1

REPORT

RAPID SURVEY ON STATUS OF SCIENCE, TECHNOLOGY AND

INNOVATION GOVERNANCE IN KENYA AND CAPACITY

BUILDING WORKSHOP ON STRENGTHENING SCIENCE,

TECHNOLOGY & INNOVATION GOVERNANCE IN KENYA

SUBMITTED TO THE KENYA NATIONAL COMMISION FOR UNESCO

(KNATCOM-UNESCO)

BY:

DR. MILDRED PAULINE NAWIRI (Principal investigator)

DECEMBER 2017

2

Contents

LIST OF FIGURES ............................................................................................................................................ 4

LIST OF TABLES .............................................................................................................................................. 5

Forward ......................................................................................................................................................... 6

Acknowledgement ........................................................................................................................................ 7

Abstract ......................................................................................................................................................... 8

1.0 BACKGROUND AND LITERATURE REVIEW .............................................................................................. 9

1.1 SCIENCE, TECHNOLOGY AND INNOVATION ........................................................................................ 9

1.2 SCIENCE, TECHNOLOGY AND INNOVATION (STI) ................................................................................ 9

1.2.1 STI POLICY IN KENYA ........................................................................................................................ 9

1.3 FORESEEN KENYAN STI POLICY CHALLENGES ................................................................................... 12

2.0 JUSTIFICATION FOR STI SURVEY ............................................................................................................ 13

3.0 OBJECTIVES ........................................................................................................................................... 13

4.0 CHALLENGES/LIMITATIONS OF THE STUDY .......................................................................................... 13

5.0 EXPECTED OUTCOMES .......................................................................................................................... 14

6.0 BENEFICIARIES ....................................................................................................................................... 14

7.0 SYNOPSIS OF THE CONSULTANT TEAM................................................................................................. 14

8.0 METHODOLOGY .................................................................................................................................... 16

8.1 DURATION OF THE PROJECT AND WORK PLAN ................................................................................ 16

8.2 STUDY SAMPLE POPULATION ........................................................................................................... 17

8.3 SURVEY ........................................................................................................................................ 17

8.4 WORKSHOP ....................................................................................................................................... 17

8.5 THEMES AND SUB-THEMES .............................................................................................................. 18

9. RESULTS AND DISCUSSIONS ON THE RAPID SURVEY .............................................................................. 19

9.1 Demography .......................................................................................................................................... 19

9.2 STI POLICY IN KENYA ............................................................................................................................. 20

9.2.1 Existence and its drivers................................................................................................................. 20

9.2.2 STI policy and institutional involvement ........................................................................................ 23

9.2.3 Alignment of Kenya STI policy and SDGs? ...................................................................................... 23

9.2.4 National STI capacity and the priority areas .................................................................................. 24

9.2.5 National STI Policy Monitoring and Evaluation .............................................................................. 25

9.2.6 Achievements in National STI policy in Kenya ............................................................................... 26

9.3 INSTITUTIONAL STI POLICIES ................................................................................................................. 26

3

9.3.1 Governance structures ................................................................................................................... 28

9.3.2 Institutional STI and the priority areas .......................................................................................... 29

9.3.3 Institutional STI Monitoring and Evaluation .................................................................................. 29

9.3.4 Achievements in Institutional STI policies ..................................................................................... 30

9.4 STI POLICY FOR SUSTAINABLE DEVELOPMENT IN KENYA ..................................................................... 31

9.5 POTENTIAL CHALLENGES ON STI POLICIES ........................................................................................... 31

9.5.1 POTENTIAL STRATEGIES TO ADDRESS THE STI POLICIES CHALLENGES .............................................. 33

10 CAPACITY BUILDING WORKSHOP........................................................................................................... 33

10.1 Purpose ........................................................................................................................................... 33

10.2 Workshop Description .................................................................................................................... 33

10.3 Goals and Objectives ....................................................................................................................... 34

10.4 Target group .................................................................................................................................... 34

10.5 Expected accomplishments ............................................................................................................ 34

10.6 Official opening ceremony .............................................................................................................. 35

10.7 Presentations .................................................................................................................................. 35

10.7.1 Essentials of STI Policy ................................................................................................................. 35

10.7.2 Good Governance of ST&I policy, for Gender equality in STEM .................................................. 35

10.7.3 Migrating to the knowledge-based economy and society through digital transformation:

challenges, opportunities and policy implications .................................................................................. 36

10.7.3 Reforms in ST & I in Kenya ...................................................................................................... 36

10.7.4 ST&I Policy Instruments and Gender Equity ST&I Governance .................................................. 38

10.7.5 Presentation of the findings of the Rapid Survey on the Status of ST&I Governance in Kenya .. 38

11 Recommendations ................................................................................................................................. 38

11.1 Recommendation at the National Level ..................................................................................... 39

11.2 Recommendation at the Institutional Level ............................................................................... 39

APPENDIX I: - QUESTIONNAIRE ................................................................................................................... 40

APPENDIX II: LIST OF FIELD SURVEYORS ..................................................................................................... 49

APPENDIX III: PROGRAMME ....................................................................................................................... 50

APPENDIX IV: STAKEHOLDERS’ WORKSHOP CAPACITY BUILDING WORKSHOP ON STRENGTHENING

SCIENCE, TECHNOLOGY AND INNOVATION GOVERNANCE IN KENYA, DECEMBER 6-8, 2017, IZAAK

WALTON, INN, EMBU .................................................................................................................................. 52

4

LIST OF FIGURES

Figure 1:- Distribution of male and female ............................................................................................. 19

Figure 2:- Position of the participant in the institution ......................................................................... 20

Figure 3:-Awareness of the existence of STI policy in Kenya ................................................................ 21

Figure 4:- Drivers of the STI policy in terms of formulation, implementation and monitoring ......... 21

Figure 5:- Respondents own opinion on who should formulate, implement and monitor the STI

policy .......................................................................................................................................................... 22

Figure 6:- Institutional inclusion in the formulation of the STI policy (left) and participation in STI

advice to the government (right) ............................................................................................................. 23

Figure 7:- Extent of agreement to the country’s STI policy alignment to SDG ..................................... 24

Figure 8:- Awareness of the performance of STI monitoring and evaluation ...................................... 25

Figure 9:- Existence of institutional STI policy ....................................................................................... 27

Figure 10:- Capacity to implement and coordinate the national STI policy ......................................... 27

Figure 11:- Sample 1 of an institutional governance structure ............................................................. 28

Figure 12:- Sample 2 of an institutional governance structure ............................................................. 28

Figure 13:- Sample 3 of an institutional governance structure ............................................................. 29

