement of the research problem.
The broad area researched on is corporate governance in the public sector. The specific
problem addressed relates to the corporate governance practices of Kenyas public
universities. It has been pointed out that the public sector in Kenya is faced with numerous
challenges (Nafukho, 2008) and that there is a need to improve the governance of public
universities (Mwiria & Ngethe, 2007). The specific governance challenges facing Kenyas
higher education sector relate to management structures, student affairs, staff and student
associations, appointment of chancellors, and the role of the Commission for Higher
Education (CHE). These challenges are briefly explained as follows.
Management structures: The management structures of public universities hinder effective

governance as they do not promote democratic decision-making, wider representation of staff
and students in key university governing bodies, and the involvement of staff in selecting
senior university administrators. On the contrary, decision-making in the public universities
is highly politicized. Besides, the university councils tend to be unrepresentative and
unbalanced in their composition. Further, the recruitment of key administrators tends to be
6
done without adequate advertising and consultations, meaning that the senates and university
councils should be doing a better job of short-listing, interviewing and appointing candidates
following consultations with the Chancellors and other government officials. Lastly, the
university administrators rarely meet the requirements of their performance contracts while
the public universities hardly follow their strategic plans.
Management of student affairs: Students matters are core in the governance of any
university, be it public or private. In the case of Kenyas public universities, several
limitations can be identified on how matters related to the management of student affairs are
dealt with. Firstly, the positions of the deans of students tend to be unattractive due to their
low pay and the minimal responsibility they are associated with. This can be improved by,
among others, making such positions financially attractive so as to attract competent persons
who are made answerable to the Vice-Chancellors. Secondly, the deans of faculties and the
heads of departments are appointed by the Vice-Chancellors. One way of improving the
accountability of such positions is by making them elective. Thirdly, minimal and irregular
formal and informal contacts and consultations between the top university administrators,
students and staff is a governance challenge facing Kenyas public universities. This
challenge can be improved by, among others, using in-house newsletters and policy briefing
meetings while allowing students and staff to shape some of the policies.
Staff and student associations: The academic staffs of Kenyas public universities are
represented by the Universities Academic Staff Union (UASU) which tends to concentrate on
demanding for salary increases as opposed to checking the excesses of the managerial staff,
monitoring the use of institutional resources and improving the quality of education.
Similarly, through their associations, students tend to act irresponsibly, show little
commitment to their studies and to project a poor image of themselves in the eyes of the
wider public.
Appointment of Chancellors: There is an emerging question of how Chancellors should be

identified. The current system of leaving such appointments to the countrys president is
questionable on the grounds that it may not lead to the appointment of the best candidates
besides being open to political manipulation. In this connection, the Public Universities
7
Inspection Board has suggested that university councils be responsible for the identification
of their respective Chancellors.
Role played by the Commission for Higher Education: There is a need to strengthen the role
played by the Commission for Higher Education (CHE) in developing an integrated national
system of higher education, explaining the needs of universities to the government, and
directing development through the planning, co-ordinating and funding of tertiary education.
The CHE is currently not staffed by qualified professionals. In order to promote access and
integration, the CHE fails to develop an appropriate regulatory framework to facilitate the
setting up of private universities, including those which make particular or exclusive
provision for women. The CHEs mandate is limited to the local universities. In this regard,
there is need to expand its mandate to enable it deal with the unchecked and unco-ordinated
mushrooming of campuses of foreign universities. The CHE fails to promote quality at the
tertiary level as it does not rigorously inspect both public and private universities; it has
limited concern for private institutions.
Having reviewed the governance challenges facing the higher education sector in Kenya, the
researcher acknowledges the existence of different approaches, frameworks or models of
corporate governance but most of them are Western-based. The challenge is to develop a
corporate governance approach that is appropriate for Kenya and that may be suitable for
public universities in developing countries. Therefore, the research problem for this
exploratory study is stated as follows:
How can the corporate governance practices of public universities in Kenya be improved
considering the culture of the country?
When reviewing the literature, the need for this study becomes more evident when one
considers that very little research has been conducted on how the corporate governance of
public universities in sub-Saharan Africa in general, and Kenya in particular, can be
improved. Since the 1990s, much of the sub-Saharan Africa has suffered deep stagnation and
is staggering under the weight of domestic and international conflict, disease (especially
HIV/AIDS), poverty, corruption and natural disasters. Universities in this part of Africa were
once considered to be the shining lights of intellectual excitement and promise. However,
8
following the implementation of the World Banks and IMFs Structural Adjustment
Programs (SAPs), the universities were subjected to enormous declines in government
funding. Nevertheless, from the beginning of the new millennium, a number of sub-Saharan
African countries experienced political stability, decentralization and economic liberalization,
thereby giving the universities a new lease of life. Further, a new generation of leaders began
to inspire confidence among those who care about African higher education by articulating
new visions for their institutions (Berresford & Rodin, 2007).
The need for this research was emphasised by the existence of a knowledge gap in the area of
corporate governance of public universities in sub-Saharan Africa and also of the public
sector in the same region. Okeahalam (2004), as well as Shleifer and Vishny (1997), among
others, acknowledge the lack of research in corporate governance practices in developing
countries in Africa because of the little attention paid to such issues before the 1980s.
Nevertheless, Tsamenyi, Enninful-Adu and Onumah (2007) argue that the need for good
governance in Africa was a response to the problems that a number of countries were
experiencing, such as unstable political regimes, low per capita incomes and diseases among
many others.
A further justification for research arose from the inconsistencies in the existing literature that
the researcher identified. For instance, on the one hand, Solomon (2010) acknowledges the
evolution of corporate governance systems in a number of developing countries in Africa,
partly owing to the pressures of an increasingly globalised world economy, democratisation,
adoption of IMF/World Bank-led economic reforms, the recent financial scandals in the West
(Ahunwan, 2002; Gugler, Mueller & Yurtoglu, 2003; Rabelo & Vasconcelos, 2002) and as a
means of attracting foreign investment (Ahunwan, 2002, Okpara, 2011; Reed, 2002). On the
other hand, Rwegasira (2000) argues that the concept of corporate governance is not
necessarily the best solution for developing economies because a number of these countries
face problems related to unstable political regimes, low per capita incomes and diseases
among many others. Such problems require more elaborate solutions than simply adopting
corporate governance concepts.
9
In summary the main motivation for this research was the knowledge gap identified through
the review of literature. The researcher identified very few researches that had been
conducted on the governance of public universities in sub-Saharan Africa and in Kenya.
1.4 Objectives of the study

In solving the research problem, the researcher was guided by seven objectives as stated
below:
a) To determine the approaches used to establish governing councils of Kenyas public
universities.
b) To identify the functions performed by governing councils of Kenyas public
universities.
c) To explore the mechanisms used by councils to enhance governance of the public
universities.
d) To examine the challenges encountered by public universities in Kenya.
e) To identify the challenges encountered by governing councils of Kenyas public
universities.
f) To determine the culture prevailing in the public universities.
g) To develop the best approach of governing public universities in Kenya.
1.5 Research questions

Punch (2005) advises that good research questions enable a research to stay on track. This
advice is handy considering that research can be complicated. For the purposes of this study,
seven research questions were developed from the literature reviewed in chapter 2 and stated
in section 2.7.3 (p. 86). The seven research questions are:
Research Question 1: How are governing councils of Kenyas public universities

constituted?
Research Question 2: What functions do governing councils of Kenyas public

universities perform?
10
Research Question 3: What mechanisms do governing councils adopt to enhance
the governance of the public universities?
Research Question 4: What challenges do Kenyas public universities encounter?
Research Question 5: What challenges do governing councils of Kenyas public

universities face?
Research Question 6: What culture prevails in the boards of directors of Kenyas

public universities?
Research Question 7: How can the governance of Kenyas public universities be

improved?
1.6 Research propositions

According to Maxfield and Babbie (2010), a proposition is a testable theoretical statement
that specifies the relationship between two or more concepts. Propositions limit the scope of a
study and increase the possibility of completing it (Baxter & Jack, 2008). On the basis of the
research questions, seven research propositions were crafted for the purposes of this study
and they are listed as follows:
Research Proposition 1: Managers of public universities in Kenya should be

educated to understand the best approach of constituting
councils.
Research Proposition 2: Managers of public universities in Kenya should be

informed of the specific functions they should be
performing.
Research Proposition 3: The mechanisms used to enhance governance should be

explained.
11
Research Proposition 4: The challenges faced by Kenyas public universities should
be identified.
Research Proposition 5: The challenges encountered by governing councils of

Kenyas public universities should be determined.
Research Proposition 6: The effects of culture on the corporate governance practices

of public universities in Kenya should be explained.
Research Proposition 7: The best approach for governing public universities in

Kenya should be developed.
1.7 Justification for the research
1.7.1 The existence of minimal research on corporate governance of public

sector organisations in developing countries
Public universities are a part of the public sector in Kenya. Research into corporate
governance practices of public sector organisations in developing countries, especially those
in Africa, is minimal (Okeahalam, 2004; Shleifer & Vishny, 1997). It is only in the 1980s that
the issue of corporate governance started receiving some attention in the developing world.
Therefore, this research addresses this gap in the existing literature.
1.7.2 Specific legislations and expectations placed on public universities in

Kenya
Public universities in Kenya are required to meet specific legislations and expectations, such
as adhering to the structural adjustment programs (SAPs) advocated by the IMF and the
World Bank (Ahunwan, 2002; Gugler, Mueller & Yurtoglu, 2003; Reed, 2002). Moreover,
the public universities are partly funded by the Kenyan government and hence they have to
comply with the legislations and requirements of the government. The Kenyan government
demands that governance be exercised in the best way possible, but there is limited research
12
to assist universities facing this specific need. This research, therefore, provides valuable
information to governing councils of Kenyas public universities.
1.7.3 The role played by public universities in Kenya

It is probable that the most important justification for this study is the role played by public
universities in the lives of numerous people in Kenya. Public universities provide a wide
range of services that not only contribute positively to the quality of life of many individuals
but also enhance many sectors of the economy. Besides creating employment for thousands
of people, these institutions benefit numerous suppliers, students and other stakeholders.
Therefore, effective governance of public universities benefits many stakeholders. Research
has established that there is a relationship between corporate governance and the quality of
goods and services provided by organisations (Wiseman, 2002).
1.7.4 Inadequate case study research

Academic research in the social sciences has been dominated by positivist thinking based
upon deductive theory-testing research (Eisenhardt, 1989a; Parkhe, 1993; Perry & Coote,
1994; Perry, Riege & Brown, 1998). There is a need for an alternative approach that provides
the opportunity to gain insights into new phenomena being studied (Morse, 1999; Neuman,
2010; Yin, 2009). The case study approach can be used to gain new insights, especially in
situations where a research is exploratory, inductive and involves theory building as opposed
to being explanatory, deductive, and involving theory testing. Further, the case study
methodology provides deep, rich and experiential information (Eisenhardt, 1989a; Parkhe,
1993; Patton, 2002; Yin, 2009) as discussed in section 3.2 (p. 93). Therefore, the case study
methodology is deemed to be the most appropriate for the purposes of this research. Chapter
3 provides additional justifications for using the case study approach.
1.7.5 Competitive difficulties faced by public universities in Kenya

A number of public universities in Kenya have found themselves in competitive difficulties,
some of which can be attributed to their governance practices. External trade liberalisation in
Kenya has led to increased competition for firms in the private and public sectors. Among the
13
competitors of Kenyas public universities are private universities in Kenya and in other
countries. This research provides useful information on how the governance of public
universities in Kenya can be improved.
1.8 Research methodology

The previous section justified the research. This section discusses the research methodology
adopted in the study. Specifically, it addresses the issues of research paradigm, justification
for the research design, data collection techniques, and the data analysis procedures adopted
in the research. More detailed explanations of these issues are provided in chapter 3.

It is imperative for researchers to articulate the particular paradigm within which they operate
(Kuhn, 1996; Kumar, 2011) because the choice of paradigm influences the approach adopted
in a study (Easterby-Smith, Thorpe & Lowe, 2002; Guba & Lincoln, 1994).
A paradigm is a set of basic beliefs that defines, for its holders, the nature of the world, an
individuals place in it, and the range of possible relationships to that world and to its parts
(Guba & Lincoln, 1994). A number of paradigms have been developed to guide research
(Easterby-Smith, Thorpe & Lowe, 2002). However, several studies indicate that there are
four main paradigms, namely positivism, constructivism, critical theory and realism (Guba &
Lincoln, 1994; Perry, Riege & Brown, 1999). These four paradigms differ in terms of
ontology, epistemology and the methods used to collect and analyse data (Guba & Lincoln,
1994). This research is qualitative in nature and the realism paradigm appears to be more
appropriate for the research. The realism paradigm, also known as critical realism or post-
positivist paradigm, strives towards an understanding of the common reality of an economic
system in which people operate independently (Perry, Alizadeh & Riege, 1997).
1.8.2 Justifications for the research design

The choice of a research design is influenced by the research question asked. Case study
research is deemed to be appropriate in situations where how and what questions are posed
14
(Perry, 1998b; Yin, 2009). The research problem outlined in this study is fundamentally a
how question. Neuman (2010) argues that case study is best suited for a researcher whose
interest is to understand dynamic contemporary events over which he or she has little or no
control. The case study method provides a great range of detailed data about what is actually
happening within the Kenyan public universities.
This research collected data from multiple case studies, an approach which is considered to
be more robust (Herriot & Firestone, 1983) and which promotes outcomes that are more
powerful (Parkhe, 1993) and compelling (Yin, 2009). Moreover, case studies are suitable for
description and investigation of complex phenomena and they can be used for theory
generation (Patton, 2002). Yin (2009) further contends that multiple case studies provide a
full variety of evidence and use triangulation of evidence to achieve qualitative rigour in
qualitative research.
1.8.3 Data collection procedures

This research collected both primary and secondary data. Primary data bridged the research
gaps in the literature reviewed. In each public university, interviews were conducted with
three people who were members of both the governing council and the management board.
The interviews comprised open-ended and closed-ended questions that required brief
answers. The interviews were recorded, transcribed, and subjected to content analysis in
accordance with the recommendations of Kumar (2011) using the NVIVO software. In
situations where recording was not possible, the researcher and research assistant took
detailed notes during or immediately after the interview. Consequently, a complete interview
transcript was produced verbatim. In order to maintain confidentiality and anonymity, all
tapes were coded and stored in a safe place for referencing purposes. The list of questions
was aimed at summarising the interviewees overall perceptions of the corporate governance
practices of their respective universities.
Besides the interviews, additional primary data was collected through reading various
documents provided by the informants or published on the universities websites. The
researcher developed a document review database in order to ensure a systematic search for
information (Yin, 2009). Additional secondary data that identifies gaps in the body of
15
knowledge was sourced through management journals, books, and Republic of Kenya
publications.
1.8.4 Research quality

The researcher paid particular attention to achieving validity and reliability in an effort to
enhance the quality of the research (Patton, 2002). Details of the steps taken are provided in
chapter 3 (p. 91) of this thesis. Moreover, the researcher designed sound case study
procedures by adopting a case study interview protocol and maintaining a case study database
(Yin, 2009).
Further, triangulation was used to check for errors in the research. Data triangulation was
achieved by obtaining data through different methods that included interviews, document
reviews and a focus group discussion. In order to achieve investigator or researcher
triangulation, a research assistant was used to take notes during the interviews (Onwuegbuzie,
2002; Yauch & Steudel, 2003). The researcher also sought to achieve methodological and
theory triangulation as detailed in chapter 3.
1.8.5 Ethical issues

The researcher considered ethical issues when conducting the research. There are three
parties involved in any research project, namely the researcher, client or user of the research
output and the respondent. Each party has certain rights and obligations in the research
relationship. This research ensured that the privacy of information and anonymity of research
participants were reserved (Zikmund, 2010). The research participants were given an
opportunity to freely volunteer to take part in the study. Moreover, the researcher obtained
written informed consent from the research participants before commencing the research as
evidence that the participants were informed and consented to taking part in the research.
Information obtained from the participants was kept private and responses to personal questions or
information that might have identified the participants was protected. Moreover, the researcher
ensured there was no deception in the study.
16
The research was approved by the Human Research Ethics Committee of the Southern Cross
University and the approval number is ECN-10-078.
1.8.6 Data analysis procedures

Secondary data, collected through a comprehensive review of literature as detailed in chapter
2 of this thesis, was analysed to identify gaps in the existing body of knowledge on the issues
pertinent to the research topic. The research gaps identified were used as a basis for
reaffirming the relevance of the research problem, developing the research questions and
crafting the seven research propositions tested in this research.
Primary data was collected using semi-structured interviews and analysed qualitatively. A
case description was prepared for each institution and a cross-case analysis conducted for all
the institutions. Patton (2002, p. 440) postulates that cross-case analysis entails growing
together answers from different people to common questions or analysing different
perspectives on central issues.
1.9 Definitions of key terms

Scholars and practitioners rarely define terms in a uniform manner. Therefore, it is necessary
to provide operational definitions for this research. Key terms used in the research include
corporate governance, organisational culture and best practices. They are defined as follows:
Corporate governance is the process by which organisations are directed, controlled and
held to account (Cadbury, 1992).
Organisational culture refers to the set of shared values, beliefs, attitudes, customs, norms,
hidden assumptions and personalities developed over time and held in common by members
of an organisation (Schein, 2010a).
Best practices are practices that have proved to be of value over time and which are more
creative and effective than all other similar practices (Cortada & Woods, 1995).
17
1.10 Delimitations of scope
This research has a number of limitations which may affect the extent to which
generalisations and conclusions can be drawn from it.
Firstly, the research focused on public universities in Kenya and did not expand to cover
private universities in Kenya or in any other country. A complementary survey addressing
both sectors would have given additional depth to the study but it would have made the scope
of the study too broad. Moreover, the researcher did not study public universities in any other
country as this would have required a lot of time. The main justification for the decision to
focus on public universities in Kenya was that these institutions play key roles in the lives of
numerous stakeholders. Public universities are a part of the public sector in Kenya. The
proper governance of public sector organisations can result in benefits that go beyond money
and that include improved decision-making processes, quality in the services offered, better
nutrition and health, as well as good citizenship (Grindle, 2004).
Secondly, due to time and financial constraints, it was not possible to carry out the research
on all the public universities in Kenya. Only five public universities were studied. A study on
all public universities in Kenya would have been ideal but it would have required more time
and resources than were available to the researcher.
Thirdly, this research was cross-sectional as it studied a particular phenomenon at a particular

time (Saunders, Lewis & Thornhill, 2009). The researcher gathered data just once in order to
meet the research objectives. Such a study is called a snapshot, one-shot or cross-sectional
study (Cavana, Delahaye & Sekaran, 2001). A longitudinal study over a longer time period
would have been extremely useful but it would not have been completed within the time
period prescribed for completing the doctoral studies.
Fourthly, not all council and management board members of the public universities
participated in the research. The researcher collected data from three people who were
members of both the governing council and the management board in each of the five public
universities selected for the study. The five public universities were selected using
judgmental sampling technique.
18
Fifthly, the age of the respondents was not captured during the data collection exercise
because such information was considered to be sensitive in the sense that it could identify, or
be correlated to the respondents.
1.11 Outline of the thesis

The output of this research is presented in the five chapter format advocated by Perry (1998a).
Figure 1.2 captures an outline of the thesis.
Figure 1.2: Structure of the thesis
Chapter 1
Introduction
Chapter 2
Literature Review
Chapter 3
Research Methodology
Chapter 4
Analysis of Data
Chapter 5
Conclusions and
Recommendations
Chapter 1 contains a background to the study, a statement of the research problem and a
specification of the research objectives. It also includes the research questions that guided the
researcher, the justification for undertaking the research, the research methodology adopted,
19
an outline of the thesis, definitions of key terms used in the research and the delimitations of
scope for the research. A brief conclusion is presented at the end of the chapter.
Chapter 2 presents foundational information about the research problem in the form of a
literature review. Specifically, the researcher reviewed literature relating to the parent
disciplines of corporate governance, organisational learning and organisational culture. More
literature in the immediate discipline of corporate governance of public universities in Kenya
was reviewed. The literature reviewed enabled the researcher to identify research gaps and
research issues. A theoretical model to guide the research was also developed. At the end of
the chapter, a conclusion is presented.
Chapter 3 presents the research methodology adopted for the study. The researcher discusses
different research paradigms and selects realism as the most suitable paradigm for achieving
the objectives of this research. Chapter 3 also explains why a qualitative approach is adopted
for the study. Other topics covered in chapter 3 are the research design, data collection
methods, data collection instruments, criteria for selecting multiple case studies, validity and
reliability in case study, data analysis procedures and ethical considerations. A conclusion is
presented at the end of the chapter.
Chapter 4 contains an analysis of data collected from the public universities that formed the
basis for this research. Specifically, the chapter relates the data to the seven research
questions crafted for the purposes of this research.
Chapter 5 presents the conclusions drawn concerning the research problem. Attention is
given to what forms best practice in the corporate governance of public universities in Kenya
considering the culture in the country. Implications for theory, policy and practice are also
discussed. The researcher explores delimitations of scope which may provide hints for further
research. A brief conclusion is presented at the end of the chapter.
1.12 Conclusion
This chapter introduced a research problem and explained the importance of solving it. The
researcher began by providing a background of the research before stating the research
20
problem, objectives and questions. Next, the researcher justified the research and explained
the methodology adopted to solve the research problem. Terms used in the research were
defined and this was followed by delimitations of scope. Finally, an outline of the thesis was
presented. According to the outline, there are five chapters in the thesis as recommended by
Perry (1998a).
21
CHAPTER 2: LITERATURE REVIEW
2.1 Introduction
Chapter 1 provided a broad overview of the thesis by introducing the research problem and
explaining the methodology used to conduct the research. This chapter reviews literature
related to the research problem and achieves four objectives. Firstly, it identifies and
investigates the research issues that are fundamental to the research. Secondly, it shows the
path of prior research and demonstrates how this research relates to the existing body of
knowledge (Neuman, 2010). Thirdly, it constructs a theoretical framework that guides the
researcher in this research. Lastly, it identifies gaps existing in the current body of knowledge
(Perry, 1998a).
The chapter is presented in eight main sections. Firstly, an introduction (section 2.1) and a
structural map of the chapter sections are presented. This is followed by a discussion of the
three parent disciplines of corporate governance (section 2.2), learning organisations (section
2.3) and organisational culture (section 2.4). The parent disciplines provide the background
for the immediate discipline, which is the corporate governance practices of public
universities in Kenya (section 2.5). This is discussed in sufficient detail to identify the
research gaps (section 2.6) and research issues (section 2.7). The research issues include the
research problem (section 2.7.1), research objectives (section 2.7.2), research questions
(section 2.7.3) and research propositions (section 2.7.4). The literature reviewed forms the
basis for investigating the corporate governance practices of public universities in Kenya. A
conclusion to the chapter is presented in section 2.8. Figure 2.1 presents a pictorial outline of
the chapter.
22
Figure 2.1: A pictorial outline of chapter 2
Chapter Two: Literature review
2.2.1 Definitions of ccorporate governance

2.1 Introduction 2.2.2 Background of corporate governance
2.2.3 Evolution of the concept of corporate
governance
2.2.4 Theoretical framework
2.2 Parent discipline one: 2.2.5 Key elements of a good corporate governance
Corporate governance environment
2.2.6 Differences between corporate governance
practices in profit and non-profit organisations
2.3.1 Organisational Development (OD)

2.3 Parent discipline two: 2.3.2 Characteristics of OD
Learning organisation 2.3.3 OD Change intervention strategies
2.3.4 Organisational learning
2.4 Parent discipline three: 2.4.1 Definitions of organisational culture

Organisational culture 2.4.2 Models of organisational culture
2.5 Immediate discipline: 2.5.1 An overview of public sector management

Corporate governance 2.5.2 An analysis of corporate governance practices
practices of public of public sector organisations in Africa
universities in Kenya 2.5.3 Corporate governance of public sector
organisations in Kenya
2.5.4 Higher education in Kenya
2.5.5 Challenges facing public universities in Kenya
2.6 Research gaps on 2.5.6 The need for corporate governance reforms
corporate governance 2.5.7 Strengths, weaknesses and relationship of prior
studies to the current research
2.7 Research issues

2.7.1 Research problem
2.7.2 Research objectives
2.7.3 Research questions
2.8 Conclusion 2.7.4 Research propositions
23
2.2 Parent discipline one: Corporate governance
As illustrated in Figure 2.1, the first parent discipline for this research relates to the concept
of corporate governance. Consequently, this section reviews literature relating to this concept.
Specific issues addressed in this section include definitions, principles, concepts and models
of corporate governance.
2.2.1 Definitions of corporate governance

It is difficult to define the concept of corporate governance in a universally acceptable way
because definitions vary from country to country. Moreover, countries differ from each other
in a wide variety of ways that include cultural orientations, historical developments and legal
systems. These inter-country differences partly explain the existence of numerous definitions
of the concept of corporate governance.
According to Shleifer and Vishny (1997, p. 737), corporate governance refers to the ways in
which suppliers of finance to corporations assure themselves of getting a return on their
investment. This definition is shallow in that it does not recognise the relationship between a
firms stakeholders and those who manage its affairs. Moreover, the definition emphasises
the suppliers of finance to a firm and it fails to recognise the many stakeholders that have
different interests in the activities of any firm. Armstrong, Guay and Weber (2010) perceive
corporate governance to be the process through which shareholders ensure boards of directors
align managers and shareholders interests. This definition is similar to that advanced by
Shleifer and Vishny (1997).
The ASX Corporate Governance Council (2007) defines corporate governance as the
framework of rules, relationships, systems and processes by which corporations are directed
and controlled. This implies that corporate governance encompasses the authority,
accountability, stewardship, leadership, direction and control exercised in the process of
managing organisations. Since this definition recognises the need for checks and balances in
the process of managing organisations, it can be considered to be more comprehensive.
Moreover, it is similar to the definitions provided by the Cadbury Report (1992) and the
Financial Reporting Council (2010) which emphasise the core aspects of accountability and
control in the governance of organisations.
24
According to Turnbull (1997), corporate governance influences all activities of firms that
produce goods or provide services. Colley et al. (2005) opine that corporate governance is the
act or process of governing while Cadbury (2000) defines corporate governance in terms of
the systems by which firms are directed and controlled. The presence of different definitions
indicates that each author formulates a definition that spins around his or her theme (Demb &
Neubauer, 1992). Wallace and Zinkin (2005) acknowledge the ease involved in phrasing the
term good corporate governance and the difficulty involved in understanding and
appreciating it.
This sub-section has identified different definitions of corporate governance. The next sub-
section discusses the background to the concept of corporate governance.
2.2.2 Background of corporate governance

McNutt (2010) argues that the concept of governance has been applied in both economics and
law for centuries and that it has been understood to mean enforcement of contracts, protection
of property rights and collective action. Governance is associated with people operating
within organisations. According to Scott (2003), some organisations allow for achieving
outcomes beyond the reach of a single person. Nevertheless, organisations must be governed
properly if they are to achieve their objectives.
The concept of corporate governance originated in the nineteenth century when incorporation
was being advocated as a way of limiting liability (Vinten, 2001). However, it began to be
used and spoken about more commonly in the 1980s (Okpara, 2011; Parker, 1996). Adams
(2002) perceives the creation of the registered company to be the real starting point for any
discussion on corporate governance. The Joint Stock Companies Act 1844 (UK) supported the
registration of companies. The rise of modern corporations led to the separation of control
from ownership (Berle & Means, 1932, 2009), implying that firms owners could no longer
control the actions of firms because that was the role of professional managers (Kiel &
Nicholson, 2003). As a result, there arose a need for corporate governance frameworks to
protect owners from the actions of professional managers. For instance, the Limited Liability
Act 1855 (UK) was passed to protect shareholders from debt beyond their investment (Adams,
2002).
25
According to Tricker (2011), the concept of corporate governance gained prominence in the
1980s because this period was characterised by stock market crashes in different parts of the
world and the failure of some corporations due in part to poor governance practices.
Corporate collapse was thus the predominant driver for change to corporate governance codes
(Kirkpatrick, 2009). As more corporate entities in different parts of the world collapsed in the
1980s, there was a change of attitude among stakeholders, and higher performance
expectations came to be placed on the management boards. There was also a growing
realisation that managers are to run firms while management boards are to ensure that the
firms are run effectively and in the right direction (Adams, 2002). The same author further
states that directors and managers require different sets of skills and managers do not
necessarily make good directors.
Prevention of corporate failure was not the only reason that led to the adoption of corporate
governance ideals. On a positive note, there was a growing acknowledgement of the role
played by improved corporate governance practices on the growth and development of the
whole economy of a country (Claessens, 2006; Clarke, 2004; Reed, 2002). A number of
studies also found strong links between the performance of corporations and the governance
practices of their management boards (Gregg, 2001; Hilmer, 1998; Kiel & Nicholson, 2002).
Moreover, a study carried out in the United States by Gompers, Ishii and Metrick (2003)
found a strong correlation between good corporate governance practices and superior
shareholder performance. The study also revealed that two-thirds of investors were prepared
to pay more for shares of companies that had good corporate governance practices.
Nevertheless, Cutting and Kouzim (2000) did not find any significant relationship between
the performance of firms and the governance practices of their boards.
2.2.3 Evolution of the concept of corporate governance

The idea of corporate governance was quickly adopted in different parts of the world but with
some major variations because circumstances vary from country to country. Consequently, a
variety of corporate governance frameworks were developed. Nevertheless, two main
approaches can be identified, with distinctions arising from the different legal systems
applied by different countries.
26
Countries that followed civil law (e.g. France, Germany, Italy and The Netherlands)
developed corporate governance frameworks that focused on the interests of stakeholders that
included employees, customers, creditors, managers, suppliers and the wider community
(Solomon, 2010). This approach was known as the insider model of corporate control as it
recognised that the greatest control in a firm was held by those who were closest to its actual
workings (Aguirela & Jackson, 2003). On the other hand, countries that had a tradition of
common law (e.g. Australia, United Kingdom, USA, Canada and New Zealand) developed
corporate governance structures that focused on shareholders returns or interests. In their
case, corporate governance was supposed to ensure that corporations achieved the objectives
set by their owners. Moreover, shareholders could hold a firms management responsible for
attaining the firms goals which included profits. This approach was known as the outsider
model of corporate control as it recognised the distance between the management of a firm
and its owners (Aguirela & Jackson, 2003; Reed, 2002).
Although the two approaches to corporate governance were different, they had a few
similarities. For example, they held that the management boards of firms were to be elected
by shareholders to set policies and then to delegate to management the authority to manage
the firms (Hilmer, 1998). In any case, most countries adopted corporate governance systems
that were a mixture of these two extremes (Solomon, 2010).
The adoption of the corporate governance philosophy does not necessarily prevent corporate
failures and scandals. Examples of failed corporations include Enron and WorldCom in the
United States and the Golden Quadrilateral in India (Kakabadse & Kakabadse, 2003).
Consequently, there has been debate about what needs to be included in a comprehensive
corporate governance framework. Some scholars argue that a comprehensive corporate
governance framework should include, among other things, greater use of independent
directors and constrains on the powers of CEOs (Monks, 2001).
That corporate governance is now an international topic is due not only to the globalisation of
businesses but also to the massive failure of corporations that has occurred over the last
decade in Asia, Europe and United States (Petra, 2006; Reed, 2002; Singam, 2003). It is
acknowledged that corporate governance plays a major role in the management of all types of
organisations in both developed and developing countries (Coward, 2010). Moreover,
27
governance is also associated with development agencies, donor countries and developmental
politics (Hallak & Poisson, 2006). Davies and Schlitzer (2008) note that corporate
governance practices are not uniform across nations. Further, the OECD (2004)
acknowledges the lack of a single model of corporate governance practice that is applicable
to all organisations even within one country. Consequently, every country adopts a unique set
of corporate governance procedures that are based on factors such as the countrys legal and
financial system, corporate ownership structures, culture and economic circumstances.
Nevertheless, Judge (2010) advises scholars to think in terms of developing globally
applicable models of corporate governance.
This sub-section has examined the background of corporate governance. It has made it clear
that there is a global trend towards the adoption of corporate governance principles. Common
approaches to corporate governance have been identified but no one particular method of
applying the principles to corporations has been promoted. The next sub-section explores the
theoretical foundations of the discipline of corporate governance.
2.2.4 Theoretical framework

Neuman (2010) defines a theory in terms of the interconnected ideas that condense and
organise knowledge about the world. Specifically, this sub-section briefly examines the
agency, stakeholder, managerial hegemony, stewardship, resource dependency, transaction
cost, and political theories of corporate governance. Further, the effects of culture on
corporate governance are also significant for this research and are discussed in section 2.4.
2.2.4. 1 The agency theory
It has been pointed out that the separation of control from ownership firm implies that
professional managers manage a firm on behalf of the firms owners (Kiel & Nicholson,
2003). Conflicts or problems arise when, in the perception of a firms owners, the
professional managers do not manage the firm in the best interests of the owners (Davis,
Schoorman & Donaldson, 1997). According to Eisenhardt (1989b), the agency theory is
concerned with analysing and resolving problems that occur in the relationships between
principals (owners or shareholders) and their agents or top management. The theory rests on
28
the assumption that the role of an organisation is to maximise the wealth of its owners or
shareholders (Blair, 1995).
The agency theory holds that most businesses operate under conditions of incomplete
information and uncertainty. Such conditions expose businesses to two agency problems,
namely adverse selection and moral hazard. Adverse selection occurs when a principal
cannot ascertain whether an agent accurately represents his or her ability to do the work for
which he or she is paid. On the other hand, moral hazard is a condition under which a
principal cannot be sure if an agent has put forth maximal effort (Eisenhardt, 1989b).
According to the agency theory, the superior information available to professional managers
enables them to gain advantage over the firms owners. The reasoning is that top managers
may be more interested in their personal welfare than in the welfare of the firms
shareholders (Berle & Means, 1932, 2009; Jensen & Meckling, 1976). Donaldson and Davis
(1991) argue that managers will not act to maximise returns to shareholders unless
appropriate governance structures are implemented to safeguard the interests of shareholders.
This is done by using internal and external control mechanisms, where the internal
mechanisms include requiring management teams to own shares in the firms they manage,
and using well-structured boards as well as shareholder-oriented compensation patterns
(Daily, Dalton & Cannella, 2003). The external mechanisms, on the other hand, include
acquisitions, divestitures and ownership amendments; they are activated when the internal
mechanisms fail. Therefore, the agency theory argues that the purpose of corporate
governance is to minimise the potential for managers to act in a manner contrary to the
interests of shareholders.
Proponents of the agency theory opine that a firms top managers become more powerful
when the firms stock is widely held and the board of directors is composed of people who
know little of the firm. The theory suggests that a firms top managers should have a
significant ownership of the firm in order to secure a positive relationship between corporate
governance and the amount of stock owned by the top management (Mallin, 2010). Hunger
and Wheelen (2010) argue that problems arise in corporations because agents (top managers)
are not willing to bear responsibility for their decisions unless they own a substantial amount
of stock in the corporation.
29
The agency theory also advocates the setting up of rules and incentives to align the behaviour
of managers to the desires of owners (Hawley & Williams, 1996). However, it is almost
impossible to write a set of rules for every scenario encountered by managers. Consequently,
the ASX Corporate Governance Council (2007) associates good corporate governance with
people of integrity. Similarly, Bowen (2008, p. 136) recommends that board members should
possess integrity, competence, reliability, good judgement, independence of mind, and
dedication to the cause.
Carpenter and Westpal (2001) opine that the agency theory is mainly applied by boards of
profit making organisations to align the interests of management with those of shareholders.
Donaldson and Preston (1995), as well as Dobson and Sabino (1991), argue that the demands
of profit making organisations are different from those of stakeholders such as shareholders,
local communities, employees and customers. The conflicting demands can be used to justify
actions that some may criticise as being immoral or unethical depending on the stakeholder
group.
The wide use of the agency theory in corporate governance research can be attributed to,
among others, its simplicity - it reduces organizational stakeholders into shareholders and
owners, each group with clear interests (Schoorman & Donaldson, 1997). Further, the theory
acknowledges that some individuals tend not to sacrifice personal interests for the interests of
others (Smith, 1776).
In summary, the idea of agency theory can be attributed to Coase (1937) but the ideals of the
theory have only been applied to directors and boards since the 1980s. According to this
theory, people are self-interested rather than altruistic and cannot be trusted to act in the best
interests of others. On the contrary, people tend to maximise their own utility. The agency
theory presents the relationship between directors and shareholders as a contract (Eisenhardt,
1989b). This implies that the actions of directors, acting as agents of shareholders, must be
checked to ensure that they are in the best interests of the shareholders.
This sub-section has examined the agency theory. The next sub-section explores the
stewardship theory.
30
2.2.4. 2 The stewardship theory
Unlike the agency theory, the stewardship theory is rooted in psychology and sociology; it is
based on the premise that company executives and managers, acting as stewards of
shareholders, are to protect and make profits for the shareholders (Davis, Schoorman &
Donaldson, 1997; Lane, Cannella & Lubatkin, 1998). Abdullah and Valentine (2009) argue
that company stewards tend to integrate their goals with those of their firms in order to
become more satisfied and motivated when the firms succeed. On this basis, the theory
considers boards and CEOs to be not only pro-organisational but also to exhibit cooperative
behaviours, and to be motivated to act in the firms best interests as opposed to their own
selfish interests (Clarke, 2004; Hunger & Wheelen, 2010; Mallin, 2010). This is because,
over time, senior executives tend to view a firm as an extension of themselves (Clarke, 2004;
Hunger & Wheelen, 2010). Therefore, the stewardship theory argues that, compared to
shareholders, a firms top managers care more about the firms long-term success (Mallin,
2010).
2.2.4.3 Stakeholder theory
The stakeholder theory adopts a different approach. It starts from the premise that
organisations serve a broader social purpose than merely maximising the wealth of
shareholders, although Clarkson (1995) argues that the purpose of organisations is to create
wealth for their stakeholders. The stakeholder theory holds that corporations are social
entities that affect the welfare of many stakeholders where stakeholders are groups or
individuals that interact with a firm and that affect or are affected by the achievement of the
firms objectives (Donaldson & Preston, 1995; Freeman, 2010; Reed, 2002). Successful
organisations are judged by their ability to add value for all their stakeholders. Some scholars,
such as Starik and Rands (1995), consider the natural environment as a key stakeholder.
Further, the ability to successfully interact with the external environment, in line with the
resource dependency theory, can be a source of competitive advantage for a firm (Okpara,
2011).
According to Freeman and Reed (1983), the term stakeholder can be used in a wide or narrow
sense. The wider sense of its use implies any group or individual that is affected or affects the
31
achievement of a firms objectives. Used in this sense, stakeholders would include public
interest groups, trade associations, employees, customers, shareholders and competitors. The
narrow use of the terminology limits stakeholders to identifiable groups or individuals on
which a firm depends for its continued survival. In this case, stakeholders would include
employees, customer segments, specific suppliers, key government agencies, shareholders
and particular financial institutions.
Stakeholders can be instrumental to corporate success and have moral and legal rights
(Donaldson & Preston, 1995; Ulrich, 2008). When stakeholders get what they want from a
firm, they return to the firm for more (Freeman, 2010; Freeman & McVea, 2001). Therefore,
corporate leaders have to consider the welfare of stakeholders when making decisions (Blair,
1995; Manville & Ober, 2003; White, 2009). Participation of stakeholders in corporate
decision-making can enhance efficiency and reduce conflicts (Turnbull, 1994).
According to Kaptein and Van Tulder (2003), corporations adopt reactive or proactive
approaches when integrating stakeholders concerns in decision making. A corporation
adopts a reactive approach when it does not integrate stakeholders into its corporate decision
making processes. This results in a misalignment of organisational goals and stakeholder
demands (Mackenzie, 2007). Some authors attribute scandals such as those of Enron and
WorldCom to the failure to consider stakeholder concerns in decision making (Currall &
Epstein, 2003; Turnbull, 2002; Watkins, 2003; Zandstra, 2002). Following these scandals,
some governments set up new regulations to align the interests of stakeholders with corporate
conduct. For example, the Sarbanes-Oxley Act (SOX) was passed as a result of the collapse
of Enron and WorldCom. A proactive approach is used by corporations that integrate
stakeholder concerns into their decision-making processes; such corporations also establish
necessary governance structures (de Wit, Wade & Schouten, 2006).
2.2.4.4 Managerial hegemony theory
According to the managerial hegemony theory, boards of directors are mere statutory
additions that play a passive role in the process of directing corporations (Kosnik, 1987). It is
on this basis that the theory considers boards as being ineffective when solving conflicts of
interests that arise between stockholders and management teams. The theory considers boards
32
as being just another management dominated tool (Pfeffer, 1972, p. 219) and a compliant
rubber stamp for management proposals and decisions (Herman, 1981; Vance, 1983). The
theory argues that management teams possess superior expertise and information and that
they select directors whose knowledge of the firms is limited and who comply in rubber-
stamping the management decisions (Estes, 1980; Herman, 1981). Moreover, the
management teams limit the ability of external directors, themselves devoting little time to
the activities of the firm, to raise independent opinions (Herman, 1981; Mace, 1971). This
way, the management teams operate under shadow boards (Lorsch & MacIver, 1989).
2.2.4.5 Resource dependency theory
This theory concentrates on the role of directors in securing access to resources critical to the
success of the firm. The theory argues that some firms prefer to appoint directors from
independent organisations that have the resources needed by the firms (Johnson, Daily &
Ellstrand, 1996). Abdullah and Valentine (2009) classify directors into four categories,
namely insiders, business experts, support specialists and community influentials. A firm
relying on the resource dependency theory would appoint directors from the business experts
(e.g. current or former chief executives of other profit-making firms), support specialists (e.g.
lawyers, bankers, insurance company representative, public relations experts) and community
influentials (e.g. political leaders, members of the clergy, leaders of community service
organisations, university faculty). The support specialists would, for instance, be able to
provide access to essential services like credit facilities and legal advice at reasonable costs
(Daily, Dalton & Cannella, 2003; Stearns & Mizruchi, 1993).
2.2.4.6 Transaction cost theory
According to Cyert and March (1963) as well as Williamson (1996), the transaction cost
theory is based on the premise that people have different views and objectives. Further, a
firms organisation and structure can determine the costs of transactions. Therefore, the
theory argues that managers are opportunists and that they use the firms transactions as tools
for maximising their interests.
33
2.2.4.7 Political theory
This theory is based on the reasoning that a government determines the allocation of
corporate power, profits and privileges. The theory introduces the strong role of a countrys
government in determining the governance structure of firms or their mechanisms (Hawley &
Williams, 1996). However, some scholars, such as Pound (1988), are opposed to the idea of
governments influencing the governance structures of private firms.
2.2.5 Critical evaluation of the extent to which these theories are applicable
to public universities in Kenya
It has been pointed out in section 2.2.3 (p. 26) that the development of the corporate
governance philosophy was guided by the insider and the outsider models as practiced in the
Francophone and Anglophone countries respectively, and in their former and present colonies.
The outsider model is also referred to as the Anglo-American model. Given that Kenya is a
commonwealth country, its governance structures, both political and corporate, tend to
heavily borrow from those of its former colonial master - the United Kingdom. Nevertheless,
this research is based on the notion that it is possible to develop globally applicable models of
corporate governance (Judge, 2010).
Further, the differences between private sector and public sector governance cannot be
overemphasized. While private sector boards are appointed by the shareholders, the boards of
public institutions tend to be politically appointed. Kenyas public universities are public
institutions whose boards are appointed by the president of Kenya in consultation with the
Minister for Higher Education, Science and Technology. One can say that the governance of
these institutions is based not just on one theory but on an amalgamation of theories, such as
the agency, stakeholders, managerial hegemony, resource dependency, and the political
theories.
Besides, the purpose of Kenyas public universities is to provide higher education mainly for
the Kenyan people, although they also benefit numerous people from different parts of the
world. Each public university has its mission which distinguishes it from those of the rest of
the universities. Moreover, while the boards of directors of the public universities are
34
politically appointed, the senate of each university has a mandate to oversee the academic
direction of the university. This creates a situation that give rise to potential conflicts of
interest between the political interests of the boards and the academic interests of the senates,
which situation tends not to occur in the private sector.
2.2.6 Key elements of a good corporate governance environment

The previous sub-section evaluated the extent to which the corporate governance theories are
applicable to public universities in Kenya. This sub-section includes a discussion on the key
elements of a good corporate governance environment.
Perceptions of the elements that constitute good corporate governance vary from country to
country. Moreover, the business environment is not uniform in all countries. Nevertheless,
some insights of key elements of good corporate governance are provided by, among others,
the ASX Corporate Governance Council (2007), the Cadbury Report (1992), the Sarbanes-
Oxley Act (2002), the Business Roundtable (2010) and the Financial Reporting Council
(2010).
According to the ASX Corporate Governance Council (2007), good corporate governance
can be achieved on the basis of eight essential principles as shown on Table 2.1.
Table 2.1: The ASX corporate governance principles
1. Lay solid foundations for management oversight

2. Structure the board to add value
3. Promote ethical and responsible decision-making
4. Safeguard integrity in financial reporting
5. Make timely and balanced disclosure
6. Respect the rights of shareholders
7. Recognise and manage risks
8. Remunerate fairly and responsibly
Source: adapted from the ASX Corporate Governance Council (2007) and modified for
this research.
35
The Cadbury Report (1992) provides another perspective of the key elements of good
corporate governance practices. The report is named after Sir Adrian Cadbury who chaired
the United Kingdoms Committee on the Financial Aspects of Corporate Governance (1992).
According to Vinten (2001), the work of Cadburys Committee was groundbreaking. The
Cadbury Report built on the work of the Treadway Report from the USA but it went further
to provide a benchmark for corporate governance in many countries (Monks & Minow,
1996).
According to the Cadbury Report, good corporate governance encompasses four key aspects,
namely:
i. establishing a board of directors that has clear responsibilities for directing or
governing a firm. The role of managing should be left to a firms executives;
ii. ensuring that there are checks and balances in governance structures and that there is
no single person wielding unchecked power;
iii. having a well-balanced board team composed of executive and non-executive
directors; and
iv. ensuring that a board is transparent when directing and controlling an organisation.
Following the collapse of Enron and WorldCom, the United States Congress passed the
Sarbanes-Oxley Act (SOX) in the year 2002. Moreover, the collapse of the Arthur Andersen
accounting firm and other scandals brought the wider question of governance of publicly
traded corporations into the public arena (Colley et al., 2005; Fishel, 2008). The SOX Act
makes some substantive corporate governance provisions such as:
dealing with conflicts of interests (section 206 & 402);
the need for an independent audit committee (section 301);
corporate responsibility for financial reports (section 302); and
disclosure of performance and financial matters (sections 401-409).
The SOX Act also requires listed companies to have a majority of independent directors. The
reasoning is that the board, acting as a representative of shareholders, cannot be seen to be
objective in the oversight of management if the majority of the directors are from
management (Colley et al., 2005).
36
The Business Roundtable (2010) is an association of chief executive officers of American
corporations. This association summarises the principles of good corporate governance as
follows:
A board has a paramount duty of selecting and overseeing a competent CEO and other
senior managers.
A firms management has a responsibility to act in an effective and ethical manner in
the process of increasing shareholder value.
There is need for accurate and timely financial reporting.
A firm must deal with its employees in a fair and equitable manner.
A firm should have a corporate governance committee which comprises independent
directors and which addresses issues such as the nomination of directors, the
provision of information to the board, and the evaluation of the boards effectiveness.
Independent directors should have an opportunity to meet outside the presence of the
CEO and other management directors.
A firm has a responsibility to communicate effectively with its shareholders and other
stakeholders.
Another set of five good corporate governance principles is offered by the Organisation for
Economic Co-operation and Development (OECD, 2004). The five principles are:
protection of shareholder rights;
equitable treatment of all shareholders, including effective redress;
recognition of the rights of stakeholders;
timely and accurate disclosure of all matters that are regarded by a firm as being
material, which may include financial, performance, ownership and governance
matters; and
effective monitoring of management and accountability of a board.
The Financial Reporting Council (2010) specifies five governance areas that deserve to be
given special attention, and they are summarised in Table 2.2.
37
Table 2.2: UK Corporate Governance Code 2010
Key area of Brief explanation
corporate
governance
Leadership Boards should effectively chart the long-term success of their firms
There should be clear differences in the roles performed by boards
and those performed by top managers
A chairman has a duty to lead a board in a way that enhances its
effectiveness
Non-executive directors should challenge the ideas of executive
directors and assist in the crafting of strategy
Effectiveness A board should have an appropriate balance of skills and knowledge
Appointment of new directors should be done in a formal, rigorous
and transparent manner
All directors should allocate sufficient time to a firms affairs
Directors should be inducted and continuously trained
Board members should be supplied with adequate and timely
information that enables them to undertake their activities
effectively
There should be formal and rigorous evaluation of a board and of its
members
Directors can be re-elected if their performance is satisfactory
Accountability A board has a duty to present a fair and balanced assessment of the
firms position and prospects
Risk management and establishing internal controls are major
functions of a board
A board should have an objective relationship with auditors
Remuneration Remuneration should be fair enough to attract, retain and motivate
competent directors
The process of developing the directors remuneration should be
formal and transparent, and no director should determine his or her
remuneration
Relations with A board should involve shareholders in setting objectives
shareholders Boards should use annual AGMs to communicate and encourage
investors
Table 2.3 is a synthesis of the different perspectives of good corporate governance.