Figure 14:- Awareness on M & E of institutional SRTI policies ............................................................. 30

5

LIST OF TABLES

Table 1:- WORK PLAN ............................................................................................................................... 16

Table 2:- Extent of STI in meeting the Priority areas ............................................................................. 24

Table 3:- Intervals of STI policy M&E ...................................................................................................... 25

Table 4:- Extent of achievements of the Kenyan STI policy ................................................................... 26

Table 5:- Development of institutional STI policy .................................................................................. 27

Table 6:- Alignment of institutional STI policy with the national policy .............................................. 27

Table 7:- Institutional STI policy promotion of the four priority areas ................................................ 29

Table 8:- Intervals of carrying our M & E for institutional STI policies ................................................ 30

Table 9:-Extent of achievements in the STI policy institutions ............................................................. 30

Table 10:- Extent of agreement to the potential challenges facing the STI policy in Kenya ............... 32

6

Forward Science, Technology and Innovation (ST&I) have been noted to be a significant driver of

global economic development. The Kenya Vision 2030 and the Constitution of Kenya place

a premium on development as the basis for the provision of rights and a high quality of life

for citizens.

With all the threat from climate change, population growth, pollution and high

unemployment rates in most countries, it is imperative to strengthen ST &I and human

capacity in every country, and in our context, Kenya, in an endeavor to create knowledge-

based economies and innovative societies that utilize scientific evidence to help inform

policy and promote evidence-based solutions. To achieve this wise investments in human

capital in areas such as gender-equitable education and training at all levels and in

establishing a “social safety net” that will give opportunity to all to reach their full potential.

Also required are increased investment in ST & I and sound government policies and

actions: that facilitate “bottom up” innovation by entrepreneurs, researchers and

innovators of all gender, indigenous and local communities, private companies and

universities; reduce corruption, permit freedom of inquiry, and establish rule of law; that

enable meaningful participation of women, those in marginalized sectors, etc. All of these

approaches can be instrumental in unleashing the creativity of individuals, communities,

institutions and firms, to create new jobs, expand economic growth, and accelerate

scientific and technical advances in all human endeavors to achieve the SDGs for all people

and countries.

This report captures a snapshot of the current situation of ST&I governance in Kenya and

helps demonstrate the way forward.

Dr. Evangeline E. Njoka, MBS

Secretary General/ CEO

7

Acknowledgement Special thanks goes to UNESCO for funding this undertaking, the Consultant who conducted the

rapid survey on the Status of ST&I Governance in Kenya, Dr. Mildred P. Nawiri and the research

team that assisted her in conducting the survey.

I also wish to thank the presenters at the workshop and the participants who not only showed up

but provided high level engagement at the meeting and contributed immensely into refining the

outcomes of the process. We look forward to working together with you.

Finally, I wish to thank the Board and staff of the Kenya National Commission for UNESCO who not

only set contributing to STI governance in Kenya as a key result area but also working progressively

to see the transformation of the sector, in line with UNESCO’s mandate.

Dr. Jaro Arero,

Deputy Director, Basic Sciences and Engineering Division, Natural Sciences Programme

8

Abstract

The purpose of the project was to carry out a rapid survey on Science Technology and

Innovation (STI) Governance and subsequently conduct a capacity building workshop

targeting stakeholders in the ST&I sector to address its challenges and recommend

appropriate government action. This is in line with UNESCO’s plan of fostering and

developing STI and equipping stakeholders with the knowledge and skills to address complex

developmental challenges. It is also in line with the Government of Kenya STI sector plan to

rationalize, re-structure and establish STI institutions to make them more effective in

addressing national priorities and needs in order to build a robust national innovation system

that uses product oriented multi-disciplinary approaches to become globally competitive. The

rapid survey was carried out on the status of STI governance in various stakeholder

institutions in Kenya (majorly in Nairobi). The institutions included but were not limited to

Universities (public and private), research institutions, non-governmental organizations,

government agencies among others. The sample population personnel who participated in

questionnaire administration (N=45) included researchers and institutional administrators.

Fifty (50) members were purposively selected and participated in a 3-day capacity building

workshop held in Walton Inn, Embu, Kenya from 6th to 8th December 2017. The

recommendations emanating from the workshop are included in this report for attention by

the Government of Kenya for effective STI governance.

9

1.0 BACKGROUND AND LITERATURE REVIEW

1.1 SCIENCE, TECHNOLOGY AND INNOVATION

Science and Technology facilitates the analysis and synthesis of science, technology,

medicine and environment in a way that creates connections between the varieties of

perspectives and concerns in the humanities and the sciences. On the other hand,

innovation is the practical application of creative ideas, which in many cases involves

introduction of inventions into the marketplace (product and process innovation). Science,

Technology and Innovation (STI) have become one of the most important enabling tools,

leading to competitiveness of economies worldwide. In particular, STI plays a pivotal role

in industrialization, sustainable development and growth of nations. Investments and

integration of STI into social, economic and governance policies increases global

competitiveness, creates employment and increases productivity in a country.

1.2 SCIENCE, TECHNOLOGY AND INNOVATION (STI)

Science and Technology facilitates the analysis and synthesis of science, technology,

medicine and environment in a way that creates connections between the varieties of

perspectives and concerns in the humanities and the sciences. On the other hand,

innovation is the practical application of creative ideas, which in many cases involves

introduction of inventions into the marketplace (product and process innovation). Science,

Technology and Innovation (STI) have become one of the most important enabling tools,

leading to competitiveness of economies worldwide. In particular, STI plays a pivotal role

in industrialization, sustainable development and growth of nations. Investments and

integration of STI into social, economic and governance policies increases global

competitiveness, creates employment and increases productivity in a country.

1.2.1 STI POLICY IN KENYA

The Kenya Vision 2030 and the Constitution recognizes the critical role played by STI and

places a premium on the generation and management of a knowledge-based economy and

the need to raise productivity and efficiency. In January 2013, the President assented to the

STI Act 2012. This is an Act of Parliament to facilitate the promotion, coordination and

10

regulation of the progress of STI in the country. This legislation also aims to assign priority

to the development of STI. Finally, this law is intended to entrench technology and

innovation into the national production system. The law repeals the Science and

Technology Act; Cap 250 of the Laws of Kenya which came into force on July 1977 with the

establishment of the National Council for Science and Technology (NCST). In pursuit of the

vision, STI will be harnessed to stimulate technological and industrial transformation that

will lead to sustained economic growth of 10 per cent per annum, and social well‐being in

the next 25 years. Research Fund has been established under the National Council for

Science and Technology where one per cent of the annual Budget shall be factored towards

research and innovation. The Ministry of Higher Education, Science and Technology has

developed a technology development, transfer and diffusion program whose main

objective is to undertake technology acquisition and diffusion through provision of a

framework for technological governance in Kenya, lobbying for political will and support

for realization of adequate funding for technology transfer initiatives, building a dynamic,

forward-looking domestic technopreneur base necessary for effective commercialization of

R&D and institutionalizing mechanisms for technology planning for technology transfer

activities

The economic recovery gains that have been made in the last few years and the envisaged

Vision 2030 goals provide an opportunity for Kenya to position herself strategically on the

global scene. The Government therefore, formulated the National Science, Technology and

Innovation Policy and Strategy to guide and promote focused integration of ST&I in all

sectors of the economy. Specific emphasis was to be placed on identified National Priority

Growth Sectors that have high potential to harness ST&I in attaining the targeted 10%

annual economic growth (SCIENCE, TECHNOLOGY AND INNOVATION POLICY AND

STRATEGY 2008).