According to Table 2.3, there are eight main factors that form a good corporate governance
environment.
38
Table 2.3: Key elements of a good corporate governance environment
Principle Source
Lay a solid foundation for management The Business Roundtable (2010)
ASX Corporate Governance Council (2007)
Establish a board that adds value ASX Corporate Governance Council (2007)
Cadbury Report (1992)
Equitable treatment of shareholders OECD (2004)

The Business Roundtable (2010)
ASX Corporate Governance Council (2007)
Financial Reporting Council (2010)
Accurate and timely disclosure of ASX Corporate Governance Council (2007)

financial, performance, ownership, and The Business Roundtable (2010)
governance matters OECD (2004)
Effective monitoring of management and OECD (2004)

accountability of the board ASX Corporate Governance Council (2007)
Sarbanes-Oxley Act 2002 (SOX).
The Business Roundtable (2010).
Financial Reporting Council (2010)
Operating ethically and responsible ASX Corporate Governance Council (2007)

decision making The Business Roundtable (2010)
Fairness in dealing with employees ASX Corporate Governance Council (2007)

OECD (2004)
Recognising the legitimate interests of ASX Corporate Governance Council (2007)

stakeholders OECD (2004)
2.2.7 Differences between corporate governance practices in profit and non-

profit organisations
Corporate governance concepts apply to both profit and non-profit organisations. However,
the application of corporate governance concepts varies on the basis of the differences
between the two types of organisations.
39
According to Brickley and Van Horn (2002), key governing entities of non-profit institutions
do not receive residual profits. On the contrary, the net surplus from the activities of non-
profit organisations is, by regulation, dedicated to social activities and such organisations
benefit from significant tax cuts. However, non-profit organisations lack clear-cut ownership
structures. Consequently, they face problems related to managerial control since their
managers are constrained neither by the expectations of interested shareholders nor by their
performance. These problems become worse when donors and customers are unable to
monitor the activities of the boards of directors. Bain and Band (1996) opine that
stakeholders of non-profit organisations rarely question board policies and processes that may
allow significant losses, low ethical standards and unprofessional conduct. Nevertheless,
Drucker (1989) argues that some non-profit boards have adopted sound decision-making
processes that can be emulated by their profit-oriented counterparts. There is also a growing
trend towards harmonising corporate governance practices among profit and non-profit
making organisations.
Eeckloo et al. (2004) point out that non-profit organisations focus on a wide range of
stakeholders and are not run on the principle of profit maximisation. As a result, the boards of
non-profit organisations comprise relatively more members in order to represent the interests
of numerous stakeholders (McFarlan, 1999).
In summary, this sub-section has examined the differences between corporate governance
practices in profit and non-profit organisations. The next section focuses on the second parent
discipline of this research which is learning organisations.
2.3 Parent discipline two: Learning organisations

This section examines the broad concept of organisational development (OD). Different OD
intervention strategies are discussed but emphasis is laid on organisational learning due to its
significance in enhancing organisational change and development. Organisations that actively
adopt organisational learning become learning organisations. The section underscores the
need for organisations to continuously transform themselves in order to fit into a changing
environment.
40
2.3.1 Organisational Development (OD)
Contemporary organisations operate in a dynamic environment. Consequently, strategic
managers have to continuously seek for ways of ensuring that their organisations adapt to the
changing environments in which they operate. This partly explains why concepts like
organisational life-cycles, organisational change, business process improvement, re-
engineering, total quality management (TQM) and strategic management have been advanced
to explain how organisations grow and develop (Chapman, 2002; Cummings & Worley,
2008). Organisational Development (OD) is one way in which organisations can continuously
improve on their activities and increase their long-term prospects.
Ideally, OD is a process through which organisations develop by adopting a series of planned

interventions that aim to enhance their effectiveness and the well-being of their members.
Traditional models of growth often emphasised maximising revenue generation by increasing
capital expenditure. However, there is a trend towards achieving organisational growth by
understanding and exploiting the relationships between an organisation and its environment
(Holland & Salama, 2010).
OD activities are top down approaches to improving an organisations ability to solve

problems and to renew itself. In OD, top level managers collaborate with formal work teams
and use behavioural science techniques and knowledge to change an organisations culture
(McKee et al., 2010). A wide range of behavioural sciences exist and these include
organisational development, organisational theory, organisational behaviour and strategic
management. Nevertheless, OD is mainly anchored on the disciplines of psychology, human
relations, social psychology and organisational behaviour (Boonstra, 2004; Cummings &
Worley, 2008; French & Bell, 1999).
Although OD is a top management initiative to develop organisational members, there are

many cases where organisational members develop themselves without the intervention of
management. The changing demands of work necessitates lifelong learning that enables
workers to remain employable and flexible (Costley, 2001). Consequently, some
contemporary organisational members increasingly embrace development activities, such as
management development programs, on-the-job training courses and off-the-job education
and training (Unwin & Fuller, 2003).
41
2.3.2 Characteristics of OD
OD has been defined in a wide variety of ways. However, French and Bells definition (1999)
is not only comprehensive but it also highlights the key characteristics of OD. French and
Bell (1999; p. 17) define OD as a:
top-management-supported, long-range effort to improve an organisations problem-

solving and renewal processes, particularly through a more effective and collaborative
diagnosis and management of organisation culture with special emphasis on formal
work team, temporary team and inter-group culture with the assistance of a consultant-
facilitator and the use of the theory and technology of applied behavioural science,
including action research.
This definition highlights five main characteristics of OD. Firstly, OD is a planned, proactive
process as opposed to being a reactive activity. Secondly, OD focuses on an entire
organisation or a large subsystem such as a department, division or subsidiary. Thirdly, it is
initiated, supported and managed from the top level of the organisation. Fourthly, OD
enhances an organisations ability to solve problems and renew itself in order to achieve its
goals and objectives more successfully. A major concern of OD is the well-being of the
organisations members. Lastly, OD is based on planned change or interventions made with
the help of change agents or third parties who are well versed in behavioural sciences and
action research. Cummings and Worley (2008) perceive an intervention to be one or several
activities whose aim is to help an organisation achieve its goals. Similarly, the success of
action research depends on the level of collaboration between an OD strategist and an
organisations members.
2.3.3 OD change intervention strategies

OD specialists mainly use change intervention strategies to implement change in
organisations. A number of OD intervention strategies exist but they can be summarised
under four headings, namely human process-based, techno-structural, socio-technical and
organisational transformation strategies. The four change intervention strategies are
summarised in Table 2.4 and a few of them are briefly discussed thereafter.
42
Table 2.4: OD change intervention strategies
Change intervention strategy Methods of intervention
Human process-based strategy Sensitivity training (T-group)
Team building meetings
Responsibility charting (French & Bell,
1999)
Work with agenda (Caluw and
Vermaak, 2003)
Confrontation meeting
Finding a common enemy (Cherrington,
1994)
Conflict resolution meetings
(Cherrington, 1994)
Organisation mirror interventions
(French & Bell, 1999)
Survey feedback
The force field analysis technique
(French & Bell, 1999)
Techno-structural strategy Job enlargement

Job enrichment
Alternative work schedules
Socio-technical strategy Quality circles
Total quality management
Self-managed teams
Organisational transformation strategy Cultural change
Strategic change
Learning organisation
High performance work systems
(HPWS)
Business process re-engineering
2.3.3.1 Human process based interventions
These types of intervention strategies are directed at improving interpersonal, intra-group and
inter-group relations. Several scholars have found improved relations, communications and
collaborations to be associated with better recognition and exploitation of opportunities
(Cummings & Worley, 2008; French & Bell, 1999). Table 2.4 identifies some of the human
process based OD intervention strategies one of which is sensitivity training. According to
Cherrington (1994), sensitivity training seeks to ensure that managers and employees are
accommodative to the social needs of other workers. An intervention strategist introduces a
43
sensitive topic to organisational members and listens as they debate it. Such an intervention
strategist would be more interested in the emotional aspects of the debate rather than the
logical arguments advanced by the organisational members. By so doing, the strategist gains
emotional intelligence of the members and is able to counsel highly emotional members on
how to accommodate the needs, as well as cultures, of other employees.
The survey feedback approach aims to highlight organisational processes that need to be
changed. A survey is a method of data collection. The survey feedback method uses the data
obtained in a survey to identify problem areas, make appropriate recommendations and
demonstrate the need for change (Cherrington, 1994). On the other hand, the aim of team
building is to help workgroups accomplish tasks effectively (French & Bell, 1999). Efficient
and effective teams can enable an organisation to gain a competitive advantage. Therefore,
interventions aimed at enhancing the functioning of a group are highly valuable to an
organisation (Mumford, 2011). Conflict resolution meetings seek to resolve intergroup
conflicts (Cherrington, 1994) while confrontation meetings are geared towards mobilising an
organisations intelligence and insights in the process of identifying problems and
determining priority actions (Caluw & Vermaak, 2003).
It can be deduced that human process-based intervention strategies aim to create more
harmonious working relationships and can be used simultaneously or at different times
depending on the situation. Cordial working relationships can be a source of competitive
advantage for a firm.
2.3.3.2 Techno-structural intervention strategies
Several scholars contend that techno-structural intervention strategies involve the design of
socio-technical systems in such areas as organisational structures, technologies, business
processes, alignment models and architectures (Cummings & Worley, 2008; French & Bell,
1999). According to Table 2.4 (p. 43), the main techno-structural intervention strategies are
job enlargement, job enrichment and alternative work schedules (AWS).
Job enlargement is simply expanding a job. For instance, a van drivers job can be enlarged
to include driving trucks, buses, and tractors and so on. Job enlargement can increase the
44
amount of boredom encountered in a job. However, enlarging a job provides the relevant
employees with a greater variety of tasks to be done and a sense of the whole task. On the
other hand, job enrichment tends to be associated with jobs that require greater skills as it
involves changing certain aspects of jobs to motivate the relevant workers. A job is enriched
by including aspects of skill variety, task identity, task significance, autonomy and feedback
(Hackman & Oldham, 1976). Task variety means that a number of tasks are involved in a job
while task identity occurs when the individual steps in a task, and the outcome of the task,
can be identified. Task significance implies that the tasks involved in a job are significant
while autonomy ensures an employee is empowered to make decisions relating to his or her
job. Feedback enables employees to determine job aspects that need to be changed. Hellriegel
and Slocum (2007) opine that job enrichment grants employees more responsibility and
accountability in planning, organising, controlling and evaluating their work.
Alternative work schedules (AWS) allow employees to modify their working patterns in
ways that satisfy their personal needs. Three common AWS interventions are flexitimes,
compressed workweeks and flexi-years. Employees use flexitimes when they choose the
times of the day when they want to work. However, flexitimes tend to involve fixed bands or
periods of the working day when all workers have to be present at the workplace. Workers
can only choose reporting and quitting times within specified time periods. A compressed
workweek enables employees to work fewer days than the traditional five days in a week
(Baltes et al., 1999). This means that employees can choose to work longer shifts for, say,
three or four days as long as they fulfil the time requirements of their employers. In a flexi-
year, employees choose the periods of the year when they want to work.
The concept of techno-structural intervention strategies can be associated with non-monetary

motivation of employees, given that it aims to ensure that an organisations work and
working patterns are favourable to employees. For instance, alternative work schedules
(AWS) can enhance the quality of individual and working life. Moreover, techno-structural
intervention strategies enable employees to undertake non-work related activities, such as
sports and family commitments. Quality of life is an issue of concern to a growing number of
contemporary employees. Consequently, prudent managers should consider adopting the
identified techno-structural intervention strategies in their workplaces. Further, techno-
45
structural intervention strategies are used by firms that are experiencing financial difficulties
but which do not want to lay off their workers.
2.3.3.3 Socio-technical intervention strategies
According to Table 2.4, the main socio-technical intervention strategies are quality circles,
total quality management and self-managed teams. Quality circles are teams of employees
involved in making work related decisions and solving job-related problems. Members of
quality circles meet regularly to discuss issues like procedures for improving their work,
quality of products, working conditions and organisational facilities. Problem areas that
deserve immediate attention are identified and acted upon.
Total quality management (TQM) seeks to involve employees in the design of strategies that
aim to improve quality in an organisations operations. A self-managed team is assigned an
objective to achieve. Developing a new product is an example of an objective that can be
assigned to a self-managed team. The team manages its activities in the process of achieving
the stated objective, and managers do not interfere with its operations. The self-managed
team (SMT) would have discretion over issues like work assignments, methods, schedules,
training team members and dealing with external customers as well as suppliers.
A critical look at socio-technical intervention strategies points to the importance of granting

employees autonomy as they do their work. This ensures that they willingly work on
improving the quality of an organisations processes and outcomes. Quality goods and
services can be a strong unique selling point (USP) for a firm.
2.3.3.4 Organisational transformation (OT) strategies
The aim of OT strategies is to articulate a new vision, culture, mission and strategy for an
organisation. These strategies can be necessitated by a change in an organisations business
focus. For instance, a firm that adopts an unrelated diversification strategy may find it
necessary to change its purpose, mission, vision, culture and strategy. Table 2.4 indicates that
46
the main OT strategies are cultural change, strategic change, becoming a learning
organisation and adopting high performance work systems (HPWS).
Cultural change is an attempt to replace the culture existing in an organisation with a

different culture. Orlikowski (1996) opines that cultural change can be characterised as being
slow and emergent, fast and planned, or continuous. The same author argues that continuous
cultural change is preferred in a changing environment. Multicultural organisations use
cultural change to ensure that their workers have harmonious relationships with fellow
workers, customers and business associates from other firms. A number of factors can hinder
the adoption of cultural change and these include lack of support from staff (Marris, 1986),
complexity of the change management approaches (Scott et al., 2003), influences external to
the organisation (Degeling, Kennedy & Hill, 1998), inappropriate leadership (Schein, 2010a)
and the effects of unintended dysfunctional consequences of the change (Harris & Ogbonna,
2002).
A strategic change is a fundamental change in an organisations purpose or mission that

requires organisation-wide changes (Chapman, 2002). Strategy per se has been the focus of
numerous management studies for many decades (Mintzberg, 2007; Porter, 2008). Through
strategic change, an organisations purpose and/or mission are revised in line with its
changing objectives and in response to the dynamic environment in which it operates. A
purpose is a general reason for the existence of a firm. For instance, all hospitals provide
health care services. On the other hand, a mission distinguishes an organisation from similar
organisations. The mission of a hospital specialising in mentally disturbed persons would be
different from the mission of one specialising in maternity related activities. The operations
of an organisation are affected by a strategic change. Managers implementing strategic
change may need to make changes in the areas of an organisations structure, culture, reward
systems, information processes and design of work (Cummings & Huse, 1989).
The concept of a learning organisation is explained in greater detail in sub-section 2.3.5 (p.
50) of this thesis. Nevertheless, it suffices to say that a learning organisation engages all its
members in identifying and solving problems. An organisation that integrates the efforts of
all its members is better placed to continuously experiment, improve and increase its
capability. On the other hand, high performance work systems (HPWS) are multifaceted
47
approaches that involve different combinations of intervention strategies such as self-
managed teams, quality circles, flatter organisational structures, new flexible technologies,
innovative compensation schemes, increased training and continuous improvement programs.
HPWS are based on the realisation that improved performance results from a combination of
approaches.
Managers rarely use a single approach in solving organisational problems or improving

organisational activities. In any case, different situations call for different approaches. Given
that HPWS combine as many OD intervention strategies as possible, it can be argued that
they provide a better OD approach. Nevertheless, the success of HPWS depends on a
managers ability to understand the importance of organisational learning, which in turn leads
to organisational renewal or rejuvenation.
2.3.4 Organisational learning

The previous sub-section examined different OD intervention strategies. This sub-section
explores the concept of a learning organisation due to its significance in this research.
Organisational learning is an aspect of strategic management. As a discipline, strategic

management refers to approaches that can enable a firm to achieve superior economic
performance (Porter, 2008). The main aspects of strategic management are industry and
competitor analysis, strategic planning, and the design of industry-specific competitive
strategies. In essence, strategic management is a proactive approach to knowledge
management, itself an important determinant of an organisations success or failure. Huizing
and Bouman (2002) perceive knowledge management to be an organisational discipline that
bridges the demand and supply for information, thereby creating an environment that
supports organisational learning.
2.3.4.1 Definitions of organisational learning
The term organisational learning has been defined in a wide variety of ways. For example,
Nevis, DiBella and Gould (1995, p. 73) define it as the capacity to maintain or improve
performance within an organisation based on experience. An analysis of the definitions of
48
organisational learning indicates that some definitions emphasise the processes involved in
organisational learning (Nonaka, 1994) while others emphasise the outcomes of the
organisational learning process (Huysman, 1999). Consequently, Prange (1999) argues that a
more comprehensive definition of organisational learning should include aspects of both
processes and outcomes.
Organisational learning is a form of learning that occurs at an organisational level. Learning

per se is a process of knowing what was previously not known. The main impetus for
learning is the realisation of a gap between the desired state of knowledge and the current
state of the same. Learning can occur at an individual, team or organisational level (Crossan,
Lane & White, 1999). This view is supported by Saint-Onge and Armstrong (2004) who
argue that individual, team and organisational learning can coexist in an organisation and
employees value opportunities to share and learn in groups. However, some organisational
learning activities tend to suppress individual learning and creativity (Hatch & Cunliffe,
2006). Learning also takes place through the formal and informal social interactions of
organisational members (Marsick & Watkins, 2003; Ostroff & Kozlowski, 1992). It is a two-
way process in which knowledge is diffused between an organisation and individuals
(Mumford, 2011).
Schein (1993) proposes three types of learning, namely knowledge acquisition and insight,
habit and skill learning, and emotional conditioning and learned anxieties. The same author
argues that most organisational learning theories tend to focus on knowledge acquisition and
development of insight (Schein, 1993). According to Schweiger and Goulet (2005),
organisational learning enables an organisation to fit into a changing environment. Some
scholars argue that all organisations engage in some form of organisational learning that
enables them to survive in their environments (Hawkins, 1994; Kim, 2004). Nevertheless,
learning can be proactive or reactive. An organisation is considered to be a learning
organisation when it takes deliberate and proactive steps to learn. This means that some
organisations are learning organisations while others are not.
49
2.3.5 Learning organisation
Having explored the concept of organisational learning, it is now necessary to elaborate on
what a learning organisation is. As is the case for many other social science concepts, there is
no universally accepted definition of a learning organisation. That the term learning
organisation has been defined in multiple ways is a testimony to its importance and elusive
nature. Graham and Nafukho (2007) opine that several definitions of a learning organisation
revolve around improving organisational performance and achieving organisational
transformation. However, for the purposes of this thesis, the term learning organisation is
used to imply an organisation that consciously seeks to continuously improve itself by
adopting organisational learning activities.
2.3.5.1 Distinctions between organisational learning and a learning

organisation
Before the 1980s, the terms learning organisation and organisational learning were used
interchangeably or synonymously (Boje, 1994; Nevis, DiBella & Gould, 1995). However, a
number of scholars have tried to differentiate the two concepts (Easterby-Smith & Araujo,
1999; Swanson & Holton, 2009). Yeo (2005) opines that organisational learning is actually a
process of learning while a learning organisation is a type of organisation that actively
engages in organisational learning. rtenblad (2001) offers a more comprehensive distinction
between the two concepts as shown on Table 2.5.
50
Table 2.5: Differences between organisational learning and learning organisation
Organisational learning Learning organisation
Character of Processes Organisation form
the content
Amount of Descriptive Normative
normativity Exists naturally without Needs effort or activity to be
any effort carried out
An organisation plays a Preferable since it leads to a

neutral role in the learning competitive advantage
process since the learning
is natural
Necessary because it has to Not necessary but it is

exist; all organisations desirable
have to learn in order to
survive
Obtainable since it Learning is a continuous

requires minimal effort process hence it is not
possible to have a fully
learned organisation
Learning is something
A fully learned organisation is
known an ideal state which is
unknown
Group Most of the literature originates Most of the literature originates from
targeted from academicians consultants and business practitioners
Source: adapted from rtenblad (2001, p. 128) and modified for this research.
The distinctions between organisational learning and learning organisation as captured in

Table 2.5 are not universally accepted. Nevertheless, both concepts are important theoretical
aspects of this research because organisations grow by learning to manage change and
competition (Bontis, 2002).
2.3.5.2 Benefits associated with a learning organisation
Organisational learning leads to the accumulation of knowledge and knowledge is considered

to be one of the most important resources in the creation of a firms sustainable competitive
advantage (Curado, 2006; Umemoto, 2002). Superior knowledge resulting from
organisational learning has been associated with superior firm performance, innovation and
51
sustained competitiveness (Senge, 2006). It has also been associated with higher strategic
flexibility and faster reaction to environmental changes (Volberda, 1996; Yeo, 2009).
According to Geroski and Mazzucato (2002), accumulation of skills and knowledge enables a
firm to outperform competitors that do not accumulate such skills or knowledge. King (2001)
argues that a learning organisation uses its knowledge base to generate valuable information
which can be used to change behaviour and improve results. Consequently, organisational
learning can affect the success or failure of an organisation (Crossan & Hulland, 2002;
Mintzberg, Ahlstrand & Lampel, 2005). This partly explains why the design of organisations
in the present economic context should take into account the concept of organisational
learning.
A learning organisation is like an ideal school in which organisational managers are supposed
to be coaches as opposed to being directors (Garratt, 1990; McGill & Slocum, 1993).
Employees use the knowledge acquired to satisfy the needs of customers (Garratt, 1990).
Senge (2006) suggests that organisational learning enables an organisation to create its future.
This assertion is important considering that nearly every organisation intends to continue
existing in the foreseeable future. Private and public sector organisations need to adopt
organisational learning strategies in order to survive and excel in their activities. Cummings
and Huse (1989) argue that public and private sector organisations have different value
structures which influence the behaviour of employees in each sector. Further, it has been
argued that public sector organisations are increasingly being held more accountable for their
performance and are expected to operate efficiently and effectively (Melese, Blandin &
OKeefe, 2004). For example, Gachunga (2009) advises Kenyas public sector organisations
to think in terms of excellence instead of concentrating on survival.
2.3.5.3 Influence of culture on organisational learning
Organisational learning can be affected by an organisations culture. Several studies highlight

the influence of culture on the quality of learning and behaviour of employees (Carleton,
1997; Hoffman & Withers, 2006). For instance, the cultures of India, Singapore and China
have a strong influence on organisational learning (Kumar, 2000; Snell & Chak, 1998). The
same view is expressed by Easterby-Smith and Araujo (1999) when they argue that
organisational learning is influenced by culture and institution. Sambrook (2005) opines that
52
some cultural factors can inhibit organisational learning. The same author proposes that
organisations should adopt transformative cultural factors. Learning organisations operate
best in environments whose cultures are dynamic.
An organisation may have several types of cultures. For example, Schein (2010b) identifies
three types of organisational cultures, namely operator, engineering and executive cultures.
The same author argues that organisations learn effectively when they recognise and confront
the implications of the three organisational cultures. Schein (2010b) perceives the executive
and engineer cultures to be problematic in the sense that they do not sufficiently consider
human factors.
2.3.5.4 Approaches to organisational learning
Small and Minkes (2010) argue that a learning organisation utilises the mental capacity of its
members, has the resources to undertake this task, and allows its members to adapt to
changing circumstances by learning new skills. Similarly, Garvin, Edmondson and Gino
(2008) are of the view that leaders of learning organisations provide environments that
support and enhance learning. In addition, such leaders propagate a culture of measuring and
rewarding results which leads to better financial and knowledge management (Marsick &
Watkins, 2003).
According to DeNisi, Hitt and Jackson (2003), training and development programs are major
components of organisational learning. Many training and development programs seek to
ensure that organisational members acquire the most up-to-date explicit knowledge in their
different areas of expertise. Pawlowsky (2001) describes organisational learning in terms of
four steps that continuously repeat themselves and that are not necessarily sequential. The
four steps are captured in Figure 2.2.
53
Figure 2.2: The four steps of organisational learning
Diffusion
Identification Generation Integration Modification
Action
Source: adapted from Pawlowsky (2001) and modified for this research.
Figure 2.2 indicates the first step of organisational learning as the identification of
information that seems relevant to learning and creation (generation) of new knowledge, or
both (Nonaka, 1994). Knowledge acquired is then diffused to individuals or to a whole
organisation. As the knowledge is integrated into existing knowledge systems, integration or
modification of the adopting system can take place. The new knowledge is transformed into
action. As a result, organisational routines and behaviour may be changed (Pawlowsky,
2001). A major aim of organisational learning is to change organisational routines, processes
and systems (Bontis, 2002; Crossan, Lane & White, 1999).
In summary, this section has underscored the need for contemporary organisations to adopt
OD activities on a continuous and co-ordinated basis. A co-ordinated approach to OD is
likely to yield more benefits to a firm than a single approach. Secondly, the section has
highlighted the need for organisations to learn in order to cope with a changing environment.
A learning organisation has been explained as one that utilises organisational learning to
achieve a competitive advantage. Contemporary firms can no longer rely on a single
competitive advantage. On the contrary, each firm requires multiple sources of competitive
advantage. Ignoring organisational learning can be detrimental to a firms survival and
prosperity. Lastly, the importance of communication in implementing OD intervention
strategies cannot be overemphasised. Without an effective communication system, OD
54
intervention strategies cannot succeed, implying that managers should ensure the existence of
efficient and effective communication systems in their organisations.
2.4 Parent discipline three: Organisational culture

The previous section elaborated on the concept of OD and focused on the learning
organisation due to its importance in this research. This section examines the third parent
discipline of this research which is organisational culture. The section begins by presenting
different definitions of organisational culture. Thereafter, several models of organisational
culture are explained.
2.4.1 Definitions of organisational culture

The word culture has its origin in the Latin word cultus whose English translation denotes a
cult or way of worship (Pivovarov, 2009). Normally the members of a cult believe in specific
ways of doing things and, quite often, develop a culture to enshrine such beliefs. Culture is
associated with the values, norms and acceptable patterns of behaviour shared by members of
a society or organisation and which lead to orderly, patterned and enduring social structures.
Hofstede (2007) contends that culture distinguishes members of one group from those of
other groups and is difficult or slow to change. Trompenaars and Hampden-Turner (2011)
define culture in terms of the ways in which people solve problems and recognise dilemmas
while Schein (2010a) is of the view that culture consists of underlying beliefs that are rarely
questioned. Although culture is intangible, it is shared and confirmed by others (Shenkar &
Luo, 2008).
Culture is associated not only with individuals but also with organisations and nations.
National culture refers to the shared values, beliefs and attitudes that influence the behaviour
of individuals in a specific country (Bird et al. 1999; Robbins, 2008). Nations differ from
each other in a wide variety of ways and consequently, it can be argued that every nation has
its own unique culture where culture is like glue that, among other things, holds many parts
together. Nevertheless, there are some cultural variables that are similar between or among
several nations. The similarities or differences between the cultures practised in any two
55
nations can be measured by using a cultural distance index (Kogut & Singh, 1988) or a
cultural distance score (Shenkar, 2001).
Organisational culture, on the other hand, has been defined in hundreds of ways, which is a
testimony to its importance, elusiveness and intangible nature. For instance, Ivancevich,
Konopaske and Matteson (2010) broadly define it in terms of what employees perceive and
how their perception creates a pattern of beliefs, values and expectations. Jordan (1994)
cautions that there may never be a single universally accepted definition of organisational
culture. A synthesis of literature indicates that many definitions of organisational culture
revolve around the properties or dimensions of culture and Van der Post, de Coning and Smit
(1997) have identified more than 100 such dimensions. Nevertheless, for the purposes of this
research, organisational culture refers to the set of shared values, beliefs, attitudes, customs,
norms, hidden assumptions and personalities developed over time and held in common by
members of an organisation (Schein, 2010a).
The different definitions of organisational culture facilitate an understanding of the purposes

the concept serves. Lussier and Achua (2009) contend that organisational culture creates
internal unity and helps an organisation adapt to its external environment by responding as a
group. The two authors also highlight the contribution of a strong organisational culture to a
firms competitive advantage. Meek (1988) is of the view that culture is a strong analytical
tool in the analysis and interpretation of human action within complex organisations.
Moreover, Ramsey (2004) compares culture to wages, benefits and working conditions and
concludes that culture is more important to productivity than any of these three factors. The
same author emphasises the significance of culture in determining the success or failure of a
firm. Nill and Schibrowsky (2005) opine that organisational culture affects personal moral
convictions about what is right or wrong which, in turn, influence ethical decision making.
This view is similar to that presented by Monga and John (2007) who postulate that
organisational culture influences how managers perceive different situations and the
processes they follow in making decisions. Organisational culture also determines the extent
to which female managers can participate in decision making activities (Romaine, 1999) and
the approaches used to solve problems in organisations (Brooks, 1994). Moreover, Wang
(2008) argues that organisational culture determines how an organisation responds to crisis
situations.
56
On the basis of the literature reviewed, it can be deduced that organisational culture
influences an organisations effectiveness (Gordon & DiTomaso, 1992; Peters & Waterman,
1982). For instance, organisational culture influences employees' assumptions, attitudes,
norms and values all of which affect their performance behaviours (Robbins, 2008).
Nevertheless, Denison and Mishra (1995) argue that organisational culture can only be
associated with short-term financial performance. Similarly, Rashid, Sambasivan and Johari
(2003) are of the view that culture can also influence a firms financial performance.
Block (2003) perceives organisational culture and leadership to be closely connected with the
essence of leadership being to shape and manage culture. Some leaders tend to shape their
organisational cultures according to their personal preferences and guiding beliefs. Leaders
who encourage a culture of continuous learning and creativity among employees are likely to
create a pool of intellectual capital that leads to effective performance. Creativity further
stimulates the search for new ideas and new ways of doing things. A culture of respect, trust
and openness can encourage employees to challenge assumptions. Consequently, some
managers encourage their employees to question the way things are done and to suggest
better ways of improving what is being done (Martha et al., 1996). This stimulates
commitment (Hartmann, 2006) and innovative behaviours among employees (Chang & Lee,
2007).
This sub-section has provided definitions of organisational culture and explained the
importance of a culture of respect, trust and openness. The next sub-section focuses on the
models of organisational culture.
2.4.2 Models of organisational culture

Several models have been advanced to explain the effects of culture on the performance of
organisations in different countries. This sub-section reviews the models advanced by
Hofstede (1980), Schwartz (1999) and Trompenaars and Hampden-Turner (2011) due to their
relevance in a wide range of countries. An understanding of African cultures is necessary
because contemporary businesses are practised in a global village. Nevertheless, the African
continent comprises many countries and cultural values often vary from country to country.
57
2.4.2.1 Hofstedes cultural values
Hofstede (1980) carried out a survey with the aim of determining the value orientation of
cultures. The survey involved more than 100,000 employees of International Business
Machines (IBM) spread throughout the world. From the survey, Hofstede identified four
dimensions of cultural values which he named power distance (PD), uncertainty avoidance
(UA), individualism/collectivism (I/C), and masculinity/femininity (M/F). In a later survey on
Chinese values, Hofstede and Bond (1984) added a fifth dimension which he named long-
term orientation (LTO). The cultural comparison theory advanced by Kluckhohn and
Strodtbeck (1973), which argues that individuals are shaped and influenced by culture, and
which subsequently implies that individuals should be understood in the context of their
cultural orientations, formed part of the theoretical foundation of Hofstedes research (1980).
The power distance index (PD) refers to the extent to which members of a culture accept
unequal distribution of power. This can lead to differences in salaries, privileges and status
symbols within an organisation. Hofstede (1980) found Austria, Israel, Denmark, Sweden
and Norway to have low power distance and Philippines, Mexico, Venezuela, India, Brazil
and Malaysia (Hofstede & Hofstede, 2005) to have high power distance. Organisations
operating in countries with low power distance are characterised by less centralisation, flatter
organisational pyramids, fewer supervisory personnel, smaller wage differentials and equal
valuation of manual and clerical work. The opposite characteristics are found in organisations
operating in countries with high power distance. Sub-Saharan African countries, especially
those in the eastern part, have high power distances with authority being assigned on the basis
of age and experience and with political systems centralising power among a few individuals
(Hofstede, 1996; Kiggundu, 1988).
Uncertainty avoidance (UA) is a measure of the extent to which members of a particular

culture tolerate uncertainty (Phatak, Bhagad & Kashlak, 2008). Denmark, Sweden, Great
Britain, the United States and India have low uncertainty avoidance and organisations in
these countries tend to have less structured activities, fewer written rules, more generalists,
greater variability, more willingness to take risks and less ritualistic behaviour (Luthans &
Doh, 2011). Greece, Portugal, Japan, Peru and France were found to have high uncertainty
avoidance and to display characteristics opposite to those of countries with low uncertainty
58
avoidance (Hofstede & Hofstede, 2005). Kiggundu (1988) argues that African cultures tend
to avoid uncertainty to a moderate degree and emphasise managerial direction and stability.
The individualism/collectivism (I/C) dimension indicates the extent to which individual

independence or social cohesion dominates within an organisation. Hofstede and Hofstede
(2005) contend that this dimension is what differentiates Western and Eastern cultures. In
countries with highly collective cultures, examples of which are China, Indonesia, South
Korea and Pakistan, pursuit of individual interests is conducted within acceptable group
frameworks, group norms guide individual behaviour and group harmony is an important
endeavour (Hofstede, 2007). Collective cultures tend to integrate people from very young
ages into strong and cohesive groups that protect them throughout their lifetimes in exchange
for unquestioning loyalty (Walumbwa & Lawler, 2003). Kuada (1994) argues that many
African societies practise a unique form of collectivism which he calls familism, where
familism implies a culture that uses the family group as the basis for judging all values. Such
a culture encourages extended family members to take care of each other, but it can easily
lead to nepotism (Okeke et al., 1999). Organisations operating in highly individualistic
cultures deal with employees in impersonal ways, do not defend employees interests and
adopt practices that encourage individual initiative (Shenkar & Luo, 2008). Highly
individualistic cultures are practised in United States, Australia and Great Britain while South
Korea and Indonesia have highly collective cultures (Hofstede & Hofstede, 2005).
The Masculinity/Femininity Index relates to gender roles. A role is performative, influenced

by gender, and often expressed in such attributes as clothing, behaviour, choice of work and
personal relationships. Roopnarine and Mounts (1987) compared gender to age, ethnicity and
class and concluded that gender tends to be the most universally and salient organising
principle. Many African societies divide gender roles among males and females. However,
gender roles are also influenced by national cultures, subcultures and social groups (An &
Kim, 2007). National cultures tend to be either masculine or feminine, with the masculine
cultures emphasising assertiveness, toughness and a focus on material success as opposed to
feminine cultures that tend to concern themselves with modesty, tenderness and quality of life
(Luthans & Doh, 2011). Organisations operating in highly masculine cultures, such as those
found in Japan, Austria, Venezuela, Italy and Mexico, have clear differentiations of sex roles,
interfere with peoples private lives to protect organisational interests, have fewer women in
59
qualified jobs and reward aggression, competitiveness and justice (Hofstede, 1980). On the
other hand, feminine cultures as practised in countries such as Sweden, Denmark, Thailand,
Finland and Yugoslavia tend to minimise sex roles, interfere less with peoples private lives,
have more women in more qualified jobs, value social rewards and reward soft and initiative
skills (Davis & Ruhe, 2003). African cultures tend to have high degrees of femininity as they
emphasise quality of life, time with other people and satisfaction of social needs (Hasan &
Ditsa, 1999).
The fifth index developed by Hofstede and Bond (1984) relates to orientation towards life. A
culture can emphasise either long-term or short-term values. Long-term orientation cultures
emphasise the future while short-term orientation cultures emphasise past and present values
(Hofstede, 2007). The long-term orientation index, also known as Confucian dynamism
among the Chinese people and Confucius in the West, resulted from the Chinese Value
Survey (Hofstede & Bond, 1984) and is based on the teachings of Kong Ze who, like
Socrates of ancient Greece, lived around 500 B.C. (Bell, 2010). Among the key values
espoused by Confucius are: 1) a society whose stability depends on unequal social status
between and among people 2) the family being the prototype of all social institutions and 3)
living a moderate life in which success is defined by acquiring necessary skills and education,
working hard, spending resources carefully and having patience and high levels of
perseverance (Hofstede & Minkov, 2010). Hofstede and Hofstede (2005) explain that
Confucian dynamism is unique to the East Asian countries of China, Hong Kong, Taiwan,
Japan, Vietnam and South Korea, all which tend to be more future oriented and to engage in
longer planning horizons with individuals ready to delay satisfaction of personal goals.
However, such organisations find it difficult to change deeply rooted traditions and practices.
Table 2.6 is a summary of the work of Hofstede (1980).
60
Table 2.6: Synthesis of Hofstedes (1980) cultural values
Cultural Characteristics of Examples of Characteristics of Examples of
dimension organisations low on countries low organisations high on countries
the cultural dimension. on the cultural the cultural high on the
dimension dimension cultural
dimension.
Power distance Less centralisation; Austria, Israel, Greater centralisation; Philippines,
flatter organisation Denmark, tall organisation Mexico,
pyramids; fewer Sweden, pyramids; more Venezuela,
supervisory personnel; Norway supervisory personnel; India, and
smaller wage large wage Brazil
differentials; structures differentials; structures
in which manual and in which white collar
clerical work are equally jobs are more valued
valued than blue collar jobs
Uncertainty Less structuring of Denmark, More structuring of Greece,
avoidance activities; fewer written Sweden, Great activities; more written Portugal,
rules; more generalists; Britain, United rules; more specialists; Japan, Peru,
variability; greater States, and standardisation; less and France
willingness to take risks; India willingness to take
less ritualistic behaviour risks; more ritualistic
behaviour
Individualism- Organisation as family; United States, Organisations are more Venezuela,
collectivism organisation defends Great Britain, impersonal; employees Colombia,
employee interests; Canada, and defend their own Taiwan,
practices are based on Netherlands interests; practices Mexico, and
loyalty, sense of duty practice high encourage individual Greece were
and group participation individualism initiative found to
emphasise
collectivism
Masculinity- Sex roles are minimised; Sweden, Sex roles are clearly Japan, Austria,
femininity organisations do not Denmark, differentiated; Venezuela,
interfere with peoples Thailand, organisations may Italy, and
private lives; more Finland, and interfere to protect Mexico tend
women in more qualified Yugoslavia their interests; fewer to have highly
jobs; soft, intuitive skills practice women are in qualified masculine
are rewarded; social femininity jobs; aggression, cultures
rewarded are valued competition, and
justice are rewarded;
work is valued as a
central life interest
Source: adapted from Hofstede (1980) and modified for this research.
Hofstede (1991; 2001) considers power distance and uncertainty avoidance as key factors that
need to be emphasised when studying organisations that operate in different cultures. A
separate study by Schein (1993) on the influence of culture on national rates of innovation
rated uncertainty avoidance as the most important cultural variable affecting innovation.
61
Table 2.6 indicates that countries embrace different cultural dimensions. Figure 2.3
summarises the extent to which a number of countries differ in the adoption of Hofstedes
cultural dimensions.
Figure 2.3: Hofstedes cultural dimensions by countries
Source: adapted from Hofstede (1997).
62
The work of Hofstede (1980) has been applied in a number of fields. For example, Muczyk
and Holt (2008) related it to leadership and underscored a strong association of autocratic
leadership styles to cultures that are high on power distance, collectivism, masculinity and
uncertainty avoidance. The two authors further argued that democratic leadership styles are
more effectively practised in cultures that have low power distance, high individualism, high
femininity, and low uncertainty avoidance.
McSweeney (2002) and Shenkar and Luo (2008), among others, have advanced a number of
criticisms of Hofstedes cultural framework. Firstly, Hofstedes survey is criticised for having
used data obtained from employees of a single company, IBM, which might not have been
representative of employees in other firms and industries. Secondly, the study was conducted
between 1967 and 1973 and hence it is out-dated, more so considering the level of
modernisation and cultural shifts taking place in different parts of the world (Gooderham &
Nordhaug, 2002). Thirdly, the results measured business culture rather than underlying values
(Shenkar & Luo, 2008). Fourthly, the study was not exhaustive as it did not cover the entire
spectrum of the culture phenomenon (Roberts & Boyacigiller, 1984). Fifthly, Hofstede
covered only a portion of the worlds countries and over the years, information has been
collected from numerous other countries. In any case, the meanings of terms used in
Hofstedes instrument were biased towards the West. Lastly, Hofstede interpreted national
data as if it represented individuals. In spite of these criticisms, Hofstedes framework (1980)
highlights the fact that people have cultural differences when dealing with social issues,
power, uncertainty, goals and orientations to life.
2.4.2.2 Schwartzs classification (1994) of culture
The previous sub-section discussed the cultural values model advanced by Hofstede (1980).
This sub-section explores Schwartzs classification (1994) of culture.
Schwartz (1994) collected data from a fairly large number of countries and sub-regions
between 1988 and 1992 which he used to identify three polarities of culture, namely
embeddedness versus autonomy, hierarchy versus egalitarianism, and mastery versus
harmony. He uses the term embeddedness or conservatism to denote a culture that emphasises
social relationships and tradition. Individuals are considered traditional when they strongly
63
respect and accept customs and ideas imposed on them by a culture or religion. Singapore,
Taiwan, Poland and Turkey have highly embedded cultures (Sagiv & Schwartz, 2000). On
the other hand, a culture of autonomy or self-direction encourages each person to find
meaning in his or her uniqueness. Countries that adopt a culture of autonomy encourage
individuals to express their own attributes.
Schwartz (1999) further distinguishes intellectual autonomy from affective autonomy. He

opines that intellectual autonomy occurs when an individual seeks self-direction and
creativity while affective autonomy is associated with an individual seeking stimulation and
hedonism. The quest for stimulation is a search for excitement, novelty and challenge in life
and hedonism refers to the gratification of ones pleasures and senses. France, Switzerland,
Germany and Denmark feature highly among countries practising affective autonomy while
Slovenia and Spain practice high intellectual autonomy (Schwartz, 1999).
A culture is hierarchical when the allocation of roles and resources in an organisation is done
in a hierarchical manner. China, Thailand, Turkey and Zimbabwe have highly hierarchical
cultures (Schwartz, 1994). Egalitarianism describes a culture that emphasises the welfare of
others as opposed to emphasising individual interests and it is practised in Estonia, Mexico,
Australia and Hungary (Schwartz, 1994). African cultures tend to emphasise the welfare of
the group (Mbiti, 1990).
Mastery versus harmony is the third polar dimension of culture presented by Shwartz (1994).
The term mastery is used to refer to the extent to which an individual is able to master the
social environment through self-assertion where self-assertion can be in the form of success
and ambition. Self-assertion is similar to a high need for power that enables an individual to
gain social status, prestige, control and dominance over resources and people. Mastery is
highly emphasised in Italy, Mexico, Finland and Spain (Schwartz, 1994). On the other hand,
harmony or universalism describes the extent to which a culture emphasises peace with
nature and people. Hong Kong, Switzerland, Brazil and Spain adopt highly harmonious
cultures (Schwartz, 1994). The attribute of harmony is important in view of the fact that
organisations are a part of the broader society. Harmony is emphasised by a number of
countries in eastern, southern, central and western parts of the African continent (Djangrang,
1998; Mbiti 1990).
64
Figure 2.4 classifies a number of countries on the basis of Schwartzs cultural dimensions.
Figure 2.4: Sample country rankings on Schwartzs dimensions
Embeddedness Affective Autonomy Intellectual Autonomy Hierarchy

High Singapore France Switzerland China
Taiwan Switzerland France Thailand
Poland Germany Slovenia Turkey
Turkey Denmark Spain Zimbabwe
Japan Turkey Hong Kong Italy

United States Brazil Poland Slovenia
Low
Brazil China Greece Denmark
China Hungary Turkey Greece
Egalitarianism Harmony Mastery

Estonia Hong Kong Italy
Mexico Switzerland Mexico
High Australia Brazil Finland
Hungary Spain Spain
Thailand Finland Israel

Low China Estonia Malaysia
Malaysia Slovenia Hong Kong
Taiwan France United States
Source: adapted from Sagiv and Schwartz (2000).
Ng, Lee, and Soutar (2007) summarise the work of Schwartz (1992) as dealing with the
cultural elements of power, achievement, hedonism, stimulation, self-direction, universalism,
benevolence, tradition, conformity and security. A synthesis of literature on Schwartzs (1994)
and Hofstedes (1980) classifications of culture indicates the existence of several positive and
negative correlations as outlined in Table 2.7.
65
Table 2.7: Correlations between Schwartzs (1994) classification and Hofstedes (1980)
classification of cultural values
Hofstedes (1980) Positive correlations with Negative correlations with
classification Schwartzs (1994) Schwartzs (1994)
classification classification
Individualism Affective autonomy, Conservatism, hierarchy
intellectual autonomy and
egalitarianism
Power distance Conservatism, hierarchy Affective autonomy

Uncertainty avoidance Harmony
Masculinity Mastery
Femininity Egalitarianism
In summary, this sub-section has discussed Schwartzs classification of culture. The next sub-
section examines Trompenaars and Hampden-Turners (2011) classification of culture.
2.4.2.3 Trompenaars and Hampden-Turners classification of culture
Trompenaars and Hampden-Turner (2011) liken culture to an onion that has three sets of
layers, namely core, middle and outer layers as depicted on Figure 2.5.
66
Figure 2.5: Layers of a culture
Outer or explicit layer representing

products of culture (e.g. language, food,
buildings, agriculture, shrines, art)
Middle layer representing

norms and values of a culture
Core or implicit
centre
representing
assumptions about
human existence
The two authors reviewed literature and classified culture into seven dimensions, namely
universalism versus particularism, communitarianism versus individualism, neutral versus
emotional, diffuse versus specific, achievement versus ascription, attitudes to time and
attitudes towards the environment. They used large-scale practitioner surveys to validate their
classification. Table 2.8 summarises the work of Trompenaars and Hampden-Turner (2011).
67
Table 2.8: Trompenaars and Hampden-Turners classifications of culture
Cultural Characteristics Examples of countries in
dimension which the culture is practised.
Universalism Cultures high on universalism emphasise legal solutions to problems and United States, Canada, UK,
versus application of rules in all situations Netherlands, Germany,
particularism (also Scandinavian countries
known as rules
versus In cultures that are high on particularism, organisations gain the commitment of Arabic countries
relationships). employees by providing the employees with more benefits
Communitarianis A culture is highly individualistic when people primarily perceive themselves as Israel, Canada, Nigeria,
m versus individuals and not as members of groups Romania, United States, Czech
individualism (also Republic, Denmark
known as the
group versus the Communitarianism implies a culture in which people perceive themselves as Egypt, Nepal, Mexico, India,
individual) members of groups as opposed to perceive themselves as individuals. Japan
Neutral versus Neutral cultures are characterised by impersonal and objective interactions with Ethiopia, Japan, Poland, New
emotional people preferring self-control as well as indirect and non-confrontational Zealand
responses
Interactions in emotional cultures are highly emotional, people avoid social Kuwait, Egypt, Oman, Spain
distance and responses are direct and emotional
Diffuse versus Specific involvement cultures confine interactions to narrow domains and United States, Germany
specific separate private life from work life. Outspoken expression and transparency are
encouraged in these cultures
Diffuse involvement cultures do not have clear separation of work life from
personal life. In these cultures, people respond depending on the situation and Japan, Mexico, France
personal circumstances
Achievement Achievement cultures bestow status to people on the basis of their achievement. United States, Canada
versus ascription In fact, these cultures emphasise performance evaluation. In achievement
oriented cultures, employees have the liberty to make commitments on behalf of
their companies; employees can also use detailed technical data to support their
decisions
Ascriptive cultures bestow status by birth, kinship and age. Moreover, these
cultures emphasise the use of titles and respect for superiors Kuwait , Saudi Arabia
Attitudes to time Short-term planning is practiced in cultures that emphasise short time horizons United States, Ireland, Brazil
Long-term planning is prevalent in cultures that emphasise long time horizons Portugal, Pakistan
A culture is oriented to the past when people are more concerned with the past
than with the present or the future. Heritage and reputation are the focus of Hong Kong, Israel, China
cultures whose orientation is the past
Cultures that perceive time sequentially emphasise planning United States
In cultures where time is perceived synchronically, planning is less emphasised Italy, Spain
Attitudes towards Control and dominance are associated with cultures that emphasise United States, Israel, pain
the environment environmental control
Cultures that do not emphasise control of the environment perceive many life Venezuela, Nepal, Russia
events to be uncontrollable
Source: adapted from Trompenaars and Hampden-Turner (2011) and modified for this
research.
68
In summary, this section has reviewed the concept of culture with a special emphasis on the
African culture. Nevertheless, it is worth noting the diversity of African cultures and the
effects of rural-urban migration on African cultures. While it has been stated that African
cultures tend to be highly collective, there is a trend towards individualism in the urban areas,
due to perhaps the economic challenges of operating in urban settings. Secondly, religion is
an important element of African cultures (Mbiti, 1990). Thirdly, African cultures emphasise
past and present time frames as opposed to emphasising the future, and elderly people are
highly respected since wisdom is associated with old age (Darley & Blankson, 2008).
Symbols and proverbs have been common ways of passing knowledge from one generation
to another.
2.5 Immediate discipline: Corporate governance practices of

public universities in developing countries
The previous section explored the concept of organisational culture. Several classifications of
organisational culture were presented. This section focuses on the immediate discipline for
this research which is the corporate governance practices of public universities in developing
countries.
2.5.1 An overview of public sector management

Effective and efficient management of public sector organisations is an issue of concern in
many countries. Melese, Blandin and OKeefe (2004) argue that public sector organisations
are increasingly being held accountable for their performance and are therefore expected to
operate efficiently and effectively. This means that public sector organisations have to search
for ways of improving their activities, one of which is the use of performance contracts.
According to Baird (2007), activity based management practices can also assist public sector
organisations to achieve their objectives, given that they promote greater transparency and
efficiency in the conduct of government activities (Melese, Blandin & OKeefe, 2004).
Since the 1980s, the growth of economies in Africa has been the concern of numerous
scholars, business practitioners, governments, donors and the international community. A
number of scholars have compared African economies with Asian economies and concluded
69
that while Asian economies have experienced tremendous growth over the last three decades,
many African economies have performed dismally (Akyz & Gore, 2001). Few African
economies can compare with those of China, South Korea, Malaysia and Singapore, yet at the
time of independence, many Asian and African economies had similar incomes and economic
structures (Bailey, Lenihan & Singh, 2009). The poor performance of African economies has
been attributed to factors such as inadequate corporate governance practices, poor
management and leadership approaches (Ochola, 2007), corruption and low motivation
among workers (Okpara, 2006).
Hoque (2008) notes the growing need to continuously improve efficacy in public sector
organisations all over the world. This need is driven by the fact that customers expect public
sector organisations to provide quality goods and services (Black, Briggs & Keogh, 2001).
Delighting customers leads to a competitive advantage. Moreover, Jarrar and Schiuma (2007)
argue that public sector organisations are becoming more focused on customers and results in
order to justify their existence. Besides, many communities and governments are turning
away from accepting the continuation of historical commitments simply because they are
historical. Marwa and Zairi (2009) highlight the decreasing differences between public and
private sector organisations. For instance, they argue that private sector organisations are now
expected to be more socially responsible.
To summarise, this sub-section provided a general overview of public sector management.