According to the Ministry of Education, Kenya’s STI policy is dictated by the following

twelve strategic objectives:

i. Governance framework for ST&I to support coordinated and partnership-based

application of ST&I, ensure establishment of a national innovation system and

facilitate integration of ST&I into all sectors.

11

ii. Facilitate renewal, upgrading and creation of supportive infrastructure for science,

technology and innovation.

iii. Progressively increase the rate of generation of a high quality skilled human

resource at all levels by providing an environment for building a critical mass of

human resource capacity, harnessing and effectively participating in the application

of science, technology and innovation for value addition activities, solving problems

and enhancing human welfare.

iv. Encourage and support collaborative, multi-disciplinary scientific research in

universities and other academic, scientific and engineering institutions and promote

regional and international cooperation and collaboration in science, technology and

innovation specifically targeted towards achieving the goals of national

development and security.

v. Support application of traditional knowledge in the formal and informal sectors of

the economy for enhanced livelihoods and promote the use of the full potential of

science, technology and innovation to protect, preserve, evaluate, update, add value

to and utilize the extensive indigenous resources and traditional knowledge

available in the various Kenyan communities;

vi. Ensure that existing Intellectual Property Rights (IPR) regime are strengthened to

maximize incentives for the generation, protection and utilization of intellectual

property by all types of inventors and foster achievement of Kenya’s national

development objectives.

vii. Facilitate technological development, transfer and diffusion for the accomplishment

of national strategic development goals by strengthening mechanisms that support

technology development, evaluation, absorption and upgrading from concept to

utilization.

viii. Support and take an active role in research and application of ST&I for forecasting,

early warning, prevention and mitigation of emergencies and natural hazards,

particularly, floods, landslides, drought, security threats, acts of terrorism,

epidemics and emerging infections.

ix. Public Communication and Advocacy for ST&I including the ethical and moral, legal,

social and economic aspects by facilitating development mechanisms of

12

communicating ST&I results /findings to increase knowledge and understanding for

adoption and utilization.

x. Support effective and efficient leveraging of reliable and adequate public and private

sector as well as domestic and international funding in support of Kenya’s national

ST&I policy objectives and strategies, including a review of administrative and

financial procedures to permit efficient operation of ST&I Institutions in Kenya.

xi. Integrate ST&I at all levels of education and training by promotion of learning by

discovery method, experiential learning, participatory approach and through

interactive environments, promoting attitudes receptive to ST&I among all

education stakeholders and establishing sustainable centres of excellence to

enhance the quality of the product of training at all levels.

xii. Development of a comprehensive performance management framework linking

programme outcomes to long term impacts of this ST&I Policy and strengthening

science-based monitoring and reviewing mechanisms.

1.3 FORESEEN KENYAN STI POLICY CHALLENGES

Whereas the STI sector has registered successes, the sector has experienced challenges that

have impacted on achievement of its objectives. Some of the challenges include;

uncoordinated and fragmented innovation system where synergies and networking among

government, research and training institutions, industry, financial sector and professional

groups are weak; lack of a harmonized national research policy, agenda and priorities;

inadequate funding for research with great over-reliance on external resources does not

have a strong institutional framework.; lack of advocacy for ST&I at high political and

policy levels; relatively low global competitiveness ranking; and weak performance

management framework.; absence of a skills inventory and inadequate alignment of the

planning of human resource to development needs; poor state of infrastructure and

equipment for research in higher education and training; and a weak STI culture among

the population.

13

2.0 JUSTIFICATION FOR STI SURVEY Although the Kenyan constitution has emphasized the importance of science, technology

and innovation in Kenya’s development, the sector continues to operate in a fragmented

manner losing on the benefits of synergy and networking. The investments that Kenya has

made in science and technology infrastructure have not yielded the expected

improvements in economic growth. It’s against this background therefore that a rapid

survey on the STI status was found necessary and a capacity building workshop targeting

stakeholders in the STI sector was proposed to address the challenges and recommend

appropriate government action. This is in line with UNESCO’s plan of fostering and

developing STI and equipping stakeholders with the knowledge and skills to address

complex developmental challenges. It is also in line with the Government of Kenya STI

sector plan to rationalize, re-structure and establish STI institutions to make them more

effective in addressing national priorities and needs in order to build a robust national

innovation system that uses product-oriented multi-disciplinary approaches to become

globally competitive.

3.0 OBJECTIVES

i. To conduct a rapid assessment survey on the status of STI governance in Kenya

ii. To organize a capacity building workshop to sensitize STI stakeholders about

reforms in the STI sector in Kenya, UNESCO STI strategies, programmes and

activities and discuss the challenges affecting the STI sector in Kenya.

iii. To make recommendations to the Government of Kenya on effective STI

governance and action.

4.0 CHALLENGES/LIMITATIONS OF THE STUDY

Some challenges/limitations were encountered in conducting the study among them:-

• Limited time between data collection, analysis and workshop

• Unreturned questionnaires

• Blank questionnaires

14

• A number of responses stating “I don’t know”

• Bureaucracy in sampling for respondents.

5.0 EXPECTED OUTCOMES

• A survey report on the status of STI governance in Kenya prepared. The survey will

focus on STI plans, STI policy and legal frameworks, lessons learnt from previous

initiatives

• A capacity building workshop organized to sensitize stakeholders about reforms in the

STI sector in Kenya, UNESCO STI strategies, programmes and activities and the

challenges facing the STI sector in Kenya discussed.

• Recommendations made to the Government of Kenya on effective STI governance and

action.

6.0 BENEFICIARIES

The ministry of Education which is responsible for STI will benefit as it will obtain

recommendations that will enrich the governance of the sector and that will inform future

policy development and review in the sector. The National Commission for Science and

Technology and Innovation (NACOSTI) will also be the greatest beneficiary of the project.

Other beneficiaries will be county governments, universities, learning organizations,

research institutions, the private sector players, civil society organizations and the general

public. The workshop will definitely influence and address Kenya’s development

challenges.

7.0 SYNOPSIS OF THE CONSULTANT TEAM

Dr Mildred P. Nawiri is a female Kenyan citizen, a senior Lecturer at Kenyatta University a

position that entails a research component. She is also the Director, University Industry

partnerships. Mildred has over 10 years’ experience cutting across scientific research,

trainings, coordinating workshops and conferences and project management and report

writing. Dr Nawiri and co-team workers are versed with SPSS and proficient with Microsoft

Office. A personal description and score pertaining to the command of English (spoken,

15

written and reading), analytical, communication and presentation skills is Excellent. The

team leader (Mildred) is able to work independently and has proactive attitude to work.

The team shall be ready to work in conjunction with the planning committee. The outlined

roles including managing and facilitating at the workshop; ensuring quality

communications and follow-up; providing technical input; reviewing workshop

deliverables; report writing, rapporteuring; and preparation of the workshop report shall

be delivered promptly and to the best tune.

16

8.0 METHODOLOGY

8.1 DURATION OF THE PROJECT AND WORK PLAN

The project will be delivered in the three months of August, September and October 2017. In the table 1 find the detailed work

plan

Table 1:- WORK PLAN Action AUG AUG/SEP OCT/NOV DECEMBER Research proposal Develop research tools (collaborate with KNATCOM)

Data collection (collaborate with KNATCOM) Coding data Quantitative and qualitative data Analysis Develop recommendations Develop summary & conclusions from data collected

Stakeholders’ workshop Report compilation, Revision & submission to KNATCOM

Continuously update and consult the Deputy Director, Basic Sciences & Engineering Division

17

8.2 STUDY SAMPLE POPULATION

A total of one hundred and twenty (120) participants were purposively selected to participate in

the study. Fifty (50) of these were invited for the capacity building workshop. Consequently, STI

experts locally and regionally were identified and included to participate in the survey and the

capacity building workshop. Senior officials and some of the participants (survey respondents)

from the same participating institutions were invited to either facilitate or participate in the

capacity building workshop. A report will be prepared after the workshop, published and

disseminated to relevant STI stakeholders.

Participants of the proposed capacity building workshop included representatives from the

institutions/organizations that took part in the survey (gender and position were purposively

considered with a limitation in the region where only Nairobi County had the majority of

participants).

8.3 SURVEY

A rapid assessment survey on the status of the governance of the STI sector was conducted for

two (2) weeks from 20th November 2017 focusing on STI plans, STI policy and legal frameworks,

lessons learnt from previous initiatives, STI priorities, programmes and projects, among others.

A structured questionnaire employed is attached (appendix I). The research questionnaire

suited the context of the study to obtain two different types of information thus the background

information and attitudinal information. Questions were close ended, open items and scaled.

This was pre-tested and piloted prior to its administration.

8.4 WORKSHOP

The facilitators at the workshop made presentations (programme in appendix III) not limited to

illustrations, use of charts, power point presentations, videos, pictures and use of question and

answer methods. The participants evaluated the workshop, were involved in agreement on

follow-up action and dissemination of the workshop report. The venue of the workshop was

Walton Inn, Embu, Kenya which is located approximately 220 kilometres from Nairobi. The

capacity building workshop was held for 3 days from 6th- 8th December 2017.

18

8.5 THEMES AND SUB-THEMES

The workshop theme was; “STI for sustainable development in Kenya”. The sub themes were

drawn from the workshop objectives and included the following among others; STI situational

analysis, priorities, programmes, projects, Women in STI, policy and legal framework,

challenges, and monitoring and evaluation.

19

9. RESULTS AND DISCUSSIONS ON THE RAPID SURVEY

The results obtained from the questionnaire analysis are presented in pie charts, bar graphs and

tables in the respective sections of the questionnaire as outlined in the sub-sections that follow.

9.1 Demography

There were 91.9 % of respondents from Nairobi region while 8.1% were from other regions in

particular, Nakuru and Mombasa. Almost equal representation of male (48.9%) and female

(51.1%) participating in the study (Fig 1) was realized with majority (88.24%) of these being

researchers (Fig 2). All participants from the academia (university) were researchers and as

such the administrators were from the non-academic institutions.

Figure 1:- Distribution of male and female

48.951.1 %Male

%Female

20

Figure 2:- Position of the participant in the institution

9.2 STI POLICY IN KENYA

9.2.1 Existence and its drivers

More than 80% of the respondent’s indicated they were aware of the existence of the STI policy

in Kenya (Fig.3). In the respect of who drives the policy, the Government was taken to be

responsible in terms of formulation, implementation and monitoring by more than 75% of

respondents (Fig.4). This attitudinal response on the respondents on their own opinion on who

should formulate, implement and monitor the STI policy was maintained to be in the order,

Government, institution and others (Fig.5). There were responses to the effect that there was

need to have other entities take responsibility for the implementation and monitoring. Some

underlying reasons provided included

the difficultness for researchers from different universities to effectively

collaborate under similar thematic research area,

the government should work with other institutions in Formulation,

Implementation, and Monitoring the STI policy so that all stakeholders are

represented

There is a weakness in the formulation, implementation and monitoring processes

Government- formulation ; Institutions-implement & independent body-monitor

88.24%

11.76%

Researchers

Administrators

21

Figure 3:-Awareness of the existence of STI policy in Kenya

Figure 4:- Drivers of the STI policy in terms of formulation, implementation and monitoring

82.24%

17.76%

Yes

No

78.70%

17.00%

4.30%

Government

Institution

Not sure

Formulation

75.06%

12.47%

2.47%10.00%

Government

Institution

Others

Not sure

Implementation & Monitoring

22

Figure 5:- Respondents own opinion on who should formulate, implement and monitor the STI policy

78.86%

8.52%

1.10% 11.52%

Government

Institution

Others

Not sure

Formulation

76.13%

11.68%

2.05%10.14%

Government

Institution

Others

Not sure

Implementation

78.83%

8.90%

2.04% 10.22%

Government

Institution

Others

Not sure

Monitoring

23

9.2.2 STI policy and institutional involvement

The respondents indicated (Fig.6) that generally the institutions were not adequately included

in the formulation of the STI policy in Kenya (42.54%) although they participated in STI advice

to the government (36.58%). Some explanations provided included:-

NACOSTI are mandated to advice on policy

Advice after conducting research on issues of pilot plants,

Give advice on Energy development

Give advice on Environment protection

Figure 6:- Institutional inclusion in the formulation of the STI policy (left) and participation in STI advice to the government (right)

9.2.3 Alignment of Kenya STI policy and SDGs?

Up to 46.8% of the respondents indicated that to some extent the country’s STI policy was

aligned to SDG (Fig.7). This was seen through supervision of research aligned to STI,

domestication of some SDG’s strategic plans although responses of not being aware and

institutions not being involved were also obtained.