The next sub-section analyses the corporate governance practices of public sector
organisations in Africa.
2.5.2 An analysis of corporate governance practices of public sector

organisations in Africa
The concept of governance has existed for centuries. However, it is now an issue of concern
all over the world especially after a number of corporate failures experienced since the 1980s.
It was also in the 1980s that many African economies began to pay particular attention to the
ideals of good governance. Qudrat-I Elahi (2009) traces the origin of the term good
governance to a 1989 World Bank report on sub-Saharan Africa. Since the 1990s, the World
Bank, the IMF and donor communities have been pushing for good governance of the public
70
sector in several African economies. Currently, corporate governance is a buzzword in the
business world.
Solomon (2010) acknowledges the evolution of corporate governance systems in a number of

developing countries in Africa but Rwegasira (2000) argues that the concept of corporate
governance is not necessarily the best solution for developing economies. This is because a
number of developing countries face problems related to unstable political regimes, low per
capita incomes and diseases among many others. Such problems require more elaborate
solutions than simply adopting corporate governance concepts. In any case, there is a general
lack of research in corporate governance practices in developing countries, especially
countries in the African continent (Okeahalam, 2004; Shleifer & Vishny, 1997). This can be
attributed to the fact that, until relatively recently, the issue of corporate governance received
minimal attention in the developing world. Yakasai (2001) observes that historically the
ability of managers to run organisations was never questioned. Consequently, there was little
concern for corporate governance or information disclosure and transparency. Nevertheless
this situation is changing and the concept of corporate governance is now acknowledged to
play an important role in the management of organisations in developing economies.
Tsamenyi, Enninful-Adu and Onumah (2007) argue that developing countries are often faced
with a myriad of problems that include underdeveloped and illiquid stock markets, economic
uncertainties, weak legal controls, investor protection and frequent government intervention.
These factors make it necessary for developing countries to adopt effective corporate
governance structures. Several developing countries have been forced to adopt corporate
governance practices by the pressures of an increasingly globalised world economy,
democratisation, adoption of IMF/World Bank-led economic reforms and the recent financial
scandals in the West (Ahunwan, 2002; Gugler, Mueller & Yurtoglu, 2003; Rabelo &
Vasconcelos, 2002). It has also been suggested that improved corporate governance systems
can serve as an incentive for attracting foreign investment (Ahunwan, 2002, Okpara, 2011;
Reed, 2002). In fact, it is poor economic performance and high international debt levels in
emerging markets that forced the World Bank, the IMF, and the IFC to intervene in order to
improve the governance practices adopted in these markets (Reed, 2002).
71
However, developing countries have corporate governance models that differ from those
adopted by developed countries (Rabelo & Vasconcelos, 2002). This is because of the unique
economic and political systems found in developing countries. Armstrong (2009) argues that
developing countries are poorly equipped to implement the types of corporate governance
approaches adopted by developed market economies because of the unique nature of
developing countries. The same author identifies some of the unique features of developing
countries as state ownership of companies, interlocking relationships between government
and the financial sector, weak legal and judiciary systems, absent or underdeveloped
institutions and limited human resource capabilities.
Developing countries have weak forms of corporate governance structures. Consequently

several measures have been suggested for improving such structures. Notable suggestions
include the use of equity instead of debt for growth, increasing overall investor confidence
through greater shareholder rights and increased transparency, strengthening capital market
structures, and encouraging the use of competition to improve performance of domestic firms
(Reed, 2002). The concept of competitions as a way of encouraging improvements in
productivity has been adopted in many parts of the world (Marwa & Zairi, 2008).
Competitions mainly involve giving awards to firms that excel in stated areas and they can be
administered at a national level. Firms that adopt total quality management (TQM) ideals
tend to use the Malcolm Baldrige framework as a quality control tool for their activities.
National quality awards provide a structured and integrated management system for firms to
assess their strengths and weaknesses, and to benchmark against other firms (Zairi, 2005).
The award criteria detail the characteristics and approaches of organisational systems that are
deemed to promote sustainable and excellent performance (Djerdjouri, 2004; Tan 2002).
Miguel (2006) opines that quality awards enhance quality awareness, which leads to
improved service quality and organisational performance. Zairi (2005) further argues that the
various quality awards instituted by several countries are aimed at promoting awareness of
quality and productivity, facilitating exchange of information among organisations and
encouraging organisations to adopt strategies to improve quality, productivity and
competitiveness. Similarly, Xie et al. (1998) maintain that quality awards promote and
reward business excellence and they represent a countrys efforts to enhance its trans-national
reputation in an increasingly competitive world market. Moreover, Jger (1996) argues that
72
national awards trigger organisations to develop continuous improvement activities which
may lead to increased productivity. National quality assurance awards are built on a set of
values and concepts that are consistent with those of highly successful organisations. Several
studies have found successful organisations to display a customer-driven quest for quality, a
results orientation, leadership commitment, long-term view of the future, people recognition,
public responsibility, management by processes and facts, proactive actions, rapid responses
and continuous improvement or continuous learning (Fitz-Enz, 2009; Miguel, 2001).
In summary, public sector organisations in many African countries are often accused of being
poorly managed and unable to provide the goods and services they should be providing. A
synthesis of literature on governance systems in Africa points to the need for change in a
wide variety of areas. Olowu (1999) emphasises the need to overhaul ineffective governance
systems and replace them with others that encourage competitiveness, democracy and
collaboration with external partners. Similarly, Obongo (2007) stresses the need to avoid
duplication of resources in the process of providing public goods and services. Moreover,
there is a growing need to reduce corruption (where it exists) in government departments and
ministries. According to Mauro (1995), corruption lowers investment and the economic
growth of a country. Saxena (2005) points out the importance of e-governance and the need
to make public sector organisations more customer-focused. The implication is that public
sector organisations have to embrace cultural change, do away with unproductive cultures
and become learning organisations.
This sub-section analysed the corporate governance practices of public sector organisations in
Africa. The next sub-section explores corporate governance of public sector organisations in
Kenya.
2.5.3 Corporate governance of public sector organisations in Kenya

Historically, some of Kenyas public sector organisations were formed for political reasons,
such as creating employment and integrating the nation (Van Den Bor & Shute, 1991). For
example, a number of Kenyas public universities were established not for the advancement
of national intellect but for national pride and domestic politics (Oketch, 2004). Nevertheless,
the role played by Kenyas public sector organisations cannot be overemphasised.
73
The Kenyan public sector is modelled around key government departments, parastatals and
government bodies (Republic of Kenya, 2007). The key government departments oversee the
activities of the other government parastatals, government bodies and private sector
enterprises. These departments do not compete with other similar organisations but they are
expected not only to offer quality services but also to operate efficiently and effectively.
Some parastatals are expected to compete with firms in the private sector and to make
reasonable profits. It is therefore important for these firms to be managed effectively if they
are to compete favourably with domestic and international firms. In any case, these firms
should benchmark themselves against the best practices in different parts of the world.
Currently, Kenyas public service is faced with major challenges that include an uncertain
economy, political changes and a globalised market (Nafukho, 2008). Moreover, a number of
Kenyas public sector organisations are barely surviving and this is why the IMF/World bank
had to intervene in their management (Reed, 2002). However, survival is not enough for
these organisations considering the rapid technological advances that are taking place all over
the world. Public sector organisations in Kenya must think in terms of excellence if they are
to adapt effectively to the changing environment (Gachunga, 2009).
In an effort to improve the productivity of public sector organisations, the Kenyan

government launched civil service reforms in 1993 (Obongo, 2007). These reforms have
taken such forms as performance management systems and rapid results initiatives. Although
many gains have been achieved since that time period, there is still room for better
performance. For example, Kiragu (2002) compares civil service reforms in Botswana,
Kenya and Ethiopia and concludes that Botswana and Ethiopia have achieved more gains
than Kenya.
In summary, this sub-section examined the corporate governance practices of public sector
organisations in Kenya. Public universities in Kenya are part of the countrys public sector.
The next sub-section explores the history of higher education in Kenya and lays emphasis on
the challenges facing Kenyas public universities as well as the managerial responses to these
challenges.
74
2.5.4 Higher education in Kenya
According to Yizengaw (2003), higher education is one of the most effective instruments for
economic, political, human resources and social development. Similarly, Ogom (2007) argues
that higher education not only enables a state to maintain a competitive advantage but it also
stimulates scientific research that results in modernisation and social transformation. In a
number of developing countries in Africa, education per se is assumed to equalise
opportunities among social classes, distribute income more fairly and develop a more
employable labour force (Carnoy, 1982). On this basis, Ogom (2007) proposes that
governments should financially support their institutions of higher education. Altbach (2011)
opines that universities are political forces and sources of social mobility while Van Den Bor
and Shute (1991) argue that governments should consider universities as symbolic assets in
the process of nation building in the same way that national flags or airline carriers are
considered symbolic assets.
In recognising the connection between higher education, science, technology and sustainable
human development, the United Nations Educational, Scientific, and Cultural Organisation
(UNESCO) made higher education one of its top priorities (Sadlak & Altbach, 1997).
Nevertheless, Van Den Bor and Shute (1991) caution that higher education, or education in
general, is not a magic bullet for development; it is only one of the many actors in a countrys
development process. Proper governance of institutions of higher education is necessary,
given their strategic role in any country.
2.5.4.1 History of higher education in Kenya
In order to grasp the current governance practices adopted in public universities in Kenya, it
is necessary to have a broad understanding of the history of higher education in Kenya.
Mwiria and Ngethe (2007) trace it back to 1922 when Makerere University in Uganda was
founded as a technical college for African students from the East African countries of Uganda,
Kenya and Tanganyika. In the initial years, this college offered post-school certificate courses
in such fields as teacher training and carpentry. Following publication of the Asquith Report
in 1949, the Makerere University Act was passed and this enabled the institution to legally
75
transform itself into the University of East Africa, which admitted its first undergraduate
students in 1950, to study for degrees offered by the University of London.
As demand for university education increased, there was a need for universities in each of the
three east African countries of Kenya, Uganda and Tanzania. Consequently, the Royal
Technical College of East Africa was established in Nairobi, Kenya, in 1956 to provide
instruction in courses leading to the British Higher National Certificate and to prepare
students for university degrees in engineering and commercial courses, which were not
offered by Makerere University. In 1961, the Royal Technical College of East Africa was
renamed the Royal College of Nairobi and was turned into a university college, offering
Bachelor of Arts and Bachelor of Science degrees in engineering, again from the University
of London. In 1963, the Royal College became the University College of Nairobi and joined
Makerere and Dar es Salaam Colleges to form the Federal University of East Africa. The
Federal University of East Africa was dissolved in 1970 due to nationalistic pressures from
Kenya and Tanzania. As a result, the University College of Nairobi was renamed the
University of Nairobi and became Kenyas first fully fledged university (Mwiria & Ngethe,
2007). The University of Nairobi remained the only university in the country until the mid-
1980s.
Currently, there are seven public universities in Kenya with an enrolment of 100,649 students
(Muchiri, 2010). These are the University of Nairobi, Kenyatta University, Egerton
University, Moi University, Jomo Kenyatta University of Agriculture and Technology,
Maseno University and Masinde Muliro University of Science and Technology. Table 2.9
indicates the constituent colleges associated with six of the mentioned public universities.
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Table 2.9: Kenyas public universities and their constituent colleges
Public university Constituent colleges
University of Nairobi Kenya Polytechnic University College
South Eastern University College
Kenyatta University Pwani University College
Mombasa Polytechnic University College
Moi University Narok University College
Kabianga University College
Egerton University Kisii University College
Chuka University College
Laikipia University College
Jomo Kenyatta Multimedia University College of Kenya
University of Agriculture Meru University College of Science and
and Technology Technology
Kimathi University College of Technology
Maseno University Bondo University College
The Kenyan government, through a statement in 2010 by the Minister for Higher Education,
Science and Technology hinted that it was contemplating uplifting the 13 university colleges
into full university status by the end of 2011. Moreover, a new Open University is expected
to admit its first batch of 20,000 students in 2011 (Muchiri, 2010).
According to Varghese (2006), implementation of SAPs made it difficult for many African
nations to fully support their institutions of higher education. In the case of Kenya, demands
associated with SAPs made it impossible for public universities to admit all the qualified
candidates. This facilitated the formation of private institutions of higher education to
complement the public institutions (Abagi, 2006). A number of private institutions of higher
education are run by religious institutions (Otieno, 2007; Varghese, 2006).
Private institutions of higher education often specialise in such courses as law, the humanities
and commerce, which require less infrastructural and equipment investment (Varghese, 2006).
Some critics argue that Kenyas private institutions of higher education absorb relatively
more female than male students, because female students perform more poorly than their
male counterparts in the Kenya Certificate of Secondary Education (KCSE) examinations,
and fail to qualify for admission to the public universities (Abagi, 2006; Oketch, 2004). In
any case, there is a trend, in many parts of the world, towards mass higher education as
77
opposed to elite university systems (Oketch, 2004). The Kenyan government has also
facilitated the growth of private institutions of higher education by establishing the
Commission for Higher Education (Abagi, 2006).
Private universities operating in Kenya can be categorised under three headings, namely
chartered universities, universities with letters of interim authority and universities operating
under certificates of registration. Table 2.10 provides a list of these universities.
Table 2.10: Private universities operating in Kenya

Category Names of private university Brief description of the
university
Chartered universities African Nazarene University They are fully chartered
Catholic University of Eastern Africa and offer their own
Daystar University degrees
Kabarak University
Strathmore University
University of Eastern Africa,
Baraton,
St. Pauls University
Kenya Methodist University
The Pan-Africa Christian University
Scott Theological College
United States International
University (USIU)
Universities operating Aga Khan University They have been given a

under Letters of Interim Great Lakes University of Kisumu letter of interim authority
Authority Kiriri Womens University of to run degree
Science and Technology programmes as they
The Presbyterian University of East await registration and
Africa charters
Adventist University of Africa
Mt Kenya University
KCA University
GRETSA University
The Nairobi International School of These private universities

Universities operating with Theology operate under certificates
Certificates of Registration The East Africa School of Theology of registration granted by
The Nairobi Evangelical Graduate the Commission for
School of Theology Higher Education (CHE)
Kenya Highlands Bible College
78
The private universities complement their public counterparts in providing higher education
to a growing number of students. Abagi (2006) perceives the private universities as creating
healthy competition for students and staff in the public universities, while Oketch (2004)
associates healthy competition with higher standards and more benefits to students. The
implication is that private and public universities gain competitive advantage by offering
market oriented courses. For example, the provision of science oriented courses, that
encourage research in critical areas such as medicine, can be a source of competitive
advantage.
2.5.5 Challenges facing public universities in Kenya

The previous sub-section examined the history of higher education in Kenya. This sub-
section explores the challenges facing public universities in Kenya. These challenges include
the rapid expansion of university education, reduced government funding, gender inequality
and low research capability, students living in poor conditions and the spread of HIV/AIDS
(Mwiria & Ngethe, 2007).
2.5.5.1 Rapid expansion of university education
The widespread demand for higher education in Kenya, as evidenced by the rapid growth in
the number of institutions and enrolments, is a major challenge for Kenyas public
universities (Mwiria & Ngethe, 2007). Currently there are about 100,000 students enrolled in
seven public universities and the number is expected to expand to 157,000 by 2015 (Muchiri,
2010). This trend is not unique to Kenya. Carnoy (1982) confirms that most countries of the
world have experienced rapid increases in the demand for education.
According to Oketch (2004), the expansion of higher education in Kenya before the advent of
the SAPs was unprecedented. Wesonga et al. (2007) explain that the widespread demand for
higher education in Kenya has been triggered by four main reasons, namely:
massive expansion of primary and secondary education over the last three decades;
population growth rates of about 4 per cent per year experienced during most of the
1980s and 1990s;
increasing sophistication of an economy that demands skilled employees; and
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the decision by some religious organisations to open tertiary institutions primarily for
their followers, leading to church-sponsored universities.
The rapid expansion of public university education in Kenya in the midst of limited financial
resources has led to a deterioration of public universities in such areas as the quality of
teaching and research, library facilities, halls of residence and student and staff representation
(Oketch, 2004). Ogom (2007) perceives Kenyas public universities to have lost their former
glory, due in part to low motivation of students and staff, and poor infrastructure.
2.5.5.2 Reduced government funding
In an effort to improve governance practices in Kenya, the IMF and the World Bank
introduced structural adjustment programmes (SAPs) in the 1990s. These SAPs required the
Kenyan government to reduce funding of higher education, redirect more funding to primary
education (Ogom, 2007) and divert more public resources from education to productive
sectors (Varghese, 2006). Moreover, the Kenyan Government was pressurised to suspend
construction of residential and non-residential buildings in universities, reduce maintenance
workforces, introduce cost-sharing tuition, stop paying allowances to students, and suspend
free student meals and accommodation (Oketch, 2004). The implementation of these
decisions exerted financial pressure on Kenyas public universities. Currently, the Kenyan
government allocates an annual uniform figure of KSh.120, 000 per student irrespective of
the course (Muchiri, 2010). Reduced government funding of public universities has led to a
knowledge or intellectual capital gap as the country is not able to develop the human
resources it requires (Birdsall, 1996). This partly explains why SAPs have been accused of
hindering, or being counterproductive to, economic growth in Africa (International Labour
Organization, 2007; Mkandawire, 2005).
Public universities in Kenya have tried to put in place measures to generate income so as to
supplement their inadequate government allocation. These measures include:
introducing parallel or part-time degree programmes;
renting out facilities like hostels during holidays and conference halls for social
functions;
opening the University of Nairobi mortuary to public use at a fee;
80
producing crops, milk and beef on university farms;
providing short-term courses, contract research for industry, and consultancy services;
introducing diploma and distance education programs; and
encouraging individuals and organisations to contribute towards higher education in
the country.
The public universities have attained some levels of success in generating extra revenue
especially through the parallel degree programs. Nevertheless, for public universities, the
process of generating income has had some side effects. Rosenberg and Raseroka (2000)
argue that public universities involved in income generating activities in order to meet
shortfalls in budgets experience problems of skills shortages, and employees of such
institutions require more training in the areas of finance, budgeting, accounting, IT, project
proposal writing, negotiation skills and human resource management.
2.5.5.3 Gender inequality and low research capability
Kenyas public universities are often criticised for having more male than female students,
and producing graduates that are poorly equipped for the job market. This forces employers
to re-train fresh graduates, which is a time-consuming and expensive activity. The problem is
compounded by the fact that some public universities have not effectively adopted the use of
IT. According to Kim, Mim and Holmes (2006), IT can be used to improve the effectiveness
of teaching and learning, because it enables universities to individually tailor instruction and
provide specialised education to small groups of learners.
2.5.5.4 Students living in poor conditions
Since the 1990s, the number of students enrolled in Kenyas public universities has been
more than can be supported by the available facilities. This has led to poor living conditions
as evidenced by the sharing of accommodation, and students having to prepare their meals in
the halls of residence. Poor living conditions often lead to anxiety, stress, bitterness and
hatred of the university by some students and members of the public. Moreover, poor living
conditions and ineffective teaching, lack of tutorials, threats by lecturers and sex-related
81
scandals tend to combine to produce student unrest. Student unrest in Kenya has also been
associated with resistance to SAPs, high rates of unemployment, and demands for democratic
reforms in the country (Amutabi, 2002).
2.5.5.5 HIV/AIDS
Although there are no accurate data on the actual numbers, HIV/AIDS has affected a number
of public university students and staff members. These institutions have responded by setting
up AIDS control units (ACUs) that develop programs for the management of HIV/AIDS, and
that help to raise community awareness. The ACUs have a general objective of reducing the
prevalence of HIV/AIDS among the university community, reaching out to infected and
affected groups both within and outside the universities, offering counselling services for
those living with AIDS and their families, and demystifying the disease (Wesonga et al.,
2007).
2.5.6 The need for corporate governance reforms

The challenges facing public universities in Kenya indicate the need for broad policy changes
in their management. Indeed change is part and parcel of organisational life, and
organisations that fail to adapt to change risk the hazards of stagnating, or going out of
business. The ability to adapt to a changing environment is a source of competitive
advantage. Improved governance of public universities benefits a wide range of stakeholders
that include students and employees.
Mwiria (2007) highlights governance as the area most in need of reform in the management
of public universities in Kenya. The author perceives poor corporate governance practices as
the main cause of numerous strikes and closures over the past decade. These strikes and
closures have prolonged the time taken by students to graduate, and they have disrupted
academic life. Further, some prospective students, and staff, have been forced to opt for the
private universities or overseas institutions. Mwiria and Ngethe (2007) opine that some of the
governance issues that need to be addressed relate to management structures, student affairs,
staff and student associations, the appointment of chancellors, and the role of the
Commission for Higher Education (CHE).
82
2.5.7 Strengths, weaknesses and relationship of prior studies to the current
research
Having explained the need for corporate governance reforms in the previous sub-section, this
sub-section reviews the strengths, weaknesses and relationships of prior studies to the current
research.
According to Okpara (2011), Parker (1996) and Vinten (2001), the concept of corporate
governance originated in the nineteenth century when incorporation was being fronted as a
way of limiting liability but it began to be used and spoken about more commonly in the
1980s. This research corroborates these studies. Nevertheless, this study acknowledges that
the sub-Saharan countries in general, and Kenya in particular, were less exposed to corporate
collapses since the 1980s, which is a departure from Trickers assertion (2011) that corporate
collapse was the driving force for the adoption of the corporate governance ideals. However,
this research acknowledges the role played by improved corporate governance practices on
the growth and development of economies in both developed and developing countries,
which is in line with the contributions of Claessens (2006), Clarke (2004), Coward (2010)
and Reed (2002).
This research adopts the Anglo-American, or outsider model of corporate governance

(Aguirela & Jackson, 2003; Reed, 2002), since Kenya was once a British colony and adopts
the common law. However, the researcher acknowledges the differences found among
different countries, which make it difficult to develop universally applicable models of
governance as suggested by Judge (2010).
2.6 Research gaps on corporate governance

The preceding sections have reviewed literature on the parent and immediate disciplines in
the area of corporate governance of public universities in Kenya. Corporate governance has
been defined as the process by which organisations are directed, controlled and held to
account (ASX Corporate Governance Council, 2007; Cadbury, 1992). From the literature
review, four research gaps have been identified.
83
Firstly, limited research has been done in the area of corporate governance in developing
economies, especially those in Africa (Okeahalam, 2004; Shleifer & Vishny, 1997).
According to Hynes (2010), the Kenyan government is working to improve ethics and
governance in public and private organisations as a way of attracting foreign direct
investment (FDI), implying there is a need for more research on corporate governance in
Kenya.
Secondly, Kenyas public universities are faced with a myriad of challenges, or areas that
need to be reformed. Governance affects a wide range of issues, such as the recruitment of
management teams, and the determination of the relevant management structures. A policy
implication is that Kenyas public universities should consider governance as a serious issue,
and train their council and university management board members on its application and
importance.
Thirdly, the corporate governance practices used in developed countries are not directly
applicable in developing economies because of political, economic, technological and
cultural differences (Mensah, 2002; Rabelo & Vasconcelos, 2002), meaning that there is a
need to develop other models that consider the conditions in each developing country, and
that are not directly borrowed from developed countries.
Lastly, minimal research, if any, has been done on the corporate governance practices of
Kenyas public universities. The research gaps identified are filled by this study. It is
expected that the best practices model developed from this research will be suitable for public
universities not only in Kenya but also in other developing countries.
2.7 Research issues

Based on the literature reviewed, a number of research issues, questions and propositions
arise, and they form the basis for this section. Stake (1995, p. 17) argues that issues are not
simple and clean, but intricately wired to political, social, historical, and especially personal
contexts. All these meanings are important in studying cases. Both issues and research
questions are used to formulate the conceptual framework of a study (Baxter & Jack, 2008;
Stake, 1995; Yin, 2009).
84
This research uses a theoretical and conceptual framework to illustrate the interrelated
research issues, questions and propositions (ODonoghue & Punch, 2003). According to
Miles and Huberman (1994), a conceptual framework enables a researcher to decide whom to
include in a study, to describe existing relationships, and to group similar concepts together.
The framework is also handy during the data analysis stage of a research project (Baxter &
Jack, 2008). Yin (2009) proposes that the use of a theoretical framework improves a
qualitative research enquiry. A conceptual framework, therefore, explains either graphically
or in narrative form the main issues, key factors, constructs and variables studied as well as
the presumed relationships among the research variables (Miles & Huberman, 1994). A
researcher who develops a theoretical framework is better placed to focus on the most
meaningful aspects of his or her research. Such a researcher is not only able to formulate a
research problem but he or she is also better placed to put the problem into a research context.
Nevertheless, a conceptual framework can limit the inductive approach when a new
phenomenon is being explored (Baxter & Jack, 2008). The research problem, objectives,
questions and propositions for this research are stated in the following sub-sections.
2.7.1 Research problem

The literature reviewed indicates that corporate governance practices in developing countries
are so weak that they have led to poor economic growth, corporate failures and high debt
levels (Armstrong, 2009). This has forced financial institutions such as the World Bank, the
IMF, and the IFC to intervene in an effort to instil better governance practices (Ahunwan,
2002; Gugler, Mueller & Yurtoglu, 2003). Public universities have to improve on their
governance practices if they are to survive and thrive in an increasingly globalised economy
(Mwiria & Ngethe, 2007). On this basis, the research problem for this study is stated in
Figure 2.6.
Figure 2.6: Research problem for this study
How can the corporate governance practices of public universities in Kenya be

improved considering the culture in the country?
85
2.7.2 Research objectives
In order to solve the research problem stated in Figure 2.6, seven research objectives have
been specified and these are presented in Figure 2.7.
Figure 2.7: Research objectives for the study
a) To determine the approaches used to establish governing councils of

Kenyas public universities
b) To identify the functions performed by governing councils of Kenyas
public universities
c) To explore the mechanisms used by councils to enhance governance of the
public universities
d) To examine the challenges encountered by Kenyas public universities
e) To identify the challenges encountered by the governing councils of
f) To determine the culture prevailing in the boards of directors of public
universities
g) To develop the best approach to governing public universities in Kenya
2.7.3 Research questions

Based on the review of literature in the parent and immediate disciplines, it is evident that
public sector organisations in developing countries should adopt better corporate governance
practices. It has also been pointed out that the corporate governance practices adopted in each
country depend on the unique political, economic, technological and cultural conditions
found in each country (Mensah, 2002; Rabelo & Vasconcelos, 2002). The main objective of
this study is to develop a best practices model of corporate governance for public universities
in Kenya that considers the culture found in the country. Consequently, the research
questions for this study are shown in Figure 2.8.
86
Figure 2.8: Research questions for the study
How are the governing councils of Kenyas public universities constituted?

What functions do the governing councils of Kenyas public universities
perform?
What mechanisms do the councils adopt to enhance governance of the public
universities?
What challenges do Kenyas public universities encounter?
What challenges do the governing councils of Kenyas public universities face?
What culture prevails in the boards of directors of Kenyas public universities?
How can the governance of Kenyas public universities be improved?
2.7.4 Research propositions

Propositions are statements that explain the logical relationships among concepts by asserting a
universal connection between them (Maxfield & Babbie, 2010; Zikmund, 2010). Given that
propositions are helpful in case study research (Baxter & Jack, 2008), the researcher formulated
seven propositions for this study, and they are shown in Figure 2.9.
87
Figure 2.9: Research propositions for this study
Managers of public universities in Kenya should be educated to understand

the best approach to constituting councils
Managers of public universities in Kenya should be informed of the specific
functions they should be performing
The mechanisms used to enhance governance should be explained
The challenges faced by Kenyas public universities should be identified
The challenges encountered by the governing councils of Kenyas public
universities should be determined
The effects of culture on the corporate governance practices of public
universities in Kenya should be explained
The best approach to governing public universities in Kenya should be
developed
The above discussion has identified the research problem, objectives, questions and
propositions for this study. All these concepts are included in the theoretical model used to
guide the researcher in solving the research problem. This theoretical model is shown in
Figure 2.10.
88
Figure 2.10: A summary of the research issues
Research Research Research Research

problem objectives questions propositions
1. To determine the 1. How are the 1. Managers of public

approaches used to governing councils of universities in Kenya
establish governing Kenyas public should be educated to
councils of Kenyas universities understand the best
public universities constituted? approach to
constituting councils
2. To identify the 2. What functions do
functions performed the governing councils 2. Managers of public
by governing councils of Kenyas public universities in Kenya
of Kenyas public universities perform? should be informed of
universities the specific functions
they should be
3. To explore the performing
mechanisms used by 3. What mechanisms
councils to enhance do the councils adopt to 3. The mechanisms
To develop a model
governance of the enhance governance of used to enhance
of best practice for
public universities the public universities? governance should be
the corporate
explained
governance of public
4. To examine the
universities in 4. What challenges do
challenges 4. The challenges faced
Kenya that may be Kenyas public
encountered by public by Kenyas public
suitable for public universities encounter?
universities in Kenya universities should be
universities in
identified
developing countries 5. To identify the
challenges 5. What challenges do 5. The challenges
encountered by the the governing councils encountered by the
governing councils of of Kenyas public governing councils of
Kenyas public universities face? Kenyas public
universities universities should be
determined
6. To determine the 6. What culture
culture prevailing in prevails in the boards 6. The effects of culture
the boards of of directors of Kenyas on the corporate
directors of public public universities? governance practices of
universities public universities in
Kenya should be
explained
7. To develop the best 7. How can the 7. The best approach to

approach to governance of Kenyas governing public
governing public public universities be universities in Kenya
universities in Kenya. improved? should be developed
89
2.8 Conclusion
This chapter reviewed the literature on the three parent disciplines of corporate governance,
learning organisations and organisational culture. It also reviewed the literature on the
immediate discipline, which is the corporate governance practices of public universities in
Kenya. The review of literature led to the statement of the research problem, specification of
research objectives and research questions, identification of research gaps, and the crafting of
research propositions. A theoretical model was developed to guide the researcher in solving
the research problem.
90
CHAPTER 3: RESEARCH METHODOLOGY
3.1 Introduction
The previous chapter reviewed literature related to the parent and immediate disciplines for
this research, which led to identification of the research gaps, emergence of the research
issues, and the crafting of seven research questions. This chapter presents, describes, and
justifies the appropriateness of the case study methodology to examine the corporate
governance practices of Kenyas public universities.
The chapter is presented in eight sections. Section 3.1 introduces the chapter and provides a
graphical outline of its contents. Section 3.2 provides definitions of the different research
strategies commonly used in the social sciences (section 3.2.1), and examines the various
types of business research (section 3.2.2). The research problem and research issues
investigated in this study are identified in section 3.2.3, while section 3.3 justifies the
appropriateness of the case study methodology for this research. Section 3.3 further explores
the different research paradigms (section 3.3.1) and explains why a qualitative approach is
deemed appropriate for this research (section 3.3.2). Next, the research design is discussed in
section 3.4. This includes justifications for using a case study approach within the realism
paradigm (section 3.4.1), definitions of case study research (section 3.4.2), and the criteria for
judging the quality of case study research (section 3.4.3). Section 3.5 explores the framework
for conducting case study research, which includes the prior theory (section 3.5.1), research
design (section 3.5.2), data collection (section 3.5.3), and the data analysis procedures
adopted for this research (section 3.5.4). Section 3.6 examines the limitations of case study
research while section 3.7 addresses ethical concerns. Finally, a conclusion is presented in
section 3.8. Figure 3.1 is a graphical outline of the chapter.
91
Figure 3.1: A graphical outline of chapter 3
Chapter Three: Methodology
3.1 Introduction 3.2.1 Research strategies

3.2.2 Types of business research
3.2.3 Research problem and research
3.2 Definitions issues

3.3.2 Qualitative versus quantitative
3.3 Justification for the methodology
research
3.4.1 Defining and justifying the use of

3.4 Research design case study research
3.4.2 Definitions of case study research
3.4.3 Criteria for judging the quality of
case study research
3.5.1 Prior theory

3.5 Framework for case study research
3.5.2 Research design for case studies
3.5.2.1 Type of case studies
3.5.2.2 Replication logic within
multiple case studies
3.6 Limitations of case study 3.5.2.3 Selection of the cases and
methodology number of interviews

3.7 Ethical considerations 3.5.3.1 Data collection methods for this
research
3.5.3.2 Participants actions during the
interviews
3.5.3.3 Case study protocol
3.8 Conclusion
3.5.4 Analysing the data
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3.2 Definitions
This section has three objectives. Firstly, it identifies and defines the different research
strategies commonly used in social science research. Secondly, it introduces, explores and
explains different types of business research. Thirdly, it examines the broad research problem
and the seven research questions that form the basis of this research.
3.2.1 Research strategies

Yin (2009) holds that there are five research strategies, namely experiments, surveys, archival
analysis, history and case study. Each strategy follows its unique way of collecting and
analysing empirical evidence, and it has its own advantages and disadvantages. Each of the
strategies is briefly explained as follows.
An experiment is a research method that enables a researcher to evaluate the cause-and-effect

relationships among variables. Experiments involve independent and dependent variables. A
researcher manipulates the independent variable and measures its effects on the dependent
variable(s) (Zikmund, 2010). However, an experiment requires a researcher to control
behavioural events that may influence the outcome of the experiment (Coolican, 2009;
Haslam & McGarty, 2003).
A survey, or sample survey, is a method of collecting data from a sample that is

representative of a study population (Wadsworth, 2011; Zikmund, 2010). Surveys are
primarily conducted with the aim of quantifying certain factual information, but they also
deal with qualitative information (Zikmund, 2010). Yin (2009) perceives archival analysis
and history to be research strategies that generally deal with non-contemporary events, and
that rely more on business records.
Case study research involves examining a single setting, subject, depository of documents or
particular event in detail (Bogdan & Biklen, 2007; Merriam, 1991; Stake, 1995). As a
research methodology, case study is essentially distinctive in the sense that it follows a
specific set of procedures to investigate an empirical topic (Yin, 2009). The case study
methodology appears to be the most appropriate and suitable research method for the
93
purposes of this research, and its suitability is explained in greater detail in section 3.4.1 (p.
110) of this thesis.
Table 3.1 summarises the main research strategies commonly cited and used in social science
research, and identifies the research strategy adopted in this research.
Table 3.1: Common research strategies used in social science research

Research strategies used in Research strategy used in
social science research this research
Experiment No
Archival analysis No
History No
Survey No
Case study Yes
Source: adapted from Yin (2009).
3.2.2 Types of business research

According to Neuman (2010), the type of research design is generally determined by the
purpose of a study, which can be to explore a new area, to describe a particular situation or to
explain why something occurs (Babbie, 2010). In the same vein of argument, Zikmund (2010)
holds that business research can serve an exploratory, descriptive and/or causal purpose. This
categorisation indicates that the selection of a research method is not arbitrary but is
determined by the nature of the research problem and the degree of uncertainty surrounding it.
The foregoing argument indicates that many research studies can be categorised as
exploratory, descriptive, or explanatory. However, Hussey and Hussey (1997) argue that
some studies have multiple purposes although one purpose may be dominant.
Exploratory research: This type of research is conducted in situations where little is known
about the problems at hand, or where there is no information available on how similar
problems, or research issues, were dealt with in the past (Sekaran, 2009). It is also conducted
94
when a researcher has limited experience or knowledge of the research issues (Zikmund,
2010). Robson (2011) perceives exploratory research as being very valuable in shedding light
on emerging issues, or viewing issues from different perspectives. Several scholars argue that
exploratory research is suitable for crystallising, clarifying and defining the nature of an
ambiguous research problem, as opposed to providing precise measurements or
quantifications (Saunders, Lewis & Thornhill, 2009; Zikmund, 2010).
Zikmund (2010) identifies the main data collection methods for exploratory research as
literature review, pilot studies, expert surveys, case studies, focus group discussions, and
personal interviews. Each method provides various alternative ways of gathering information,
although it is the purpose and not the technique that determines whether a study is
exploratory, descriptive, or causal (Zikmund, 2010).
Exploratory research tends to be highly flexible and a researcher follows clues, ideas and
hunches in constructing logical models (McDaniel & Gates, 2006; Rubin & Babbie, 2010).
The qualitative output of exploratory research reveals some patterns on the issues of interest,
which may form a basis for developing theories for subsequent quantitative testing (Sekaran,
2009). Zikmund (2010) highlights the need for exploratory research to be followed by further
studies in order to obtain conclusive evidence. This study is exploratory in nature and is
based on the case study method. Gilgun (1994) perceives the case study method to be useful
when studying problems in depth, placing them in context, and understanding the stages
involved in their solution.
Descriptive research: This is also known as diagnostic analysis and it aims to describe the
characteristics of a business phenomenon on the basis of some prior understanding of the
nature of the research problem (Veal, 2005). The previous understanding may have been
provided by the results of a preceding exploratory research. Descriptive research tends to be
less ambiguous than other forms of research, given that it is carried out against a backdrop of
prior knowledge of a central research problem. Moreover, it does not attempt to explain the
causes of empirical findings. Rather, it seeks to determine answers to who what when
where and how questions (Zikmund, 2010). According to Dane (1990), the who questions
ask who the researchers, research participants and customers of a research are while the what
questions are primarily concerned with the topic and the theory on which a research is based,
95
including the basic untested assumptions of the theory. The where questions address the
physical and social environment in which a research is conducted, while the when questions
refer to the timeframe of a research, which may affect its utility. The why questions focus on
the reasons for conducting a research. A study can be conducted to explore, describe, predict,
explain, and guide action. Dane (1990) further explains that the how question addresses the
way the goals of a research affect the methods used to conduct it.
According to Sekaran (2009), the findings of a descriptive research project help a researcher
to think systematically, and to understand the characteristics of groups in given situations.
Descriptive research not only offers ideas for further probes but it also helps in making
certain simple decisions. The common data collection methods used in descriptive research
are surveys, expert panels, and participant observations (Cavana, Delahaye & Sekaran, 2001).
Explanatory research: This is also known as causal research and it is undertaken in

situations where a research problem has already been narrowly defined. Zikmund (2010)
identifies the main aims of explanatory research as the determination of cause-and-effect
relationships among variables, and testing hypotheses in order to determine the worth of
theories and the ability of particular theories to make predictions about social developments.
Explanatory research has the advantages of greater reliability and internal validity, but it
creates a sterile value-free environment, which may not be suitable for research in the areas
of marketing and management (McDaniel & Gates, 2006).
Table 3.2 is a summary of the different types of business research and the purposes they serve
as recommended by Neuman (2010).
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Table 3.2: Types of business research
Exploratory Descriptive Explanatory

Become familiar with the Provide a detailed, highly Test a theorys predictions or
basic facts, setting, and accurate picture principle
concerns
Create a general mental Locate new data that Elaborate and enrich a
picture of conditions contradict past data theorys explanation
Formulate and focus Create a set of categories or Extend a theory to new issues
questions for future research classification types or topics
Generate new ideas, Clarify a sequence of steps or Support or refute an
concepts, or hypotheses stages explanation or prediction
Determine the feasibility of Document a causal process Link issues or topics with a
conducting research or mechanism general principle
Develop techniques for Report on the background or Determine which of several
measuring and locating context of a situation explanations is best
future data
Source: adapted from Neuman (2010) and modified for this research.
It has been pointed out that several studies identify exploratory, descriptive, and explanatory
research as the three types of business research (Babbie, 2010; Neuman, 2010; Zikmund,
2010). However, Dane (1990) goes further to distinguish five types of business research:
exploratory, descriptive, predictive, explanatory, and action research. The aim of exploratory
research is to determine whether or not a certain phenomenon exists, while a descriptive
research examines a phenomenon in detail so as to define it fully, and to distinguish it from
other phenomena. A researcher uses predictive research to identify relationships that enable
him or her to make speculations about another element after knowing about one element.
Explanatory research examines the cause-and-effect relationships that exist between two or
more phenomena. Lastly, action research is conducted in an attempt to find a solution to a
particular research problem. Danes classification (1990) is similar to that provided by Rallis
and Rossman (2011), which also identifies four possible research purposes, namely
exploration, description, explanation, and prediction.
Perry (1998a) differentiates more narrowly between exploratory and explanatory research
when he asserts that exploratory research essentially uses qualitative research procedures and
seeks to identify the variables involved in a research problem. This implies that formulated
research questions are not answered with a mere yes or no, but with a description or
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discussion (Perry, 1998a). On the other hand, explanatory research uses quantitative research
procedures and seeks answers to how or why questions. Therefore, testable and measurable
research hypotheses can be answered with a yes or no, or a precise answer to the question
how many.
Perry (1998b) identifies two main approaches to theory development, namely theory building
and theory testing. Theory building, also known as induction, attempts to generate theory
from empirical data while theory testing, or deduction, aims to verify an existing theory. In
summary, a number of distinctive business research methods have appeared in the literature.
These methods include exploratory research, descriptive research, explanatory or causal
research, predictive research, action research, theory building and theory testing. Table 3.3
depicts some of the most commonly cited research methods.
Table 3.3: Business research methods

Research Methods Yin Zikmund Dane Perry Perry
(2009) (2010) (1990) (1998a) (1998b)
Exploratory research X X X X
Descriptive research X X X
Explanatory or causal X X X X
research
Predictive research X
Action research X
Theory building X
Theory testing X
Source: adapted from Dane (1990), Perry (1998a, 1998b), Yin (2009), and Zikmund
(2010).
Yin (2009) considers the individualistic view of the various research methods as a
misconception. Instead, he advocates a more pluralistic view of the different research
methods, given that they can be applied to all types of research, and to theory building and
testing. Table 3.3 implies that the selection of a research strategy is determined by three
conditions associated with the context of the research (Gandolfi, 2001). These are the type of
research question posed, the extent of control the researcher has over actual behavioural
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events, and the extent to which the research focuses upon contemporary as opposed to
historical events (Yin, 2009).
The type of research questions posed. The first and most important condition for
differentiating among the various research strategies is to identify and determine the
type of research question being posed. According to Yin (2009), basic research seeks
to provide answers to who, what, where, how, and why questions. The research
problem and the seven research questions formulated in section 2.7.3 (p. 86) are
basically how and why questions. Yin (2009) recommends that the preferred research
strategies for answering the how and why questions are case studies, histories and
experiments.
The extent of control the researcher has over behavioural events. Having said that
how and why questions are likely to favour the use of case studies, histories or
experiments as the preferred research strategies, it is necessary to distinguish further
the conditions under which case studies, histories and experiments are used, which is
influenced by the degree of control the researcher has over behavioural events. Yin
(2009) argues that the case study approach is preferred when the investigator has, or
requires, little control over behavioural events. In this research, the researcher
interviewed 15 people, drawn from the governing councils and management boards of
five public universities. The researcher explored the corporate governance practices
adopted in the said universities, and formulated a best practices model. The interviews
were conducted in the interviewees offices, which meant that the researcher did not
have control over the context or behavioural variables of the research.
The degree of focus upon contemporary as opposed to historical events. The third
condition is concerned with the extent to which a study focuses upon contemporary
events as opposed to historical events. The case study approach is preferred when a
research investigates a contemporary event, while the historical method is primarily
concerned with the past. This research focuses upon corporate governance practices of
Kenyas public universities, which is an ongoing or contemporary issue.
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Table 3.4 summarises the conditions that favour the use of different research strategies as
recommended by Yin (2009).
Table 3.4: Factors considered when selecting an appropriate research strategy

Method Form of research Requires control Focuses on
question over behavioural contemporary
events? events?
Experiment How, why? Yes Yes
Survey Who, what, where, how No Yes

many, how much?
Archival analysis Who, what, where, how No Yes/No
many, how much?
History How, why? No No
Case study How, why? No Yes
Source: Yin (2009, p. 8).
In summary, the case study method is appropriate for this research as it allows the
investigator to examine why and how type of questions, in an environment where it is not
critical that the researcher totally controls the research setting, and where the research
problem is related to a contemporary phenomenon. Consequently, the case study method is
an appropriate research methodology for the research problem and its seven research
questions, as described in the following sub-section.
3.2.3 Research problem and research issues

The previous sub-section examined different types of business research. This sub-section
defines the research problem and the seven research questions investigated in this research.
The issues for this study have been presented in section 1.3 (p. 6) and section 2.7 (p. 84). The
research problem for this study is stated as follows:
How can the corporate governance practices of public universities

in Kenya be improved considering the culture in the country?
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The seven research questions for this study are as follows:
Research Question 1: How are the governing councils of Kenyas public

universities constituted?
Research Question 2: What functions do the governing councils of Kenyas public

universities perform?
Research Question 3: What mechanisms do the councils adopt to enhance

governance of the public universities?
Research Question 4: What challenges do Kenyas public universities encounter?
Research Question 5: What challenges do the governing councils of Kenyas

public universities face?
Research Question 6: What culture prevails in the boards of directors of Kenyas

Research Question 7: How can the governance of Kenyas public universities be

improved?
3.3 Justification for the interpretative paradigm

Management and marketing researchers have to select a suitable scientific paradigm on which
to base each research activity (Kuhn, 1996; Kumar, 2011; Neuman, 2010). This section,
therefore, examines realism, critical theory, constructivism and positivism, and highlights the
choice of realism as the most suitable paradigm for the purposes of this research (Perry,
1998b; Perry, Riege & Brown, 1998).
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3.3.1 Research paradigms
The term paradigm has been defined in a number of ways. For instance, Punch (2005) defines
it in terms of the assumptions that govern the social world and the proper techniques and
topics that can be researched. Similarly, Guba and Lincoln (1994) perceive it as the set of
basic beliefs that define, for their holders, the nature of the world, an individuals place in it,
and the range of possible relationships to that world and to its parts. Perry and Cavaye (2004)
argue that this understanding, or view of the world, is what determines the problems that are
worthy of research, and the methods that can be used to explore the research problems. The
choice of paradigm influences the ontology, epistemology, and methodology adopted in a
research project (Easterby-Smith, Thorpe & Lowe, 2002; Guba & Lincoln, 1994).
Guba and Lincoln (1994) hold that ontology is concerned with the form and nature of reality,
and that it strives to determine what can be known about that reality. On the other hand,
epistemology refers to the fundamental processes of knowing something. In other words, it
addresses the issue of how a researcher gets to know what he or she knows. Perry, Ridge and
Brown (1998) perceive the subject of epistemology to be the nature of the relationship
between reality and the researcher, while the term methodology refers to the methods adopted
to investigate the reality (Perry, 1998b).
A number of paradigms have been developed to guide research (Easterby-Smith, Thorpe &
Lowe, 2002). However, several studies indicate that the four main research paradigms are
positivism, constructivism, critical theory and realism (Guba & Lincoln, 1994; Perry, Riege
& Brown, 1999, Ponterotto, 2005). These four paradigms differ in terms of ontology,
epistemology, and the methodologies used to collect and analyse data (Guba & Lincoln, 1994)
as summarised on Table 3.5.
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Table 3.5: Alternative inquiry paradigms
Item Positivism Constructivism Critical Realism (subjective)
(objective) (phenomenology) theory paradigm
paradigm paradigm (interpretative)
paradigm
Ontology Science is able to Truth is subjective, based Social realities According to critical realism,
(form and discover the true on an individuals are reality is apprehensible but it
nature of nature of reality perceptions of reality, apprehensible can only be imperfectly and
reality) resulting in a state of based on probabilistically
multiple realities historically comprehended because of
situated human limitations and the
structures complexity of the world
There is a single This implies that there is no Analyses and
apprehensible single universal truth or transforms
reality whose reality social, political,
nature can be cultural,
known and economic, and
characterised ethnic and
gender values
that have been
crystallised over
time
Epistemolog The investigator is Researcher and participants Interactive link Researcher is part of the
y (nature of separate from the jointly create findings between research process but remains
the research process researcher and as objective as possible
relationship meaning that the research
between findings are value participants
researcher free and may be
and reality) generalised to an
entire population
The findings are This means that the Reality is based Findings are probably true
also theory free researcher and the research on perceptions
and they may be participants are mutually held by a group
true interactive of individuals
Methodologi These are mainly Depends on a researcher Depends on the Depends on triangulating
es experimental/ being a passionate interpretative several perceptions of reality
(techniques manipulative in participant in research ability of the to capture a better picture of
of collecting nature and seek to process researcher who phenomenon
data) verify hypotheses is a
transformative
intellectual
Examples are The methodologies are Data collection Data is collected through case
experiments and principally qualitative and methods are studies and convergent
surveys include in-depth mainly Interviews
unstructured interviews and qualitative and
participant observation include focus
group
discussions
The The emphasis is Quantitative and qualitative
methodologies are on action methodologies may be used
primarily research
quantitative
Source: adapted from Guba and Lincoln (1994), Perry, Alizedeh and Riege (1997), Perry, Riege
and Brown (1999) and modified for this research.
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Having identified the four research paradigms of positivism, constructivism, critical theory
and realism, the researcher moves on to examine each of the paradigms.
Positivism: This paradigm embraces the ontological view that the social world exists
externally, and that facts about this external social world can be measured through a specific
set of objective methods (Easterby-Smith, Thorpe & Lowe, 2002). It is similar to the position
taken in the natural sciences, as it asserts that there is a single apprehensive reality that can be
known, categorised, and measured (Guba & Lincoln, 1994; Perry, Ridge & Brown, 1998).
However, the positivist paradigm can also be used to measure and analyse causal
relationships that are consistent across time and context (Perry, Riege & Brown, 1999;
Easterby-Smith, Thorpe & Lowe, 2002). Nevertheless, Veal (2005) cautions against using
natural sciences to draw conclusions on human behaviour, given that human beings behave in
complex and multidimensional ways.
According to Perry, Ridge and Brown (1998), the primary role of a positivist research inquiry
is deduction or theory testing. Epistemologically, a researcher is expected to be separate from
the research process, so that the research is value-free and theory-free. A positivist researcher
views the world through a one way mirror and the results of a study based on the positivist
paradigm can be generalised to a large population (Guba & Lincoln, 1994, p. 110). Moreover,
such a study can be fast, economical and statistically oriented to ensure credibility (Easterby-
Smith, Thorpe & Lowe, 2002). Further, a positivist researcher collects primary data mainly
through controlled experiments and sample surveys, themselves outcome-oriented, and
assuming natural laws and mechanisms. This study is exploratory in nature as it seeks to
understand the corporate governance practices of public universities in Kenya. Moreover, it
does not seek to test theories. Therefore, the positivist paradigm is deemed inappropriate for
this research.
Constructivism: The constructivist paradigm is based on the ontological view that truth is
subjective and created by individuals (Perry, Alizadeh & Riege, 1997; Perry, Riege & Brown,
1999). Given that individuals rarely perceive a situation in the same way, there are bound to
be multiple realities. Guba and Lincoln (1994) argue that the most important reality is the
perception held by an individual and not just measurements. The epistemology of
constructivist paradigm is that a researcher is an involved participant, and that the researcher
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and the research participants jointly create the findings (Guba & Lincoln, 1994; Perry,
Alizadeh & Riege, 1997). The researcher becomes a passionate participant and offers
suggestions and comments to the research participants (Guba & Lincoln, 1994, p. 17; Perry,
Alizadeh & Riege, 1997; Perry, Riege & Brown, 1999). A researcher who adopts a
constructivist paradigm collects data mainly through qualitative methodologies, such as in-
depth unstructured interviews and participant observations. This paradigm is considered
inappropriate for this research because the researcher is objective, and the research is not
about human feelings and emotions. Perry, Riege and Brown (1999) caution that the
constructivist paradigm is rarely used for business research since it does not clearly capture
the real economic and technological dimensions of business.
Critical theory: Ontologically, the critical theory paradigm aims to critique and transform
social, political, cultural, economic, and ethnic and gender values that have been crystallised
over long periods of time (Guba & Lincoln, 1994; Perry, Alizadeh & Riege, 1997; Perry,
Riege & Brown, 1999). The epistemology of the paradigm is that there is a very close and
interactive link between a researcher and the research participants. The interpretive capacities
of a researcher are the main tools in the research (Guba & Lincoln, 1994). Data is collected
principally by using qualitative methods, such as focus group discussions. Some critical
theorists engage in long-term ethnographic and historical studies of organisational structures,
processes and changes (Perry, 1998b; Perry, Riege & Brown, 1998). This is because critical
theory asserts that knowledge comprises a series of structural and historical insights that have
to be changed over time (Guba & Lincoln, 1994). Critical theory is used in Marxist, feminist,
and action research (Perry, Alizadeh & Riege, 1997; Perry, Riege & Brown, 1998).
Assertions made by critical theorists are largely subjective. Critical theory holds that
knowledge per se is grounded in social and historical routines, and is essentially value-
dependent (Guba & Lincoln, 1994; Perry, Riege & Brown, 1998). This is an academic
research undertaken to understand the corporate governance practices of public universities in
Kenya. It does not intend to influence the participants to change their current practices.
Therefore, the critical theory paradigm is not appropriate for this research.
Realism: This paradigm is also known as critical realism, or post-positivism, and it strives
towards an understanding of the common reality of an economic system in which people
operate independently (Perry, Alizadeh & Riege, 1997). It is mainly qualitative in nature. The
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ontology of this paradigm is that there is a real world which can only be imperfectly and
probabilistically apprehended because of human limitations (Guba & Lincoln, 1994; Merriam,
1991). A researcher who adopts the realism paradigm tries to understand and explain why
people have different experiences and behaviours (Easterby-Smith, Thorpe & Lowe, 2002).
Such a researcher also believes that there is only one reality that can be better understood
through triangulation (Perry, Aizadeh & Riege, 1997; Perry, Riege & Brown, 1999). The
main realism methodologies are qualitative case studies and convergent interviews, which do
not investigate cause-and-effect relationships, but are primarily concerned with underlying
causal tendencies or powers (Nair & Riege, 1995, p. 6; Perry, 1998b).
This research obtained real world information about corporate governance from selected
council members, and the researcher did not have to become part of the research process
(Guba & Lincoln, 1994). The researcher tried to be as objective as possible but acknowledges
that one cannot be absolutely value free. The research collected qualitative data from multiple
case studies using semi-structured interviews, document reviews and a focus group
discussion in an effort to ensure that the findings accurately represent reality. Nevertheless
the researcher acknowledges that the findings are not the full reality. Viewed from this
perspective, this paradigm is considered most appropriate for this research.
In summary, this sub-section has examined the research paradigms of positivism,

constructivism, critical theory, and realism. The realism paradigm was selected as the most
appropriate paradigm for achieving the objectives of this research. The next sub-section
differentiates qualitative from quantitative research, and explains why the researcher adopts a
qualitative approach in this research.
3.3.2 Qualitative versus quantitative research

According to Higgs and Cherry (2009), qualitative research refers to a range of strategies that
rely on qualitative or non-mathematical judgements. Bogdan and Biklen (2007) are of the
view that qualitative research is based on five common characteristics, namely:
data is obtained from a natural setting with the researcher being the key instrument;
it is descriptive;
it is concerned with processes rather than outcomes;
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it has a tendency to perform an inductive data analysis, unlike quantitative research
which adopts a deductive approach; and
it is primarily concerned with meaning, the uniqueness of each case, and the
importance of individual perspectives.
Zikmund (2010) perceives qualitative research to be subjective in nature and not using
rigorous mathematical analysis, while Miles and Huberman (1994) perceive it as being
mainly concerned with words, observations, stories, visual portrayals, meaningful
characterisations, interpretations, and other expressive descriptions, as opposed to focussing
on numbers. Qualitative research employs methods that look for quality as well as feelings,
perceptions, viewpoints, meanings, relationships, and dynamic changing perspectives
(Swanson, Watkins & Marsk, 1997). Nevertheless, qualitative research also uses
measurements, and it can be used to explain social phenomena (Morse, 1999). Conclusions
obtained from qualitative research can enable the development of theories that can be
generalised to wider populations.
Qualitative research differs from quantitative research in four ways. Firstly, qualitative
research is a creative process that depends on the insights and conceptual abilities of the
researcher (Cooper & Schindler, 2010), while quantitative analysis is bound by statistical
rules and formulas. Secondly, qualitative research methods frequently probe deeper but are
less structured than quantitative techniques. Therefore, qualitative research methods are
useful for exploratory research (Jarratt, 1996). Thirdly, the outcomes of qualitative research
are most frequently presented in words, unlike the outcomes of quantitative research which
are usually presented as numbers (Campbell, 1999; Miles & Huberman, 1994). Finally,
qualitative research plays a significant role in clarifying values, languages, and meanings
ascribed to various actors within an organisation or community (Sofaer, 1999).
A number of differences exist in the way data is analysed in qualitative research and the way
it is analysed in quantitative research (Hussey & Hussey, 1997). These differences are
summarised in Table 3.6.
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Table 3.6: Distinctions between qualitative and quantitative data analysis
Quantitative research Qualitative research
Tends to produce quantitative data Tends to produce qualitative data

Uses large samples Uses small samples
Concerned with hypothesis testing Concerned with generating theories
Data is highly specific and precise Data is rich and subjective
The location is artificial The location is natural
Reliability is high Reliability is low
Validity is low Validity is high
Generalises from sample to Generalises from one setting to
population another
Source: adapted from Hussey and Hussey (1997, p. 54).
Although qualitative research methods were, for a long a time, accepted as exploratory
approaches that required further validation by quantitative methods (Angen, 2000; Flick,
2007), they are now well regarded by social scientists (Miles & Huberman, 1994; Perry &
Coote, 1994; Punch, 2005). Morse (1999, p. 573) perceives qualitative research procedures to
be systematic and specific, since they involve observing patterns in the data, asking
questions on those patterns, constructing conjectures, deliberately collecting data from
specifically selected individuals on targeted topics, and seeking relationships with literature,
models or diagrams.
According to Pope and Mays (2006), there are three key features, or strengths, of qualitative
research. Firstly, it is subjective and provides a unique understanding of social phenomena.
Secondly, it studies people in their natural settings rather than in artificial or experimental
settings. Lastly, it often adopts multi-method approaches in tackling important questions
about social phenomena. Therefore, qualitative research provides a closer and less abstract
framework for a study. Similarly, ODonoghue and Punch (2003) view qualitative research
approaches as being flexible and organic in nature. The two authors explain that qualitative
research involves developing method and substance at the same time.
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3.3.3 Justification for the qualitative method
Having differentiated qualitative research from quantitative research, it is necessary to justify
the choice of the qualitative approach for this research.
The nature of data for this research is verbal, and the research problem is focused on the how
and why type of questions, which are best answered through case study research (Yin, 2009).
Moreover, there is a fairly wide consensus on the naturalistic and interpretative nature of
qualitative research, given that it seeks to understand the meanings that people attach to such
phenomena as actions, decisions, beliefs, and values (Snape & Spencer, 2003).
This research uses a qualitative approach to provide an in-depth description of a specific

research problem. According to Mertens (2009), the key words associated with qualitative
research are complexity, context, exploration, discovery and inductive logic. Qualitative
research uses enquiry strategies that include narratives, phenomenologies, ethnographies,
grounded theory studies, and case studies (Creswell, 2009). This research involves an
evolving contemporary issue for which there is limited information. Therefore, the research is
exploratory in nature. Zikmund (2010) argues that explorative research is suitable for
diagnosing a situation, screening alternatives, and discussing new ideas. On the basis of the
foregoing argument, a qualitative approach is considered appropriate for this research.
3.4 Research design

The previous sub-section justified the use of a qualitative approach in this study. This section
discusses the research design adopted for the study.
Cooper and Schindler (2010) describe a research design as a master plan, or framework,
which outlines the methods and procedures for collecting and analysing data. Similarly,
Philliber, Schwab and Samsloss (1980) view a research design as dealing with four issues: a)
deciding the questions to study b) determining the relevant data c) deciding the data to collect,
and d) determining how to analyse the results. An appropriate research design gives focus to
a study, and ensures the data collection processes are in line with the objectives of the study,
considering that accurate data must be collected if the results of a study are to be useful. The
various elements that make up a research design are discussed in the ensuing sub-sections.
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3.4.1 Justifying the use of case study research
This sub-section explains how the case study methodology within the realism paradigm was
applied to collect and analyse data for this research.
The researcher used case study approach as the principal technique for this exploratory
research. This decision is justified in four ways. Firstly, a case study approach allows in-
depth investigation of problems. Creswell (2009) points out that case study research enables a
researcher to collect open-ended emerging data that can be used to develop themes.
According to Perry (1998b), the case study research method usually addresses research
problems within the constructivist or realism paradigms rather than the positivist paradigm,
and in this research the realism paradigm suits the research problem. Secondly, this research
involves how and why questions (Yin, 2009). Thirdly, the researcher does not require
extensive access to, or control over, the behavioural patterns of the subjects. Lastly, the
research issue is related to contemporary events.
3.4.2 Definitions of case study research

There is no universally accepted definition of case study research (Neuman, 2010; Zikmund,
2010). Yin (2009) defines case study research as an empirical inquiry that:
investigates a contemporary phenomenon within its real-life context;
is used when boundaries between phenomenon and context are not evidently clear
(Stake, 1995);
relies on multiple sources of evidence; and
is not merely considered a data collection tactic, but is a comprehensive research
strategy.
There are four aspects of case study research (Punch, 2005). Firstly, it has boundaries,
although sometimes the boundaries between the case and the context are not clearly evident,
which calls for the researcher to identify and describe them as clearly as possible (Gibbert,
Ruigrok & Wicki, 2008; Stake, 1995). Baxter and Jack (2008) advise that case study
boundaries enable a researcher to narrow his or her research question, or topic, to a level that
can be managed in a single study. Recommended boundaries include time and place
(Creswell, 2009), time and activity (Stake, 1995), and definitions and context (Miles &
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Huberman, 1994). The case in case study research can be an individual, a small group, an
institution or organisation, a community or a nation (Miles & Huberman, 1994; Punch, 2005).
Secondly, it is necessary to identify the unit of analysis as this is important in the data
analysis stage of a research. According to Brewer and Hunter (2006), there are six types of
units which can be studied in social science research. These are individuals, attributes of
individuals, actions and interactions, residues and artefacts of behaviour, settings, incidents
and events, and collectives. Any of these units can be the focus of case study research.
Thirdly, it is not possible to study everything about a case. Therefore, a researcher must have
a specific focus. The focus for this research is defined by the research questions stated in
section 2.7.3 (p. 86) and section 3.2.3 (p. 100) of the thesis.
Lastly, case study research uses multiple sources of data (Perry, 1998b; Robson, 2011), with
the data being collected in naturalistic settings (Stake, 1995). Yin (2009) highlights the six
main sources of case study evidence as documentation, archival records, interviews, direct
observations, participant observations, and physical artefacts. This research used interviews
and document reviews to collect data. Jensen and Rodgers (2001) liken case studies to golden
nuggets waiting to be discovered, while Yin (2009) considers case study research as an
interpretative approach. The case study methodology is appropriate in circumstances where
descriptive or explanatory information is required about a contemporary research problem
(Yin, 2009). Perry (1998b) recommends some prior theory to be included in the design stage
of a case study research.
For a case study approach to be formally recognised as a research strategy, it must contribute
to theory building, or theory generation, and have logic in its design (Adams & White, 1994).
Case studies have been used as teaching devices in virtually every academic field, including
business, law, psychology, sociology, political science, anthropology, social work, and public
health (Perry & Coote, 1994; Perry, Riege & Brown, 1998). Gibbert, Ruigrok and Wicki
(2008) view case studies as handy when teaching postgraduate students because they enable
such students to learn from real life situations encountered by managers, gain wider
management perspectives, benefit from knowledge and experience associated with certain
companies, and comprehend the practicalities of implementing managerial decisions.
Nevertheless, case studies are not limited to being teaching devices as they have the capacity
111
to be used as a research methodology (Adams & White, 1994; Miles & Huberman, 1994;
Parkhe, 1993; Perry, 1998b; Perry, Alizadeh & Riege, 1997). The use of case study research
as an analytical tool in postgraduate theses was originally conceptualised by Perry and Coote
(1994).
Yin (2009) identifies three phases in the case study methodology. The first phase is the theory
that informs a research project, which is developed at the problem definition and research
design stages of the research. This research is informed by the agency, stakeholder,
stewardship, managerial hegemony, transaction cost, political and cultural theories as
explained in the literature review. The second phase of case study methodology is data
collection, and Yin (2009) advocates that several tools and reports be prepared for each case
organisation. In this research, data was collected through interviews, document reviews, and a
focus group discussion. Data analysis is the last stage of the case study methodology. The
researcher prepared a case description for each university, and a cross-case analysis for the
five universities studied. Conclusions drawn are related to the theory that informs the
research.
To summarise, a synthesis of literature indicates that case study research:

is exploratory in nature and intensively investigates one or a few situations similar to
a researchers problem (Zikmund, 2010);
extensively examines a single instance of a phenomenon of interest (Hussey &
Hussey, 1997);
lays more emphasis on a full contextual analysis of fewer events, or conditions, and
their interrelations (Cooper & Schindler, 2010);
has unclear boundaries between phenomenon and context (Stake, 1995; Yin, 2009);
uses interviews, observations, and other multiple sources of data (Perry, 1998b;
Robson, 2011); and
can be used when conducting a post-graduate research (Perry & Coote, 1994).
Having examined different definitions of case study research, the next sub-section explores
the criteria for judging the quality of case study research.
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3.4.3 Criteria for judging the quality of case study research
According to Edwards (1998), it is important to ensure that the quality of research is the best
possible and, in particular, issues relating to quality are addressed. This sub-section explains
the steps taken to enhance the quality of this research.
One of the criticisms levelled against case study research is that it lacks scientific rigour,
implying that it can lead to inconsistent logic, inadequate documentation, bias on the part of
an investigator, and failure to achieve appropriate theoretical generalisations from data
(Eisenhardt, 1989a; Parkhe, 1993; Yin, 2009). To overcome these criticisms, it will be
necessary to address the issues of validity and reliability.
Yin (2009) argues that the case study methodology fits into the requirements of the four
commonly used criteria for judging the credibility of empirically-based social research. These
are construct validity, internal validity, external validity and reliability. Table 3.7 is a
summary of the tests for establishing validity and reliability in case study research.
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Table 3.7: Tests for establishing validity and reliability in case study research
Test Meaning/ Case study tactic Phase of research
Definition in which the tactic
occurs
Construct validity The establishment Use multiple sources of Data collection
of correct evidence
operational Establish chain of Data collection
measures for the evidence
concepts being
studied Have key informants Composition of
review draft report report
Internal validity The Do pattern matching Data analysis
establishments Do explanation building Data analysis
of causal Address rival Data analysis
relationships explanations
between variables Use logic models Data analysis
External validity The ability to Use theory in single Research design
generalise the case studies.
research findings Use replication logic in Research design
multiple-case studies
design and the
application of
replication logic
Reliability The degree to Use case study Data collection
which measures Protocol
are Develop case study Data collection
free from error and Database
can be repeated Tape recordings and Data collection
interview transcripts
Source: adapted from Silverman (2009), Yin (2009, p. 41), Zikmund (2010) and
modified for this research.
According to Perry (2001, p. 318), construct validity requires the development of suitable
operational measures of the concepts being investigated during data collection, data analysis
and report writing stages of a research. The essence of this type of validity is that a study
measures what it is supposed to measure (Miles & Huberman, 1994). Methods of increasing
construct validity include using multiple sources of data for triangulation, establishing a chain
of evidence, and having draft reports reviewed by key informants before they are analysed
and final reports prepared from them (Yin, 2009). In this research, primary and secondary
data was collected with the help of a research assistant. The primary data was collected by
interviewing the sampled respondents. The interviews were conducted in English.
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It has been pointed out that triangulation is important for enhancing construct validity. The
term triangulation has its origin in the surveying of land using trigonometry, but social
scientists use it to imply the researching of an issue using two or more approaches (Bullock &
Tubbs, 1990). Mertens (2009) notes that triangulation is the use of multiple approaches,
techniques, or methods of data collection, in order to confirm the consistency of results.
Several advantages are associated with triangulation (Greene, Caracelli, & Graham, 1989;
Jick, 1979). Firstly, it enhances data convergence which increases data validity. Secondly, it
is associated with complementarity which enhances elaboration in interpretation. Thirdly,
development is enhanced by using one method to establish the use of another. Fourthly,
triangulation enhances expansion which broadens the scope of an inquiry. Lastly,
triangulation is associated with initiation that discovers or clarifies paradoxes and
contradictions (Gibbert, Ruigrok & Wicki, 2008). These advantages are widely recognised in
study areas such as logistics (Mangan, Lalwani & Gardner, 2004), psychology (Haverkamp,
Morrow & Ponterotto, 2005), organisational behaviour, and marketing (Jick, 1979).
Nevertheless Jick (1979) cautions that the complexity of triangulation may distract a
researcher from focusing on a particular research problem; it may also make a study
impractical in terms of time and costs.
There are four main forms of triangulation: data, investigator, methodological and theory
triangulation (Easterby-Smith, Thorpe & Lowe, 2002). Data triangulation is the use of the
same method of data accumulation on different occasions or different methods on the same
object of study. It enhances data validity by correcting errors (Gibbert, Ruigrok & Wicki,
2008). The data for this research was obtained through interviews, document reviews and a
focus group discussion, all of which served a triangulation purpose. Investigator triangulation
is the use of two or more researchers to collect and/or analyse data in an attempt to reduce
bias (Onwuegbuzie, 2002; Yauch & Steudel, 2003). This research achieved investigator or
researcher triangulation by using a research assistant to take notes during the interviews
(Patton, 2002). Methodological triangulation is the use of various data sources. The data for
this research was obtained from three council members in each of the five public universities
selected for the research. Triangulation of theories is the development of multiple theories
about the same research problem. Theory triangulation is used in chapter 2 where the agency
and stakeholders theories are compared and contrasted. A researcher uses theory triangulation
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to discover paradoxes and synthesis in his or her data (Greene, Caracelli & Graham, 1989;
Jick, 1979).
Yin (2009) recommends that final case study drafts and interview transcripts should be
reviewed by informants in order to correct facts associated with the case study. This ensures
that incorrect or commercially sensitive information is not reported and, where no objective
truth exists, different viewpoints are captured in the report emanating from the case study
(Denzin & Lincoln, 2011). Informants from each public university were asked to review the
drafts before the drafts were analysed, and final reports prepared from them.
Internal validity, also known as logical validity, determines the cause and effect
relationships between variables (Zikmund, 2010). This type of validity focuses on casual or
explanatory studies and it is not used for descriptive or exploratory studies (Yin, 2009). The
aim of internal validity is to eradicate, or minimise, ambiguities and contradictions. This
study is exploratory and it does not seek to make causal statements, hence the concept of
internal validity was not a major concern for the researcher. Nevertheless, the researcher
addressed the issue of internal validity in a number of ways. Firstly, the researcher
established the prior theory, probed properly during the interviews, and developed good in-
depth listening skills (Perry, 2001). Secondly, the researcher established linkages between the
data collected in the form of inferences, explanations, and meanings in order to ensure that
conclusions drawn were systematically explored (Wong, 2006). Thirdly, within-case analysis
was used to build explanations (Miles & Huberman, 1994).
Yin (2009) opines that external validity, also known as transferability or generalisability,
means that the findings of a case study research can be generalised beyond the immediate
case (Perry, 2001). In quantitative research, external validity is achieved through statistical
generalisation. On the other hand, the aim of qualitative research is to achieve analytical
generalisation (Perry, 1998b; Perry, Alizadeh & Riege, 1997). Case study research provides
results that, although not generalisable in a statistical sense, can inform theory if compared
with previous theoretical propositions (Gibbert, Ruigrok & Wicki, 2008). Consequently, the
researcher carefully selected the appropriate cases and research participants, in order to
ensure that external validity in theory building, and analytical generalisations, were achieved.
The findings of the research were assessed against the findings of other studies and the
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theoretical framework developed through the review of literature (Yin, 2009). The researcher
chose participants who had knowledge, and experience, in the governance of public
universities (Sekaran, 2009).
A researcher uses the term reliability, or dependability, to imply the capacity and ability of
other researchers to achieve the same empirical findings and conclusions after carrying out
the same procedures used by the original researcher (Perry, 2001; Silverman, 2009). This
means that research findings should be reproducible if the data collection procedures are
consistent throughout the research process (Perry, 2001). Reliability seeks to minimise errors
and biases (Gibbert, Ruigrok & Wicki, 2008), but because people are different and their
perceptions, attitudes and beliefs change with time, empirical data collected by different
researchers at different time periods rarely converge into one consistent picture. Reliability in
qualitative research is enhanced by documenting details of the procedures followed in a
research by using a case study protocol and a case study database, and conducting the
research as if someone was watching over the shoulders of the researcher (Stake, 1995).
Three tools were used to enhance the reliability of this research. The first was the
development of the case study protocol which set out the research structure, prior theory,
interview schedules, procedures for case selection, and the approaches used to analyse the
data (Yin, 2009). This protocol was a ready reference guide that was available for frequent
use while the research was being conducted. The second tool was the development of a case
study data base which captured information derived from examining documents obtained
from the public universities studied. This enabled the findings to be supported by quotations
and other references, and it will be available to those who may want to verify the material
contained in the research report (Perry, 2001). The third tool was collaboration with a
research assistant during the data collection and analysis stages of the research, and with the
thesis supervisors during the whole process of conducting the research.
Although the four measures proposed by Yin (2009) are the most commonly used criteria for
judging the quality of case study research, Healy and Perry (2000) propose another set of six
criteria, themselves built upon the realism paradigm. These measures are ontological
appropriateness, contingent validity, multiple perceptions of participants and peer researchers,
methodological trustworthiness, analytic generalisation, and construct validity.
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In summary, this sub-section examined the steps taken to enhance the quality of this research.
The next section explores the framework for case study research.
3.5 Framework for case study research

This section presents the framework for case study research. The steps followed for this
research are captured in Table 3.8.
Table 3.8: Framework for case study research
3.5.1 Prior theory
3.5.2 Research design for case studies

3.5.2.1 Type of case study
3.5.2.2 Replication logic within multiple case studies
3.5.2.3 Selection of the cases and number of interviews

3.5.3.1 Data collection methods for this research
3.5.3.2 Participants actions during the interviews
Source: adapted from Yin (2009), Carson et al. (2001), Perry (2001) and modified for
this research.
3.5.1 Prior theory

According to Wacker (2008), an empirical researcher has to fulfil the requirements of good
theory. Similarly, Zikmund (2010) and Perry (1998b) recommend that theory generation may
be developed with a deductive, or inductive, reasoning. Deductive reasoning, on the one hand,
is the logical process of deriving a conclusion from a known premise, or something known to
be true, by going from a general statement to a specific assertion. Inductive reasoning, on the
other hand, is the logical process of establishing a general proposition on the basis of
observing particular facts. The implication is that inductive and deductive reasoning are
opposite ends of a continuum. Nevertheless, Zikmund (2010) as well as Merriam (1991)
contend that, over the course of time, theory construction tends to combine deductive and
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inductive reasoning. Table 3.9 summarises the major differences between deductive and
inductive approaches to research.
Table 3.9: Major differences between deductive and inductive approaches to research
Deductive approach emphasises Induction approach emphasises
Scientific principles Gaining an understanding of the

Moving from theory to data meanings humans attach to events.
The need to explain causal A close understanding of the research
relationships between variables context
The collection of qualitative data The collection of qualitative data
The amplification of controls to
ensure validity of data A more flexible structure to permit
The operationalisation of concepts to changes of research emphasis as the
ensure clarity of definitions research progresses
A highly structured approach A realisation that the researcher is
part of the research process
Researcher independence of what is
being researched Less concern with the need to
generalise
The necessity to select samples of
sufficient size in order to generate
conclusions
Source: adapted from Saunders, Lewis & Thornhill (2009) and modified for this
research.
Case study research can have elements of theory building (induction) and theory testing
(deduction). However, Eisenhardt (1998a) argues that it should consist of pure induction
(theory-building). This view is supported by Perry, Alizadeh and Riege (1997) who contend
that theory-building in case study research is largely an inductive process. Pure induction
implies that theory is generated during field research. Nevertheless, several scholars propose
a blending of theory building and theory testing in case study research (Carson et al., 2001;
Perry, 2001; Zikmund, 2010). This research takes a balanced view because pure induction
might prevent the researcher from benefiting from existing theory, just as pure deduction
might prevent the development of new and useful theory (Perry, 1998b, p. 789). In any case,
Parkhe (1993, p. 252) advises that both extremes of induction and deduction are untenable
and unnecessary, given that advancing theories requires a combination of the two.
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Nair and Riege (1995) recommend three ways of blending the two approaches. Initially,
convergent interviews with practitioners are often included in a research design especially
during the literature review stage of a research (Carson et al., 2001). This is achieved in the
literature review chapter of this research. In the exploratory stage, initial data on corporate
governance practices of public and private sector organisations is identified through literature
review. The researcher also reviewed secondary data from such sources as Republic of Kenya
publications, journal articles, university websites, and other reports.
The second method of blending involves conducting one or two pilot studies in order to
refine the interview protocol before the actual data collection (Yin, 2009). Prior to the data
collection stage, a pilot case study was conducted to assist in the preparation of the interview
guide, and to guide collection of data in the explanatory stage (Perry & Coote, 1994).
The last method of blending involves beginning interviews in the confirming or

disconfirming stage with unstructured questions as opposed to the probe questions developed
from prior theory. This was achieved in the explanatory stage of this research. Primary data
from five universities selected for this study was collected using semi-structured interviews
as guided by the case study protocol. Each interview lasted between 30 and 60 minutes.
3.5.2 Research design for case selection

The previous sub-section explained the prior theory guiding this research. This sub-section
discusses the different types of case study research designs, replication logic within multiple-
case study design, selection of the cases, and the number of interviews conducted.
3.5.2.1 Types of case study research designs
According to Yin (2009), a case study researcher is confronted with two choices. The first is
the choice between a single-case and multiple-cases, and the second is the choice between a
holistic and an embedded design. Based on the two choices, a typology of four different types
of research designs can be created, namely single-case (holistic), single-case (embedded),
multiple-case (holistic), and multiple-case (embedded). The choice between the four types of
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research designs depends on the topic of a research. Table 3.10 depicts the four types of case
study research designs.
Table 3.10: Types of case study research designs
Single-case designs (1) Multiple-case designs (2)

Type Number
Holistic (single unit of Type 1 Type 3

analysis) (1)
Embedded (multiple units Type 2 Type 4
of analysis) (2)
Source: adapted from Yin (2009, p. 46) and modified for this research.
According to Table 3.10, Type 1 refers to the single-case design with a holistic or single unit
of analysis (column 2, row 2) while Type 2 refers to the single-case design with embedded or
multiple units of analysis (column 2, row 3). Type 3 refers to the multiple-case design with a
single unit of analysis (column 3, row 2). Finally, Type 4 refers to the multiple-case designs
with multiple units of analysis (column 3, row 3).
Perry (1998b) explains that a holistic case involves a single unit of analysis while an
embedded case involves multiple units of analysis. In some occasions, a researcher uses small
cases that are part of bigger cases as his or her unit of analysis. Carson et al. (2001) describe
the parts of sub-cases as embedded cases, based on the fact that they are embedded in bigger
units of analysis.
A social science researcher can use one or several cases in case study research, considering
that there are no precise rules for sample sizes in qualitative research (Lincoln & Guba, 1985).
Eisenhardt (1989a) argues that sampling should go on, with more cases being added as the
interviews unfold, until theoretical saturation is reached.
Yin (2009) recommends that researchers should only use single-case study if:
the case is extreme or unique and finding other similar cases is so unlikely that
research about the situation may never be done if the single case is not investigated;
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the case is representative, or typical, and captures the conditions and circumstances of
a daily or commonplace situation;
the case is longitudinal and data is captured at two, or more, points in time;
the case is critical for testing a well-formulated theory, where the theory specifies the
clear set of propositions and circumstances under which the propositions are believed
to be true. In this situation, the case study research confirms, challenges, or extends
the existing theory, and thus constitutes a significant contribution to knowledge and
theory-building; and
the case provides an opportunity to observe and analyse a prevalent phenomenon

previously inaccessible to social scientists.
The nature of this research did not satisfy any of these criteria. Therefore, a multiple-case
study methodology (Type 3 or Type 4) was more appropriate, primarily due to the
inappropriateness of the single-case study approach.
Several advantages are associated with multiple-case studies. Firstly, they are more robust
(Herriot & Firestone, 1983), and promote outcomes that are more powerful (Parkhe, 1993)
and compelling (Yin, 2009). Secondly, multiple-case studies are suitable for describing and
investigating complex phenomena (Yin, 2009) and they can be used to generate theory
(Patton, 2002). Thirdly, multiple-case studies provide a full variety of evidence and use
triangulation of evidence to achieve qualitative rigour in qualitative research (Yin, 2009).
Fourthly, a postgraduate researcher can use multiple-case studies to enhance cross-case
analysis, which leads to richer theory-building (Merriam, 1991; Perry, 1998b). Lastly,
multiple-case studies are considered to be rigorous in terms of methodology, and they are
built upon replication (Perry, 1998b).
Multiple-case studies have been criticised for being unable to satisfy the criteria used for
single-case studies because there can only be one unusual, rare, critical or revelatory case
(Yin, 2009). Further, Baxter and Jack (2008) consider the amount of time and expense
involved, especially for a single student or independent research investigator, as a major
disadvantage of multiple-case study research.
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It has been pointed out that the choice between holistic and embedded single-case, or
multiple-case design, focuses on the unit of analysis. The choice of the unit of analysis is
based on the need to determine and define the object(s) which the researcher would like to
employ in answering his or her research problem and research questions (Dane, 1990). Yin
(2009) perceives the unit of analysis to be the case itself, or in other words, the level of
investigation (Zikmund, 2010). Technically, the unit of analysis may generally be from three
different levels, namely organisational, group and/or individual. A holistic design involves
only one unit of analysis (Yin, 2009) while an embedded design includes more than one unit
of analysis. This means that a researcher can incorporate sub-units such as divisions,
departments, work groups and individuals (Zikmund, 2010). For the purpose of this research,
however, the researcher chose to involve three units of analysis, namely public university,
individuals, and corporate governance practices. Therefore, a multiple-case design with
multiple units of analysis was pursued in this investigation. This constitutes a Type 4 design
according to the typology depicted in Table 3.10.
3.5.2.2 Replication logic within multiple-case design
The previous sub-section examined the different types of case study research designs. This
sub-section explains how replication logic was achieved in this research.
In selecting the five cases, the researcher considered sampling and replication logic.
Sampling logic is commonly used in surveys, and the logic is that samples are assumed to
represent a large pool of respondents. Yin (2009) considers multiple cases to be multiple
experiments, and not multiple survey respondents. This implies that representativeness does
not need to be the criterion for case selection (Perry, 1998b; Stake, 1995). Moreover, this
research does not use the survey method. Therefore, sampling logic was not an important
consideration for the researcher. On the other hand, replication logic ought to be used for
multiple-case studies (Patton, 2002), and it holds that the selection of cases should not simply
represent a large population, but should be relevant and purposive to a situation. Multiple-
case study research seeks to achieve literal or theoretical replication. Theoretical replication,
on the one hand, is achieved when each case is carefully selected so that it leads to similar
results for predictable reasons (Parkhe, 1993; Perry, 1998b). Literal replication, on the other
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hand, occurs when cases are selected in such a way as to lead to contrary results, again for
predictable reasons (Yin, 2009).
Cavana, Delahaye and Sekaran (2001) argue that triangulation in qualitative research is built
into the research design when two or more methods are used to collect data. Moreover, the
purposeful selection of cases is seen to be preferred to the non-probability sampling
techniques generally utilised in quantitative research (Cavana, Delahaye &Sekaran, 2001;
Perry, 1998b). Eisenhardt (1989a) perceives the random selection of cases to be unnecessary
and suggests that, given the limited number of cases used in case studies, it makes sense to
select cases in extreme situations and polar types in which the processes of interest for a
study are transparently observable. The method of maximum variation is believed to be most
appropriate for analytical and general purposes (Perry, 1998b; Perry & Coote, 1994).
In summary, the selection of cases in qualitative research is purposeful and considers four
factors. Firstly, it is based on replication logic (Eisenhardt, 1989a; Perry, 1998b). Secondly,
the selection of individual cases depends largely on the conceptual framework developed in
the literature review and prior theory (Perry, 1998b). Thirdly, a researcher selects cases that
are rich in information (Patton, 2002), and not just cases that are merely representative
(Stake, 1995). Lastly, cases are selected considering theoretical replication, in which a case
produces contrary results for a predictable reason (Perry, 1998b).
This research collected data from five public universities in Kenya, and the five cases
provided rich information for achieving the objectives of the research (Patton, 2002).
3.5.2.3 Selection of the cases and number of interviews
It has been noted in the previous sub-section that the researcher will be guided by replication
logic in selecting the cases. This sub-section justifies the number of cases, outlines the
qualitative selection of cases, and explains how the informants for this research were
selected.
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Selection of the cases
In qualitative research, samples are selected using non-probability sampling methods
whereby units are deliberately selected to reflect particular features of the sampled population
(Richie, Lewis & Elam, 2003). Further, samples are selected on the basis of the
characteristics of the population.
According to Richie, Lewis and Elam (2003), there are three sampling methods in qualitative
research. These are criterion-based or purposive sampling, theoretical sampling, and
opportunistic sampling.
Criterion-based or purposive sampling: This approach selects sample units that have
particular features or characteristics that enable a researcher to explore and understand
certain themes and puzzles. The process of selecting the samples should be objective
enough to pass an independent scrutiny test.
Theoretical sampling: This is a particular form of purposive sampling in which samples are
selected on the basis of their potential ability to contribute to theory development and
testing (Mason, 2002).
Opportunistic and convenience sampling. It is a sampling approach in which a researcher,

through flexibility, takes advantage of unforeseen opportunities as they arise during the
course of fieldwork.
The objective of this research, generally, was to explore the corporate governance practices
of public universities in Kenya. The researcher collected data from three university council
members from each of five public universities. Therefore, purposive sampling was best suited
for the purposes of this research (Sekaran, 2009). This approach is supported by Patton
(2002) who argues that qualitative research sampling should be purposeful rather than
random.
The researcher avoided bias in the selection process because bias compromises the findings
of research. Several approaches were used. Firstly, the researcher targeted respondents who
occupied the positions of the Vice Chancellors, deputy Vice Chancellors, Principals of
colleges, and Directors of major university functions. Where it was not possible to access
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these respondents, the researcher turned to people who had good understanding of the
governance of their institutions. This was because the researcher used purposive sampling in
order to respondents who were rich in information.
Number of cases
A case study researcher has to specify the number of cases that will be used in a research
study. However, there are no rules in qualitative research that can be applied to determine the
sample size, and opinions seem to vary about the number of cases that should be considered
(Perry & Coote, 1994). Patton (2002) further suggests that the sample size depends on what a
researcher wants to find out, how the findings will be used, and the resources (including time)
that the researcher has for the study.
The foundation of purposeful sampling in qualitative research is the validity, meaningfulness,

and insights that can be deduced from the selected cases (Patton, 2002; Perry, 1998). This
contrasts the situation in the random probabilistic sampling approach frequently used in
quantitative research. Nevertheless, the number of cases to be incorporated remains a
problematic issue, with different scholars and authorities offering different solutions.
Moreover, Guba and Lincoln (1994) as well as Eisenhardt (1989) recommend that sampling
selection should continue until redundancy is reached. Higginbottom (2004) explains that
sample saturation, or data redundancy, occurs when emergent themes repeat, or when new
themes no longer emerge. Nair and Riege (1995) found stability to occur after only six
interviews, while Woodward (1996) found convergence to occur after five interviews.
Owing to the lack of consensus on the optimum number of cases, some scholars recommend
a minimum of two while others recommend a maximum of 15 case organisations (Kumar,
2011). Patton (2002), as well as Eisenhardt and Graebner (2007) argue that it is the richness
of the information in the cases that determines the optimum number of case organisations.
Hedges (1985) recommends four to six groups as being a reasonable minimum for a serious
project. However, Eisenhardt (1989a) is of the view that a number between four and ten cases
often works well, since with less than four cases it is often difficult to generate theory with
much complexity, and its empirical grounding is likely to be unconvincing (Eisenhardt
(1989a, p. 545). Miles and Huberman (1994) argue that a study that uses more than 15 cases
becomes unwieldy. Hedges (1985) cautions against using more than twelve cases because of
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the high costs involved in qualitative interviews, and the quantity of qualitative data that can
be effectively assimilated. Therefore, as Perry (1998b) highlights, the recommended range
seems to fall between a minimum of two to four, and a maximum of ten, 12, or 15 cases.
On the basis of the foregoing discussion, five cases were used in this research. The five cases
were five public universities in a country with only seven public universities and they were
selected using purposeful sampling technique. In each of the five cases, the researcher
interviewed three persons that were rich in information. It can, therefore, be deemed that the
cases were fully representative of the population.
Number of interviews
There are no rules that dictate the number of interviews that should be conducted. According
to Carson et al. (2001), thirty or so interviews are required to provide a credible picture in a
reasonably sized research project, the rationale being that the research could involve about
three interviews at different hierarchical levels within ten case organisations, thereby
resulting into the large number of interviews. This research was carried out on five public
universities in Kenya. Therefore, the researcher interviewed 15 people who were members of
both the governing councils and management boards in their respective universities. The
sample for this research, seemingly, is small but it is purposive, or judgemental, and not
probabilistic. The 15 individuals possessed all the information required for the purposes of
the research (Sekaran, 2009).