19.98%

42.54%

37.49%

Yes

No

Not aware

36.58%

29.24%

34.17%

Yes

No

Not aware

24

Figure 7:- Extent of agreement to the country’s STI policy alignment to SDG

9.2.4 National STI capacity and the priority areas

Four priority areas of STI capacity and research needs have been identified as Knowledge

generation (equipping research and academic institutions with state-of-the-art facilities for

R&D), Knowledge acquisition (Interventions through education and training in STI at all levels),

Knowledge transfer (using platforms such as technology hubs, science parks, incubation

programs, etc.) and Innovation culture (inculcating an entrepreneurial, innovative culture at all

levels of society, including business, the public sector, and universities). The survey findings

showed that respondents were not sure (51.74%) if knowledge generation was met by the STI

policy contrary to knowledge acquisition, transfer and innovation culture (over 70%)(table 2).

Table 2:- Extent of STI Policy in meeting the Priority areas

Great-1 Some-2 Least-3 Not sure

i. Knowledge generation 21.68% 22.75% 3.83% 51.74%

ii. Knowledge acquisition 29.21% 58.53% 7.33% 4.93%

iii. Knowledge transfer 24.40% 58.53% 12.14% 4.93%

iv. Innovation culture 21.90% 41.51% 26.83% 9.75%

0.0% 20.0% 40.0% 60.0%

Great

some extent

Least extent

25

9.2.5 National STI Policy Monitoring and Evaluation

Monitoring and evaluation (M & E) is a key component of any process or system. Over 57% of

respondents indicated they were aware of the performance of M & E (Fig.8) although a

significant number did not know or were not aware of the intervals when this was performed

(Table 3). These are some of the responses obtained regarding to how M & E is performed for

the National STI Policy

Awardees of research grants writing progress reports and account,

Conferences,

Face to face with the researchers,

May be through the performance contract, am not sure,

It is provided for in the science, technology and innovation act of 2013 which mandates

NACOSTI as the key institution

Figure 8:- Awareness of the performance of STI monitoring and evaluation

Table 3:- Intervals of STI policy M&E

1-5 yrs. 5-10 yrs. 10-15 yrs. Not sure I don’t know

31.50% 10.56% 0.00% 31.52% 26.40%

57.18%

42.82%

Yes

No

26

9.2.6 Achievements in National STI policy in Kenya

A number of STI policy achievements have been documented. The extent to which there is an

agreement on the same is given in table 4. Except for the establishment of separate ministries

of STI where this was indicated at least, the remaining enlisted achievements were shown to

have been met to some extent.

Table 4:- Extent of achievements of the Kenyan STI policy Great-1 Some-2 Least-3 Not sure

i. Integration of STI into National development plans

25.63% 46.09% 20.58% 7.70%

ii. Development of biotechnology policies, bio-safety frameworks and acts

20.48% 53.86% 17.95% 7.71%

iii. Promotion of STI research programmes

17.84% 53.53% 17.84% 10.77%

iv. Establishment of research centers of excellence, research universities and institutions

11.07% 41.54% 36.07% 11.33%

v. Promotion of education and training in science and technology

18.56% 52.05% 10.59% 17.81%

vi. Establishment of separate ministries of STI

8.36% 27.81% 50.00% 13.83%

9.3 INSTITUTIONAL STI POLICIES

It was found that most institutions (61.10%) did not have an STI policy (Fig 9). However, where

available, these had been developed in the last 10 years (table 5) and were aligned to the

national STI policy (table 6). Further, more than 80% of respondents indicated that the

institutions had the capacity to implement and coordinate their STI policy (Fig 10). Capacity

building in form of Infrastructural capacity (labs) and industrial attachments (hands on skills

development) from relevant institutions such as Ministry of Agriculture, KALRO and KEBS, were

given as some of the ways in support of the capacity to implement and coordinate the STI policy.

On the contrary, it was noted that lack of legal mandate to carry out research was a shortcoming

to the same.

27

Figure 9:- Existence of institutional STI policy

Table 5:- Development of institutional STI policy

1-5 yrs. 5-10 yrs. 10-15 yrs. Not sure I don’t know

51.32% 9.43% 8.11% 18.64% 12.5%

Table 6:- Alignment of institutional STI policy with the national policy

Great some Least I don’t know

31.18% 50.00% 6.18% 12.65%

Figure 10:- Capacity to implement and coordinate the national STI policy

38.90%

61.10%Yes

No

86.22%

13.78%

Yes

No

28

9.3.1 Governance structures

A number of Governance structure were outlined in various institutions. Some of these are

presented in figures 11-13.

Figure 11:- Sample 1 of an institutional governance structure

*DVA-Deputy Vice Chancellor- Academic Division

Figure 12:- Sample 2 of an institutional governance structure

29

Figure 13:- Sample 3 of an institutional governance structure *RIO-Research, Innovation and Outreach

9.3.2 Institutional STI and the priority areas

Based on the four priority areas of STI capacity and research needs there was a great extent in

which the institutional STI policies promoted them f (table 7).

Table 7:- Institutional STI policy promotion of the four priority areas Great-1 Some-2 Least-3 Not

sure i. Knowledge

generation 61.29% 17.79% 11.36% 9.57%

ii. Knowledge acquisition

53.29% 31.31% 3.46% 11.94%

iii. Knowledge transfer

56.72% 12.93% 18.28% 12.07%

iv. Innovation culture

46.43% 39.68% 9.92% 3.97%

9.3.3 Institutional STI Monitoring and Evaluation

Fig 14 shows that respondents were more aware that their institutions conducted monitoring

and evaluation of their STI policies (56.71%). This was shown to be done between 1-10 years

interval (table 8). Some of the ways in which this was achieved were outlined as by putting

structures in place (RIO division), encouraging research innovations patented and alignment of

research programs with SDGs.

30

Figure 14:- Awareness on M & E of institutional SRTI policies

Table 8:- Intervals of carrying our M & E for institutional STI policies 1-5 yrs. 5-10 yrs. 10-15 yrs. Not sure I don’t know

51.20% 9.40% 8.10% 18.82% 12.47%

9.3.4 Achievements in Institutional STI policies

There was a general agreement that achievements in the STI policy had been met in the

institutions as observed in the responses given in table 9.

Table 9:-Extent of achievements in the STI policy institutions Great-1 Some-2 Least-3 Not sure

i. Integration of STI into National development plans

18.23% 36.32% 24.22% 21.23%

ii. Development of biotechnology policies, bio-safety frameworks and acts

18.21% 39.40% 12.09% 30.30%

iii. Promotion of STI research programmes

38.26% 23.48% 17.68% 20.58%

iv. Establishment of research centers of excellence, research universities and institutions

32.58% 33.71% 19.23% 14.48%

v. Promotion of education and training in science and technology

47.03% 32.37% 2.90% 17.70%

vi. Establishment of separate ministries of STI

12.48% 9.40% 46.84% 31.28%

56.71%

43.29%

Yes

No

31

9.4 STI POLICY FOR SUSTAINABLE DEVELOPMENT IN KENYA

The respondents made suggestions with regards to the STI policy for sustainable development

in Kenya. Some of these included:

• Sensitization on STI policy from lower levels of education and stakeholders.

• More innovation to boost functionality of the policy.

• Frequent review of ST&I policy.

• Annual Government reports (M&E).

• Proper formulation, implementation and monitoring

• Capacity building for institutions and STI practitioners.

• Establish government chemist that is specific to each study discipline (The government

chemist elaborated on their role taking note of the existing gap in meeting the

expectations from other disciplines)

9.5 POTENTIAL CHALLENGES ON STI POLICIES

STI policy faces a number of challenges. The extent to which respondents agreed to these

potential challenges are given in Table 10. Generally there were strong agreements (up to

>60%) that the outlined challenges facing STI policies. In addition, more challenges were

outlined as follows:-

• Learner's attitude towards STI related courses at educational institutions level

• Lack of sensitization/awareness of STI policies both at national and institutional levels

• Poorly motivated researchers

• Tedious procurement processes and bureaucracy

• Inadequate time for researcher to do research considering that most of them also teach

big classes.

• Resources (internet connectivity/access)

32

Table 10:- Extent of agreement to the potential challenges facing the STI policy in Kenya

SNo. Potential challenge Percentage (%) respondents STRONGLY

AGREE 1

AGREE 2

DISAGREE 3

STRONGLY DISAGREE

4

DON’T KNOW

5 1. Uncoordinated and

fragmented innovation system (weak synergies and networking among government, research and training institutions, industry, financial sector and professional groups)

63.71 25.97 4.77 2.33 3.22

2. Lack of a harmonized national research policy, agenda and priorities

50.39 40.70 2.37 3.27 3.27

3. Inadequate funding for research with great over-reliance on external funding agencies

50.99 37.85 5.94 2.19 3.02

4. Weak institutional framework

53.50 32.60 7.00 3.72 3.17

5. Lack of advocacy for ST&I at high political and policy levels

68.16 22.76 6.84 2.24 0.00

6. Relatively low global competitiveness ranking

57.89 19.33 18.15 2.00 2.63

7. Weak performance management framework

30.14 32.77 21.07 12.96 3.06

8. Absence of a skills inventory

33.97 29.50 18.21 15.23 3.09

9. Inadequate alignment of the planning of human resource to development needs

49.87 5.10 18.24 26.79 0.00

10. Poor state of 67.79 10.67 11.26 4.55 5.73

33

SNo. Potential challenge Percentage (%) respondents STRONGLY

AGREE 1

AGREE 2

DISAGREE 3

STRONGLY DISAGREE

4

DON’T KNOW

5 infrastructure and equipment in higher education and training

11. A weak STI culture in Kenya

54.09 34.00 6.31 2.22 3.39

9.5.1 POTENTIAL STRATEGIES TO ADDRESS THE STI POLICIES CHALLENGES

The following were listed as possible strategies that would be employed to address the

challenges facing STI policies in institution and/or in Kenya

• Writing of policy briefs such as those done by Tegemeo in Egerton writes briefs to the

government.

• Encourage more students to pursue STI courses and motivate those who are already

enrolled

• University funding be based on their contribution to STI

10 CAPACITY BUILDING WORKSHOP

10.1 Purpose

The aim of this workshop was to sensitize the participants on new developments and the status

of ST&I Governance in Kenya.

10.2 Workshop Description

This project involved engaging the stakeholders namely; universities, research institutions,

policy makers and the private sector on the role of effective ST&I Policy in realizing sustainable

development. Utmost participation of all stakeholders was crucial for the success of the project.

The project aimed to realize the goals and the objectives of the project by:

a) Identifying representative stakeholders,

34

b) Sensitizing stakeholders on the goals and objectives of the project,

c) Conduct a rapid survey on status of ST&I governance in Kenya

d) Hold discussion forum with the view of obtaining a clearer understanding of emerging

issues in the ST&I sector.

e) Group discussion in a workshop environment with the view of coming up with workable

solutions and mitigation measures for the identified challenges,

f) Formulate draft implementation to be presented to the Government, and other partners.

10.3 Goals and Objectives

The goals and objectives of this initiative were geared towards achieving the purpose of the

project by:

a) Setting up a committee of experts to lead the project,

b) Holding the expert committee meetings for the purposes of detail scoping of the project,

c) Identifying facilitators and organizing capacity building workshop/s for purposes of

jointly developing workable solutions and/or mitigation measures to the challenges

observed, and,

d) Conduct a rapid survey on status of ST&I governance and prepare a report

e) Conduct a capacity building workshop on Strengthening Science, Technology and

Innovation governance in Kenya

f) Prepare the workshop report and the accompanying recommendations,

g) Submission of recommendations to the relevant state departments and Agencies

10.4 Target group

The participants for the workshop included policy makers, academics, ST&I practitioners and

private sector players.

10.5 Expected accomplishments

It was anticipated that the participants and stakeholders were in a position to outline the

challenges and solutions to better harnessing of ST&I in the country for socio-economic

development. Specifically the following were achieved:

a) The strengths and weaknesses of the existing ST&I policy were identified

b) Recommended improvements in the existing STI policy for Kenya to fully benefit in the

era of knowledge economy.

35

10.6 Official opening ceremony

The workshop began with participants being welcomed at the workshop by Dr Jaro Arero,

Deputy Director, Basic Sciences and Engineering at KNATCOM. He proceeded to lead them into

introducing themselves. The opening Remarks were given by KNATCOM Secretary General, Dr

Evangeline Njoka. In her remarks, the participants were welcomed, gave a brief introduction of

KNATCOM and expounded on the STI goal, to mainstream science, technology and innovation in

all sectors of the economy hence create a strong base for enhanced efficiency, sustained growth

and promotion of value addition in goods and services.