This sub-section outlines the procedures that were adopted when collecting data for this
research. Specifically, it explores the primary data collection methods, the researchers
actions during the interviews, the protocol followed, and the sources of secondary data used
in this research (Yin, 2009).
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3.5.3.1 Data collection methods for this research
A researcher collecting data has to identify the data sources, select an appropriate
methodology, and plan the data collection exercise. These elements were addressed in this
research.
Case-study research often relies on multiple sources of evidence that include documentation,
archival records, interviews, direct observation, participant observation, and physical
artefacts (Yin, 2009). This research obtained data through a pilot study, interviews, document
reviews, and a focus group discussion.
A Pilot Study: According to Zikmund (2010), a pilot study generates primary data, usually
for qualitative analysis. A pilot case study is a small-scale exploratory technique that enables
a researcher to review his or her interview questions prior to the data collection phase
(Zikmund 2010). It is a powerful means of refining data collection plans (Parkhe, 1993; Perry
& Coote, 1994). The major types of pilot studies are focus group interviews, projective
techniques, and in-depth interviews (Zikmund, 2010). In this research, a focus group
interview was conducted prior to the main data collection. The focus group comprised five
people who were members of the governing councils of their respective universities. The five
members were selected on the basis of their convenience, accessibility, willingness to
cooperate and physical proximity (Yin, 2009). The researcher used the results of the focus
group to improve the research protocol and the interview guide.
Interviews: An interview is a conversation with a purpose (Rallis & Rossman, 2011) or a

purposeful conversation (Bogdan & Biklen, 2007). Interviews provide valuable insights by
encouraging interviewees to share their experiences in a free flowing environment (Cooper &
Schindler, 2010). Most interviews involve asking questions to selected participants with the
aim of finding out what the participants do, think, or feel about a given situation. Interviews
make it easy to compare answers, and they may be conducted with individuals or groups of
individuals on a face-to-face, voice-to-voice, or screen-to-screen basis (Cooper & Schindler,
2010; Hussey & Hussey, 1997). According to Yin (2009), interviews are essential tools for
case study research that deals with human affairs. There is a wide variety of interviews as
shown in Table 3.11.
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Table 3.11: Major categories of interviews
Source Berg (2007) Dane (1990) Adams & Yin (2009) Rallis &
Schvaneveldt(1991) Rossman
(2011)
Type Non- Unstructured, Non-directive Open-ended Dialogic
standardised unfocused or interview interviews interviews
(informal) nondirective
Interview interview
Semi- Partially Focused interview Focused Interview
standardised structured interviews guide
(guided) interviews approach
Interview (focused)
Standardised Highly Structured Standardised
(formal) structured interviews open-ended
Interview Interviews interview
(schedules)
Source: adapted from Adams & Schvaneveldt (1991), Berg (2007), Dane (1990), Yin
(2009) and modified for this research.
The types, forms, and purposes of interviews vary widely. Adams and Schvaneveldt (1991)
advise that a researcher should consider the topic, setting, and purpose of a study when
selecting the type of interview to use.
Table 3.11 indicates that the first category of interviews can be described as informal, non-
standardised, unstructured, unfocused, non-directive, open-ended, or dialogic. This format is
used where an interviewer lacks advance knowledge of the necessary questions.
Consequently, the interviewer encourages interviewees, or informants, to discuss a topic with
little or no guidance, and with few questions being asked (Dane, 1990). The second category
of interviews can be described as being semi-standardised, partially structured, focused, or
interviews with a guided approach (Yin, 2009). This category uses predetermined questions
which are asked in a predetermined order, albeit with a degree of flexibility. The aim of non-
standardised interviews is to establish rapport. The last category of interviews is the formal,
standardised, and highly structured type. Such interviews involve administering
questionnaires orally, and they are designed to elicit information through a set of similar
predetermined questions that are administered to all interviewees in a research project. These
interviews are based on the assumption that the wording of each question has equal meaning
to each interviewee, but this often requires authentication (Berg, 2007).
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This research used semi-structured interviews which are also known as interviews with a
guided approach. A semi-structured interview guide (Appendix 3, p. 235) was developed and
used for all the interviews, but the researcher sought mainly to guide the interviewees rather
than strictly follow the structured questions (Yin, 2009). The unique aspects of each
interviewee were explored. In this case, the term structured is not used in the sense of
following the same line of questions in all interviews (Cavana, Delahaye & Sekaran, 2001); it
simply implies a systematic approach (Sorrel, 1995). The interview guide was provided to the
participants and briefly discussed with them prior to the interviews.
For this research, the researcher used six-stage interviews (Legard, Keegan & Ward, 2003;
Robson, 2011). The six stages are summarised in Table 3.12.
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Table 3.12: Six stage interviews and the activities involved in each stage
Activity
Stage
The researcher plays the role of a confident and relaxed guest until the participant
One: Arrival
is comfortable with this stage of the interview
The researcher clarifies a number of preliminary issues in order to encourage
Two:
rapport and cooperation during the interview (Carson et al., 2001)
Introducing the
research The researcher introduces the research topic, explains the nature and purpose of
the research, reaffirms confidentiality and seeks permission to record the interview
The researcher discusses the contents of the Informed Consent Form with the
respondents
Afterwards, willing participants sign the Informed Consent Form before the
interviews commence
The opening questions aim to gather basic information about the public university
Three:
and of the participant
Beginning the
interview
The researcher guides the participant through the key themes (research questions)
Four: During the
as they appear in the interview guide
interview
Each theme is explored in depth using follow-up questions and probes
The researcher pays attention to issues that emerge from the participant
This stage lasts about 30 minutes
This occurs in the last five to ten minutes of the interview
Five: Ending the
interview The researcher signals the end of the interview and gives the participant an
opportunity to point out any unfinished business
The researcher allows the interviewee to gradually return to the level of everyday
social interaction
The researcher thanks the participant warmly and reassures him or her of
Six: After the
confidentiality
interview
Source: adapted from Fahmy (2008) and modified for this research.
Open-ended questions were raised at the third stage of the interview (Table 3.12), and they
allowed the interviewees to provide valuable insights (Yin, 2009), and to express their views
without any influence from the researcher (Perry, 1998b). Focus or probe questions were
covered in the fourth stage (Table 3.12) of the interview. These questions were developed in
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a way that ensured that the interviewees covered all the areas raised in the prior theory (Yin,
2009).
In each university, interviews were conducted with three members of the universitys
governing council in order to ensure a broad range of responses, and to avoid over-reliance
on one key interviewee (Yin, 2009). With the permission of the interviewees, the interviews
were taped, and later transcribed to assist in triangulation of data (Perry, 1998b). Moreover,
the researcher and the research assistant took notes during the interviews. Procedures were
put in place to guarantee confidentiality, anonymity, and destruction of the tapes and
transcripts seven years after completing the thesis. The interviewees signed informed consent
forms (Appendix 2, p. 231) as evidence that they participated in the research knowingly and
willingly. The interview guide is attached as Appendix 3 (p. 235).
In summary, this sub-section defined and discussed interviews as the data collection
technique for this research. The next sub-section discusses how the researcher engaged in
document reviews.
Document reviews: Besides interviews, the researcher collected secondary data through
document reviews. This was because the researcher used multiple sources of data for the
purposes of enhancing quality as discussed in section 3.4.3 (p. 113). The researcher reviewed
published reports, websites and other documents obtained from the five public universities,
with the aim of providing evidence of the corporate governance practices used in each public
university. Yin (2009) describes document review as a systematic search for information. A
case study data-base was maintained to ensure that information could be retrieved where
necessary. The data-base captured sufficient details to enable ready reference for the data
collected. The researcher maintained a file of codes used to identify the universities,
participants, and responses obtained from the participants.
3.5.3.2 Participants actions during the interviews
The researcher interviewed 15 participants using semi-structured interviews that allowed

additional questions to be added as the interviews progressed. The semi-structured interview
guide (Appendix 3, p. 235) was provided to the participants and briefly discussed with them
132
prior to the commencement of the interviews. The researcher clarified questions raised by the
participants before collecting the data. This approach conforms to Yins suggestion (2009)
that all interviews have to be standardised.
The case study protocol is regarded as a major means of achieving reliability in case study
research in the sense that it provides guidance to other researchers who may want to repeat a
study (Perry, 1998b; Yin, 2009). Perry (1998b) advises that a protocol enables the research to
detail the procedures, or requirements, to be followed in data collection, given that it contains
the case study instruments, procedures, and general rules for using the instruments. It also
enables a researcher to have greater control over the conceptual environment of a research
(Cooper & Schindler, 2010).
Yin (2009) is of the view that a case study protocol should comprise an overview of the study,
field procedures, case study questions, and a guide for writing the case study report. These
components are outlined in Table 3.13.
Table 3.13: Sections of the case study protocol
Section Contents
Overview of case study Project objectives and auspices
Case study issues
Relevant reading
Field procedure Credentials of cases
Access to case study sites
Information on protection of human
subjects, sources of data, and
procedural reminders
Case study questions Potential questions for collecting data
Table Shells for specific arrays of
data
Potential sources of information for
answering questions
Guide for case study report Outline
Format for the data
Use and presentation of other
documentation
Bibliographical information
Source: adapted from Yin (2009, p. 81).

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In this research, an overview of the case study method was outlined in chapter 1 (introduction)
and chapter 2 (literature review). The researcher addressed the issue of field procedures by
ensuring that the study focused on a real-life context. Moreover, the interview questions
related to the research questions established in chapter 1 and chapter 2 of the thesis.
According to Yin (2009), each interview question should be accompanied by several sources
of evidence, such as annual reports, memos, and internal documents. Lastly, the guide for the
case study report is concerned with the outline, format, and audience of the case study report.
This sub-section reviewed the case study protocol. The next sub-section explains how the
data collected was analysed.

Miles and Huberman (1994) argue that data analysis in case study research is the process of
examining, categorising, tabulating, and compiling empirical evidence to address the research
questions. Several scholars are of the view that the analysis of case study evidence is
complicated, and one of the least developed aspects of the case study methodology
(Eisenhardt, 1989a; Yin, 2009). This is because there are few fixed formulas that can be used
to guide an inexperienced researcher (Yin, 2009). In case study research, data analysis is a
continuous process that begins at the data collection stage (Patton, 2002). The analysis of data
obtained through interviews forms the basis for theory generation, or theory building, in case
study research (Eisenhardt, 1989a). According to Yin (2009), the essential outcome of case
study data analysis is to treat evidence fairly, produce compelling conclusions, and rule out
alternative interpretations.
In this research, data analysis involved developing a case description for each university, and
a cross-case analysis for all the universities. The data was also subjected to content analysis.
The NVIVO software was used to analyse the data.
Case description: An individual report was prepared for each public university using
information obtained from the interviews, focus group discussion, and documents reviewed.
A major strength of the case study methodology lies in its ability to provide an opportunity to
incorporate several sources of evidence (Yin, 2009). The researcher made an effort to identify
134
any incongruence between the various interviews, or between the interview results and the
results of the documents reviewed. The interviewees, prior to preparation of the final report,
reviewed the draft reports obtained from them.
Cross-case analysis: The researcher prepared a cross-case analysis for all the public
universities studied (Yin, 2009). The aim of this exercise was to identify common patterns
(Stake, 2006; Miles & Huberman, 1994). According to Patton (2002), case description ought
to always precede cross-case analysis. Similarly, Perry (1998b) recommends that a
description of each case be done shortly before the data analysis chapter. Patton (2002, p.
440) points out that cross-case analysis means growing together answers from different
people to common questions or analysing different perspectives on central issues. In essence,
this was a comparison of responses from different universities.
Content analysis: Data obtained through interviews was subjected to content analysis
(Weber, 1990), in accordance with the procedures suggested by Cavana, Delahaye and
Sekaran (2001). The researcher coded the data (Kumar, 2011), where coding refers to the
process of assigning labels to words, phrases, or paragraphs; this enables a researcher to
differentiate and combine interview data into categories that create ideas, themes, or concepts
(Carson et al., 2001). The researcher used direct quotations from the interviews to justify
conclusions about differences between cases in cross-case analysis (Perry 2001, p. 316). The
detailed analysis of data, as presented in chapter four of this thesis, contains frequent
quotations from the data (Bogdan & Biklen, 2007).
3.6 Limitations of case study methodology

Case study research is unique and it has its own capacities and strengths (Yin, 2009). For
instance, Perry (1998b) argues that it is rigorous, coherent, and based upon perfectly
justifiable philosophical positions. Moreover, Zikmund (2010) highlights the overall
advantage of the case study method as its ability to provide insights and information.
However, a number of limitations and criticisms, as summarised in Table 3.14, have been
advanced against this research methodology.
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Table 3.14: Limitations and criticisms of case study research
Limitations and criticisms Source Proposed strategies for Sections addressing
of case study research overcoming shortcomings limitations
1. Leads to development of Eisenhardt (1989a) Literature review Chapter 2
theories that are
unnecessarily complex Parkhe (1993) Research problem and Chapter 3
research questions
Prior theory
2. Difficult to conduct Eisenhardt (1989a) Case study protocol Chapter 3
Parkhe (1993)
3. Lacks external validity Eisenhardt (1989a) Theoretical replication Chapter 2
Patton (2002) Literal replication
Yin (2009)
Perry (1998b)
4 . Insufficient to lead to Miles & Huberman ( 1994) Multiple research Chapter 2

theory development methodology
Eisenhardt (1989a; 1991) Chapter 3
Parkhe (1993)
5. Is associated with Patton (2002) Discussion with supervisor, Chapter 2
researcher bias researchers, and practitioners
Yin (2009) Chapter 4
Replication logic
Chapter 5
Triangulation
Methodical return to data to

check core constructs
Source: adapted from Husnan (2009) and modified for this research.
Table 3.14 indicates that there are five limitations associated with case study research. The
first criticism is that it is associated with the development of theories that are unnecessarily
complex (Eisenhardt, 1989a; Parke, 1993), and which are also narrow and idiosyncratic
(Eisenhardt, 1989a; Yin, 2009). To overcome these weaknesses an elaborate case study
research design is included in this chapter. Moreover, the researcher thoroughly reviewed
literature in chapter 1 and chapter 2 of the thesis in order to clearly define the research
problem and the research questions. The focus group interview that was carried out prior to
the actual data collection cross-checked the wording of the interview protocol, and the
sequencing and layout of the questions, to ensure that the research obtained relevant
information (Veal, 2005).
Secondly, case study research is criticised on the basis of the potential logistical and
operational problems that may be encountered when conducting it, and which may make it
136
difficult to carry out (Eisenhardt, 1989a; Parke, 1993). This limitation was overcome by using
the case study protocol prepared for this research in section 3.5.3.3 (p. 133). Thirdly, case
studies are associated with a lack of external validity (Eisenhardt, 1989a; Patton, 2002; Perry,
1998b). The researcher overcame this limitation by providing sufficient detail in chapter 3 to
enable theoretical and literal replication of the study. Fourthly, some critics point out the
insufficiency of case study research in theory development (Eisenhardt, 1989a; Parke, 1993).
This study overcame this limitation by adopting an elaborate multiple research methodology
as detailed in chapter 2 and chapter 3 of the thesis. Lastly, case study research is associated
with researcher bias that leads to subjective judgements (Denzin & Lincoln, 2011; Patton,
2002; Stake, 1995). The researcher engaged in reviews with supervisors, and with peers, in
all the chapters in order to overcome this weakness.
3.7 Ethical considerations

The issue of ethics is an important consideration in research that involves human subjects
(Babbie, 1990; Bogdan & Biklen, 2007; Cooper & Schindler, 2010). Research ethics is
defined as the appropriate behaviour of a researcher relative to the norms of society (Wells,
1994; Zikmund, 2010). A researcher, research subjects, and clients or consumers of a
research have to be protected from any adverse consequences of the research (Cooper &
Schindler, 2010; Patton, 2002; Sekaran, 2009).
This research considered ethical factors in a number of ways. Firstly, participation in the
research was voluntary, and research participants had the right to withdraw at any time of
their choice. The participants were thoroughly informed before the research commenced, and
they were properly treated throughout the research. Moreover, the research participants were
provided with information sheets prior to the research (Appendix 1, p. 227). The research
participants signed informed consent forms (Appendix 2, p. 231) as evidence that their
participation in the study was voluntary and not coerced. Moreover, identity of the research
participants and their organisations was kept private and confidential. Interviews were
conducted with the approval of the institutions, and information obtained from the informants
was made available to them before it was analysed and final conclusions drawn from the
research. Sensitive information was removed at the discretion of the participants. Moreover,
arrangements were made to securely store the data for seven years after the research, and to
137
destroy it thereafter. The researcher maintained objectivity, presented the true research
findings, used the research results for academic purposes only as outlined in the research
protocol, and obtained approval of the Human Research Ethics Committee of the Southern
Cross University before commencing the collection of primary data. The ethics approval
number for this research is ECN-10-078.
3.8 Conclusion
This chapter outlined the methodology adopted for this research. Moreover, the researcher
explained and justified the research paradigm adopted in this qualitative study and explained
the data collection methods, data collection instruments, and the criteria for selecting the
cases. The chapter examined how quality issues were addressed in the research. Further, the
researcher identified limitations of the case study design, and explained how the limitations
were addressed in this research. Finally, data analysis procedures were presented, and ethical
issues addressed.
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CHAPTER 4: DATA ANALYSIS
4.1 Introduction
The previous chapter described the research methodology adopted to collect and analyse data
for this research. The case study methodology was deemed most preferable for addressing the
research problem for this research, given that case study research relies on multiple sources
of evidence and has a strong descriptive capacity (Yin, 2009). This chapter has two
objectives. Firstly, it examines patterns and themes in the data collected through interviews,
document reviews, and a focus group discussion. Secondly, it relates the patterns and themes
emerging from the collected data to the research propositions established in section 2.7.4 (p.
87) of this thesis.
The chapter is presented in five sections. Section 4.1 introduces the chapter while section 4.2
presents a profile of the respondents. This is followed by a description of the data analysis
methods (section 4.3). Section 4.4 presents an analysis of the data in relation to the research
questions, and a conclusion of the chapter is provided in section 4.5. The research findings
are related to the literature reviewed in chapter 2 of this research. Subsequently, chapter 5
presents a discussion of the relationships between the research findings and the literature
reviewed. Chapter 5 also examines the managerial implications of the findings. Figure 4.1 is
a pictorial outline of chapter 4.
139
4.1 Introduction
4.2 Profile of respondents
4.3 Description of methods of data analysis

4.3.1 Coding
4.3.2.1 Open coding
4.3.2.2 Axial coding
4.3.2.3 Memoing
4.4 Data analysis in relation to the

research questions
4.5 Conclusion
4.2 Profile of respondents

The research problem for this study, as discussed in sub-section 2.7.1 (p. 85), was to explore
the corporate governance practices adopted by Kenyas public universities. In order to
address this problem, the researcher collected data from 15 informants obtained from five
public universities selected for the purposes of this study. Sub-section 3.5.2.3 (p. 124)
provides details of how the informants were selected. The data was collected by using semi-
structured interviews, document reviews, and a focus group discussion with each interview
140
lasting 30 to 60 minutes. This section provides an analysis of the data obtained from the five
case organisations. Table 4.1 summarises the profile of the respondents.
Table 4.1: Profile of the respondents

University Informants Gender Date of Time of the Position Length of time
code code interview interview in the position
A A1 Male 17/1/2011 9.00-10.00 am Deputy Vice Chancellor 4 yrs 6 months
A2 Male 27/1/2011 1.00-2.00 pm Deputy Vice Chancellor 3 years
A3 Male 27/1/2011 3.00-4.00 pm Director of a major 3 years

university function
B B1 Male 1/2/2011 8.30am-9.30 am Vice Chancellor 2 months
B2 Female 1/2/2011 10.00-11.00 am Deputy Vice Chancellor 4 years
B3 Male 1/2/2011 12.00-1.00 pm Director of a major 4 years

university directorate
C C1 Male 2/2/2011 11.00-12.00 pm Deputy Vice Chancellor 4 years
C2 Male 2/2/2011 2.00-3.00 pm Academic Registrar 2 years 6 months
C3 Female 2/2/2011 4.00-5.00 pm Administration Registrar 4 years
D D1 Male 4/2/2011 9.00-10.00 am Deputy Vice Chancellor 9 years 7 months
D2 Male 4/2/2011 1.00-2.00 pm Director of a school 6 years
D3 Male 4/2/2011 3.00-4.00 pm Director of finance 9 years
E E1 Male 24/2/2011 10.00-11.00 am Director of finance 2 years
E2 Male 24/2/2011 12.30-1.30 pm Director of a university 10 years

function
E3 Male 24/2/2011 4.00-5.00 pm Academic Registrar 5 years
Table 4.1 indicates that, out of the 15 council members interviewed, only two were female.
This implies that council positions were occupied by more males than females. According to
Eagly and Karau (2002), leadership roles, such as managerial positions, are traditionally
considered masculine, and women who occupy such positions are perceived to be defying
141
gender stereotyping. Other explanations advanced to explain the presence of relatively fewer
women in managerial positions include family responsibilities (Greenhaus & Parasuraman,
1999) and womens lack of the traits needed to attain success at higher organisational levels
(Browne, 1998). Pie chart 4.1 summarises the gender of the respondents.
Pie Chart 4.1: Gender of the respondents
Further, the researcher analysed the tenure of the respondents and summarised the findings in
Bar chart 4.1.
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Bar chart 4.1: Tenure of the respondents
Bar chart 4.1 indicates that the majority of the respondents had occupied their positions for
period ranging between two and four years. Only one respondent had occupied his position
for a period extending beyond ten years.
4.3 Description of the data analysis method

The researcher reviewed literature in chapter 2 of this research and formulated seven research
questions. The research is qualitative and does not test hypotheses. Instead, it seeks to
formulate an emerging theory by addressing the issues raised in it. Therefore, data obtained
through semi-structured interviews was subjected to content analysis (Weber, 1990) in
accordance with the procedures suggested by Cavana, Delahaye and Sekaran (2001). Figure
4.2 summarises the steps used in analysing the data.
143
Figure 4.2: Data analysis process
Data
collection
Note taking
Coding
Memoing
Sorting
Writing
Source: adapted from Dick (2005, p. 2).
Chapter 3 discussed how the data was collected through semi-structured interviews,
document reviews, and a focus group discussion. Each interview lasted between 30 and 60
minutes, and was taped and transcribed verbatim in order to enhance coding. Moreover, the
researcher took brief notes during the interviews. The reliability of the data was enhanced by
using a research assistant.
4.3.1 Coding
According to Ezzy (2002), coding is a process of identifying concepts or themes in data.
Similarly, Zikmund (2010) defines coding as a process of attaching a numerical score or
character symbol to each response and it is done for identification and classification purposes.
Data analysis for this research was begun after all the relevant data had been collected.
Further, the researcher adopted a three-stage coding process as explained in sub-section 3.5.4
(p. 134) of this thesis. The three stages were open, axial and selective coding and they were
done sequentially. In this way, the researcher identified emerging themes. Each of the three
stages is briefly discussed as follows.
4.3.1.1 Open coding
Neuman (2010) describes open coding as a process of assigning initial codes to condense a
large mass of data into analytic categories. In the same vein, Mertens (2009) and Glaser
144
(1978) as well as Strauss and Corbin (2008) consider open coding as a process of breaking
data into discrete parts, examining it closely, checking for similarities and differences, and
asking questions about the phenomena being studied. In essence, a researcher assigns a label
or symbol to each discrete idea, incident or event arising from each observation, sentence, or
paragraph. In this research, open coding was used as illustrated in Table 4. 2
Table 4.2: Open coding process for this research

Participant 1. How 2. The 3. The 4. The 5. The 6. Culture 7. How
A2 (14) governing functions mechanisms challenges challenges in the governance
Comments councils performed of encountered encountered universities can be
are by enhancing by by councils improved
established councils governance universities
Council Y Y Y
constitution
has become
political
According to Table 4.2, the researcher analysed each response in the light of the seven
research questions crafted for this research. The researcher used letter Y (for Yes) to mark the
research question(s) to which the response related.
4.3.1.2 Axial coding
This second stage of coding involves organising the initial codes, linking them, and
discovering major analytic categories (Neuman, 2010). According to Mertens (2009), axial
coding entails putting back parts of the data identified and separated through open coding,
and the aim is to identify any connections between data categories. Axial coding enables a
researcher to develop core themes out of overlapping or interrelated open codes which imply
strong evidence for the core codes (Strauss & Corbin, 2008).
4.3.1.3 Memoing or selective coding
This last stage of coding, as Strauss and Corbin (2008) explain, is done at a higher level of
analysis and involves identifying the core categories or stories behind a data analysis exercise.
145
In selective coding, one core category or story line is selected and other categories related to
it (Mertens, 2009). Similarly, Neuman (2010) explains that selective coding entails
examining previous codes with the aim of identifying and selecting data that supports the
coding categories developed in the first two stages of coding. An illustration of how selective
coding was used in this research is provided in Table 4.3.
Table 4.3: An illustration of memoing as used in this research
Code Core categories Words (Memo)

(Interview &
order)
A1a (A11) Function of Council The council generally is the body that approves
policies,
A1b (A12) Function of Council policies and in terms of the direction the university should
take. So it provides direction
A1c (A21) Function of council The university council is like an oversight body of the
university,
A1b (A23) Function of council and giving direction based on the universitys vision and
mission
A1m (A31) Function of council council is a body that runs the university on behalf of
government
A1d (B11) Function of council The council is at the strategic level of management
A1e (B12) Function of council It recruits top management
A1b (B13) Function of council It provides direction by setting the vision, mission and
strategic direction
A1f (B21) Function of council I dont think the council does anything for us
A1k (B22) Function of council They tell us they are our employers
A1g (B23) Function of council Let them fundraise, lets have some projects where they
have fundraised
A1k (B24) Function of council what are their duties, to interview professors?
A1h (B26) Function of council Then the other one is discipline, which they do
A1c (B31) Function of council The council really is the guiding body in terms of
administering the university
4.4 Data analysis in relation to the research questions

Having explained the coding process used in the research, this section contains an analysis of
the data in relation to the seven research questions crafted for this study.
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4.4.1 Research question 1: How are governing councils of Kenyas public
universities constituted?
Answering the first research question involved investigating how university governing
councils were established. According to participants A1 (13), A3 (8), B1 (6), C3 (7, 9) and
D3 (27) councils were established in such a way as to represent different stakeholders. This is
in line with the stakeholder theory, which holds that organisations exist for the benefit of
numerous stakeholders. The total number of council members in each council ranged
between 25 and 33. This information emerged from respondents A1 (12), B1 (5), D1 (9), D3
(9), E1 (7), E2 (5) and E3 (7). Some members, as reported by participants A1 (13), B1 (7),
D1 (13) and E1 (9) were drawn from within the universities; they included representatives of
students (B1 (25), B3 (22), C1 (35)), senate (A1 (13), C3 (7)), alumni and staff (C3 (7)). In
addition, a few members were drawn from external stakeholders, such as government
ministries and local communities. This information emerged from respondents A2 (10), B1
(8, 9), B3 (6, 9), C3 (9), D1 (12) and D3 (31). Informant D1 (11) categorically stated that
each province had to be represented in the council. Representation of stakeholders meant that
the councils were relatively balanced as reported by informants A1 (26) and E1 (12).
Informants A3 (2) and E1 (13) said that the councils comprised members who were highly
knowledgeable and experienced in different fields. However, participants A1 (5, 27), B2 (5),
A3 (16), C1 (11) and D3 (15) voiced concerns that the councils tended to lack certain skills,
such as financial management. The formation of councils, as pointed out by participant A1
(14), was guided by the University Act for each respective university.
Informants A1 (15), A2 (11), A3 (6), B3 (7), C2 (3), C3 (8), D3 (10), E1 (8), E2 (6) and E3
(8) reported that the council chairperson was appointed by the president of the Republic of
Kenya on the recommendation of the Minister for Higher Education, Science and
Technology. Consequently, informant A1 (16) said that the councils did not have a choice as
to who became the chairperson. Similarly, informants A2 (12), A3 (7), B3 (8), C1 (6), D1
(10), D3 (11), E2 (7) and E3 (9) reported that other council members were appointed by the
Minister for Higher Education, Science and Technology. Participants B3 (7-8) and E1 (8)
viewed all council members as presidential appointees. Once constituted, as informants A1
(23), A2 (16), A3 (12), B1 (10), C1 (8), D1 (15), E2 (9) and E3 (14) pointed out, council
members served for three years, but their contracts could be renewed for another three years.
147
Participants C1 (7) and E1 (16) expressed the view that while it was in order for the Minister
to appoint council members, selection of the chairperson ought to have been left to the
council members. Similarly, informants A2 (15), A3 (11), C3 (13) and E1 (11, 27) suggested
that universities should be involved when appointing council members, given that in a
number of cases, suitable persons recommended by some university managers were never
appointed. For instance, respondent A1 (22) reported that now there is room for elbowing
and universities end up short-changed, sometimes it is retirees looking for additional income.
Moreover, informants A2 (14), A3 (3) C3 (11), D3 (14) and E2 (25) raised concerns that
council formation had become a highly politicised activity and, consequently, council
members tended to be divided along political lines.
The researcher triangulated the information given by the informants by reviewing documents
and conducting a focus group discussion. The University Acts specified how councils were to
be formed and were available from the websites of a number of the public universities.
Similarly, the results of the focus group discussion made it clear that the respondents were
aware of the process of constituting councils but some were critical of it.
In summary, the constitution of university councils was done in such a way as to include
internal and external stakeholders. Nevertheless, some of the informants suggested changes
that could ensure better council constitution and functioning.
4.4.2 Research question 2: What functions do the governing councils of

Kenyas public universities perform?
The aim of this research question was to find out the extent to which governing council
members understood the functions they were supposed to be performing. Different responses
were given, and this sub-section explains some of them.
Participants A1 (1), A2 (2), D1 (23), D2 (1) and D3 (6) described approving policies as one
of the key functions of university councils. Normally, the policies were formulated by
management boards and council sub-committees, which then presented them for approval
during full council meetings. The policies provided broad directions for each university to
148
follow, and this partly explains why participants A1 (2), A2 (3), B1 (3), C3 (2) and E1 (1)
identified provision of direction as a major council function.
In the same vein, university councils were described as oversight bodies by informants A2
(1), B3 (1) and D1 (3). The councils, according to informants A3 (1), C1 (1), C2 (1), D1 (1)
and E2 (1) acted on behalf of the government. These participants highlighted the fact that the
councils oversaw the use of financial and physical resources of the universities, implying that
councils provided overall management of the universities. Further, participants B1 (1), C3
(1), D2 (9) and E3 (1) viewed the council as providing strategic management to universities,
given that they operated from the strategic level of an organisation. This is how one of the
participants expressed it:
the council is at the strategic level of management of the university, recruiting the top
management, setting the vision, mission and the strategic direction the university is
supposed to go, approve the budget and application of funds, so basically strategic
management of the university.
B1 (1-3) (Personal communication, 1 February 2011).
Councils were also in charge of overseeing the staffing requirements of the universities. For
example, recruitment of top management was perceived to be a major council function by
participant B1 (2), meaning that the councils employed top managers in each university.
Similarly, participant B2 (4) was of the view that councils approved university promotions,
implying that they were in charge of staff development activities. Informants B2 (2), B3 (2)
and D2 (2) further highlighted the fact that the councils also approved all new staff
recruitments.
Sourcing funds as a major council function was mentioned by participants B2 (3), C1 (4),
C3 (3) and D3 (2). Respondent B2 (6) also viewed the council as being in charge of discipline
while participant C1 (2) emphasised that the councils were in charge of developing the
universities in all aspects. Participants D1 (2), D2 (3) and D3 (1) singled out the management
of university assets as a key council function. Participant D1 (3) expressed the view that
councils were not only in charge of staff welfare but they were also responsible for the
welfare of students.
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The information provided by the participants was triangulated by using document reviews
and a focus group discussion. The University Acts identified the key functions of university
councils as being to provide direction, and the focus group discussion confirmed that the key
functions performed by governing councils were sourcing funds, approving policies,
overseeing the use of university resources, approving development projects, recruiting top
management, approving all staff recruitments and promotions, and providing direction for the
universities.
In summary, each participant identified a few aspects of the key functions of governing
councils. This confirms that corporate governance is a broad concept that has many facets,
and that it is not easy to define (Adams, 2002). Findings from the triangulation seem to
support the interview data and secondary data obtained from reviewing the literature.
Moreover, the findings were in line with the recommendations of the ASX Corporate
Governance Council (2007), the Cadbury Report (1992), the Sarbanes-Oxley Act (2002) and
The Business Roundtable (2010) on what constitutes good governance practices. These
recommendations are discussed in chapter 2, sub-section 2.2.5 (p. 34) of this thesis.
4.4.3 Research question 3: What mechanisms do the councils adopt to

enhance governance of the public universities?
The previous sub-section analysed responses relating to the second research question. This
sub-section explores the mechanisms that governing councils had instituted to enhance
governance of Kenyas public universities.
It has been pointed out that, as reported by informants A1 (13), A3 (8), B1 (6), C3 (7, 9) and
D3 (27), councils were structured in such a way as to represent the interests of different
stakeholders, such as students, staff, general public, and the government. This made them
relatively balanced (A1 (26)). Informants B1 (25), B3 (22) and C1 (35) reported that
students were represented in councils, senates and other organs of management. Moreover,
participant B3 (18-23) highlighted the importance attached to students. This aspect of
representativeness ensured that councils obtained the perspectives of different stakeholders. It
was a consultative approach to management that reduced resistance to change, minimised the
possibility of conflicts, and ensured smoother operation of the universities.
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New council members were inducted, and this was reported by informants A1 (17), A2 (13),
A3 (9), C2 (4), C3 (10), D1 (14), D3 (13), E2 (8) and E3 (10). The aim of the induction was
to give them a positive first impression of the universities, and to ensure they possessed
relevant knowledge for governing their respective institutions. Further, informants A1 (18),
A2 (23), A3 (10), C2 (5), D1 (24-26), E1 (10) and E2 (11) reported that council members
were also trained in such areas as corporate governance, financial management, and the
contents of their respective University Acts. Training ensured that council members were
equipped with the most up-to-date information needed to effectively perform their functions.
Council meetings were held quarterly, as reported by informants A1 (24), A2 (17), A3 (13),
B1 (11), C1 (9), C2 (7), C3 (16), D1 (16), D2 (6), E1 (14), E2 (14) and E3 (11). This
provided a good opportunity for council members to deliberate on matters affecting their
institutions. Extraordinary meetings were held when urgent issues arose, such as when
students or staff went on strike, and this was reported by participants A2 (17), A3 (14), C3
(17), D1 (16) and E1 (14). Management boards kept council members informed of any major
university activities.
Each council had different sub-committees. According to informant A1 (25) the main sub-
committees are audit, governance and risk management, finance and general purposes, human
resources, planning development, academic and research, and sealing. Informants A2 (5), A3
(15), B1 (12, 13), B2 (12), B3 (11), C2 (8), C3 (18), D1 (17), E1 (15), E2 (15) and E3 (12)
also confirmed the existence of these sub-committees. Moreover, respondent B1 (12) and B3
(11) pointed out the existence of executive, honorary and higher degrees, fund raising, and
building committees. The sub-committees used to hold their own meetings and reported their
deliberations during full council meetings.
Councils established clear accountability measures. For instance, internal and external
auditors were used to enhance governance. Here are some quotes.
We have government and internal auditors (A1 (28)).
We have internal and external auditors (A2 (19)).
We have been audited by renown auditors (A2 (20)).
We have an audit committee of the council (B1 (13)).
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We have balance sheets, we prepare even our accounts for external auditors because
they have to give a certificate (B2 (30)).
The councils, as reported by informants A3 (17), C1 (13), C2 (10), C3 (21), D3 (16) and E2
(18), were very objective when interacting with internal and external auditors. Similarly,
participant C1 (30) reported that any money coming in must be discussed at the council first,
then senate. The councils receive quarterly financial statementsthen annual statements at
the end of the year (C2 (20)). Objectivity was needed to ensure transparency in the
universities. According to informants A3 (29), D3 (17) and E2 (19) performance, financial
and operations matters were disclosed to the Minister for Higher Education, Science and
Technology. However, participants C2 (21) and D2 (22) reported that audited financial
statements and books were open for inspection by any member of the public who wished to
do so.
The existence of clear reporting channels also enhanced governance. According to respondent
A1 (29) the council reports to the Chancellor, and the Act defines the head of state as the
Chancellor. The council, as reported by informants A1 (30), A3 (18), C1 (14), C2 (12), C3
(23), D2 (10), E1 (20) and E3 (16), also reported to the Minister for Higher Education,
Science and Technology. These reporting channels were tools of accountability which placed
obligations on council members to act responsibly and ethically. Good corporate governance
requires directors to be ethical and responsible in their activities.
Councils established management boards that were in charge of running the universities on a
day-to-day basis, and whose members were knowledgeable and experienced in administration
matters. This was reported by participants A1 (31), A3 (22) and D3 (24). The management
boards were headed by the Vice Chancellors who, as respondent B3 (3) reported, were
appointed by councils as the Chief Executive, to run it on a day-to-day basis. Informant B1
(14) was of the view that the management board is the tactical or business level
management and that it translates the strategic direction given by council (B1 (15)).
Management board members met on a weekly basis. This information emerged from
participants A1 (32), A3 (24), C2 (17), C3 (29), D1 (27), D2 (16), D3 (21), E1 (21), E2 (22)
and E3 (18). According to informants A2 (22) and D1 (21), the boards had between seven
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and nine members. New management board members were usually inducted and underwent
occasional internal and external training. This was reported by participants A1 (33), A2 (25),
A3 (25), C2 (16) and C3 (28, 30).
Governing councils ensured that the universities were guided by strategic plans. According to
respondents A1 (34) and A2 (24), the strategic plans also contained the visions and missions
of the universities, although faculties and schools also had their visions and missions that
were in line with the broader visions and missions of their respective universities. This
information corroborated that given by participants C1 (23), D2 (21), E2 (23, 24) and E3
(19). Further, in each university, members of council, management board, and staff signed
performance contracts that were used to evaluate their performance. Some quotes to confirm
this point are:
Recently, we all have been under performance contracts (A1 (35)).
There are performance contracts signed when you become a council member (A3
(20)).
We use performance contracts (A3 (26)).
Each employee signs a performance contract (A3 (35)).
The management signs performance contracts with the council (B1 (16)).
Council signs performance contracts with the ministry (B1 (17)).
Performance contracting is something that you know is everywhere (B3 (16)).
There are performance indicatorswe sign performance contract (C1 (28)).
Informants C2 (19, 26), C3 (32), D1 (29), D2 (20), D3 (18, 25, 36) and E2 (20) also reported
the existence of performance contracts.
Corrective measures, such as counselling, were used to help council members who failed to
meet their performance expectations. This information emerged from participants A1 (37),
B1 (18) and C1 (29). Respondent A2 (27) said that we assist members who dont meet
performance expectations and there is no provision for punishment. Nevertheless, informants
B2 (27), C3 (35) and E2 (26) reported that while there were disciplinary measures put in
place, thorough investigations preceded any disciplinary actions. According to informant A2
(8) some universities had set up directorates of quality assurance to address quality issues.
Yearly evaluations, as reported by informant A2 (9), were used to improve quality.
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Although management board teams were very competent, informants A2 (25), A3 (25), C2
(16, 18) and C3 (30) confirmed that they also benefited from external advice. As participant
C2 (18) put it we use external consultants in quality control, performance contracting and
corporate governance. And in an effort to ensure fairness in the employment of staff, several
committees were involved, as reported by participant A2 (28) who said different committees
are involved in different stages of recruitment. Vacant positions were advertised internally
and externally, and this emerged from informants A3 (33), B2 (33), B3 (17), C1 (31), C2
(24), D2 (24), D3 (34) and E2 (28). Participants A2 (29), A3 (34), B2 (34), C2 (25), D3 (35)
and E2 (29) reported that new employees were inducted by their respective heads of
departments and deans of faculties. Appointments and promotions of staff were done after
consulting the persons involved and a number of other parties. This was reported by
informant A2 (30) who said we consult individuals earmarked to head departments. Similar
sentiments were expressed by informant A3 (36). Respondent A2 (33) said that
appointments are done fairly while participants B2 (36), C1 (32), D2 (26), E1 (26) and E2
(32) were categorical that all appointments in the universities were done by the Vice
Chancellors. The councils approved all promotions, a fact that emerged from informants D3
(37) and E3 (21)
Interactions with different stakeholders were governed by clear policies that were often
expressed in the form of handbooks. For instance, participants A2 (32), A3 (30), C1 (34) and
E1 (25) reported the existence of students handbooks, while participant A3 (31) said that
staff handbooks also existed. Similarly, informants A3 (32) and D1 (32) reported that
decisions were made fairly as they were guided by policies which ensured consistency and
fairness when dealing with different stakeholder groups. A key aspect of good corporate
governance is considering the legitimate interests of all stakeholders when interacting with
them.
The information given by the respondents was triangulated using a focus group discussion
and document reviews. Consistency was found in the information obtained through the three
data collection methods. In summary, the findings confirm that the process of governing
universities requires a series of mechanisms to be put in place, in order to ensure fairness,
representativeness, and good decision making.
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4.4.4 Research question 4: What challenges do Kenyas public universities
encounter?
Kenyas public universities were found to be facing a number of challenges. According to
informants A2 (7), D2 (5) and E3 (5), the universities had large numbers of students.
Respondent B2 (10) was of the view that enrolment kept on increasing in spite of the fact that
the universities were already over-enrolled. The large number of students led to overstretched
facilities. For instance, informant D1 (5) reported the inadequacy of accommodation
facilities, while participants D1 (6) and E1 (3) were of the view that there were not enough
lecture halls. At times, it was necessary to rent buildings outside the university and run
lectures there D1 (7).
Informants A1 (6-7), B2 (7, 26), B3 (4), D1 (8) and D3 (8) cited limited financial resources
as the main challenge facing public universities. Here are a few quotes:
Finance is the main challenge facing the university (B2 (7)).
The biggest challenge normally is finance. For public universities, resources are
difficult to come by, and it is the biggest challenge that any council faces (B3 (4)).
The main challenge is the resources, universities are demanding (D1 (4)).
Informant B2 (9) voiced concerns that given the emphasis the government placed on
constituency development, university funding was likely to be reduced in future. Limited
finances, as informant B3 (26) reported, made it difficult for universities to develop their
staff.
Inadequate finances and large numbers of students combined to form a major challenge to
public universities. Informant B2 (26) said the government has given me students; the
money has not gone up, how do I take care of them? Similarly, participant D2 (5) reported
that the challenge facing the university is the rapid growth of student population compared
with the growth in facilities and buildings. Informants A2 (6) and E1 (6) were of the view
that maintaining quality education was a major challenge, given the large number of students
and the overstretched facilities.
According to participant A3 (27), the government being the sole shareholder of the said
universities was a challenge in the sense that the universities operations were guided by
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government policies and any decisions outside the jurisdiction of these policies could not be
made. Informant B2 (11) cited lack of orientation for new managers as a challenge. This
informant said that in universities, when you are appointed in an office, no one tells you
what to do.
The culture prevailing in some universities also emerged as a challenge. Respondent C3 (43)
said we have sacred cows that you cannot touch. Similarly, some heads of departments were
not reporting poorly performing employees, and this was reported by participants C3 (42). In
the same vein of argument, participant C1 (27) was of the view that some people in the
university system are still very conservative, implying that they were resistant to change.
The researcher triangulated these findings by using document reviews and a focus group
discussion. Literature reviewed in chapter 2 indicated that Kenyas public universities
encountered many challenges that included rapid expansion of university education, reduced
government funding, gender inequality, low research capability, students living in poor
conditions, and the spread of HIV/AIDS (Mwiria & Ngethe, 2007). Similar findings arose
from the focus group discussion. The triangulated findings seem to confirm that Kenyas
public universities operate in an increasingly challenging environment. The findings point to
the need for changes in government policies that would require student numbers to be
matched to the prevailing facilities.
4.4.5 Research question 5: What challenges do governing councils of

Kenyas public universities face?
This research identified several challenges that are encountered by governing councils of
Kenyas public universities.
According to informant A1 (3) council members needed to differentiate between governance

and management. This would have enabled them to avoid devoting too much attention to
matters that were within the domain of management. Moreover, respondent A1 (4) advised
council members to avoid rubber stamping management decisions. For instance, informant
D2 (4) reported that council does not oppose ideas of the Vice Chancellor. The implication
of A1 (3)s advice is that council members should use expertise, knowledge, and experience
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in their activities. Informant B2 (14-15) criticised some council members as being unable to
make any reasonable contributions, blindly following the Vice Chancellors, and unable to
come up with their own decisions. As respondent B2 (15) expressed it they never come up
with their own ideas. Informant C1 (10) reported that some of them dont really understand
the university concept, and this was because you will get someone in the council, someone
withone degree, and sometimes even without a degree (C1 (11)). There were also council
members who were very conservative (C1 (27)). Some respondents felt that councils did not
have enough members with certain skills. For instance, informants A1 (27) reported that we
have a lot of concern on finance, because of background of members. Similar sentiments
were expressed by informants A3 (16) and D3 (15).
Council constitution was also a challenge. According to participants A1 (12), B1 (5), D1 (9),
D3 (9), E1 (7), E2 (5) and E3 (7), councils comprised an average of 25 to 33 members, and
this number was too large and ineffective for governance purposes. Respondent A2 (4) raised
concerns that the large number of council members is costly to maintain. The chairpersons
and members of councils were appointed by the President of the Republic of Kenya on the
advice of the Minister for Higher Education, Science and Technology. Such appointments
were, by and large, political, a fact that emerged from informants A2 (14), C3 (11), D3 (14)
and E2 (25). Political appointment of council members often led to politically divided
councils. Some quotes to support this point are as follows:
Council constitution has become political (A2 (14)).
The whole council is politicised, so we have a split (B2 (13)).
Rather than make decisions based on politics, respondents B3 (10), C3 (19) and E2 (10, 12)
suggested that the appointing authority needed to appoint people who had certain desirable
characteristics, such as fundraising and knowledge of management. According to informants
C1 (7) and E1 (16), the appointment of council chairpersons ought to have been left to the
council members. For instance, informant C1 (7) said I would rather the Minister appoints
the board members, then the board elect the chairman. Respondent A2 (15) was of the view
that input from university managers should be considered when appointing new council
members. Informant C1 (12) also said that I think appointment of council should involve
the university and this, according to informant C3 (13), amounted to a lack of adequate
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consultation. As respondent C3 (12) put it the president should ask the university for names
of preferred council members.
The councils, as reported by informants A2 (6), were also faced with the challenge of
maintaining quality of education in universities in the midst of limited facilities and finances
and increasing student numbers. Given that the public universities had limited financial
resources and that government funding was expected to continue to fall, there was a need to
raise finances through other means, such as Module 2 programs. Consequently, council
members were also expected to raise funds, although, as informant C1 (5) reported, they
rarely did so. Informant A2 (26) expressed concerns that, given the financial requirements of
some objectives, it was impossible to achieve them.
Universities had more students than could be supported by their available facilities, and
university councils had to deal with this challenge. This was reported by respondents A1 (7),
A3 (5), B2 (10) and E1 (4). As informant B2 (26) reported, the government has given me
students, the money has not gone up, how do I take care of them? Informant D1 (5) said we
have more students; we cannot accommodate all of them.
University governing councils also dealt with the challenge of conflicts of interest, given that
informants B2 (16) and C1 (15) had voiced concerns that they had occurred in past periods.
As respondent B2 (16) said we have had cases of conflict of interest and because someone
is a Chairman or Vice Chairman, he insists and you have to buy (B2 (17)). However,
informants A3 (19) made it clear that conflicts of interest were never entertained and council
members do not in any way receive preferential treatment (C3 (25)). Moreover, the
government law is very strict on that (D1 (20)). Council members who wished to do business
with a university were expected to declare their interests so that they did not have to
participate in making decisions that related to them. This was reported by informants C2 (13),
C3 (24) and D1 (19). As informant D2 (11) said, conflicts of interest are addressed at the
time of appointment.
Councils had to deal with the challenge of negative perception about their performance.
Respondent B2 (1-5) perceived the councils as doing nothing for universities. For instance,
the councils were not raising funds, and this was also reported by informants B3 (5).
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Moreover, some of the members were not qualified to undertake functions such as
interviewing academic personnel, because some of them had only one or no university
degrees. Informants C1 (16) raised the concern that methods of evaluating the performance
of council members did not exist, while informant C1 (17) recommended that there should
be a yardstick to measure the performance, so that people are not just joy riders.
The findings were triangulated using a focus group discussion and document reviews. The
information from the three sources was found to be consistent. The review of literature had
indicated that corporate governance systems in developing economies are weak (Armstrong,
2009). This research found that the effectiveness of university governing councils was
affected by the numerous challenges they encountered. In summary, these challenges can be
said to partly explain why corporate governance systems in Kenyas public universities are
weak.
4.4.6 Research question 6: What culture prevails in the boards of directors of

Kenyas public universities?
This research question aimed to explore the culture prevailing in the boards of directors of
Kenyas public universities and to recommend suitable cultural changes.
According to respondent A2 (34) the boards of directors, just like the public universities, had
multiple cultures. Some comments to confirm this point are:
We have different cultures (A2 (34)).
University.made up of many cultures (A3 (37)).
The culture is too diverse (C3 (44)).
The university is a multicultural institution (D1 (35)).
The university is multi-cultural. It operates on unity in diversity (D2 (27)).
We promote a culture of multiple ethnic groups co-existing peacefully (E1 (28)).
The researcher established that a culture of consultative management was practised in all the
universities, given that the interests of different stakeholders were represented in councils,
senate, and management boards. A lot of emphasis was placed on students and, as informant
B1 (26) reported our greatest stakeholder and customer is the student. Similarly, informant
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B3 (18) reported that here we start with students. And we actually end with them.
Respondents B2 (37) and E3 (22) reported the existence of a culture of encouraging research
while respondent C2 (29) was of the view that some universities were relatively newer and
their cultures were in the formative stages. According to informant C3 (43) we have sacred
cows that you cannot touch, implying that some university members had been appointed to
take care of the interests of powerful external parties.
The researcher sought to know the cultural changes that the respondents wished to have
implemented. Informant A3 (38) reported that we are aiming for a culture of academic
excellence while informant B1 (29) recommended that we need to take on the culture of
being the seat of academic excellence, teaching the best standards and practices and
undertaking research and that the university should act as a vehicle of development in the
community (B1 (30)). Similar views were expressed by respondent A2 (35) when he said
there is need to engage in more research that is used by the society.
According to informant C1 (33), council and management board members needed to spend
more time with staff, given that they hardly took any time to socialise. This would enable
them to understand and appreciate each other more. Further, respondent C1 (38)
recommended that council and management board members needed to remove the ivory
tower mentality and to interact with the people they served. Informant D2 (28) was of the
opinion that we should continue promoting positive ethnicity.
The findings obtained in relation to this research question were triangulated using document
review and focus group discussion. The information from the three sources was found to be
consistent. Moreover, the review of literature had indicated that culture is diverse and varies
from country to country. In summary, the triangulated findings confirm the existence of
diverse cultures in the boards of directors of Kenyas public universities.
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4.4.7 Research question 7: How can the governance of Kenyas public
universities be improved?
One objective of this research was to identify strategies that can be used to improve corporate
governance practices in Kenyas public universities. On the basis of the responses provided,
several strategies were suggested and they are discussed in this sub-section.
According to respondent A1 (3), councils needed to differentiate between governance and

management so that they did not have to over-indulge in management matters. The
implication here is that council members needed to be educated on the differences between
governance and management. Further, informant A1 (4) was of the view that councils needed
to stop rubberstamping management recommendations. Some council members, according to
informants B2 (14-15) and D2 (4), did only what the Vice Chancellors said and never came
up with their own ideas. This implies that council members needed to be able to bring out
their own ideas or suggestions as opposed to following those of the Vice Chancellors.
Councils should be constituted in such a way as to include people with the right mix of
necessary skills. This was reported by respondent A1 (5) who said sometimes you have
slightly more than necessary dose of certain skills and others not there. Informants A1 (27)
and A3 (16) were of the view that there was a shortage of financial experts in the councils.
Councils with the right mix of skills would provide more balanced perspectives of the
universities.
According to respondents A1 (12) and A2 (4), councils needed to have the right number of
members. Data obtained from the research indicated that each council had about 30
members. Informant A1 (12) said that a 30 member council is too large. Similarly,
informant A2 (4) viewed a council with too many members as costly to maintain. The
problem of a large council, as reported by respondent A1 (14), was created by the respective
University Acts.
Council members, as reported by informants A1 (16), C1 (7) and E1 (16) should have been
involved in selecting the council chairpersons. Informants A1 (15), A2 (11), A3 (6), B3 (7),
C2 (3), C3 (8), D3 (10), E1 (8) and E2 (6) had reported that the chairpersons had been
appointed by the president of the Republic of Kenya in consultation with the Minister for
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Higher Education, Science and Technology. It appears that, given the opportunity, council
members would have preferred to select the persons they considered most suitable to hold the
positions of chairpersons.
Respondent A1 (19-21) recommended that the government needed to collect Curriculum

Vitaes (CVs) of potential council members from which new council members would be
drawn. Further, the appointment of new members should be done by an independent team
(A1 (21)). According to informants B3 (10), C3 (19) and E2 (10), this would ensure that
council members were professionals who understood the university concept. Informants A2
(11), A3 (7), B3 (8), C1 (6), D1 (10), D3 (11), E2 (7) and E3 (9) reported that council
members were normally appointed by the President of Kenya on recommendation of the
Minister for Higher Education, Science and Technology.
Universities were reported by several respondents, such as A2 (7) and D1 (5), to have more
students than could be supported by available facilities. Consequently, councils needed to
recommend to the Minister for Higher Education, Science and Technology the optimum
number of students that could be taken care of by each respective university. Participants C3
(46) and D1 (5-7) felt that there was a need to adopt a culture of giving student facilities the
first priority.
A number of participants, such as A2 (14) and C3 (11) reported that the constitution of the
council had become politicised. As informant B2 (13) expressed it the whole council is
politicised, so we have a split. Consequently, there was a need to separate politics from
council constitution. Politically appointed council members were not necessarily grossly
unqualified to hold their positions.
According to respondents A2 (15), A3 (11), C3 (13) and E1 (11, 27), input from university
managers needed to be considered when appointing council members. Informant A3 (11)
reported that we recommend suitable persons but they are not appointed. Participative
management styles would lead to the appointment of those persons that each university
considered most suitable to govern it as the universities differed in terms of their areas of
expertise.
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Management boards, as reported by participants C1 (19) and C3 (27), needed to include such
people as the university librarians and deans of students. As respondent C1 (19) expressed it,
I thought the Dean of Students should be in management board, because student matters are
very frequent and the library is the real focal point so may be the University Librarian can
also sit in the board (C1 (20)). Informants C2 (15) was of the view that deans of faculties
and directors of schools needed to be included in management boards.
Councils needed to cultivate a culture of research. As participant A2 (35) put it, there is
need to engage in more research that is used by the society. Moreover, respondent A3 (38)
reported that we are aiming for a culture of academic excellence while informant B1 (29)
was of the view that we need to take on the culture of being the seat of academic excellence,
teaching the best standards and practices and undertaking research. Respondent C3 (45)
recommended universities to adopt a culture of academic freedom, collegiality, and
togetherness.
The need for councils to diversify sources of income for universities also emerged. This was
because, as reported by participants A1 (6), A3 (4), B2 (7), B3 (4), D1 (8) and D3 (8), the
universities had limited financial resources. The government, as respondent A1 (8) reported,
was the main financier of public universities. Participants D3 (5), E2 (3) and E3 (3) were of
the view that councils needed to engage in more fundraising activities.
There was a need to manage how the council members were perceived. This was because
some management board members were critical of the councils. As respondent B2 (1)
expressed it, I dont think the council does anything for us. Participant B2 (11) was of the
view that in universities, when you are appointed into an office, no one tells you what to do.
This was also expressed by informant B2 (23) and B3 (14). This means that councils needed
to put in place mechanisms for ensuring that university office holders were inducted and
trained.
University councils needed to eliminate conflicts of interests where they existed.