10.7 Presentations

10.7.1 Essentials of STI Policy

This presentation was made by Dr Jaro Arero. Discussions on the essentials of STI policy

included:

STI Policy

Policy for STI

STI and the Private Sector

STI and the Community

International Collaboration on STI

STI and Governance

10.7.2 Good Governance of ST&I policy, for Gender equality in STEM

This presentation was made by Ms. Sarah Kahiu an ST&I consultant. The evolution of ST&I

policies in Kenya was discussed as follows:

Science & Technology Act, Cap 250 of July 1977 > NCST

Kenya Vision 2030 : launched 2008

Constitution of Kenya - 2010

Science, Technology & Innovation policy and strategy – 2009

Science, Technology & Innovation Act, 2013

Draft ST&I Information bill

Further, the purpose of ST&I Policies in Kenya were highlighted in the following key aspects:

36

a) Establish an institutional and regulatory framework to promote, coordinate, mobilize

resources and manage ST&I

b) Leverage ST&I to transform the economy through identified national priority areas

c) Allocation of 2% of GDP annually for the R&D sub-sector and motivate other stakeholders

to participate in funding ST&I

d) Identify, nurture, recognize and protect intellectual property rights of scientists,

researchers and innovators

e) Establish and promote ST&I knowledge sharing and awareness creation systems

f) Development of Human Resource Capital in STI to meet the demands of the economy

g) Development of STI infrastructure to support STI programs in identified priority areas

10.7.3 Migrating to the knowledge-based economy and society through digital

transformation: challenges, opportunities and policy implications

This presentation was made by Dr Jaro Arero, Deputy Director, Basic Sciences and Engineering

Division, Natural Sciences at the Kenya National Commission for UNESCO meeting the following

objectives:-

To present digital transformation as part of a deep and wide- ranging transformation of

human civilization into the knowledge- and innovation-based economy and society; ICT

and related technologies are only key enablers

To restate the eternal truth that change is a natural part of human existence; every

individual and community needs to plan proactively for continuing transformation

and reinvention

To stress the urgency for the development community to take the lead in charting the

way forward in knowledge-based transformation

To introduce basic ideas about strategic planning and fore sighting

10.7.3 Reforms in ST & I in Kenya

The presentation was made by Dr. Joyce Ngure from the Directorate of Research, Science and

Technology, Ministry of Education. Expressing that STI is still a challenge as it is anchored under

37

the Ministry of Education but not mentioned in the title of the ministry. There have been reforms

which have been there for some time. The National Priority Sectors for ST&I Policy Interventions

were mentioned to include Agriculture, Rural Development, Health and Life Sciences, Trade and

Industry, Human Resource Development, Physical Infrastructure, Energy, Environment and

Natural Resource Management and Information Communication Technology (ICT). The Creation

of a Kenya National Innovation System (KNIS) that ensures that Kenya has institutions,

organizations and policies with legal basis that give effect to the various functions of the national

system of innovation, fosters interactions among and within all sectors and actors in the

economy and ensures that there is an agreed set of goals and objectives which are in harmony

with vision 2030 was discussed touching on her strategic policy issues. The purpose and

components of the proposed Kenya National Innovation System (KNIS) were also discussed. The

reform achievements in ST&I were outlined as follows:-

Establishment of the KNIS components such as NACOSTI, National Research Fund (NRF)

and Kenya National Innovation Agency (KENIA)

Harnessing of 1% of the GDP for ST&I through NRF

Creation of IPR awareness through IPR desks establishment in research, University and

TVET institutions.

Promotion of innovation and technology transfer through KENIA.

Creation of STPs and Incubators in Universities which were done as performance

contract targets that have seen students taking up a lot of innovative activities

Science week exhibition which is held for ST&I players to interact and share their outputs

Establishment of linkages and collaboration with other countries that give scholarships

and funding for research (China, Japan, Germany, Russia, France, Morocco, South Korea,

Hungary, Check Republic, Commonwealth etc.)

The ministry is also in the process of construction of a National Science and Technology

Park (STP) at Konza Technopolis

The Ministry is also constructing High Tech Laboratories at Konza for use by academia to

enhance research as well as innovation.

Human capacity development in ST&I through funding of Masters and PhD students

38

Infrastructure has also been strengthened to enhance human capacity building in the

Universities in the institutions around the country

Infrastructure has also been strengthened to enhance human capacity building in the

TVET institutions around the country

Education has been given quality by eradication of exam teaching

Streamlining is also underway to ensure quality in the universities

Equipping of universities and Research institutions has been taking place to support

research and innovation

10.7.4 ST&I Policy Instruments and Gender Equity ST&I Governance

This presentation was made by Dr. Steve Karimi, Deputy Director, Directorate of Accreditation

and Quality Assurance (DAQA), NACOSTI. In the presentation, it was emphasized that much as

the government has done a lot in promoting ST & I, stakeholders need do their part too, relating

this to funds allocated to research being returned due to lack of applications and under

utilizations. The stakeholders and the institutions need to lobby for an STI Ministry at the

national level. Unutilized and underutilised equipment and outdated database of experts were

outlined as some of the challenges facing development in the ST & I sector. The history, mandate

and functions of The National Commission for Science, Technology and Innovation (NACOSTI),

were given.

10.7.5 Presentation of the findings of the Rapid Survey on the Status of ST&I

Governance in Kenya

This presentation was made by Dr Mildred Nawiri, who was the lead consultant in the

undertaking. The findings and discussions presented in the first part of this report were shared

with the participants of the workshop.

11 Recommendations

Following group discussions, a number of recommendations were realized both for the National

and institutional level. Responsibility and time frame to implement the recommendations was

agreed to be vital.

39

11.1 Recommendation at the National Level

At the National level, an updated and current ST&I policy is required to guide research

and development. The existing act needs amendment to align it with SDGs. Among other

issues related to the policy will be those of harmonization and coordination at county

level, competence of officers to implement the policy, creation of science hubs from

primary school level (including modifying curriculum), an experts’ (mentors) data base

and inventory of available equipment and machinery at research institutions, innovation

centers and TVET institutes, monitoring and evaluation of the policy and a professional

body to govern the policy formulators and implementers. In this respect there is need to

seek an appointment with the cabinet Secretary responsible for the same. A governance

structure most preferably being a ministry of its own or a directorate in the Office of the

President is required. This entity will drive industrialization, define the stakeholders in

ST&I and relook into the mandates of Kenya Industrial Property Institute (KIPI), Kenya

Plant Health Inspectorate Services (KEPHIS), Anti-counterfeit Agency, Kenya Industrial

and Research Development Institute (KIRDI), with the view to restructuring and placing

them under one umbrella body for proper coordination as well as relook into the

role/mandate of NACOSTI.