Respondents B2 (16) and C1 (15) reported cases in which conflicts of interest had
manifested. Although issues to do with conflicts of interest were addressed during the
induction period, it was difficult to deal with them, especially when they involved influential
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persons. Because conflicts of interest were disclosed, interested parties could not participate
in decisions regarding matters in which they had an interest. It was evident that conflicts of
interests were never tolerated as their effects were not good for the affected universities.
Some management boards needed to improve on the conduct of meetings. Participant B2 (24)
reported that you cant tell when a meeting will be calledyou can have three quarters of a
year without a meeting. In this case, meetings were held at the discretion of the Vice
Chancellor, and were called for over the phone within short notices. This meant that members
were not aware of the agenda and attended without adequate preparation.
Councils had a duty to ensure that strategic plans were circulated at all levels of the
universities hierarchies. This was because the strategic plan is in paper, we dont cascade it.
Ask any staff, they dont have the vision, they dont have the mission, they dont know it
(B2 (25)). Nevertheless, it emerged from the research that universities were led by the
strategic plans and the concept of strategic management was equally emphasised. For
instance, respondent C1 (25) recommended that council and management board members
needed to be trained in strategic management as a way of minimising resistance to change
and enhancing the implementation of strategic plans.
The performance contracts of council members needed to be reviewed continuously, may be

yearlywe have seen people waste three years (B3 (13)). In some cases, as reported by
participant C1 (16-17), there were no methods of monitoring the performance of council
members. According to respondent C3 (31), there was a need for objectivity when evaluating
performance contracts. Further, informant B3 (24-25) recommended that universities needed
to improve on sports and exchange programs. According to respondent C2 (31) there is need
to establish partnerships with universities in other countries. Exchange programs were
intended to give students and staff international exposure. Councils also needed to lobby for
more government support to meet the demands of increasing student numbers. This was
reported by participants C2 (30) and D1 (8). Respondent C2 (30) said that public universities
in Kenya need more support from the government because of the large number of students.
Informant C3 (15) was of the view that councils needed to serve for five years as opposed to
the current three years reported by participants A1 (23), A2 (16), A3 (12), B1 (10), C1 (8),
D1 (15), E2 (9) and E3 (14). This was to give them ample time to implement their decisions
164
effectively. Nevertheless, the three-year contracts they served were renewable. Moreover,
respondent C3 (42) pointed out the need for a cultural shift that would eliminate the issue of
sacred cows. As participant C3 (43) put it we have sacred cows that you cannot touch.
These sacred cows were mainly political appointees that gathered information for their
masters. They served to confirm that the government kept a close watch on all activities of
universities and had its agents, not only in the councils and management boards, but also at
lower administrative levels. Respondent D2 (28) recommended the need to continue
promoting a culture of positive ethnicity, given that universities were multicultural in their
composition. The existence of multiple cultures was reported by participants A2 (34), A3
(37), C3 (44), D1 (35), D2 (27), D3 (38) and E1 (28).
The information obtained by interviewing the participants was triangulated through document
reviews and a focus group discussion. The information from the three sources was found to
be consistent. Literature reviewed in chapter 2 had indicated that governing councils needed
to take steps to improve the governance of public universities. In summary the triangulated
findings confirm that governing councils of Kenyas public universities needed to improve
the governance of their respective universities.
4.5 Conclusion
This chapter analysed the data obtained for this research. The researcher began by presenting
a pictorial outline of the chapter before explaining the profile of respondents and describing
the methods used to analyse the data. This was followed by the presentation of data analysis
in relation to the seven research question investigated in this research.
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CHAPTER 5: CONCLUSIONS AND IMPLICATIONS
5.1 Introduction
The main purpose of this research was to explore the corporate governance practices adopted
by public universities in Kenya. The research is presented in five chapters.
Chapter 1 lays the foundations for the research. Specifically, the chapter presents the
background to the research (1.2), statement of the research problem (1.3), objectives of the
study (1.4), research questions (1.5), research propositions (1.6), justification for the research
(1.7), research methodology (1.8), definitions of key terms (1.9), delimitations of scope
(1.10), outline of the research (1.11), and a conclusion (1.12).
Chapter 2 reviews literature on the three parent disciplines of the research which are
corporate governance (2.2), learning organisations (2.3), and organisational culture (2.4).
This is followed by a review of literature on the immediate discipline, which is corporate
governance practices of public universities in Kenya. The review of literature enabled the
researcher to identify research gaps on corporate governance (2.6), formulate the research
issues (section 2.7, p. 84) and craft seven research questions (section 2.7.3, p. 86).
Chapter 3 presents the research methodology. The chapter examines definitions of research
strategies adopted in social sciences (3.2) and provides justifications for the methodology
adopted in this research (3.3). This is followed by a discussion of the research design (3.4)
and a presentation of the framework for the case study research (3.5). The chapter also
examines the limitations of the case study methodology (3.6) and explains the ethical
considerations for this research (3.7).
Chapter 4 presents an analysis of the data collected through interviews, document reviews,
and a focus group discussion. The aim of chapter 4 is to answer the seven research questions
crafted for the research. The chapter also presents a case analysis for each of the five cases
that were the basis for this research and a cross-case analysis for the five cases.
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Chapter 5 is the final chapter for this research. The main purpose of this chapter is to draw
conclusions in relation to the seven research questions crafted for the study, and to link the
research findings to the literature reviewed in chapter 2. On the basis of the research findings,
a best practices model of corporate governance for public universities in Kenya is proposed.
The chapter also contains an examination of the implications of the research for theory,
policy, and practice as well as the limitations of the study and suggestions for further research.
Figure 5.1 is a graphical outline of chapter 5.
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5.1 Introduction
5.2 Summary of the research contribution
5.3 Conclusions about the research issue

5.3.1 RQ 1: How are university governing councils constituted?
5.3.2 RQ 2: What functions are performed by governing councils of Kenyas
5.3.3 RQ 3: What mechanism do councils adopt to enhance governance in
5.3.4 RQ 4: What challenges are encountered by Kenyas public universities?
5.3.5 RQ 5: What challenges are encountered by governing councils of Kenyas
5.3.6 RQ 6: What culture prevails in the boards of directors of Kenyas public
universities?
5.3.7 RQ 7: How can the corporate governance of Kenyas public universities be
improved?
5.4 Implications for theory, policy and practice
5.5 Limitations of the research
5.6 Suggestions for further research
5.7 Conclusion
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5.2 Summary of the research contribution
The findings derived from this research have been presented in chapter 4. This section
summarises the findings and outlines the contribution of the research to the existing body of
knowledge as reviewed in the literature. Table 5.1 summarises the contribution of this
research.
169
Table 5.1: Summary of the research contribution
Research question State of the issue in the existing Contribution of this research to
body of knowledge the issue
Research Question 1 This was discussed in the literature Confirmation

and many examples were given
How are governing councils of Addition: politics is a factor
The stakeholders theory considered in constituting councils
constituted?
emphasises the interests of of public institutions
stakeholders as opposed to merely
maximising shareholders wealth
Research Question 2 The literature reviewed in chapter Confirmation

identified the key functions of
What functions do governing councils
governing councils
of Kenyas public universities
perform?
Research Question 3 Partially covered in the literature Addition: public universities have
adopted a wide range of
What mechanisms do governing
mechanisms to enhance
councils adopt to enhance governance
governance of public universities
of the public universities?
Research Question 4 Covered in the literature reviewed Confirmation

and identified in this research
What challenges do Kenyas public
universities encounter?
Research Question 5 Partially covered in the literature Confirmation
What challenges do governing councils Addition: the research identified a

of Kenyas public universities number of challenges faced by
encounter?
governing councils of Kenyas
public universities

review
What culture prevails in the boards of Addition: boards of directors of
directors of Kenyas public Kenyas public universities have a
universities?
desire to enhance a culture of
research, academic excellence, and
community service
How can the governance of Kenyas Addition: this research has made
public universities be improved? several recommendations on the
governance of Kenyas public
universities

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5.3 Conclusions about the research issues
5.3.1 RQ1: How are university governing councils constituted?

The researcher investigated how university governing councils were constituted with the
intention of recommending suitable changes. A detailed analysis of the results is presented in
sub-section 4.4.1 (p. 147). Moreover, the results were triangulated using document reviews
and a focus group discussion.
On the basis of the results obtained, it can be deduced that university governing councils are
constituted in such as a way as to represent all major stakeholders. The results point to the
fact that these institutions adopt a stakeholders approach to corporate governance as
explained in chapter 2, sub-section 2.2.4.2 (p. 31). The stakeholders theory, as Mallin (2010)
explains, is based on the premise that organisations exist to benefit a wide range of
stakeholders as opposed to merely maximising the wealth of shareholders, and that an
organisations top management is concerned with long-term success. According to
Donaldson and Preston (1995) and Freeman (2010), stakeholders are groups or individuals
that interact with a firm and that affect or are affected by the achievement of the firms
objectives. McFarlan (1999) argues that boards of non-profit organisations, such as public
universities, comprise relatively more members in order to represent the interests of different
stakeholders.
The stakeholder theory is in line with consultative management approaches that prevailed in
the universities researched on. Turnbul (1994) explains that participation of stakeholders in
corporate decision making enhances efficiency and reduces conflicts. This research
established that decisions were made after consulting the relevant stakeholders. For instance,
students representatives were involved in decision making at the senate and council levels as
well as at other levels of the universities. The ASX Corporate Governance Council (2007),
OECD (2004) and the Business Roundtable (2010) recommend that boards should recognise
the legitimate interests of stakeholders. And to avoid regional imbalance, each administrative
region in the country was represented in the councils. This was to ensure geopolitically
balanced councils. The public universities adopted a proactive approach when integrating
stakeholders concerns into their decision making activities (Kaptein & Van Tulder, 2003).
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This approach of the selection of council members emphasises stakeholders representation
and, consequently, leads to some governing councils lacking critical skills, such as financial
management. Several respondents, such as A1 (5) and A3 (16), pointed out that this anomaly
needed to be addressed. The Financial Reporting Council (2010) recommends that boards
should have the appropriate mix of skills, knowledge and independence needed for effective
management of firms. This research proposed that managers of public universities in Kenya
need to be educated to understand the best approach of constituting councils and the findings
confirm this proposition to be true. In any case, the Cadbury Report (1992) recommends that
boards should be structured in such a way as to add value to the institutions they govern. The
researcher, therefore, recommends that council constitution should be improved by
appointing members on the basis of their knowledge, skills, and experience, and not just on
the basis of representativeness. Further, council members should be educated to understand
the concept of corporate governance.
5.3.2 RQ2: What functions are performed by governing councils of Kenyas

The literature reviewed in chapter 2 sub-section 2.2.6 (p. 35) highlighted the key elements of
corporate governance. The sub-section indicated that the ASX Corporate Governance
Council (2007), the Cadbury Report (1992), the Sarbanes-Oxley Act (2002), the Business
Roundtable (2010) and the Financial Reporting Council (2010) are some of the organisations
that have recommended what can be considered as best practices in corporate governance.
This sub-section discusses the findings of this research in relation to these recommendations.
According to the findings of this research, sourcing funds, approving policies, overseeing the
use of university resources, approving development projects, recruiting top management,
approving all staff recruitments and promotions, and providing direction for universities were
some of the functions performed by governing councils of Kenyas public universities. These
findings are in line with the recommendations of the aforementioned bodies. However, given
the unique conditions under which Kenyas public universities operate, and the dissimilarities
between developed and developing countries, there is a need to tailor the activities of the said
governing councils to suit the conditions prevailing in the country.
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The ASX Corporate Governance Council (2007) and the Business Roundtable (2010)
emphasise the need to lay a solid foundation for management. Similarly, the Cadbury Report
(1992) makes it clear that good corporate governance encompasses, among other things, the
need to establish a well-balanced board team comprising both executive and non-executive
directors. This research found that recruiting top management, including the CEO, was a core
aspect of corporate governance in the said universities. The Business Roundtable (2010)
specifically recommends that a board should select and oversee a competent CEO as well as
other senior managers.
Another finding of this research was that university councils were oversight bodies that
oversaw the use of financial and physical resources in each university. Achieving this
function required them to operate ethically, and to make decisions responsibly. It also
required them to make accurate and timely disclosures of financial, performance, ownership,
and governance matters. These findings corroborate the recommendations of the ASX
Corporate Governance Council (2007), the OECD (2004), The Business Roundtable (2010)
and the Financial Reporting Council (2010) on the key aspects of good corporate governance.
Councils were performing a strategic management function by approving policies and

providing direction for the universities. The aim of strategic management is to fit an
organisation to a changing environment. This research established that public universities
were faced with an increasing array of challenges, such as competition from private
universities which threatened their existence. The research further established that councils
were in charge of overseeing the staffing requirements of the universities. Consequently, they
approved all new appointments and promotions of staff. This is in line with the
recommendations of the ASX Corporate Governance Council (2007), the OECD (2004), and
the Business Roundtable (2010) that require board members not only to recognise the
legitimate interests of stakeholders but also to be fair when dealing with employees.
In summary, the findings of this research confirm the proposition that managers of public
universities in Kenya should be informed of the specific functions they should be performing.
This is because, although the participants were able to identify a few functions, they did not
seem to have the overall picture of what they were supposed to be doing. Therefore, the
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researcher proposes that governing council members be trained to understand the functions
they are required to perform.
5.3.3 RQ3: What mechanisms do councils adopt to enhance governance in

This sub-section summarises and discusses the research findings on the main governance
mechanisms used by councils of Kenyas public universities.
One approach to deciding the make-up of councils was to ensure representativeness. The
research established that the main stakeholders were students, staff, local communities, the
public, and the government. Each stakeholder group was represented in the councils. The
review of literature indicated that the stakeholders approach requires organisations to fulfil
their obligations to various stakeholder groups (Freeman, 2010). Moreover, the need to
recognise the legitimate interests of stakeholders is emphasised by the ASX Corporate
Governance Council (2007), the OECD (2004), and the Business Roundtable (2010).
Induction and continuous training were used to ensure that new council members possessed
relevant knowledge for governing their respective institutions. Some of the training courses
were in the areas of corporate governance, financial management, and contents of the
University Act. The literature reviewed in chapter 2, sub-section 2.3.5.2 (p. 51) indicated that
induction and training are forms of organisational learning. Benefits associated with
organisational learning include attaining competitive advantage through knowledge
accumulation (Curado, 2006; Umemoto, 2002), superior firm performance and innovation
(Senge, 2006), higher strategic flexibility and faster reaction to environmental changes
(Volberda, 1996; Yeo, 2009), and ability to change behaviour and improve results (King,
2001). Moreover, DeNisi, Hitt and Jackson (2003) argue that training and development
programs seek to equip organisational members with the most up-to-date explicit knowledge
in their areas of expertise. Induction of new council members is a recommendation of the
Financial Reporting Council (2010).
The research showed that council meetings were held quarterly and provided opportunities to
deliberate on the reports of different committees. Extraordinary meetings were held when
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urgent issues arose, such as when students or staff went on strikes. According to Caluw and
Vermaak (2003), meetings are tools for mobilising organisations intelligences and insights in
the process of identifying problems and determining priority actions. The researcher further
found that councils were subdivided into sub-committees, such as auditing, governance and
risk management, finance and general purposes, human resources, planning development,
academic and research, sealing, executive, honorary and higher degrees, fund raising and
building sub-committees. The sub-committees were a form of delegation through which
specialised issues, such as finance, were handled by people possessing expert knowledge.
Clear accountability measures were also used to enhance governance. One accountability
measure was the use of internal and external auditors with which the councils interacted
objectively (SOX, 2002; Financial Reporting Council, 2010). The Cadbury Report (1992)
recommends the inclusion in governance structures of checks and balances, such as having an
audit committee. Moreover, disclosure of performance, financial, and operational
information was a tool used to enhance governance. Audited accounts were disclosed to the
Minister for Higher Education, Science and Technology but were open for inspection by any
member of the public who wished to verify them. The OECD (2004) recommendations
require boards to be accountable. Moreover, the chain of command was clear since councils
reported to the head of state and to the Minister for Higher Education, Science and
Technology. Given the similarity of Kenyas public universities to each other, the researcher
recommends that public universities boards should adopt similar accountability measures.
Management boards were established to run the universities on a day-to-day basis. This is in
line with the recommendations of the Business Roundtable (2010) and the ASX Corporate
Governance Council (2007) that specify one of the paramount duties of boards as the
selection and overseeing of competent CEOs and other senior managers. Vice Chancellors
were the CEOs of each university. The Cadbury Report (1992) categorically states that the
role of managing should be left to firms executives. The induction, training, and weekly
meetings of management board members were meant to ensure that the universities were run
appropriately
Each public university had a strategic plan that clarified its vision, mission, core values, and
objectives. And to ensure that the objectives were achieved, members of councils and
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management boards, as well as staff, signed performance contracts. The OECD (2004)
recommends the need for effective monitoring of management activities and accountability of
a board. Similarly, performance contracts can be effective tools of enhancing the
performances of organisational members. The researcher recommends that public universities
should adopt the OECD (2004) recommendations.
Councils needed to be fair when dealing with different stakeholders. Although interactions
with stakeholders were supposed to be governed by clear policies contained in handbooks,
cases of sacred cows and conflicts of interests emerged from the research. Nevertheless, there
were positive aspects of how universities interacted with stakeholders. For instance, the
recruitment of staff involved advertising internally and externally, short listing, and
interviewing before selecting the most suitable candidates. Moreover, all promotions were
done fairly. The Vice Chancellors were in charge of making appointments in the universities.
Given the discrepancies in the treatment of stakeholders, this research recommends that the
said institutions should deal with employees in fair and equitable ways in accordance with the
recommendations of the Business Roundtable (2010).
The triangulated findings support the proposition that mechanisms used to enhance
governance should be explained. This stems from the fact that councils used only a few of the
recommendations made by, among others, the ASX Corporate Governance Council (2007)
and the OECD (2004).
5.3.4 RQ4: What challenges are encountered by Kenyas public universities?

The review of literature indicated that Kenyas public universities operate in a challenging
environment (Mwiria & Ngethe, 2007). Similarly, this research confirmed that the said
institutions encountered many challenges that combined to affect their productivity.
One of the most pressing challenges was limited finances. This stemmed from the fact that
these institutions were financed from the exchequer and, given the limitations of government
resources, universities were not being allocated sufficient funds to effectively undertake their
operations. Further, some informants suggested that universities needed to be granted more
management leeway or autonomy to raise additional finances by charging competitive tuition
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fees. The research established that some public universities raised additional funds through
production of foodstuffs, rearing of cattle, running of hotels, and opening of satellite
campuses in different locations. Limited finances led to other challenges such as low research
output and inability on the part of some universities to develop their staff. Literature reviewed
in chapter 2 sub-section 2.5.5.2 (p. 80) indicated that reduced government funding put
financial pressure on Kenyas public universities (Birdsall, 1996; Oketch, 2004).
A second major challenge that emerged from this research is the issue of overstretched
facilities. For instance, there were not enough lecture theatres and some lectures had to be
scheduled for late evenings. Similarly, some universities had to rent buildings from which
they conducted some of their courses. Further, residential facilities were inadequate and some
students had to look for accommodation outside the universities. Amutabi (2002) explains
that inadequate facilities and poor living conditions tend to make some students and members
of the public to be anxious, stressed, bitter, and to hate the universities.
Thirdly, public universities had a large number of students and enrolments kept on
increasing. This finding confirmed that demand for university education in Kenya was rising,
as it was in other countries (Mwiria & Ngethe, 2007). According to Wesonga et al. (2007),
the widespread demand for higher education can be attributed to a number of factors that
include an increasingly sophisticated economy that demands skilled employees. There is need
to manage the quality of education in these institutions, given that Ogom (2007) considers
Kenyas public universities to have lost their former glory.
Other challenges cited include inadequate induction of new staff, resistance to change and
cultures that supported impunity on the part of some non-performing employees. In summary,
the triangulated findings support the proposition that the challenges faced by Kenyas public
universities should be identified. Governing councils, and other related policy makers, should
address these challenges in order to enhance the services provided by these institutions. The
researcher intends to contribute a journal article detailing these challenges, and to send a copy
of the same to some council members in accordance with their request during the data
collection stage of this research.
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5.3.5 RQ5: What challenges are encountered by governing councils of
Although participant B1 (4) argued that university councils faced no challenge as they were
very competent, the researcher was able to identify a number of challenges.
One such challenge related to the way the councils were constituted. The researcher
established that council chairpersons and members were appointed by the president of the
Republic of Kenya on recommendation of the Minister for Higher Education, Science and
Technology. These appointments were, to a large extent, political and created councils that
were politically polarised. Consequently, there is a need to separate the constitution of
university councils from politics. Instead, council members need to be appointed on the basis
of their knowledge and expertise. The Cadbury Report (1992) highlights the need for a well-
balanced board team composed of executive and non-executive directors. It also recommends
separation of governance from management. This research found that some council members
did not differentiate between governance and management and, consequently, ended up
focusing too much on management matters. The research also found that some members did
not make meaningful contributions during council meetings, partly due to their lack of
understanding of the university concept. In order to address these challenges, some
respondents felt that the contributions of university managers needed to be considered when
appointing new council members. The researcher recommends that the constitution of
university councils should consider the wishes of university managers.
The current approaches to the constitution of councils led to shortage of people with certain
essential skills, such as financial management. Informant A1 (21) suggested that there was
need for a team charged with the responsibility of appointing council members and to which
interested persons would have to send their applications. This would ensure councils were the
right size and were made up of qualified members.
Maintaining quality education in the midst of limited facilities, finances, and increasing
student numbers is a major challenge. The scarcity of financial resources leads to other
problems, such as not meeting intended targets, achieving low research output, having
inadequate lecture halls, and being unable to accommodate all students in the universities
halls of residences. The literature reviewed in chapter 2, sub-section 2.5.5.2 (p. 80) indicates
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that the Kenyan government, under pressure from the IMF and the World Bank, has reduced
funding of public universities (Ogom, 2007).
Councils also encountered challenges related to conflicts of interest especially in cases where
chairpersons or vice-chairpersons were involved, in which case some council members found
it difficult to resist their demands. The occurrence of conflicts of interest in university
councils contrasts with Mallins assertion (2010) that, compared to owners, a firms top
management cares more about the firms long-term success. Moreover, conflicts of interest
and low qualifications among some council members led to certain council members being
perceived poorly by others. The situation was complicated by the lack of, in some cases,
methods of evaluating the performance of council members.
The triangulated findings confirm that corporate governance in Kenyas public universities is
clouded with numerous challenges that partially explain the poor performance of these
institutions (Mensah, 2002). The findings are in line with the proposition that the challenges
encountered by governing councils of Kenyas public universities should be identified.
5.3.6 RQ 6: What culture prevails in the boards of directors of Kenyas

The researcher explored the culture prevailing in Kenyas public universities and arrived at
several conclusions.
Firstly, Kenyas public universities have multiple cultures. The literature reviewed in chapter
2, sub-section 2.4.1 (p. 55) indicates that organisational culture has been defined in numerous
ways as a testimony to its importance, elusiveness, and intangible nature (Van der Post, de
Coning & Smit, 1997). This implies that organisational culture is a combination of shared
values, beliefs, attitudes, customs, norms, hidden assumptions, and personalities developed
over time and held in common by members of an organisation (Schein, 2010a). Some of
Kenyas public universities are less than ten years old and their cultures are in the formative
stages. The researcher found that consultative management styles are practised in all the
universities. For example, different stakeholders are represented in councils, senates, and
management boards. Great emphasis is laid on students.
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Secondly, some council members expressed a desire to have universities engaging in more
research that added value to society. Further, others expressed the desire to have universities
adopting the best teaching approaches, becoming seats of academic excellence, improving on
sports and exchange programs, and acting as vehicles of community development. The
findings point to the fact that culture is dynamic and that learning organisations embrace
positive change. Sub-section 2.3.3.4 (p. 46) of the literature review chapter emphasised the
fact that cultural change is a form of organisational transformation (OT) intervention strategy
that entails replacing the culture existing in an organisation with a different culture
(Orlikowski, 1996). The fact that public universities still have sacred cows is an indicator of
the culture of political decision making entrenched in these institutions. This culture is also
reflected in the constitution of councils and the selection of council chairpersons. In any case,
the councils and management boards were, by and large, separated from the rest of university
staff. This facilitated the development of an ivory tower mentality and occasionally resulted
in misunderstandings on both sides, an issue that some respondents felt needed to be
addressed by having occasional get-togethers.
In summary, this sub-section confirms that the cultures in Kenyas public universities are
diverse. This finding is consistent with the prevailing literature on organisational culture and
learning organisations as discussed in sub-sections 2.3 (p. 40) and sub-sections 2.4 (p. 55) of
this thesis. Further, it also supports the proposition that the effects of culture on the corporate
governance practices of Kenyas public universities should be explained. The researcher,
therefore, recommends that council members should be trained to understand the effects of
culture on the governance of the said institutions.
5.3.7 RQ 7: How can the corporate governance of Kenyas public universities

be improved?
The literature reviewed in chapter 2 indicates that corporate governance practices in
developing countries are weak. However, it is necessary to find out why they are weak and
how they can be improved. Several strategies emerge from this research and are briefly
discussed in this sub-section. Table 5.2 summarises the steps that can be taken to improve the
governance of public universities.
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Table 5.2: Approaches to improving corporate governance of Kenyas public
universities
Differentiate governance from management
Cultivate a culture of constructive criticism among council members
Balance the skills represented in councils
Form an independent team to constitute councils
Ensure councils are of the right size
Council chairpersons to be appointed by the members
Match student numbers to available facilities
Include university librarians, deans of students, deans of faculties and directors
of schools in management boards
Management boards to approach their activities professionally
Councils to stimulate their universities to engage in productive research, extra-
curricular activities, exchange programs, and academic excellence
Reduce the role of politics in the constitution of councils
Create more lee-ways for universities to generate finances
Ensure induction and training of council and management board members
Eliminate cases of conflicts of interest
Adopt the ideals of strategic management
Review performance contracts more often, preferably annually
To begin with, governing councils need to differentiate between management and governance.
The inability to differentiate between these two concepts led to some council members
involving themselves in management matters. According to the Financial Reporting Council
(2010), the roles of a board and those of the top management should be differentiated. This
research proposed that council members need to be educated in what their roles involve and
what management boards do. Moreover, council members need to be able to come up with
constructive ideas as opposed to following those of management boards. This problem arose
because some council members had low levels of education and others had little
understanding of the university concept; others were just retirees looking for additional
181
income. The Financial Reporting Council (2010) requires non-executive directors to be
creative when crafting strategy and to challenge the ideas of executive directors. Therefore,
this research recommends that the appointing authority needs to ensure that only capable
persons are appointed to governing councils.
Councils need to be balanced in their makeup so as to avoid having more of certain skills and
less of others. Experts in finance seem to be lacking in councils. This problem can be solved
by selecting council members more carefully. In any case, some participants felt that there
was a need to have council members drawn from a pool of potential appointees, and that
appointments needed to be made by an independent team. Further, some respondents were of
the view that the input of university managers needed to be considered when appointing
council members. Having the right mix of skills would have enabled councils to provide
more balanced perspectives on issues.
Governing councils comprise an average of 30 members. This number, as pointed by some of

the informants, is too large and costly to maintain. The implication is that, although councils
need to represent the interests of different stakeholders, they do not need to have as many
members otherwise their effectiveness and efficiency is likely to decline. Council
chairpersons are normally appointed by the national president on the recommendation of the
Minister for Higher Education, Science and Technology. However, some members felt that it
was better for the council members to select their preferred chairperson. This would reduce
the role of politics and increase the role of professionalism.
The public universities had more students than could be supported by available facilities,
implying the need to match student numbers to the available facilities. Governing councils
need to be more vocal in ensuring that the government constructs more facilities, and that
intakes do not exceed each universitys capabilities. Further, management boards form an
important tool of governance. However, some participants recommended the addition of
university librarians, deans of students and faculties, and directors of schools into
management boards. The reason given was that persons occupying these positions played key
roles in each university. Moreover, management boards needed to operate professionally.
182
This research found that universities were multicultural. Nevertheless, the need to engage in
more academic activities, especially research that benefits the broader society, also emerged.
The implication is that the said institutions have a desire to improve their academic and
extracurricular activities. The research also established that the said public universities are
mainly financed by the government. However, there is need to search for additional sources
of income, given that what the government provides is insufficient. Moreover, the need for
inducting and training council and management board members, as well as other members of
staff, needs to be emphasised. Induction gives a positive first image of an organisation while
training enables people to fit into their roles better.
There is need to eliminate any instances of conflicts of interest where they exist, and to adopt
the ideals of strategic management. Further, the performance contracts signed by council
members need to be reviewed continuously, preferably annually, to avoid retaining
incompetent people (Financial Reporting Council, 2010). Ironically, council members served
for three years and their contracts were rarely terminated prematurely due to non-
performance.
In summary, the findings confirm that there are many areas that need to be changed to
enhance the governance of Kenyas public universities. These findings are consistent with the
literature reviewed in sub-section 2.3.1 (p. 41) that indicated that continuous change and
development are necessary features of successful organisations. The findings are also in line
with the proposition that the best approach of governing Kenyas public universities needs to
be developed.
5.4 Implications for theory, policy and practice

The findings of this research are envisaged to have a number of theoretical, policy, and
practical implications. Firstly, the research advances existing frontiers of knowledge since it
identifies the specific challenges faced by governing councils of public universities in Kenya.
Based on the literature reviewed, the researcher had found limited research conducted in the
area of governance in the public sector not only in Kenya but also in sub-Saharan Africa. The
importance of the public sector, including the role played by the said public universities in the
lives of numerous stakeholders, cannot be overemphasized. Given that Kenya is a developing
183
country, the findings of this research can be applied by other developing countries in Africa
and in the rest of the world, provided they have similar conditions. The findings of the
research can assist scholars in the developed world to understand developments in the
developing world. Professional and consultants can get insights into issues of governance in
sub-Saharan Africa, thereby enabling them to offer useful advice whenever they are called
upon to do so.
Secondly, the findings can guide policy relating to the governance of Kenyas public
universities. For instance, the quality of education in the public universities deserves to be
improved by matching the student numbers to the available resources. This research
established that the student numbers could not be supported by the available facilities, such as
the lecture and accommodation halls. Besides, the Commission for Higher Education (CHE)
should play a more active role in controlling the quality of education offered by Kenyan
colleges, private universities, campuses of foreign universities operating in the country, and
campuses or schools of the public universities operating in different parts of the country, as
well as that of any colleges collaborating with the public universities. Such a move would
restore the lost glory of these institutions of higher learning and ensure that their graduands
are well-prepared after graduating.
Finally, the research has practical implications since it recommends changes that can enhance
governance of the said institutions. These changes are summarised in Table 5.2 (p. 181) and
include ensuring that the councils are not only of the right size but that they are balanced in
terms of the skills represented in them. The researcher, therefore, intends to provide a copy of
the findings of this research to the education ministry and to the councils of the respective
universities; this was the wish of some of the respondents. Further, the researcher
recommends that further research be conducted in the highlighted areas. It is the researchers
hope that the findings of this study will motivate decision makers to educate people, not only
in the higher education sector but also in the entire civil service, on corporate governance and
ethical practices (Siringi, 2011).
184
5.5 Limitations of the research
The main limitations of this study were explained in chapter 1, section 1.10 of this thesis.
Further, chapter 3 section 3.6 explains the limitations associated with the case study research
methodology. These limitations include the following.
Firstly, the focus of the research was public universities in Kenya. Private universities in
Kenya or any other country were not included in the research. A study involving both sectors
would have added depth to the study but it would have made the scope of the study too broad.
Moreover, due to time and financial limitations, the researcher did not study public
universities in any other country. On the contrary, the researcher concentrated on the public
universities in Kenya due to the roles they play in the lives of numerous stakeholders.
Kenyas public universities, just like the rest of the public sector, should be governed
properly in order to reap benefits that go beyond money and that include improved decision
making processes, quality of services offered, nutrition, health and good citizenship (Grindle,
2004).
Secondly, owing to time and financial constraints, the research was limited to five public
universities were studied. A study on all the seven public universities in Kenya would have
been ideal but it would have required more time and resources than were available to the
researcher.
Thirdly, this research was cross-sectional in nature as opposed to being longitudinal. A cross-
sectional study examines a particular phenomenon at a particular time (Saunders, Lewis &
Thornhill, 2009). In this case, the researcher gathered data just once in order to meet the
research objectives, meaning that the research was snapshot, one-shot or cross-sectional in
nature (Cavana, Delahaye & Sekaran, 2001). A longitudinal study collects data over a longer
time period. However, the duration allocated for completing the doctoral studies was
insufficient to conduct a longitudinal study.
Fourthly, the researcher collected data from three people who were members of both the
governing council and management board in each of the five public universities selected for
the study, meaning that not all council and management board members of the public
universities participated in the research. The five public universities were selected using the
185
judgmental sampling technique and the respondents had all the necessary information.
However, the fact that the research concentrated on people who sit on the management
boards and councils eliminated more critical voices, such as those of students, sponsors and
parents.
Fifthly, the age of the respondents was not captured during the data collection exercise
because such information was considered to be sensitive in the sense that it could identify, or
be correlated to the respondents.
Moreover, this study was conducted in Kenya and the researcher acknowledges that
conducting research in Africa generally, and Kenya specifically, is challenging. One
challenge stems from the poor state of the information technology structure prevalent in
Kenya, and by extension in many parts of sub-Saharan Africa, which means the researcher
had to physically travel over long distances to meet the informants, as opposed to interacting
with them electronically, such as by using video conferencing. This was made more
unbearable by the poor state of the roads and the presence of few but overloaded public
transport vehicles. Further, some of the informants were suspicious of the researcher, mainly
because they wanted to protect their positions, while others did not want some of their hidden
practices to be exposed. Related to this challenge was the fact that some would-be
respondents resulted to time wasting and evasion tactics, such that they did not take part in
the study even though initially they had shown interest in taking part in it. The researcher also
had limited finances and found it straining to fly to and fro Kenya to collect the data. Besides,
the data collection exercise was expensive as a research assistant was involved.
5.6 Suggestions for further research

The literature reviewed in chapter 2 and the findings of this research point to the need for
further research in the following areas:
a) Comparative analysis of corporate governance practices of public and private
universities in developing countries.
b) Collaboration in the governance of public and private universities in developing
countries.
186
c) Comparison of corporate governance of public universities in developed and
developing countries.
d) As with most research studies, replication of this study is suggested for validation
purposes.
e) The use of larger samples is also recommended.
f) Replication of the study using a different sample of non-university officials would
help to improve our knowledge of corporate governance practices in Kenya,
Africa, and other developing countries.
g) Replication of the study on a national sample of public directors/executives would
also be helpful in understanding the issues of corporate governance.
h) A replication of the present study using survey research method would also help
to shed light on the problems and challenges of corporate governance in
Africa/Kenya.
i) Finally, a comparison of private versus public managers using a national sample

would also be helpful.
5.7 Conclusion
The findings of this research are not conclusive. However, they highlight several issues.
Firstly, the process of constituting governing councils of Kenyas public universities needs to
be amended. Such a move would enable these institutions to have the right number of
professionally qualified persons in their governing councils. This research found that the
councils had an average of 30 members and that this number was too big for governance
purposes. The researcher recommended that the councils should comprise an average of ten
members. The council members should be professionally qualified and should not just be
appointed on the basis of political affiliations or to merely make the councils to be regionally
representative. That way, the councils would operate professionally.
Secondly, the governing council members should, on appointment, be informed of the

functions they are expected to perform. These functions involve, among others, sourcing
finances which many members rarely did. The researcher recommends that the induction
program for such persons should be broad-based to ensure that the members have an overall
picture of what is expected of them. Besides, the differences between management and
187
governance should be explained to them, so that the members are aware of issues that are
within the domain of management and those that fall within the mandate of the councils. In
this way, the council members would avoid wasting time on matters that can be handled by
the management team.
Thirdly, this research identifies the challenges facing the said universities and their respective
governing councils. The challenges facing the universities include, among others, the large
student numbers and inadequate financial allocations from the exchequers. As a result, the
governance of such institutions is constrained. On this basis, the researcher recommends that
these challenges be addressed accordingly. One way of addressing these challenges is by
training the council members and to highlight the importance of solving them.
Fourthly, there is a need to adopt a culture of research and academic excellence in the said
institutions, given that one of the key mandates of universities is to conduct research. This
research found that some of the public universities were compromising on the quality if the
education they offered as they sought to attract more students for their part-time programs.
There was also a move to establish more satellite campuses in order to bring education closer
to the customers, but some of the campuses were located in questionable locations, such as in
buildings that housed entertainment joints like bars and night clubs. Lastly, this research
identifies a number of approaches that can be used to improve the corporate governance of
Kenyas public universities. These were summarised in Table 5.2. The researcher has
identified several areas that deserve to be researched and these are found in section 5.6 (p.
186).
188
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APPENDICES
Appendix 1: Information sheet
NAME OF PROJECT
Towards the best corporate governance practices model for public universities in
developing countries: The case of Kenya.
Dear (user name) (user surname),
You are invited to participate in an informational conversation regarding the corporate

governance practices of public universities in Kenya. Prior to our interview conversation or
e-mails, I kindly request you to read the information provided below.
My name is Benjamin Mwanzia Mulili and I am a Doctor of Business Administration (DBA)

student at the Southern Cross University, Australia. As part of my course requirements, I am
required to conduct a research that will culminate into a thesis. The research is supervised by
Dr Peter Wai-Hong Wong.
By having this interview with you, I hope to gain a better understanding of the corporate
governance practices adopted by public universities in Kenya. In a summarised context,
corporate governance refers to the process through which organisations are governed and
managed so as to achieve their objectives. It is associated with an organisations board of
directors and the top management.
227
Procedures to be followed
The interview is envisaged to take approximately 30-60 minutes in total. In the first few
minutes of the interview, the researcher will provide you with a background and rationale for
the study. This will be followed by collecting background information that will be limited to
your position in the university, length of time you have been in that position and the roles
performed in your position. Lastly, the interview will focus on the corporate governance
practices adopted in the university.
Your participation in the research is purely voluntary and there are no financial incentives or
remuneration given out to participants. You will not incur any expenses for participating in
the research apart from your time.
Possible discomforts and risks

This is a low-risk research. Therefore, there are no foreseeable risks involved in
participating in the research.
Responsibilities of the researchers

The researchers will make sure that any information given by you is protected in several
ways. Firstly, your name and other identifying information will not be attached to the data
collected. Secondly, any information that identifies you will be destroyed after your
participation in the research. Thirdly, you will be asked to sign an Informed Consent Form
before you participate in the research. The signed consent form will be held in safe storage at
Southern Cross University for a period of seven years after which it will be destroyed. The
research findings may be submitted for publication in peer-reviewed journals or presented in
conferences, but only group data will be reported.
Responsibilities of the participant

You are free to seek clarification on any issue that may affect your participation in this
research. If your participation is this research is likely to impact on you negatively, we kindly
ask that you dont participate in it.
Rights of the participants

As a participant, you have the following rights:
228
a) You are not forced to respond to the interview questions. The researcher will not
ask for any personal information from you.
b) You are not identified with the information provided in the report.
c) You will be fully briefed about the nature of the research before the interview is
conducted.
d) If at any time your participation in the interview is no longer tenable, the

interview will be stopped at your request.
e) We will provide counselling service if you are adversely affected by the research
(NS 2.2.6), although this should not occur in low-risk research such as this one.
Inquiries
Please keep this form for future reference. If you have any questions at any time, feel free to
contact us. Our contacts are as follows:
Dr Peter Wai-Hong Wong Benjamin Mwanzia Mulili

Supervisor DBA Candidate/ Researcher
Graduate College of Management Graduate college of Management
Southern Cross University Southern Cross University
P.O Box 42, Tweed Heads, NSW, 2485 P.O Box 42, Tweed Heads, NSW, 2485
Tel: +61 431 489 908 Tel +61 415951932 or +254 722 953128
Email: wongpete@optusnet.com.au Email: bmwanzia@yahoo.com
The ethical aspects of this research have been approved by the Human Research Ethics
Committee (HREC) of the Southern Cross University. The approval number is ECN-10-078.
Complaints about ethical conduct of this research should be addressed in writing to the
following:
229
Ethics Complaints Officer
HREC
PO Box 157
Lismore, NSW, 2480
Telephone (02) 6626-9139 or fax (02) 6626-9145
Email: ethics.lismore@scu.edu.au
All complaints are investigated fully and according to due process under the National
Statement on Ethical Conduct in Human Research and this University. Any complaint you
make will be treated in confidence and you will be informed of the outcome.
I agree to participate in this research
Participants signature
_________________________________________________________________
Date________________________________
230
Appendix 2: Informed Consent Form
This consent form is based on Guidelines from the National Statement on Ethical Conduct
Involving Human Participants as issued by the NHMRC
Name of project: Towards the best corporate governance practices model for public
universities in developing countries: The case of Kenya.
Researchers:
Dr Peter Wai-Hong Wong Benjamin Mwanzia Mulili
Supervisor DBA Candidate/ Researcher
Graduate College of Management Graduate college of Management
Southern Cross University Southern Cross University
P.O Box 42 Tweed Heads NSW 2485 P.O Box 42 Tweed Heads NSW 2485
Tel (07) 55993125 Tel (07) 55993125
Email: wongpete@optusnet.com.au Email: bmwanzia@yahoo.com
NOTE: This consent form will remain with the Southern Cross University researchers for
their records.
231
Tick the box that applies, sign and date and give to the researcher
I agree to take part in the Southern Cross University research project specified above.
Yes No
I have been provided with information at my level of comprehension about the purpose,
methods, demands, risks, inconveniences and possible outcomes of this research, including
any likelihood and form of publication of results. Yes No
I agree to be interviewed by the researcher Yes No
I agree to allow the interview to be audio-taped and/or video-taped Yes No
I agree to make myself available for further interview if required Yes No
I understand that my participation is voluntary Yes No
I understand that I can choose not to participate in part or all of this research at any time,
without negative consequence to me Yes No
I understand that any information that may identify me will be de-identified at the time of
analysis of any data. Therefore, any information that I have provided cannot be linked to me
(Privacy Act 1988 Cth) Yes No
I understand that neither my name nor any identifying information will be disclosed or
published Yes No
I understand that all information gathered in this research is confidential. It will be kept
securely and confidentially for 7 years at the University Yes No
I am aware that I can contact the supervisor or researcher at any time with any queries
Yes No
I understand that the ethical aspects of this research have been approved by the SCU Human
Research Ethics Committee Yes No
232
If I have concerns about the ethical conduct of this research, I understand that I can contact
the SCU Ethics Complaints Officer Yes No
Contact details for the ethics offices are:

HREC Secretary
Sue Kelly
Tel: (02) 6626 9139
Fax: (02) 6626 9145
Email: ethics.lismore@scu.edu.au
HRESC Secretary Coffs Harbour

Tel: (02) 6659 3924
Fax: (02) 6659 3622
Email: ethics.coffs@scu.edu.au
HRESC Tweed Heads/GC

Sue White
Tel: (07) 55069303
Fax: (07) 5506 9202
Email: ethics.tweed@scu.edu.au
All complaints, in the first instance, should be in writing to the above address. All complaints
are investigated fully and accorded to due process under the National Statement on Ethical
Conduct in Research Involving Humans and this University. Any complaint you make will be
treated in confidence and you will be informed of the outcome.
I understand that I will be given a copy of this consent form for my records. The
researcher will also keep a copy in safe storage at the University.
I have read the information above and agree to participate in this study.
Participants Name: ______________________________________________________
233
Participants signature: ...................
Date: ..
Email address
234
Appendix 3: Interview Guide
Interview protocol guide

Title of research: Towards the best corporate governance practices model for public
universities in developing countries: The case of Kenya.
Research question: How can the corporate governance practices of public universities in
Kenya be improved considering the culture in the country?
Thank you for accepting to participate in this research. The research examines the corporate
governance practices of public universities in Kenya. Data collected from this interview will
remain anonymous and confidential.
Corporate governance refers to the process through which organisations are managed from
the top. Decisions made at the top level of an organisation affect all stakeholders of the
organisation.
The interview guide seeks information on the following areas: (1) Informants background
information (2) How the universitys board of directors is established (3) Accountability of
the board (4) Laying a solid foundation for management (5) Monitoring of management
activities (6) Equitable treatment of shareholders (7) Disclosure of financial, performance,
ownership and governance matters (8) Operating ethically and responsible decision making
(9) Fairness in dealing with employees (10) Recognising the legitimate interests of
stakeholders.
235
Part A: Introduction and background
Organisation Code:
Interviewee Code:
Position in organisation Code:
1. What is your position in the university?

2. How long have you been in this position?
3. What roles does your position involve?
Part B: An understanding of governance issues.

1. Are you familiar with the activities of the universitys board of directors?
2. In your opinion, what are the main functions performed by the universitys board of
directors?
3. What are the main challenges facing the universitys board of directors? How can
these challenges be addressed?
4. Are there clear differences between the functions performed by the board of directors
and those performed by the universitys top management team? If yes, what are the
functions performed by the universitys top management team?
5. In your opinion, what are the main challenges facing the university? Is the board of
directors and the top management team able to address these challenges successfully?
Part C: Detailed corporate governance issues

Explain how governance is practiced in each of the following areas:
1. Establishing a board of directors that adds value
a) How many board members does the universitys board of directors have?
b) What process is followed in appointing the chairperson of the board?
c) How are the other board members appointed?
d) Are there adequate induction processes for new board members?
236
e) Is there any form of training offered to new board members? If yes, explain
the nature of the training.
f) Do you think the whole process of constituting the board of directors can be
improved? If yes, explain how.
g) How long does each board team serve the organisation?
h) In a financial year (1 July to 30 June) how many times does the board meet?
How many board members constitute a quorum for a meeting? How are the
agenda for board meetings formulated? Briefly explain how the board
meetings are conducted.
i) What sub-committees exist in the board and how are they appointed?
k) How can the functioning of the universitys board of directors be improved?
2. Accountability of the board

a) Is the board able to provide a balanced and understandable assessment of the
organisations position?
b) What procedures are followed to ensure that the board maintains an objective
and professional relationship with auditors?
c) Is there an audit committee? If yes, how is it established?
d) What systems of internal control are used in the organisation?
e) Who does the board report to? What kind of reports does the board present?
f) Are there appropriate policies and procedures to identify and deal with any
potential conflicts of interest?
g) What mechanisms are put in place to monitor the performance of the board
and of individual members?
3. Laying a solid foundation for management.

a) Which positions exist in the top management team? Do you think that the top
management team lacks particular positions? If so, explain the positions
lacking.
b) How are the members of the top management team selected? In your opinion,
how can the recruitment process of the top management team be improved?
237
c) Is there any form of training provided to the top management team? If yes,
please explain the form and frequency of the training. How can the training
and development of the top management team be improved?
d) How often does the top management team meet?
e) Does the university have a mission that differentiates it from other public
universities? If yes, what is unique about the university?
f) What is the vision of the university? What steps are taken to publicise the
vision of the university?
g) Does the university have clear objectives and goals?
h) Does the top management team have access to professional advice from
outside the organisation whenever it needs it? If yes, who provides the
professional services and in which areas?
i) In your opinion, how can the strategic management of the university be
improved?
4. Effective monitoring of management activities

a) What are the key performance indicators (KPI) for evaluating the performance
of each member of the top management team?
b) What actions are taken after measuring the individual performance of
members of the top management team?
c) Is there a clear separation of roles and responsibilities between the CEO, the
board and management?
5. Equitable treatment of shareholders

a) Who are the shareholders of the university?
b) How often do you meet with the shareholders of the organisation?
b) What process is followed to ensure that the recommendations of shareholders
are implemented?
c) What benefits accrue to the shareholders? How are these benefits arrived at?
d) How do you ensure fairness in dealing with the shareholders?
e) How are the grievances of the shareholders addressed?
238
6. Accurate and timely disclosure of financial, performance, ownership, and governance
matters
a) How often does the board receive financial statements? Which financial
statements does it receive and who prepares them? How do ensure that the
financial statements are true and fair?
b) How are performance, ownership, and governance matters disclosed and
verified?
d) Do adequate accounting systems and records support financial, performance,
ownership, and governance reports?
7. Operating ethically and responsible decision making

a) What procedures are put in place to ensure that ethical behaviour is upheld in
the university?
b) Is there a clear distinction of decisions made by the board and decisions made
by the management?
c) What factors are considered when making the decisions?
c) Does the board adopt appropriate decision making processes?
d) How can decision making in the university be improved?
8. Fairness in dealing with employees

a) How many employees does the organisation have?
b) What process is followed in recruiting new employees?
c) Does the organisation induct and train its new employees? What other training
(if any) is offered to the other employees?
d) Does the organisation have performance measures for each employee? What
happens to employees who fail to meet performance expectations?
e) How are new heads of departments and sections appointed?
f) In your opinion, what improvements can be made in dealing with university
employees?
9. Recognise the legitimate interests of stakeholders

a) Who are the main stakeholders of the university?
239
b) How does the university address the interests of its shareholders, customers/clients,
local communities, financiers, and any other interest groups?
10. What other features of corporate governance does your university have?
Part D: Cultural issues

1. How would you describe the culture within which your organisation operates?
2. What effects does the culture have on the day to day management of the organisation
and on the overall management of the organisation?
3. How does the culture of the organisation affect its approach to corporate governance?
4. What cultural changes would you like the organisation to implement?
Part E: Additional comments

Thank you for taking time to participate in this research.
240
Appendix 4: Interview Lists
Interview List A
ID Words Common Code 1. How 2. The 3. The 4. The 5. The 6. Culture 7. How Comments
Thread (number) governing functions mechanisms challenges challenges in the governance
councils are performed of encountered encountered universities can be
established by enhancing by by councils improved
councils governance universities
A11 The council generally Function of A1a Y Approves policies
is the body that Council
approves policies
A12 policies and in terms Function of A1b Y Provides direction
of the direction the Council
university should
take. So it provides
direction
A13 The council needs to Challenge B1a Y Y Difference
make reasonable facing council between
balance between management and
overindulgence, that governance
means
micromanaging
A14 and they need to Challenge B1b Y Y
avoid rubber stamping facing council
management
recommendations
A15 Sometimes you have Challenge B1c Y Y Lack of certain
slightly more than facing council skills
necessary dose of
certain skills others
not quite there
A16 I think our biggest Challenges C1a Y Limited finances
challenge here is facing
narrow resource base university
241
A17 for the numbers of Challenges B1g Y Large student
students and facing population
population that we university
have that is really a
big challenge
A18 the government gives Challenges B1n Y Y
us ... 60% of our facing
budget, internally we university
raise about 40%
A19 that needs to be Challenges C1g Y Y
realigned with time, facing
so that we are coming university
to 50-50 in the near
future
A110 the more of internally Challenge B1d Y Y
generated funds your facing council
capital is based on,
the wider the freedom
in decision making as
to which direction the
university should go
A111 The government has Challenges C1f Y Y Need to liberate
to fully...liberate fees facing fees structure
structure, so that university
universities charge
fees according to the
costs of running a unit
A112 30 members, is a bit Challenge B1e Governance body
on the higher side facing council size
governance body size
is an issue
A113 the council has Council D1k Y Representativeness
student, senate, and constitution
staff reps
A114 The University Act Council B1o Y Y Y
creates the problem of constitution
242
a large council
A115 The chairperson is Council D1b Y Y Y Y Political
appointed by head of constitution appointments
state on
recommendation of
Minister for
Education
A116 The council does not Council D1m Y Y Y
have a say in selecting constitution
chairperson
A117 Induction is done Induction of E1b Y Induction for
during first meeting new council council
members
A118 We give them the Act Training of F1b Y
and take them through council
a corporate members
governance seminar
A119 The government Council D1c Y
should first collect constitution
CVs of potential
council members
A120 New council members Council D1p Y
should be drawn from constitution
the pool of CVs
A121 Appointment of new Council D1d Y
members should be constitution
done by an
independent team
A122 now there is room for Council D1n Y Y Y
elbowing and constitution
universities end up
short-changed,
sometimes it is
retirees looking for
additional income
243
A123 A council serves for Length of H1a Y
three years service for
council
A124 Meetings are held Council I1a Y
quarterly meetings
A125 The main sub- Council sub- J1b Y Y Sub-committees
committees are audit, committees
governance, and risk
management; finance
and general purpose;
human resource;
planning
development;
academic and
research; sealing.
A126 The council is Council D1e Y Y
relatively balanced constitution
A127 though they have a lot Challenges B1c Y Y
of concern on finance, facing council
because of
background of
members
A128 We have government Accountability K1a Y Auditors
(external) and internal of council
auditors
A129 The council reports to Accountability K1b Y
the Chancellor, and of council
the Act defines the
head of state as the
Chancellor
A130 It also reports to the Accountability K1c Y Reporting
Permanent Secretary of council relationships
in the Ministry of
Education
A131 The management Solid L1a Y
board is adequate, it management
244
has representation foundation
from all the key
functions
A132 The planning Management N1a Y
sequence is to meet board meetings
once a week, but
sometimes meetings
are skipped
A133 We have deliberately Training board M1b Y Training of
organized internal members council members
seminars on resource,
mobilization and
corporate governance
A134 The university is Strategic O1a Y Strategic
strategically managed management management
in the sense that it is
guided by the
strategic plan
A135 recently, we all have Accountability K1e Y Performance
been under the of management contracts
performance contracts board
A136 The university has a Accountability K1m Y
performance contract of management
discussed and signed board
with the government,
and then it trickles
down
A137 Board members who Accountability Q1b Y
fail to meet of management
performance targets board
are cautioned
A138 The government has Council D1o Different
its representation in constitution ministries are
the council, from represented in the
Ministry of education, council
and also Finance
245
A139 Every end of year, we Accountability K1d
do the key statement of council
of income, balance
sheet and cash flow.
That is required of all
public universities
A140 The institution has Ethical C2d
ethical values- behaviour
fairness, transparency.
Every manager is
expected to adhere to
the core values
A141 Each head is Fairness to Z1f
evaluated and ranked, employees
and there is an award
scheme
A142 The main Stakeholders V1a
stakeholders are the
parents, students,
government, suppliers
and donors
A143 We can create an Challenges C1a
endowment fund, to facing the
avoid being a prisoner university
of the government,
and we need to
commercialize the
research output of the
university
A144 The culture here is Culture in the X1j
reactionary, not university
exploratory
A145 There is need to adopt Cultural
a proactive culture changes
246
Interview List B
councils performed of enhancing encountered encountered universities can be
are by councils governance by by councils improved
established universities
A21 The university council Function of A1c Y Oversight

is like an oversight council body
body of the university
A22 Looking at policies Function of A1a Y

council
A23 and giving direction Function of A1b Y

based on the council
university's vision and
mission
A24 Large number of Challenges B1e Y Y Governance

council members is facing council body size
costly to maintain
A25 Council sub- Council sub- J1b Y Y

committees include committees
academic and research,
finance and general
purposes, audit and
governance, human
resource management
A26 Maintaining quality Challenges C1b Y Quality of

education is the main facing education
challenge facing the university
university
247
A27 We have a large Challenges C1d Y Large
number of students and facing number of
our facilities are university students
overstretched
A28 We have set up the Challenges C1j Y

directorate for quality facing
assurance to look university
quality issues
A29 We use yearly Challenges C1k Y

evaluations to improve facing
quality university
A210 16 members are Council D1l Y

appointed from outside constitution
the university
A211 The chairperson is Council D1b Y Y Y Political

appointed by the constitution appointment
president
A212 Other council members Council D1o Y Y Y

are appointed by the constitution
Minister for Education
A213 We are taken through Induction of Y

induction that covers new council
governance, finances, members E1b
and other issues
A214 Council constitution Council D1q Y Y Y Politics

has become political constitution
A215 Input from university Council D1f Y Y Input from

managers should be constitution university
248
considered when
appointing new council
members
A216 New council serves for Length of H1a Y

3 years service for
council
A217 We meet quarterly Council I1b Y

sometimes we have meetings
special meetings
A218 I have never seen a Council I1c Y

meeting postponed for meetings
lack of quorum
A219 We have internal and Accountability K1a Y Auditors

external auditors of council
A220 We have been audited Accountability K1a Y

by renown auditors of council
A221 We got a green colour, Accountability K1m Y

meaning our of council
management and
controls are proper
A222 The board has 7 or so Solid L1b Y Y

members management
foundation
A223 New council members Induction of F1c Y

are inducted and attend new council
external training members
sessions
A224 Our performance Strategic O1a Y Strategic
249
targets come from the management plan
strategic plan
A225 We have a strong Solid M1b Y

internal team, but we management
still get external advice foundation
A226 Some targets require a Accountability Q1c Y

lot of money of management
board
A227 We assist members Accountability Y

who dont meet of management
performance board Q1i
expectations and there
is no provision for
punishment
A228 Different committees Recruitment of S1a Y Fairness in

are involved in employees recruitment
different stages of
recruitment
A229 New employees are Induction of T1b Y

inducted by heads of employees
departments
A230 We consult individuals Promotion of U1a Y

earmarked to head staff
departments
A231 Our main stakeholders Stakeholders V1a Y Main

are students, the public, stakeholders
government and staff
A232 The student handbook Fairness to W1a Y

specifies what is
250
expected of every students
student
A233 Appointments are done Promotion of U1d Y

fairly staff
A234 We have different Culture in the X1a Y

cultures university
A235 There is need to engage Cultural Y1a Y

in more research that is changes
used by the society
251
Interview List C
A31 council is a body that Function of A1m Y Oversight

runs the university on council body
behalf of government
A32 members possess lots Council D1g Y

of knowledge and constitution
experience
A33 but they are politically Challenges B1q Y Y Politics

appointed facing council
A34 university has limited Challenges B1d Y Y Y Limited

financial resources facing council finances
A35 students are already Challenges B1g Y Y Y Too many

too many facing council students
A36 The chairman is Council D1b Y Y Y Political

appointed by the constitution appointments
president after
consulting senior
persons in the Ministry
of Education
A37 Some members are Council D1o Y Y Y

appointed by the constitution
Ministry of Education
252
A38 Other members Council D1a Y Y
represent different constitution
stakeholders
A39 new members are Induction of E1a Y Induction

taken through an new council
induction process members
A310 There are courses Training council F1c Y Training of

within and without the members council
university, In the
country and outside
A311 we recommend Council D1f Y Y

suitable persons but constitution
they are not appointed
A312 each council serves for Length of H1a Y

3 years service for
council
A313 council meets at least Council I1a Y Quarterly

quarterly meetings meetings
A314 extraordinary meeting Council I1b Y Extraordinary

may be called if an meetings meetings
urgent issue arises
A315 council members are Council sub- J1a Y

subdivided into committees
committees
A316 it comprises experts on Council B1c Y Y Y Y

all fields fewer constitution
experts in finance
A317 council does not Accountability K1o Y Auditors
253
interfere with auditors of council
A318 Council reports to Accountability K1d Y

Minister for Education of council
A319 We do not encourage Accountability B1u Y Conflict of

conflict of interest of council interest
A320 there are performance Accountability Y

contracts signed when of council
you become a council K1e
member
A321 management board Solid L1c Y

comprises of senior management
university managers foundation
A322 board members are Solid L1d Y

appointed by council management
foundation
A323 new members are induction of P1a Y

inducted new members of
management
board
A324 Meetings are held once Management N1a Y Management

every week board meetings board
meetings
A325 when the need Training board Y

arises...external members
organisations provide M1b
training
254
A326 We use performance Accountability K1e Y
contracts of management
board
A327 the government is the Stakeholders V1a Y Y Y

sole shareholder
A328 we have a very Accountability Q1d Y

competent team that of management
prepares financial board
statements
A329 We disclose all these to Accountability Q1e Y

the government of management
board
A330 there is the students Fairness to W1a Y

handbook students
A331 Similarly, there is a Fairness to staff Z1a Y

staff handbook
A332 decisions are made Decision A2a Y

considering policy making
A333 We advertise internally Recruitment of S1b Y

and externally employees
A334 new employees are Induction of T1a Y

inducted employees
A335 Each employee signs a Solid K1e Y

performance contract management
foundation
A336 heads of departments Promotion of U1a Y

and sections are
255
appointed in staff
consultation with the
management board
A337 university made up Culture in the X1a Y

of many cultures university
A338 We are aiming for a Cultural Y1b Y Y

culture of academic changes
excellence
256
Interview List D
B11 The council is at the Function of A1d Y Strategic

strategic level of council management
management
B12 It recruits top Function of A1e Y Recruitment

management council of top
management
B13 It provides direction by Function of A1b Y Provides

setting the vision, council direction
mission and strategic
direction
B14 No challenge, our Challenges B1h Y Y Y

councils are very facing council
competent
B15 the council has 25 Council B1e Y Governance

members constitution body size
B16 This number represents Council D1a Y Y Stakeholders

the various interest constitution
groups
B17 Some council members Council D1k Y

are from within the constitution
university
257
B18 Then there are members Council D1l Y
external to the university constitution
B19 Interest groups are Council D1k Y Y

represented in the constitution
council
B110 Council serves for 3 Length of H1a Y 3 years of

years service for service
council
B111 Council meets four Council I1a Y Quarterly

times in a year meetings meetings
B112 There is finance and Council sub- J1b Y

general purposes, committees
executive, honorary and
higher degrees and
building committees
B113 We have an audit Council sub- J1b Y Sub-

committee of the council committees committees
B114 The management board Strategic O1b Y Tactical

is the tactical or management level
business level of
management
B115 The board translates the Strategic O1c Y

strategic direction given management
by council
B116 The management signs Accountability K1e Y Performance

performance contracts of management contracts
with the council board
258
B117 Council signs Accountability K1m Y
performance contracts of council
with the ministry
B118 If you are marked down Accountability Q1b Y Y

and dont respond, then of management
heads roll board
B119 The university is a very Disclosure of B2a Y Open system

open system information
B120 Financial statements and Disclosure of B2b Y

books are open for information
inspection by any
member of the public
B121 Disclosure puts a Disclosure of B2c Y

responsibility on us to information
run university
transparently
B122 You have to be ethical Ethical C2a Y Ethics

to provide answers when behaviour
questioned
B123 Employees negotiate Fairness to Z1b Y Labour

with the government for employees unions
salaries and house
allowances
B124 They negotiate with the Fairness to Z1c Y Y

university for other employees
allowances
B125 Students are represented Fairness to W1b Y Y Y

in council and senate students
259
B126 Our greatest stakeholder Fairness to W1j Y Y
and customer is the students
student
B127 We produce food in our Fairness to W1c Y Farms

farms and sell to students
students at cost
B128 We have different types Fairness to W1d Y

of hostels students
B129 We need to take on the Cultural Y Y Desired

culture of being the seat changes culture
of academic excellence, Y1b
teaching the best
standards and practices
and undertaking
research
B130 The university should Cultural Y1c Y Y

act as a vehicle of changes
development in the
community.
260
Interview List E
B21 I dont think the council Function of A1f Y Does

does anything for us council nothing
B22 They tell us they are our Function of A1k Y Y Employer

employers council
B23 Let them fundraise, lets Function of A1g Y Y Raising

have some projects council funds
where they have
fundraised
B24 what are their duties, to Function of A1k Y

interview professors? council
B25 the team is not Challenge faced B1r Y Y Y

professorial, ...if you are by council
a professor or an
associate professor why
would you be
interviewed by a first
degree holder?
B26 Then the other one is Function of A1h Y Discipline

discipline, which they do council
B27 Finance is the main Challenges C1a Y Y Y Limited

challenge facing the facing university finances
university
261
B28 The council is not able to Challenges B1p Y Y
deal with financial facing council
challenges...we get funds
from the government
B29 Funding will continue Challenges B1d Y Y

going down facing council
B210 Enrolment is going up Challenges B1g Y Y Increasing

facing council enrolment
B211 In universities, when you Induction of E1d Y Y Y Y

are appointed into an new council
office, no one tells you members
what to do
B212 We have about 12 or 11 Council sub- J1c Y Sub-

committees of council committees committees
B213 the whole council is Challenges B1f Y Y Politics

politicised, so we have a facing council
split
B214 The councils ...do what Challenges B1b Y Y Rubber

the VC says facing council stamping
B215 They never come in with Challenges B1q Y Y

their own ideas facing council
B216 We have had cases of Challenges B1j Y Y Y Conflict of

conflict of interest facing council interests
B217 Because someone is a Challenges B1t Y Y Y

chairman or vice- facing council
chairman, he insists and
you have to buy from
him
262
B218 I call you on phone that Management N1c Y Y Ad hoc
management is meeting board meetings board
in the next one hour meetings
B219 You have to call others Management N1g Y Y

to invite them for the board meetings
meeting
B220 You come not knowing Management N1d Y Y

the agenda board meetings
B221 You are answerable if Management N1e Y Y

others dont attend the board meetings
meeting
B222 Our statute describe who Solid L1c Y

should be in the board management
foundation
B223 There is no training. You Training of M1a Y Y Training

get in and learn board members for board
B224 You cant tell when a Management N1f Y Y Y

meeting will be board meetings
called...you can have
three quarter of a year
without a meeting
B225 The strategic plan is in Strategic O1d Y Y Strategic

paper We dont cascade management plan
it. Ask any staff, they
dont have the vision,
they dont have the
mission they dont know
it
263
B226 The government has Challenge C1a Y Y
given me students; the facing university
money has not gone up,
how do I take care of
them?
B227 There are disciplinary Accountability Q1b Y Discipline

measures that we put in of management
place board
B228 Before disciplinary, a lot Accountability Q1h Y

of investigation have to of management
be done board
B229 We dont disclose to Disclosure of B2d Y

private individuals information
B230 We have balance sheets; Accountability Y

we prepare even our of management
accounts for external board K1a
auditors because they
have to give a certificate
B231 When students come to Fairness to W1e Y Y Student

me, I listen to them students matters
B232 Understand what their Fairness to W1i Y

problem is and find a students
way of solving it
B233 We advertise senior level Recruitment of S1b Y Recruiting

positions and let them employees top
respond positions
B234 Orientation is done at Induction of T1b Y

departmental level employees
264
B235 When they are not Performance of Z1e Y
meeting our expectation, employees
we expect the heads of
section to inform us.
And ...we find out
whether what they are
telling us is true
B236 All appointments in the Promotion of U1b Y

university are done by staff
the Vice Chancellor
B237 Ours, academically, is a Culture in the X1b Y Culture of

culture of research university research
265
Interview List F
B31 The council really is the Function of A1c Y Oversight

guiding body in terms of council body
administering the
university
B32 Technically the Function of A1k Y Employer

university actually is council
owned by that council,
council is the employer
B33 and they have appointed Function of A1e Y Top

a Vice Chancellor as the council executive
Chief executive, to run it
on a day to day basis
B34 The biggest challenge Challenge Y Y Limited

normally is finance. For facing university finances
public universities, C1a
resources are difficult to
come by and it the
biggest challenge that
any council faces
B35 These people are Challenges B1p Y Y Y Y

appointed at a very high facing council
level; whether they can
deal with resource
sourcing and so on is
another matter. Because
266
the source of funds is the
exchequer
B36 14 individuals are Council D1l Y Y Politics

appointed by the constitution
president directly to
council, but certain
ministries are
represented
B37 you know thats office of Council D1b Y Y Y

the president, so constitution
normally these
appointments are
presidential
B38 members of council are Council D1o Y Y Y

also presidential constitution
appointees
B39 other members are co- Council D1l Y Stakeholders

opted from line constitution
ministries like ministry
of works, education,
finance, and so on
B310 Council appointees Council D1h Y

should have specific constitution
qualities, capabilities,
and so on...sometimes
they themselves are
financiers
B311 there is finance and Council sub- J1b Y Sub-

general purposes, committees committees
building, executive and
now we are even talking
267
about fundraising
committee
B312 management is basically Solid Y Y

the Vice Chancellor and management
his deputies, may be the foundation L1c
registrar of the
university, once in a
while the registrar
academic, and a
directorate like mine is
involved
B313 Performance review Solid Q1f Y Y Performance

should be continuous, management review
may be yearly we foundation
have seen people waste
three years
B314 No training is offered, Training of Y Y Training

because it is board members board
assumedyou have M1a members
risen through the ranks
B315 people should go Training of P1b Y Y

through some induction board members
course
B316 performance contracting Accountability K1e Y Performance

is something that you of management contracts
know, that is everywhere board
B317 we advertise vacant Recruitment of Y Recruitment

positions and people employees
apply, and then S1b
shortlisted, they are
268
interviewed and so on
B318 Here we start with Fairness to W1j Y Y Student

students. And we students matters
actually end with them
B319 head of department must Fairness to W1f Y

be responsive to students students
who are taking programs
in that department
B320 there is a dean of Fairness to W1g Y

students, who can listen students
to them outside the
academic line
B321 we have a director of Fairness to W1h Y

students welfare students
B322 Students are represented Fairness to W1b Y Y

in the senate and in students
council
B323 Our culture is a mixture Culture in the Y

of knowledge, research, university
religions, district X1a
groupings and things like
that
B324 we are weak in sports Cultural changes Y1d Y Y Culture
B325 and in exchange Cultural changes Y1e Y Y

programs
B326 because of lack of Challenge C1a Y Y Y

finance, lecturers cant facing council
attend conferences
269
Interview List G
C11 The council governs the Function of A1m Y Oversight

university on behalf of council body
the ministry and the
government
C12 they make sure that the Function of A1b Y

university develops on council
all aspects
C13 they ensure that the Function of C1b Y Quality

university provides council education
quality education
C14 they are supposed to Function of A1g Y Y Raise

raise funds council funds
C15 but they hardly Challenge B1p Y Y Y

facing council
C16 Currently, they appoint Council D1o Y Y Y Politics

everything, members, constitution
chairman, vice chairman
and treasurer
C17 I would rather...the Council D1i Y Y Y

Minister appoints the constitution
board members, then the
board elect their
270
chairman.
C18 A council serves for 3 Length of H1a Y Years of

years service for service
council
C19 It is supposed to meet Council I1a Y

minimum three times in meetings
a year
C110 some of them dont Challenges B1y Y

understand really the facing council
university concept
C111 you will get someone in Challenges B1r Y Y Poorly

the council, someone facing council qualified
with ...one degree. And members
sometimes even without
a degree
C112 I think appointment of Challenges B1l Y Y Y Consult

council should involve facing council university
the university
C113 The council is very Accountability K1o Y Auditors

objective when dealing of council
with auditors
C114 They report to the Accountability K1d Y

Minister for higher of council
Education
C115 We had one case Challenges B1j Y Conflict of

of ...conflict of interest facing council interests
C116 there is no method of Accountability K1f Y Y

monitoring of council
271
C117 there should be a Challenges B1m Y Y Performance
yardstick to measure the facing council measures
performance, so that
people are not just joy
riders
C118 The management board Solid L1c Y Y

is the VC, three DVCs, management
three registrars, one foundation
finance officer, the
procurement officer sits
in attendance
C119 I thought the dean of Solid L1e Y Dean of

students should be in management students
management board, foundation
because student matters
are very frequent
C120 the library is the real Solid L1f Y Library

focal point so may be the management
university librarian can foundation
also sit in the board
C121 There is induction, but Induction of P1a Y

we also have retreats for management
training on cutting edge board members
issues
C122 we have the university Strategic O1e Y Mission

vision and mission, and management and vision
each faculty or school
develops a vision in that
context
C123 And they develop their Strategic Y Strategic

strategic plan, within the
272
framework of the management O1a plans
broader university
strategic plan
C124 We dont use external Professional G1a Y Y

consultants, because advice
some of us are well
trained in that
C125 we need training, most Challenge R1a Y

people in the strategic facing
management management
board
C126 implementation of Challenge R1b Y

strategic management is facing
a nightmare management
board
C127 some people in the Challenge R1c Y

university system are facing
still very conservative management
board
C128 there are performance Accountability K1e Y Performance

indicators we sign a of management contracts
performance contract board
C129 he is counselled but we Accountability Q1b Y

also have opportunity for of management
training board
C130 Any money coming in Disclosure of B2e Y

must be discussed at the information
council first, then senate
273
C131 we advertise, people Recruitment of Y Recruitment
apply, shortlisted, we employees process
normally set up a S1b
committee to do the
short listing
C132 Heads of departments by Recruitment of U1b Y

policy are appointed by employees
the Vice Chancellor, in
consultation with other
staff like us
C133 we need more time Bonding E2a Y

together as employees
C134 We have guidelines on Fairness to W1a Y Student

how to interact with students matters
students
C135 student government is Fairness to W1b Y Y

represented in every students
organ of management
C136 after every two years, Fairness to Z1b Y Labour

unions negotiate on new employees unions
allowances, salaries, and
so on
C137 we make sure that the Stakeholders V1b Y

university performs what
the government expects
of it
C138 no ivory tower mentality, Culture in the X1c Y Culture

we must go to the people university
274
Interview List H
C21 The council runs the Function of A1m Y Oversight

university on behalf of council body
the government
C22 We have a problem with Challenge B1d Y Limited

finances because the facing council finances
government gives us less
money than we need
C23 The chair is appointed Council D1b Y Y Political

by the president, in constitution appointment
consultation with the
C24 New members are Induction of E1a Y

inducted council
members
C25 Council members are Training council F1d Y Training

trained on a continuous members council
basis members
C26 a council serves for three Length of D1j Y 3 years of

years service service
C27 We meet quartile Council I1a Y Quarterly

meetings meetings
275
C28 There are several sub Council sub- J1a Y Sub-
committees in the committees committees
council, and these are
constituted depending on
the need
C29 We need to have a Council D1a Y Y

council that has constitution
members from different
fields but we have fewer
from finance
C210 external auditors do their Accountability K1o Y Auditors

work objectively of council
C211 we are audited by Accountability K1a Y

government auditors of council
C212 The council reports to Accountability K1d Y Reporting

the Minister for of council relationships
Education
C213 Any council member Conflicts of B1v Y

who would like to do interest
business with the
university declares their
interest
C214 We have performance Accountability K1e Y

contracts of council
C215 I think we should Solid L1g Y Deans and

include deans and management directors of
directors of schools in foundation schools
the management boards
276
C216 We are given in house Training of M1b Y
and external training board members
C217 Management board Solid N1a Y Weekly

meetings are once a management board
week foundation meetings
C218 the university uses Training of M1d Y

external consultants in board members
quality control,
performance contracting
and corporate
governance
C219 all members of the Accountability K1e Y Performance

management board have of management contracts
signed performance board
contracts
C220 We receive quarterly Accountability K1a Y Quarterly

financial statements of council meetings
then annual statements at
the end of every
financial year
C221 all our activities and Accountability K1k Y Auditors

audited reports are made of council
available for public
scrutiny
C222 There is no allowance Ethical C2b Y Ethics

for unethical behaviour behaviour
C223 the university is fair to Decision A2b Y Stakeholders

all stakeholders making
277
C224 We advertise for all Recruitment of S1b Y Recruitment
positions, externally and employees process
internally
C225 heads of departments Induction of T1b Y

induct new employees employees
C226 Each employee signs a Accountability K1e Y

performance contract of management
board
C227 We discuss with Accountability Z1c Y Labour

employee and union reps of management unions
board
C228 We include a Stakeholders V1c Y y Stakeholders

representative of each
stakeholder group in our
meetings
C229 our culture is in the Culture in the X1d Y

formative stage university
C230 public universities in Cultural changes Y1i Y Large

Kenya need more student
support from the numbers
government because of
the large numbers of
students
C231 there is a need to Cultural changes Y1e Y Exchange

establish partnerships programs
with universities in other
countries
278
Interview List I
C31 the council is the top Functions of A1d Y Top organ

management organ of council
the university
C32 directing all the activities Functions of A1b Y Provides

of the university council direction
C33 council also sources for Functions of A1g Y Raises

funds council funds
C34 but most of the funds Challenge B1p Y Y

come from the facing council
exchequer
C35 The main challenge is Challenge B1d Y Y

getting finances to facing council
supplement the
government budget
C36 the government provides Challenge B1s Y Y Limited

about a third of our facing council finances
finances
C37 The council has Council Y Stakeholders

government, union, constitution
senate, alumni reps, then D1a
there are the VC, the
DVCs, registrars, and
other internal
279
representatives
C38 the president appoints Council Y Y Y Political

the chairman, vice constitution appointment
chairman, treasurer, and D1b
three other members
C39 other members are Council Dll Y

appointed to represent constitution
different stakeholders
C310 they are inaugurated and Induction of E1a Y

then we go for a retreat new council
where induction takes members
place
C311 The role of politics Council D1q Y Y Politics

should be minimised constitution
when appointing council
members
C312 the president should ask Council D1r Y Y Consult

the university for names constitution university
of preferred council
members
C313 There is lack of adequate Council D1f Y Y Consultation

consultation constitution
C314 The council serves for Length of D1j Y 3 years of

three years service for service
council
C315 A council should serve Length of D1s Y Increase to

for five years service for 5 years
council
280
C316 We meet four times in a Council I1a Y Quarterly
year meetings meetings
C317 whenever there is an Council I1b Y Extra-

urgent need, we meet meetings ordinary
meetings
C318 There are 11 sub Council sub- J1c Y

committees committees
C319 the appointing authority Council D1h Y Y

should appoint people on constitution
the basis of their
knowledge of
management
C320 the council has experts Council D1a Y

in finance, human constitution
resource management,
law and so on
C321 The university does not Accountability K1o Y Auditors

interfere with activities of council
of auditors
C322 The university has an Accountability K1a Y

audit team, and the of council
council has an audit
committee
C323 The council reports to Accountability K1d Y Reporting

the Minister for Higher of council relationships
Education.
C324 council members bid for Conflict of B1v Y Y Conflict of

university interest interests
contracts.but they
281
declare their interests
C325 They do not in any way Conflict of D2a Y Y

receive preferential interest
treatment
C326 we gauge each council Accountability K1g Y Contribution

member by his or her of council in meetings
contribution during
meetings
C327 The positions lacking in Solid Y Y Necessary

our case are the deans of management changes
faculties, directors of foundation L1g
schools, deans of
students and the librarian
C328 they are trained Training of M1b Y

internally and externally board members
C329 the management board Management N1a Y Weekly

meets once every week board meetings board
meetings
C330 we receive external Training of M1b Y

advisory services like in board members
the areas of finance and
strategic management
C331 we need to review our Solid Q1f Y Performance

activities objectively management review
foundation
C332 Each management board Accountability K1e Y Performance

member signs a of management contracts
performance contract board
282
C333 we encourage members Accountability Q1i Y
to improve of management
board
C335 but, in extreme cases, Accountability Q1b Y Discipline

disciplinary measures of management
can be taken board
C336 There is a finance and Accountability K1a Y Sub-

general purposes of council committees
committee that reports to
the council
C337 everyone is afraid of Ethical C2c Y Ethics

Kenya Anti Corruption behaviour
Authority (KACA)
C338 we operate under the Ethical C2e Y

Public Universities behaviour
Ethics Act
C339 The main consideration Decision A2c Y

when making decisions making
is democracy
C340 vacant positions are Recruitment of S1b Y Induction

advertised and applicants employees
are vetted by a
recruitment committee
C341 the HR department Fairness to Z1d Y

counsels employees who employees
fail to meet their
performance obligations
C342 heads of departments do Accountability R1e Y Y

not report non of management
283
performers board
C343 there are some sacred Accountability R1d Y Y Y Sacred cows

cows that you cannot of management
touch board
C344 The culture here is too Culture in the X1a Y Multi-

diverse university cultural
C345 I would like to see a Cultural changes Y1b Y

culture of academic
freedom, collegiality and
togetherness
C346 and student facilities Cultural changes Y1f Y

given the first priority.
284
Interview List J
D11 main function of the Function of A1m Y Oversight body

university council is council
governing the
university on behalf of
the government
D12 they are basically Function of A1l Y

responsible for finance council
and all assets
D13 overall governance of Function of A1c Y

the university, staff, council
students, finances,
everything
D14 the main challenge is Challenge B1d Y Y Limited

the resources facing council finances
universities are
demanding...funding
limitation is a
challenge
D15 we have more Challenges C1c Y Y Y Accommodation

students, we cannot facing
accommodate all of university
them
D16 lecture theatres are not Challenges C1h Y Y Y Lecture

facing
285
adequate university theatres
D17 Sometimes we rent Challenges C1i Y Y

buildings outside the facing
university and run university
lectures there
D18 if we were to get better Challenges C1a Y

financing, then it facing
would be much better university
D19 the council has about Council B1e Y Y Governance

33 members constitution body size
D110 the chairman, treasurer Council D1o Y Y Y Political

and Vice Chair of constitution appointments
council is appointed by
the president
D111 members of council Council D1t Y

are appointed constitution
representing the
provinces
D112 you will also get Council D1l Y Stakeholders

members who constitution
represent critical
ministries
D113 then we got now Council D1k Y

people from within constitution
D114 There is induction Induction of E1a Y Induction for

new council council
members
D115 Each council serves Length of H1b Y
286
for three years, service for
renewable council
D116 Mandatory meetings Council I1b Y Quarterly

are once every three meetings meetings
monthsthere could
be special meeting
D117 subcommittees also Council sub- J1d Y Sub-

have their meetings committees committees
D118 reporting depends on Accountability K1h Y Reporting

which decision they of council relationships
are making
D119 if there is any conflict Conflict of Y Y Y Conflict of

of interest, because interests interests
the government B1v
allows ...you declare
the interest so that you
dont become part of
the decision making
D120 we dont entertain Conflict of B1u Y Y Y

conflict of interest interests
because the
government law is
very strict on that
D121 management board we Solid L1b Y Y

are about nine people management
foundation
D122 management board Solid L1h Y

runs the university on management
a daily basis foundation
287
D123 council develops the Function of A1a Y Policy
policies upon which council formulation
the management runs
the university
D124 we attend conferences Training F1b Y Training for

council council
members
D125 there is a training Training F1a Y

board for any new council
member members
D126 we attend so many Training F1a Y

trainings, organized on council
university governance members
by Ministry of
Education
D127 management board Management N1a Y Weekly board

meets every week board meetings meetings
D128 The strategic plan Strategic O1e Y Mission and

clarifies the mission management vision
and vision
D129 members sign Accountability K1e Y Performance

board
D130 Our auditors strictly Accountability Q1d Y Auditors

prepare financial of management
statements board
D131 Our activities are open Accountability Q1j Y

to public scrutiny of management
288
board
D132 There are policies that Decision A2a Y Decision

guide decision making making making
policies
D133 we involve Decision A2d Y Stakeholders

stakeholders when making
making decisions
D134 recruitment process is Recruitment of S1a Y Recruitment

fair... Several employees process
communities are
involved
D135 The university is a Culture in the X1a Y

multicultural university
institution
289
Interview List K
D21 The council is Functions of A1a Y Policy

responsible for policy council formulation
formulation
D22 confirms all Functions of A1k Y Recruitments

recruitments council
D23 approves all Functions of A1l Y

development projects council
D24 Council does not Challenge B1b Y Y Y Rubber

oppose ideas of the facing council stamping
Vice Chancellor
D25 The challenges facing Challenge C1d Y Growth in

the university is the facing student
rapid growth of student university population
population compared
with the growth in
facilities and buildings
D26 The council members Council I1b Y

meet three times a year meetings
unless there is need for
an extraordinary
meeting
D27 the council is able to Accountability K1i Y Balanced

provide a balanced and
290
understandable of council assessment
assessment of the
university
D28 auditors report to the Accountability K1a Y Auditors

council of council
D29 The council ...is Functions of A1d Y Strategic

involved with strategic council issues
issues
D210 council reports to Accountability K1d Y Reporting

Ministry of Higher of council relationships
Education
D211 conflicts of interests Conflict of B1w Y Y Conflicts of

are addressed at the interest interest
time of appointment
D212 The office of the prime Accountability K1m Y Performance

Minister under which of council contracts
the parastatals fall
have a performance
contract with the
university
D213 like all parastatals we Accountability K1j Y Rapid results

assessed under the of council initiative
rapid results initiative
D214 management board Solid Y Y

comprises the VC, management
3DVCS, 3Registrars, foundation L1c
Finance officer, and
Director of open and
distant learning
291
D215 they are trained during Training of M1c Y
retreats, like in board members
transformative
leadership and rapid
results initiative
D216 the management boards Frequency of N1a Y Weekly

meets every Tuesday management board
board meetings meetings
D217 The council networks Function of A1j Y

with school advisory council
boards and world-class
universities
D218 we can improve our Council D1f Y

activities by constitution
continuous
consultation with
stakeholders
D220 all members are Accountability Y Performance

evaluated on the basis of management contracting
of performance board K1e
contract and rapid
results initiative
D221 The University Strategic O1a Y Strategic

strategic plan is a management plan
product of
stakeholders. It is
faithfully implemented.
D222 Performance, Accountability K1k Y Disclosure

ownership and of council
governance matters are
292
public information
D223 policy guidelines Ethical C2d Y Ethics

incorporate ethical behaviour
considerations
D224 vacant positions are Recruitment of Y Recruitment

filled through employees process
advertising, short- S1b
listing, interviewing
and selection
D225 Sometimes pouching is Recruitment of S1c Y

used for rare talents employees
D226 heads of departments Promotion of U1b Y Appointment

and sections are staff
appointed by the VC
through consultation
with management
board and deans
D227 The university is Culture in the X1a Y Multicultural

multicultural. It university
operates on unity in
diversity
D228 We should continue Cultural Y1g Y

promoting positive changes
ethnicity
293
Interview List L
D31 the council runs the Functions of Y Oversight

university, and this council body
means overseeing all A1l
incomes and
expenditures
D32 our main source of Functions of A1g Y Internal

income is government council income
subvention, but we generation
also generate some
funds internally
D33 As a financial expert, I Challenge B1d Y Limited

can say that inadequate facing council finances
funding is the main
challenge facing the
council
D34 the money we receive Challenge B1p Y

from the government facing council
is inadequate to fulfil
our financial
obligations
D35 we have tried to raise Challenge B1n Y

funds to supplement facing council
government budget.
For example, we
produce milk and farm
294
products for internal
consumption
D36 the council makes Functions of A1a Y Policy

policies while the council formulation
management board
runs the university on
a day to day basis
D37 management board solid L1h Y

implements what the management
council decides foundation
D38 the same problem challenge facing C1a Y

facing council, of university
inadequate financing is
the one facing the
entire university
D39 a full council would Council B1e Y Governance

have 30 or so constitution body size
members, but there are
always a few apologies
D310 our chair is appointed Council Y Political

by the president, it constitution appointment
involves consultations D1b
at high levels of the
government
D311 other council members Council D1o Y

are also appointed by constitution
the president, through
the Minister for
Education
295
D312 the members are Council D1t Y Stakeholders
chosen in such a way constitution
as to have regional
reps, as well as reps of
different government
ministries
D313 yes, new members are Induction of Y

inducted, and there are new council
occasional courses we members E1a
attend
D314 council constitution Council D1q y Y Politics

should be less constitution
politically inclined
D315 some members dont Challenge B1y Y

understand financial facing council
management concepts,
so they just pass them
without much scrutiny
D316 interaction with Accountability K1o Y Auditors

internal and external of council
council members is
objective
D317 financial reports are Accountability K1d Y Reporting

presented to the of council relationships
D318 all council members Accountability Y Performance

sign performance of council contracts
contracts which are the K1e
basis for evaluating
them
296
D319 members tend to serve Length of D1j Y 3 years
a full 3 years and are service service
never discontinued for
incompetence
D320 the management board Solid Y

runs the university management
daily and is appointed foundation L1h
by the Minister for
Education
D321 Management board Management N1a Y Weekly

meetings are held board meetings management
weekly board
meetings
D322 newly appointed Induction of P1a Y

management board management
members are inducted board members
and we are all trained
internally and
externally
D323 the university has a Strategic O1e Y Mission and

vision, mission, and management vision
objectives and we are
guided by the strategic
plan
D324 members of the Solid Y

management board are management
experienced and foundation L1a
knowledgeable
administrators
D325 the performance Accountability Y Performance

contracts has key of management
297
performance indicators board K1e contracts
for each position
D326 the main stakeholders Stakeholders V1a Y

here are the students,
staff and the
government
D327 each stakeholder group Council D1a Y

is represented in constitution
various organs of the
university
administration
D328 our financial Accountability K1a Y

statements are audited of council
internally and
externally
D329 decisions are made Decision A2b Y Consultation

after consulting all making in decision
relevant stakeholders making
and that ensures they
are made fairly
D330 students are Council D1a Y Stakeholders

represented in council constitution
and senate
D331 even staff and local Council D1l Y

communities have constitution
their reps
D332 the decisions taken Decision A2d Y

tend to be balanced making
because of
298
consultation
D333 the university has over Stakeholders V1a Y Employees

600 employees
D334 whenever there is a Recruitment of S1b Y Recruitment

vacancy, it is employees process
advertised externally
in newspapers, so that
any interested person
can apply
D335 new employees are Induction of T1b Y

inducted by heads of employees
departments
D336 all employees have Strategic K1e Y

their performance management
expectations stipulated
in the performance
contracts
D337 promotions are Promotion of U1c Y Appointments

approved by the staff
council
D338 the university operates Culture in the X1a Y

on the principle of university
unity in diversity
D339 my wish is to have a Cultural Y1h Y Culture

culture of less political changes
interference and more
research relevant to
community needs
299
Interview List M
E11 our council is appointed Functions of A1b Y Provide

to direct the university. council direction
It is in charge of all staff
appointments
E12 in our case, the facilities Challenge B1k Y Y Inadequate

available cannot support facing council facilities
our student population,
and it is a major
challenge
E13 our lecture halls and Challenge C1h Y

accommodation hostels facing council
are inadequate
E14 the problem arises Challenge B1g Y Y Large

because the government facing council student
dictates student intakes, population
irrespective of available
facilities
E15 the functions performed Functions of A1i Y

by council different council
from those of
management boards,
board, although some
council members dont
seem to understand the
300
dividing line
E16 the main challenge for challenge facing C1b Y Quality of

the university is university education
maintaining quality of
our education
E17 we have a council of 30 Council B1e Y

members constitution
E18 when it comes to Council D1b Y Political

appointment of the chair, constitution appointment
it is a political issue
involving the Minister
for Education and
president
E19 there are some council Council Y Stakeholders

members who represent constitution
interest groups such as D1k
students and staff
E110 occasionally we are Training council F1b Y

trained, like in members
transformational
leadership
E111 we need to have more Council D1f Y Consultation

consultation when constitution
appointing council
members
E112 most of the council Council D1e Y Y

members are constitution
professionals and
provide fair assessment
301
of the university
E113 The chair is experienced Council D1g Y

in university constitution
administration
E114 council meets once Council I1b Y Quarterly

every three months, but meetings meetings
on special occasions, we
have extraordinary
meetings
E115 we are divided into Council sub- Y Sub-

committees. I am a committees committees
member of the building J1a
and academic programs
committees
E116 council members should Council D1i Y

be allowed to select the constitution
chair
E117 when it comes to Decision A2d Y Stakeholders

decisions, we include making
stakeholders, because
students can be volatile
if you make a wrong
decision
E118 our activities are audited Accountability K1a Y

by external auditors. We of council
have internal auditors.
and the council has an
audit committee
E119 in some cases there is no Accountability K1h Y Reporting

need to report anywhere,
302
if the decisions are for of council relationships
internal consumption
E120 major decisions are Accountability Y

reported to the Minister of council
for Education who is K1d
also represented by the
Permanent Secretary
E121 The management board Management N1a Y Weekly

meets weekly board meetings board
meetings
E122 we should include Deans Solid L1e Y Deans of

of students in management students
management board foundation
E123 our university focuses Strategic O1e Y Mission

on agricultural management
technologies and our
mission is very clear
E124 management board Accountability Q1i Y Performance

members who fail to of management contracts
meet their expectations, board
as stipulated in
performance contracts,
are counselled
E125 there are policies we Fairness to W1a Y Policies

follow about students students
and staff. These are
found in handbooks
E126 heads of departments are Promotion of U1b Y Appointments

appointed by the Vice staff
303
Chancellor
E127 I think there is need for Council D1f Y

more consultation when constitution
constituting council and
management board
E128 we promote a culture of Culture in the X1a Y Culture

multiple ethnic groups university
co-existing peacefully
E129 there are different Culture in the X1f Y

groups, like regional and university
political groups, but
harmony exists in the
university
E130 the university should be Cultural Y1c Y

a vehicle of political, changes
cultural, economic and
more so technological
development
E131 this is possible if the Challenge B1d Y

government increases its facing council
financial allocation to
the university
304
Interview List N
E21 our council is an Functions of Y Oversight

oversight body acting on council body
behalf of the government A1m
to ensure the university
runs as smoothly as
possible
E22 inadequate funding is the Challenge B1d Y Limited

main challenge the facing council finances
council has to contend
with
E23 to solve this problem, Challenge B1n Y Internal

the university has facing council income
established Module 2 generation
program, which runs
parallel to the regular
program, but to generate
funds
E24 for me, I consider our Functions of B1k Y Overstretch

university to have council of resources
overstretched facilities.
Perhaps, the government
should construct more
hostels and lecture
theatres
305
E25 we have about 28 Council B1e Y Governanc
members of council constitution e body size
E26 the council chair is Council D1b Y Political

appointed by the constitution appointments
but confirmed by the
president
E27 all council appointments Council D1o Y

are done by the Minister constitution
for Education
E28 there is induction after Induction of E1a Y

appointment new council
members
E29 council serves for three Length of H1a Y 3 years of

years, but it is possible service for service
to renew for another council
three years
E210 one way of improving Council D1h Y Fund

the council is including constitution raising
more people with fund skills
raising skills
E211 occasionally, we are Training council F1b Y

trained in strategic members
management and
corporate governance
E212 most appointees are Council D1h Y

professionals constitution
E213 each council team serves Length of D1j Y

service for
306
3 years council
E214 meetings are held Council I1a Y Quarterly

quarterly under the meetings meetings
guidance of the chair
E215 during full council Council sub- J1e Y Sub-

meetings, sub- committees committees
committees present their
deliberations for
approval
E216 yes, we present a Accountability K1i Y

balanced assessment of of council
the university
E217 fairness is achieved by Stakeholders Y

including stakeholders,
such as students and V1c
staff in the process of
making decisions
E218 the university has Accountability K1o Y Auditors

internal auditors. It also of council
uses external auditors for
purposes of objectivity
E219 financial reports are Accountability K1d Y Reporting

taken to the education of council relationships
Minister
E220 nowadays, we have Accountability K1e Y Performance

and rapid results board
initiative that say what
we should do
307
E221 management board is Solid L1c Y
chaired by the Vice management
Chancellor to implement foundation
decisions of council
E222 We meet weekly Management N1a Y Weekly

board meetings board
meetings
E223 our university is Strategic Y

strategically managed management
because we follow the O1e
strategic plans and there
is a mission and vision
E224 the strategic plan and Strategic Y Strategic

quality assurance are management plan
important considerations O1a
when making decisions
E225 if the role of politics Council Y Politics

could be minimised, we constitution
would end up with better D1q
councils
E226 members of management Accountability Q1b Y

board who become non- of management
performers are removed board
E227 financial statements are Accountability K1a Y

prepared quarterly, and of council
then annually
E228 vacant positions are Recruitment of Y Recruitment

advertised, those employees process
interested apply, they are S1b
shortlisted and the best
308
ones selected
E229 first, new employees are Induction of T1b Y

inducted by the heads of employees
their respective
departments
E230 after probation period of Recruitment of S1d Y

one year, the successful employees
ones sign three year
contracts
E231 non-performers lose Accountability Q1i Y

their jobs if they cannot of management
improve after board
counselling
E232 heads of sections and Promotion of Y Promotions

departments are staff
appointed by the Vice U1b
Chancellor on
recommendation of the
management boards
E233 the culture her promotes Culture in the X1e Y Culture

commitment to university
university activities
E234 we need to encourage Cultural changes Y1a Y

more applied research
309
Interview List O
E31 university council plays Functions of A1d Y Strategic

a strategic management council management
role. It is the top level of
management and all
university activities are
answerable to it
E32 the council is faced with Challenge B1p Y Limited

a gross challenge of facing council finances
raising finances to
expand facilities to cater
for increasing numbers
of students
E33 we are working with Challenge B1n Y Internal

constituent colleges as a facing council income
way of raising finances, generation
and decentralising our
services, taking services
closer to customers
E34 the university makes Challenge B1x Y

agricultural tools that are facing council
sold to farmers, which
also brings in extra
money. It is a form of
community service too
310
E35 the student population is challenge facing C1d Y Student
the major challenge for university population
the university
E36 and staff are not well challenge facing C1e Y

remunerated, which university
leads to low motivation
E37 the council has about 30 Council B1e Y Governance

members constitution body size
E38 council chairs are Council D1b Y Political

politically appointed, the constitution appointment
Minister presents the
names to the president
who consults others
before making the
appointment
E39 the same applies to other Council D1o Y

council members constitution
E310 new members are Induction of E1a Y Induction

inducted and trained on new council and
the University Act. We members training
also attend training in
and out of the country
E311 Meetings are held Council I1c Y Quarterly

quarterly and quorum meetings meetings
has never been a
problem, even though
some people send
apologies
E312 we have several sub- Council sub- J1b Y Sub-
311
committees such as committees committees
finance and academic
programs
E313 for me, the university Council D1b Y Politics

council is functioning constitution
well but there is need for
more professionals and
less political appointees
E314 once appointed, the Length of H1b Y

council is in operation service for
for 3 years, renewable council
E315 the council works with Accountability K1a Y Auditors

internal and external of council
auditors. It is guided by
performance contract
signed with the
government for the
university as whole and
for each council member
E316 objectivity is achieved Accountability Y Reporting

through clear reporting of council relationships
channels, to the Minister K1d
for Education who is the
appointing authority
E317 the directorate of quality Accountability K1l Y Quality

assurance checks of council assurance
performance of council
members
E318 Management board Management N1b Y Weekly

meets weekly under the board meetings board
chairmanship of the Vice
312
Chancellor meetings
E319 we have a strategic plan Strategic O1a Y Strategic

giving us short-term and management plan
long-term direction
E320 our decision making Decision A2d Y Stakeholders

process is making
participative.includes
students, staff,
government, local
community
E321 appointments of heads of Promotion of U1c Y

departments are done by staff
the Vice Chancellor and
ratified by the council
E322 the culture here Cultural changes X1b Y Culture

stimulates research and
transparency
313
Appendix 5: Data for Memo Preparation
Code (Interview Topic Words (Memo)

& order)
Researchers
comments
A1a (A11) Function of Council The council generally is the body that
approves policies
A1b (A12) Function of Council policies and in terms of the direction the
university should take. So it provides
direction
A1c (A21) Function of council The university council is like an oversight
body of the university
A1b (A23) Function of council and giving direction based on the universitys
vision and mission
A1m (A31) Function of council council is a body that runs the university on
behalf of government
A1d (B11) Function of council The council is at the strategic level of
management
A1e (B12) Function of council It recruits top management
A1b (B13) Function of council It provides direction by setting the vision,

mission and strategic direction
A1f (B21) Function of council I dont think the council does anything for us
A1k (B22) Function of council They tell us they are our employers
A1g (B23) Function of council Let them fundraise, lets have some projects
where they have fundraised
A1k (B24) Function of council what are their duties, to interview professors?
A1h (B26) Function of council Then the other one is discipline, which they
do
A1c (B31) Function of council The council really is the guiding body in
terms of administering the university
A1k (B32) Function of council Technically the university actually is owned
by that council, council is the employer
A1e (B33) Function of council and they have appointed a Vice Chancellor as
the Chief executive, to run it on a day to day
basis
A1m (C11) Function of council The council governs the university on
behalf of the ministry and the
government
A1b (C12) Function of council they make sure that the university
develops on all aspects
314
& order)
Researchers
comments
C1b (C13) Function of council they ensure that the university provides
quality education
A1g (C14) Function of council they are supposed to raise funds
A1m (C21) Function of council The council runs the university on behalf of
the government
A1d (C31) Functions of council the council is the top management organ of
the university
A1b (C32) Functions of council directing all the activities of the university
A1g (C33) Functions of council council also sources for funds
A1m (D11) Function of council main function of the university council is
governing the university on behalf of the
government
A1l (D12) Function of council they are basically responsible for finance and
all assets
A1c (D13) Function of council overall governance of the university, staff,
students, finances, everything
A1a (D123) Functions of council Council develops the policies upon which the
management runs the university
A1a (D21) Functions of council The council is responsible for policy
formulation
A1k (D22) Functions of council confirms all recruitments
A1l (D23) Functions of council approves all development projects
A1d (D29) Functions of council The council ...is involved with strategic issues
A1l (D31) Functions of council the council runs the university, and this means
overseeing all incomes and expenditures
A1g (D32) Functions of council our main source of income is government
subvention, but we also generate some funds
internally
A1a (D36) Functions of council the council makes policies while the
management board runs the university
on a day to day basis
A1b (E11) Functions of council our council is appointed to direct the
university. It is in charge of all staff
appointments
A1i (E15) Functions of council the functions performed by council are
different from those of management board,
although some council members dont seem
to understand the dividing line
315
& order)
Researchers
comments
A1m (E21) Functions of council our council is an oversight body acting on

behalf of the government to ensure the
university runs as smoothly as possible
A1d (E31) Functions of council university council plays a strategic
management role. It is the top level of
management and all university activities
are answerable to it
B1a (A13) Challenge facing council The council needs to make reasonable
balance between overindulgence, that
means micromanaging
B1b (A14) Challenge facing council and they need to avoid rubber-stamping
management recommendations
B1c (A15) Challenge facing council Sometimes you have slightly more than
Skill imbalance necessary dose of certain skills others not
quite there
B1d (A110) Challenge facing council the more of internally generated funds
your capital is based on, the wider the
freedom in decision making as to which
direction the university should go
B1e (A112) Challenge facing council 30 members, is a bit on the higher side
governance body size is an issue
B1c (A127) Challenges facing council though they have a lot of concern on finance,
because of background of members
B1e (A24) Challenges facing council Large number of council members is costly to
maintain
B1q(A33) Challenges facing council but they are politically appointed
B1d (A34) Challenges facing council university has limited financial resources
B1g (A35) Challenges facing council students are already too many
B1h (B14) Challenges facing council No challenge, our councils are very competent
B1r (B25) Challenge faced by council the team is not professorial, ...if you are a
professor or an associate professor why would
you be interviewed by a first degree holder?
B1p (B28) Challenges facing council The council is not able to deal with financial
challenges...we get funds from the
government
B1d (B29) Challenges facing council Funding will continue going down
B1g (B210) Challenges facing council Enrolment is going up
B1f (B213) Challenges facing council the whole council is politicised, so
we have a split
316
& order)
Researchers
comments
B1b (B214) Challenges facing council The councils ...do what the VC says
B1q(B215) Challenges facing council They never come in with their own ideas
B1j (B216) Challenges facing council We have had cases of conflict of interest
B1t (B217) Challenges facing council Because someone is a chairman or vice-
chairman, he insists and you have to buy
from him
B1p (B35) Challenges facing council These people are appointed at a very high
level, whether they can deal with resource
sourcing and so on is another matter. Because
the source of funds is the exchequer
B1p (C15) Challenge facing council but they hardly
B1y (C110) Challenges facing council some of them dont understand really the
university concept
B1r (C111) Challenges facing council you will get someone in the council,
someone with ...one degree
And sometimes even without a degree
B1l (C112) Challenges facing council I think appointment of council should
involve the university
B1j (C115) Challenges facing council We had one case of ...conflict of interest
Conflict of
interests
B1m (C117) Challenges facing council there should be a yardstick to measure the
performance, so that people are not just joy
riders
B1d (C22) Challenge facing council We have a problem with finances because
the government gives us less money than we
need
B1v (C213) Challenge facing council Any council member who would like
Conflict of to do business with the university declares
interest their interest
B1p (C34) Challenge facing council but most of the funds come from the
exchequer
B1d (C35) Challenge facing council The main challenge is getting finances
to supplement the government budget
B1s (C36) Challenge facing council the government provides about a third of
our finances
B1v (C324) Challenge facing council council members bid for university
contracts.but they declare their interests
317
& order)
Researchers
comments
D2a (C325) Challenge facing council They do not in any way receive
preferential treatment
B1d (D14) Challenge facing council the main challenge is the resources
universities are demanding...funding
limitation is a challenge
B1v (D119) Challenge facing council if there is any conflict of interest, because
the government allows ...you declare the
interest so that you dont become part of
the decision making
B1u (D120) Challenge facing council we dont entertain conflict of interest
Conflict of because the government law is very strict
interest on that
B1b (D24) Challenge facing council Council does not oppose ideas of the Vice
Chancellor
B1w (D211) Challenge facing council conflicts of interests are addressed at the time
of appointment
B1d (D33) Challenge facing council As a financial expert, I can say that
inadequate funding is the main challenge
facing the council
B1p (D34) Challenge facing council the money we receive from the government is
inadequate to fulfil our financial obligations
B1n (D35) Challenge facing council we have tried to raise funds to supplement
government budget. For example, we produce
milk and farm products for internal
consumption
B1y (D315) Challenge facing council some members dont understand financial
management concepts, so they just pass them
without much scrutiny
B1k (E12) Challenge facing council in our case, the facilities available cannot
support our student population, and It is a
major challenge
C1h (E13) Challenge facing council our lecture halls and accommodation hostels
are inadequate
B1g (E14) Challenge facing council the problem arises because the government
dictates student intakes, irrespective of
available facilities
B1d (E131) Challenge facing council this is possible if the government increases its
financial allocation to the university
B1d (E22) Challenge facing council inadequate funding is the main challenge the
council has to contend with
318
& order)
Researchers
comments
B1n (E23) Challenge facing council to solve this problem, the university has
established Module 2 program, which runs
parallel to the regular program, but to
generate funds
B1k (E24) Functions of council for me, I consider our university to have
overstretched facilities. Perhaps, the
government should construct
more hostels and lecture theatres
B1p (E32) Challenge facing council the council is faced with a gross challenge of
raising finances to expand facilities to cater
for increasing numbers of students
B1n (E33) Challenge facing council we are working with constituent colleges as a
way of raising finances, and decentralising
our services, taking services closer to
customers
B1x (E34) Challenge facing council the university makes agricultural tools that are
sold to farmers, which also brings in extra
money. It is a form of community service too
C1a (A16) Challenges facing university I think our biggest challenge here is
narrow resource base
B1g (A17) Challenges facing university for the numbers of students and population
that we have that is really a big challenge
B1n (A18) Challenges facing university the government gives us ... 60% of our
budget, internally we raise about 40%,
C1g (A19) Challenges facing university that needs to be realigned with time, so that
we are coming to 50-50 in the near future
C1f (A111) Challenges facing university The government has to fully...liberate
fees structure, so that universities charge fees
according to the costs of running a unit
C1b (A26) Challenges facing university Maintaining quality education is the main
challenge facing the university
C1d (A27) Challenges facing university We have a large number of students and our
facilities are overstretched
C1j (A28) Challenges facing university We have set up the directorate for quality
assurance to look quality issues
C1k (A29) Challenges facing university We use yearly evaluations to improve quality
C1a (B27) Challenges facing university Finance is the main challenge facing the
university
C1a (B226) Challenge facing university The government has given me students;
the money has not gone up, how do I take
care of them?
319
& order)
Researchers
comments
C1a (B34) Challenge facing university The biggest challenge normally is finance.
For public universities, resources are difficult
to come by and it the biggest challenge that
any council faces
C1c (D15) Challenges facing university we have more students, we cannot
accommodate all of them
C1h (D16) Challenges facing university lecture theatres are not adequate
C1i (D17) Challenges facing university Sometimes we rent buildings outside
the university and run lectures there
C1a (D18) Challenges facing university if we were to get better financing,
then it would be much better
C1d (D25) Challenge facing university The challenges facing the university is the
rapid growth of student population compared
with the growth in facilities and buildings
C1a (D38) Challenge facing university the same problem facing council, of
inadequate financing is the one facing the
entire university
C1b (E16) Challenge facing university the main challenge for the university is
maintaining quality of our education
C1d (E35) Challenge facing university the student population is the major challenge
for the university
C1e (E36) Challenge facing university and staff are not well remunerated, which
leads to low motivation
D1k (A113) Council constitution the council has student, senate, and staff reps
B1o (A114) Council constitution The University Act creates the problem of
a large council
D1b (A115) Council constitution The chairperson is appointed by head of state
on recommendation of Minister for Education
D1m (A116) Council constitution The council does not have a say in selecting
chairperson
D1c (A119) Council constitution The government should first collect CVs of
potential council members
D1p (A120) Council constitution New council members should be drawn from
the pool of CVs
D1d (A121) Council constitution Appointment of new members should be done
by an independent team.
D1n (A122) Council constitution now there is room for elbowing and
universities end up short-changed, sometimes
it is retirees looking for additional income
D1e (A126) Council constitution The council is relatively balanced
D1l (A210) Council constitution 16 members are appointed from outside the
university
320
& order)
Researchers
comments
D1b (A211) Council constitution The chairperson is appointed by the president

D1o (A212) Council constitution Other council members are appointed by the Minister
for Education
D1q (A214) Council constitution Council constitution has become political
D1f (A215) Council constitution Input from university managers should be considered
when appointing new council members and
experience
D1g (A32) Council constitution members possess lots of knowledge
and experience
D1b (A36) Council constitution The chairman is appointed by the
president after consulting senior persons in the
Ministry of Education
D1o (A37) Council constitution Some members are appointed by the Ministry of
Education
D1a (A38) Council constitution Other members represent different stakeholders.
D1f (A311) Council constitution we recommend suitable persons but
they are not appointed
D1a (B16) Council constitution This number represents t various interest groups
D1k (B17) Council constitution Some council members are from within the
university
D1l (B18) Council constitution Then there are members external to the university
D1k (B19) Council constitution Interest groups are represented in the council
D1l (B36) Council constitution 14 individuals are appointed by the president
directly to council, but certain ministries are
represented
D1b (B37) Council constitution you know thats office of the president, so
normally these appointments are presidential
D1o (B38) Council constitution members of council are also presidential
appointees
D1l (B39) Council constitution other members are co-opted from line ministries
like ministry of works, education, finance, and
so on
D1h (B310) Council constitution Council appointees should have specific
qualities, capabilities, and so ...sometimes they
themselves are financiers
D1o (C16) Council constitution Currently, they appoint everything,
members, chairman, vice chairman
and treasurer
321
& order)
Researchers
comments
D1i (C17) Council constitution I would rather...the Minister appoints the

board members, then the board elect their
chairman
D1b (C23) Council constitution The chair is appointed by the president, in
consultation with the Minister for Education
D1j (C26) Council constitution a council serves for three years
D1a (C29) Council constitution We need to have a council that has
members from different fields but we have
fewer from finance
D1a (C37) Council constitution The council has government, union,
senate, alumni reps, then there are the VC,
the DVCs, registrars, and other internal
representatives
D1b (C38) Council constitution the president appoints the chairman,
vice chairman, treasurer, and three other
members
D1l (C39) Council constitution other members are appointed to represent
different stakeholders
D1q (C311) Council constitution The role of politics should be minimised
when appointing council members
D1r (C312) Council constitution the president should ask the university for
names of preferred council members
D1f (C313) Council constitution There is lack of adequate consultation
D1j (C314) Council constitution The council serves for three years
D1s (C315) Council constitution A council should serve for five years
D1h (C319) Council constitution the appointing authority should appoint
people on the basis of their knowledge of
management
D1a (C320) Council constitution the council has experts in finance, human
resource management, law and so on
D1o (D110) Council constitution the chairman, treasurer and Vice Chair of
council is appointed by the president
D1t (D111) Council constitution members of council are appointed
representing the provinces
D1l (D112) Council constitution you will also get members who represent
critical ministries
D1k (D113) Council constitution then we got now people from within
D1f (D218) Council constitution we can improve our activities by
continuous consultation with stakeholders
D1b (D310) Council constitution our chair is appointed by the president, it
involves consultations at high levels of the
government
322
& order)
Researchers
comments
D1o (D311) Council constitution other council members are also appointed by the
president, through the Minister for Education
D1t (D312) Council constitution the members are chosen in such a way as to have
regional reps, as well as reps of different government
ministries
D1q (D314) Council constitution council constitution should be less politically inclined
D1j (D319) Council constitution members tend to serve a full 3 years and are never
discontinued for incompetence
D1a (D327) Council constitution each stakeholder group is represented in various
organs of the university administration
D1a (D330) Council constitution students are represented in council and senate
D1l (D331) Council constitution even staff and local communities have their reps
D1b (E18) Council constitution when it comes to appointment of the chair, it is a

political issue involving the Minister for Education
and the president
D1k (E19) Council constitution there are some council members who represent
interest groups such as students and staff
D1f (E111) Council constitution we need to have more consultation when appointing
council members
D1e (E112) Council constitution most of the council members are professionals and
provide fair assessment of the university
D1g (E113) Council constitution the chair is experienced in university
administration
D1i (E116) Council constitution council members should be allowed to select the
chair
D1f (E127) Council constitution I think there is need for more consultation when
constituting council and management board
D1b (E26) Council constitution the council chair is appointed by the Minister for
Education but confirmed by the president
D1o (E27) Council constitution all council appointments are done by the Minister for
Education
D1h (E210) Council constitution one way of improving the council is including more
people with fund raising skills
D1h (E212) Council constitution most appointees are professionals
D1q (E225) Council constitution if the role of politics could be minimised, we would
end up with better councils
323
& order)
Researchers
comments
D1b (E38) Council constitution council chairs are politically appointed, the Minister
presents the names to the president who consults
others before making the appointment
D1o (E39) Council constitution the same applies to other council members
D1b (E313) Council constitution for me, the university council is functioning well but
there is need for more professionals and less political
appointees
E1b (A117) Induction of new Induction is done during first meeting
council
members
E1b (A213) Induction of new We are taken through induction that covers
council governance, finances, and other issues
members
E1a (A39) Induction of new new members are taken through an
council induction process
members
E1d (B211) Induction of new In universities, when you are appointed into an
council office, no one tells you what to do
members
E1a (C24) Induction of new New members are inducted
council
members
E1a (C310) Induction of new they are inaugurated and then we go for a retreat
council where induction takes place
members
E1a (D114) Induction of new There is induction
council
members
E1a (D313) Induction of new yes, new members are inducted, and there are
council occasional courses we attend
members
E1a (E28) Induction of new there is induction after appointment
council
members
E1a (E310) Induction of new new members are inducted and trained on the
council University Act. We also attend training in and out of
members the country
F1b (A118) Training of council We give them the Act and take them through
members a corporate governance seminar
F1c (A223) Training council New council members are inducted and attend
members external training sessions
324
& order)
Researchers
comments
F1c (A310) Training council There are courses within and without
members the university, In the country and outside
F1d (C25) Training council Council members are trained on a continuous
members basis
F1b (D124) Training council we attend conferences
members
F1a (D125) Training council there is training for any new member
members
F1a (D126) Training council we attend so many trainings, organised on
members university governance by Ministry of Education
F1b (E110) Training council occasionally we are trained, like in transformational

members leadership
F1b (E211) Training council occasionally, we are trained in strategic management
members and corporate governance
G1a (C124) Professional advice We dont use external consultants, because some
of us are well trained in that
H1a (A123) Length of service for A council serves for three years
council
H1a (A216) Length of service for New council serves for 3 years
council
H1a (A312) Length of service for each council serves for 3 years
council
H1a (B110) Length of service for Council serves for 3 years
council
H1a (C18) Length of service for A council serves for 3 years
council
H1b (D115) Length of service for Each council serves for three years, renewable.
council
H1b (E29) Length of service for council serves for three years, but it is possible to
council renew for another three years
H1b (E314) Length of service for once appointed, the council is in operation for 3
council years, renewable
I1a (A124) Council meetings Meetings are held quarterly
I1b (A217) Council meetings We meet quarterly sometimes we have
extraordinary meetings
I1c (A218) Council meetings I have never seen a meeting postponed for lack of
quorum
I1a (A313) Council meetings council meets at least quarterly
I1b (A314) Council meetings extraordinary meeting may be called if an urgent
issue arises
325
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Researchers
comments
I1a (B111) Council meetings Council meets four times in a year

I1a (C19) Council meetings It is supposed to meet minimum three times in a
year
I1a (C27) Council meetings We meet quartile
I1a (C316) Council meetings We meet four times in a year
I1b (C317) Council meetings whenever there is an urgent need, we meet
I1b (D116) Council meetings Mandatory meetings are once every three
monthsthere could be extraordinary meeting
I1b (D26) Council meetings The council members meet three times a year unless
there is need for an extraordinary meeting
I1b (E114) Council meetings council meets once every three months, but on special
occasions, we have extraordinary meetings
I1a (E214) Council meetings meetings are held quarterly under the guidance of the
chair
I1c (E311) Council meetings meetings are held quarterly and quorum has never been a
problem, even though some people send apologies
J1b (A125) Council sub- The main sub-committees are audit, governance, and
committees risk management; finance and general purpose; human
resource; planning development; academic and research;
and sealing
J1b (A25) Council sub- Council sub-committees include academic and research,
committees finance and general purposes, audit and governance,
human resource management
J1a (A315) Council sub- council members are subdivided into committees
committees
J1b (B112) Council sub- There is finance and general purposes, executive,
committees honorary and higher degrees and building committees
J1b (B113) Council sub- We have an audit committee of the council

committees
J1c (B212) Council sub- We have about 12 or 11 committees of council
committees
J1b (B311) Council sub- there is finance and general purposes, building,
committees executive and now we are even talking about
fundraising committee
J1a (C28) Council sub- There are several sub committees in the council, and
committees these are constituted depending on the need
326
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Researchers
comments
J1d (D117) Council sub- subcommittees also have their meetings

committees
J1a (E115) Council sub- we are divided into committees. I am a member of the
committees building and academic programs committees
J1e (E215) Council sub- during full council meetings, sub-committees present
committees their deliberations for approval
J1b (E312) Council sub- we have several sub-committees such as finance and
committees academic programs
K1a (A128) Accountability of We have government and internal auditors
council
K1b (A129) Accountability of The council reports to the Chancellor, and the Act
council defines the head of state as the Chancellor
K1c (A130) Accountability of It also reports to the Permanent Secretary in the Ministry
council of Education
K1a (A219) Accountability of We have internal and external auditors
council
K1a (A220) Accountability of We have been audited by renown auditors
council
K1m (A221) Accountability of We got a green colour, meaning our management and
council controls are proper.
K1o (A317) Accountability of council does not interfere with auditors
council
K1d (A318) Accountability of Council reports to Minister for Education
council
K1e (A320) Accountability of there are performance contracts signed when you
council become a council member
K1m (B117) Accountability of Council signs performance contracts with the ministry
council
K1a (B230) Accountability of We have balance sheets; we prepare even our
council accounts for external auditors because they have to
give a certificate
K1o (C113) Accountability of The council is very objective when dealing with
council auditors
K1d (C114) Accountability of They report to the Minister for Higher Education
council
K1f (C116) Accountability of there is no method of monitoring
council
K1o (C210) Accountability of external auditors, do their work objectively
council
K1a (C211) Accountability of we are audited by government auditors
council
327
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Researchers
comments
K1d (C212) Accountability of The council reports to the Minister for Education
council
K1e (C214) Accountability of We have performance contracts
council
K1a (C220) Accountability of We receive quarterly financial statements then
council annual statements at the end of every financial year
K1k (C221) Accountability of all our activities and audited reports are made
council available for public scrutiny
K1o (C321) Accountability of The university does not interfere with activities of
council auditors
K1a (C322) Accountability of The university has an audit team, and
council the council has an audit committee
K1d (C323) Accountability of The council reports to the Minister for higher
council Education
K1g (C326) Accountability of we gauge each council member by his or her
council contribution during meetings
K1a (C336) Accountability of There is a finance and general purposes committee
council that reports to the council
K1h (D118) Accountability of reporting depends on which decision they are
council making
K1i (D27) Accountability of the council is able to provide a balanced and
council understandable assessment of the university
K1a (D28) Accountability of auditors report to the council

council
K1d (D210) Accountability of council reports to Ministry of Higher Education
council
K1m (D212) Accountability of The office of the Prime Minister under which the
council parastatals fall have a performance contract with the
university
K1j (D213) Accountability of like all parastatals we assessed under the rapid
council results initiative
K1k (D222) Accountability of Performance, ownership and governance matters are
council public information
K1o (D316) Accountability of interaction with internal and external council members
council is objective
K1d (D317) Accountability of financial reports are presented to the Minister for
council Education
328
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Researchers
comments
K1e (D318) Accountability of all council members sign performance contracts which
council are the basis for evaluating them
K1a (D328) Accountability of our financial statements are audited internally and
council externally
K1a (E118) Accountability of our activities are audited by external auditors. We have
council internal auditors. and the council has an audit
committee
K1h (E119) Accountability of in some cases there is no need to report anywhere, if
council the decisions are for internal consumption
K1d (E120) Accountability of major decisions are reported to the Minister for
council Education who is also represented by the Permanent
Secretary
K1i (E216) Accountability of yes, we present a balanced assessment of the university
council
K1o (E218) Accountability of the university has internal auditors. It also uses
council external auditors for purposes of objectivity
K1d (E219) Accountability of financial reports are taken to the education Minister
council
K1a (E227) Accountability of financial statements are prepared quarterly, and then
council annually
K1a (E315) Accountability of the council works with internal and external auditors. It
council is guided by performance contract signed with the
government for the university as whole and for each
council member
K1d (E316) Accountability of objectivity is achieved through clear reporting
council channels, to the Minister for Education who is the
appointing authority
K1l (E317) Accountability of the directorate of quality assurance checks
council performance of council members
L1a (A131) Solid management The management board is adequate, it has
foundation representation from all the key functions
L1b (A222) Solid management The board has 7 or so members

foundation
L1c (A321) Solid management management board comprises of senior university
foundation managers
L1d (A322) Solid management board members are appointed by council
foundation
L1c (B222) Solid management Our statute describe who should be in the board
foundation
329
& order)
Researchers
comments
L1c (B312) Solid management management is basically the Vice Chancellor and
foundation his deputies, may be the registrar of the university,
once in a while the registrar academic, and a
directorate like mine is involved
L1c (C118) Solid management The management board is the VC, three DVCs,
foundation three registrars, one finance officer, the
procurement officer sits in attendance
L1e (C119) Solid management I thought the dean of students should be in

foundation management board, because student matters are
very frequent
L1f (C120) Solid management the library is the real focal point so may be the
foundation university librarian can also sit in the board
L1g (C215) Solid management I think we should include deans and directors of
foundation schools in the management boards
L1g (C327) Solid management The positions lacking in our case are the deans of
foundation faculties, directors of schools, deans of students
and the librarian
L1b (D121) Solid management management board we are about nine people
foundation
L1h (D122) Solid management management board runs the university on a daily
foundation basis
L1c (D214) Solid management management board comprises the VC, 3DVCS,
foundation 3Registrars, Finance officer, and Director of open and
distant learning
L1h (D37) solid management management board implements what the council
foundation decides
L1h (D320) Solid management the management board runs the university daily and is
foundation appointed by the Minister for Education
L1a (D324) Solid management members of the management board are experienced
foundation and knowledgeable administrators
L1c (E221) Solid management management board is chaired by the Vice Chancellor
foundation to implement decisions of council
M1b (A133) Training board We have deliberately organized internal seminars on
members resource, mobilization and corporate governance
M1b (A225) Training board We have a strong internal team, but we still get
members external advice
M1b (A325) ) Training board when the need arises...external organisations
members provide training
330
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Researchers
comments
M1a (B223) Training of board There is no training. You get in and

members learn
M1a (B314) Training of board No training is offered, because it is assumedyou

members have risen through the ranks
M1b (C216) Training of board We are given in house and external training
members
M1d (C218) Training of board the university uses external consultants in quality
members control, performance contracting and corporate
governance
M1b (C328) Training of board they are trained internally and externally
members
M1b (C330) Training of board we receive external advisory services like in the
members areas of finance and strategic management
M1c (D215) Training of board they are trained during retreats, like in
members transformative leadership and rapid results initiative
N1a (A132) Management board The planning sequence is to meet once a week, but
meetings sometimes meetings are skipped
N1a (A324) Management board Meetings are held once every week
meetings
N1c (B218) Management board I call you on phone that management is meeting in
meetings the next one hour
N1g (B219) Management board You have to call others to invite them for the
meetings meeting
N1d (B220) Management board You come not knowing the agenda
meetings
N1e (B221) Management board You are answerable if others dont attend the
meetings meeting
N1f (B224) Management board You cant tell when a meeting will be called...you
meetings can have three quarter of a year without a meeting.
N1a (C217) Management board Management board meetings are once a week
meetings
N1a (C329) Management board the management board meets once every week
meetings
N1a (D127) Management board management board meets every week
meetings
N1a (D216) Management board the management boards meets every Tuesday
meetings
331
& order)
Researchers
comments
N1a (D321) Management board management board meetings are held weekly
meetings
N1a (E121) Management board the management board meets weekly
meetings
N1a (E222) Management board we meet weekly
meetings
N1b (E318) Management board management board meets weekly under the
meetings chairmanship of the Vice Chancellor
O1a (A134) Strategic The university is strategically managed in the sense
management that it is guided by the strategic plan
O1a (A224) Strategic Our performance targets come from the strategic plan
management
O1b (B114) Strategic The management board is the tactical or business level
management of management
O1c (B115) Strategic The board translates the strategic direction given by
management council
O1d (B225) Strategic The strategic plan is in paper. We dont cascade it.
management Ask any staff, they dont have the vision, they
dont have the mission they dont know it
O1e (C122) Strategic we have the university vision and mission, and
management each faculty or school develops a vision in that
context
O1a (C123) Strategic And they develop their strategic plan, within the
management framework of the broader university strategic plan
O1e (D128) Strategic The strategic plan clarifies the mission and vision
management
O1a (D221) Strategic The University strategic plan is a product of
management stakeholders. It is faithfully implemented
O1e (D323) Strategic the university has a vision, mission, and objectives and
management we are guided by the strategic plan administrators
O1e (E123) Strategic our university focuses on agricultural technologies and

management our mission is very clear
332
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Researchers
comments
O1e (E223) Strategic our university is strategically managed because we

management follow the strategic plans and there is a mission and
vision
O1a (E224) Strategic the strategic plan and quality assurance
management are important considerations when making decisions
O1a (E319) Strategic we have a strategic plan giving us short-term and long-
management term direction
P1a (A323) Induction of new members are inducted
management
board members
P1b (B315) Induction of people should go through some induction course
management
board members
P1a (C121) Induction of There is induction, but we also have retreats for
management training on cutting edge issues
board members
P1a (D322) Induction of newly appointed management board members are
management inducted and we are all trained internally and
board members externally
K1e (A135) Accountability of recently, we all have been under the performance
management board contracts
K1m (A136) Accountability of The university has a performance contract discussed

management board and signed with the government, and then it trickles
down
Q1b (A137) Accountability of Board members who fail to meet performance targets
management board are cautioned
Q1c (A226) Accountability of Some targets require a lot of money
management board
Q1i (A227) Accountability of We assist members who dont meet performance
management board expectations and there is no provision for punishment
K1e (A326) Accountability of We use performance contracts

management board
Q1d (A328) Accountability of we have a very competent team that
management board prepares financial statements
Q1e (A329) Accountability of We disclose all these to the government
management board
K1e (A335) Accountability of Each employee signs a performance contract
management board
K1e (B116) Accountability of The management signs performance contracts with
management board the council
Q1b (B118) Accountability of If you are marked down and dont respond, then
management board heads roll
333
& order)
Researchers
comments
Q1b (B227) Accountability of There are disciplinary measures that we put in

management board place
Q1h (B228) Accountability of Before disciplinary, a lot of investigation have to
management board be done
Q1f (B313) Solid management Performance review should be continuous, may be
foundation yearly we have seen people waste three years
K1e (B316) Accountability of performance contracting is something that you

management board know, that is everywhere
K1e (C128) Accountability of there are performance indicatorswe sign a
management board performance contract
Q1b (C129) Accountability of he is counselled but we also have opportunity for
management board training
K1e (C219) Accountability of all members of the management board have signed
management board performance contracts
K1e (C226) Accountability of Each employee signs a performance contract
management board
Q1f (C331) Accountability of we need to review our activities objectively
management board
K1e (C332) Accountability of Each management board member signs a
management board performance contract
Q1i (C333) Accountability of we encourage members to improve
management board
Q1b (C335) Accountability of but, in extreme cases, disciplinary measures can
management board be taken
K1e (D129) Accountability of members sign performance contracts
management board
Q1d (D130) Accountability of Our auditors strictly prepare financial statements
management board
K1e (D220) Accountability of all members are evaluated on the basis of
management board performance contract and rapid results initiative
K1e (D325) Accountability of the performance contracts has key performance

management board indicators for each position
Q1i (E124) Accountability of management board members who fail to meet their
management board expectations, as stipulated in performance contracts,
are counselled
K1e (E220) Accountability of nowadays, we have performance contracts and rapid
management board results initiative that say what we should do
Q1b (E226) Accountability of members of management board who become non-

management board performers are removed
334
& order)
Researchers
comments
Q1i (E231) Accountability of non-performers lose their jobs if they cannot improve
management board after counselling
R1a (C125) Challenge facing we need training, most people in the strategic
management board management
R1b (C126) Challenge facing implementation of strategic management is a
management board nightmare
R1c (C127) Challenge facing some people in the university system are still very
management board conservative
R1e (C342) Accountability of heads of departments do not report non performers
management board
R1d (C343) Accountability of there are some sacred cows that you cannot touch
management board
S1a (A228) Recruitment of Different committees are involved in different stages
employees of recruitment
S1b (A333) Recruitment of We advertise internally and externally

employees
S1b (B233) Recruitment of We advertise senior level positions and let them
employees respond
S1b (B317) Recruitment of we advertise vacant positions and people apply,
employees and then shortlisted, they are interviewed and so
on
S1b (C131) Recruitment of we advertise, people apply, shortlisted,
employees we normally set up a committee to do the short
listing
S1b (C224) Recruitment of We advertise for all positions, externally and
employees internally
S1b (C340) Recruitment of vacant positions are advertised and applicants are
employees vetted by a recruitment committee
S1a (D134) Recruitment of recruitment process is fair...several committees are

employees involved
S1b (D224) Recruitment of vacant positions are filled through advertising,
employees short-listing, interviewing and selection
S1c (D225) Recruitment of Sometimes pouching is used for rare talents

employees
S1b (D334) Recruitment of whenever there is a vacancy, it is advertised externally
employees in newspapers, so that any interested person can apply
335
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Researchers
comments
S1d (E230) Recruitment of after probation period of one year, the successful ones
employees sign three year contracts
S1b (E228) Recruitment of vacant positions are advertised, those interested apply,
employees they are shortlisted and the best ones selected
T1b (A229) Induction of New employees are inducted by heads of departments

employees
T1a (A334) Induction of new employees are inducted

employees
T1b (B234) Induction of Orientation is done at departmental level
employees
T1b (C225) Induction of heads of departments induct new employees
employees
T1b (D335) Induction of new employees are inducted by heads of departments
employees
T1b (E229) Induction of first, new employees are inducted by the heads of their
employees respective departments
U1a (A230) Promotion of staff We consult individuals earmarked
to head departments
U1d (A233) Promotion of staff Appointments are done fairly
U1a (A336) Promotion of staff heads of departments and sections are appointed in
consultation with the management board
U1b (B236) Promotion of staff All appointments in the university are done by the
Vice Chancellor
U1b (C132) Promotion of staff Heads of departments by policy are appointed by
the Vice Chancellor, in consultation with other
staff like us
U1b (D226) Promotion of staff heads of departments and sections are appointed by
the VC through consultation with management board
and deans
U1c (D337) Promotion of staff promotions are approved by the council
U1b (E126) Promotion of staff heads of departments are appointed by the Vice
Chancellor
U1b (E232) Promotion of staff heads of sections and departments are appointed by the
Vice Chancellor on recommendation of the
management boards
U1c (E321) Promotion of staff appointments of heads of departments are done by the
Vice Chancellor and ratified by the council
336
& order)
Researchers
comments
V1a (A231) Stakeholders Our main stakeholders are students, the public,
government and staff
V1a (A327) Stakeholders the government is the sole shareholder
V1b (C137) Stakeholders we make sure that the university performs what the
government expects of it
V1c (C228) Stakeholders We include a representative of each stakeholder group

in our meetings
V1a (D326) Stakeholders the main stakeholders here are the students, staff and
the government
V1a (D333) Stakeholders the university has over 600 employees
V1c (E217) Stakeholders fairness is achieved by including stakeholders, such as

students and staff, in the process of making decisions
W1a (A232) Fairness to students The student handbook specifies
W1a (A330) Fairness to students there is the students handbook
W1b (B125) Fairness to students Students are represented in council and senate
W1c (B127) Fairness to students We produce food in our farms and sell to students at
cost
W1d (B128) Fairness to students We have different types of hostels
W1e (B231) Fairness to students When students come to me, I listen to them
W1i (B232) Fairness to students Understand what their problem is and find a way of
solving it
W1f (B319) Fairness to students head of department must be responsive to students who
are taking programs in that department
W1g (B320) Fairness to students there is a dean of students, who can listen to them
outside the academic line
W1h (B321) Fairness to students we have a director of students welfare
337
& order)
Researchers
comments
W1b (B322) Fairness to students Students are represented in the senate and in council
W1a (C134) Fairness to students We have guidelines on how to interact with students
W1b (C135) Fairness to students student government is represented in every organ of

management
W1a (E125) Fairness to students there are policies we follow about students and staff.
These are found in handbooks
X1a (A234) Culture in the We have different cultures

university
X1a (A337) Culture in the university made up of many cultures

university
X1b (B237) Culture in the Ours, academically, is a culture of research

university
X1a (B323) Culture in the Our culture is a mixture of knowledge, research,

university religions, district groupings and things like that
X1c (C138) Culture in the no ivory tower mentality, we must go to the people
university
X1d (C229) Culture in the our culture is in the formative stage

university
X1a (C344) Culture in the The culture here is too diverse

university
X1a (D135) Culture in the The university is a multicultural institution

university
X1a (D227) Culture in the The university is multicultural. It operates on unity in

university diversity
X1a (D338) Culture in the the university operates on the principle of unity in
university diversity
X1f (E129) Culture in the there are different groups, like regional and political
university groups, but harmony exists in the university
X1a (E128) Culture in the we promote a culture of multiple ethnic groups co-
university existing peacefully
X1e (E233) Culture in the the culture her promotes commitment to university
university activities
338
& order)
Researchers
comments
X1b (E322) Cultural changes the culture here stimulates research and transparency
Y1a (A235) Cultural changes There is need to engage in more research that is used
by the society
Y1b (A338) Cultural changes We are aiming for a culture of academic excellence
Y1b (B129) Cultural changes We need to take on the culture of being the seat of
academic excellence, teaching the best
standards and practices and undertaking research
Y1c (B130) Cultural changes The university should act as a vehicle of development
in the community
Y1d (B324) Cultural changes we are weak in sports

Y1e (B325) Cultural changes and in exchange programs
Y1e (C231) cultural changes there is a need to establish partnerships with
universities in other countries
Y1b (C345) Cultural changes I would like to see a culture of academic freedom,
collegiality and togetherness
Y1f (C346) Cultural changes and student facilities given the first priority
Y1g (D228) Cultural changes We should continue promoting positive ethnicity
Y1h (D339) Cultural changes my wish is to have a culture of less political

interference and more research relevant to community
needs
Y1c (E130) Cultural changes the university should be a vehicle of political, cultural,
economic and more so technological development
Y1a (E234) Cultural changes we need to encourage more applied research
Z1a (A331) Fairness to Similarly, there is a staff handbook

employees
Z1b (B123) Fairness to Employees negotiate with the government for salaries
employees and house allowances
Z1c (B124) Fairness to They negotiate with the university for other allowances
employees
339
Code Topic Words (Memo)
(Interview &
order)
Researchers
comments
Z1b (C136) Fairness to employees after every two years, unions negotiate on new
allowances, salaries, and so on
Z1c (C227) Fairness to employees We discuss with employee and union reps
Z1d (C341) Fairness to employees the HR department counsels employees who fail to
meet their performance obligations
A2a (A332) Decision making decisions are made considering policy
A2b (C223) Decision making the university is fair to all stakeholders
A2c (C339) Decision making The main consideration when making
decisions is democracy
A2a (D132) Decision making There are policies that guide decision making.
A2d (D133) Decision making we involve stakeholders when making decisions.
A2b (D329) Decision making decisions are made after consulting all
relevant stakeholders and that ensures
they are made fairly
A2d (D332) Decision making the decisions taken tend to be balanced because of
consultation
A2d (E117) Decision making when it comes to decisions, we include
stakeholders, because students can be
volatile if you make a wrong decision
A2d (E320) Decision making our decision making process is
participative.includes students, staff,
government, local community
B2a (B119) Disclosure of information The university is a very open system
B2b (B120) Disclosure of information Financial statements and books are open for
inspection by any member of the public
B2c (B121) Disclosure of information Disclosure puts a responsibility on us

to run university transparently
B2d (B229) Disclosure of information We dont disclose to private individuals.

B2e(C130) Disclosure of information Any money coming in must be discussed at the
council first, then senate
C2a (B122) Ethical behaviour You have to be ethical to provide answers when
questioned
C2b (C222) Ethical behaviour There is no allowance for unethical behaviour

C2c (C337) Ethical behaviour everyone is afraid of Kenya Anti Corruption
Authority (KACA).
C2e (C338) Ethical behaviour we operate under the Public Universities Ethics Act
C2d (D223) Ethical behaviour policy guidelines incorporate ethical considerations
340

Towards The Best Corporate Governance Practices Model For Public

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Southern Cross University

Towards the best corporate governance practices

Benjamin Mwanzia Mulili

A Thesis submitted to the

In partial fulfilment of the requirements of the degree of

Doctor of Business Administration

Name: Benjamin Mwanzia Mulili

Date: October 2011

Thirdly, my supervisors deserve special gratitude. Dr Peter Wai-Hong Wong, my main

Corporate governance is now an international topic due to the globalisation of businesses.

Solomon (2010) highlights the evolution of corporate governance systems in a number of

The researcher identifies the following areas as requiring further research:

Finally, a comparison of private versus public managers using a national sample

Mulili, B.M. & Wong, P. (2011), Continuous organizational development (COD),

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

CHAPTER 2: LITERATURE REVIEW ................................................................................. 22

CHAPTER 3: RESEARCH METHODOLOGY ..................................................................... 91

CHAPTER 4: DATA ANALYSIS ........................................................................................ 139

CHAPTER 5: CONCLUSIONS AND IMPLICATIONS ..................................................... 166

REFERENCES ...................................................................................................................... 189

APPENDICES ....................................................................................................................... 227

Figure 1.1 Structure of chapter 1 2

LIST OF PIE CHARTS

LIST OF BAR CHARTS

ACUs AIDS control units

1.2.1 Brief background of corporate

1.3 Statement of the research

1.7.1 Existence of minimal research on

1.8 Research methodology

1.11 Outline of the research

Source: developed for this research.

1.2.1 Brief background of corporate governance

Corporate governance is now an international topic due to the globalisation of businesses

There is a general lack of research into corporate governance practices in developing

1.2.2 Context of the research

1.3 Statement of the research problem

Management structures: The management structures of public universities hinder effective

Appointment of Chancellors: There is an emerging question of how Chancellors should be

1.4 Objectives of the study

1.5 Research questions

Research Question 1: How are governing councils of Kenyas public universities

Research Question 2: What functions do governing councils of Kenyas public

Research Question 4: What challenges do Kenyas public universities encounter?

Research Question 5: What challenges do governing councils of Kenyas public

Research Question 6: What culture prevails in the boards of directors of Kenyas

Research Question 7: How can the governance of Kenyas public universities be

1.6 Research propositions

Research Proposition 1: Managers of public universities in Kenya should be

Research Proposition 2: Managers of public universities in Kenya should be

Research Proposition 3: The mechanisms used to enhance governance should be

Research Proposition 5: The challenges encountered by governing councils of

Research Proposition 6: The effects of culture on the corporate governance practices

Research Proposition 7: The best approach for governing public universities in

1.7 Justification for the research

1.7.1 The existence of minimal research on corporate governance of public

1.7.2 Specific legislations and expectations placed on public universities in

1.7.3 The role played by public universities in Kenya

1.7.4 Inadequate case study research

1.7.5 Competitive difficulties faced by public universities in Kenya

1.8 Research methodology

1.8.1 Research paradigm

1.8.2 Justifications for the research design

1.8.3 Data collection procedures