11.2 Recommendation at the Institutional Level

At the institutional level, there is need to draft ST&I policies and put them in

place/operation in line with the national policy. As such, the aspects suggested at the

National level (sec 11.1) shall be incorporated. There is need to advocate for better

standardization of STI policies, enforcement and regulation, change the mindset among

administrators in terms of training in ST&I and affirm institutional structures through

creating awareness.

40

APPENDIX I: - QUESTIONNAIRE A RAPID SURVEY ON STATUS OF SCIENCE, TECHNOLOGY AND INNOVATION (STI) GOVERNANCE IN KENYA

Introduction

Science Technology and Innovation (STI) is the driving force behind economic growth and improved quality of life in Kenya. It is hence empirical that the STI policies foregrounds an enabling environment for research and development and good governance, address challenges of economic growth and poverty alleviation. This survey seeks to assess the status of STI policies in relevant institutions and how harmonized they are to the mainstream National policy.This is in line with UNESCO’s plan of fostering and developing STI policy and equipping stakeholders with the knowledge and skills to address complex developmental challenges.

Subsequently you have been purposively selected to inform the study by completing the Questionnaire. The Lead Consultatnt: Dr Mildred Nawiri, is a Senior Lecturer Department of Chemistry Kenyatta University and Director

University Industry Partnerships. The Consulting Institution is Kenya National Commission for UNESCO (KNATCOM-UNESCO)

QUESTIONNAIRE Date: _______________________

INSTRUCTIONS:-Kindly fill in the questionnaire. In a few instances you will be required to make brief explanations. PART 1: DEMOGRAPHIC DATA

a) Region

Nairobi Other a) Gender

Male Female b) Type, name of institution and your current position

Type of institution (Multiple responses are accepted)

University-1

Research institution-2

County Government-3

Industry-4 Ministry of Education-5

Name of institution

41

Position:- Researcher Administrator

PART 2: STI POLICY IN KENYA

1) a. Are you aware that there is an STI policy in Kenya?

Yes-1 No-2

b. If yes, who drives the STI Policy agenda in Kenya in terms of formulation, implementation and monitoring?

Government-1 Your institution-2

Other (specifiy)-3

i. Formulation

ii. Implementation iii. Monitoring

2) a. In your opinion who should drive the STI policy agenda in terms of formulation, implementation and monitoring?

Government-1 Your institution-2

Other (specifiy)-3

i. Formulation

ii. Implementation iii. Monitoring

b. Give brief Explanation (if any ) ………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………......................................................................................................................................................................................

3) a. Would you say that your institution was adequately included in the formulation of the STI policy in Kenya?

42

Yes-1 No-2 Not aware-3 b. Give brief Explanation (if any) ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

4) a. Does your institution participate in the STI policy advice to the government? Yes-1 No-2 Not aware-3

b. If yes, briefly explain how?

……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..

5) To what extent is the country’s STI policy aligned with SDGs?

Great-1 Some-2 Least-3 I don’t know-4

6) How is your institution involved in the ratification of SDGs using the STI policy?

………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..

7) To what extent does the National STI policy promote the four priority areas of STI capacity and research needs

Great-1 Some-2 Least-3 Not sure v. Knowledge generation

vi. Knowledge acquisition vii. Knowledge transfer

viii. Innovation culture

43

8) Is the monitoring and evaluation of the STI policy performed? Yes-1 No-2

b. If yes at what intervals? 1-5 yrs-1 5-10 yrs-2 10-15 yrs-3 Not sure-4 I don’t know-

5

c. Briefly explain how the monitoring and evaluation is done

…………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

9) To what extent do you agree that the following are achievements in STI policy in Kenya

Great-1 Some-2 Least-3 Not sure vii. Integration of STI into National

development plans

viii. Development of biotechnology policies, bio-safety frameworks and acts

ix. Promotion of STI research programmes

x. Establishment of research centers of excellence, research universities and institutions

xi. Promotion of education and training in science and technology

xii. Establishment of separate ministries of STI

PART 3: INSTITUTIONAL STI POLICIES

44

1) a. Does your institution have an STI policy? Yes-1 No-2

b. If yes, when was the STI policy developed

1-5yrs ago

5-10yrs ago

Over 10yrs ago

Not sure

I don’t know

c. If yes, to what extent is the institutional STI policy aligned with the National STI policy?

Great-1 Some-2 Least-3 I don’t know-4

2) a. If yes (for No 1a), who formulates the STI policy in your institution (Multiple responses allowed depending on the respondents multiple institutions in part I)?

List position if known I don’t know University-1 Research institution-2 County Government-3 Industry-4 Ministry of Education-5

b. Briefly explain your institutional STI governance structures and arrangements ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

3) a. Does your institution have the capacity to implement and coordinate the institutional STI policy? Yes-1 No-2

b. Briefly explain your answer ……………………………………………………………………………………………………………………………………………..………….………………………………………………………………………………………………………………

4) To what extent does your institutional STI policy promote the four priority areas of STI capacity and research needs

45

Great-1 Some-2 Least-3 Not sure i. Knowledge generation

ii. Knowledge acquisition iii. Knowledge transfer iv. Innovation culture

5) a. Does your institution monitor and evaluate her STI policy?

Yes-1 No-2

c. If yes at what intervals? 1-5 yrs-1 5-10 yrs-2 10-15 yrs-3 Not sure-4 I don’t know-

5

c. Briefly explain how the monitoring and evaluation is done ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

6) To what extent do you agree that the following achievements in STI policy have been met in your institution

Great-1 Some-2 Least-3 Not sure xiii. Integration of STI into National

development plans

xiv. Development of biotechnology policies, bio-safety frameworks and acts

xv. Promotion of STI research programmes

xvi. Establishment of research centers of excellence, research universities and institutions

xvii. Promotion of education and training in science and technology

46

xviii. Establishment of separate ministries of STI

7) State any other comment you may have in regard to the aspect of STI policy for sustainable development in Kenya

______________________________________________________________________________________________________________________________________________________________________________________________________________

PART 4: POTENTIAL CHALLENGES ON STI POLICIES AND STRATEGIES TO ADDRESS THE CHALLENGES

1.a To what extent do you agree with the following statements on potential challenges facing the STI policy in Kenya

SNo. Potential challenge STRONGLY AGREE

1

AGREE 2

DISAGREE 3

STRONGLY DISAGREE

4

DON’T KNOW

5 12. Uncoordinated and

fragmented innovation system (weak synergies and networking among government, research and training institutions, industry, financial sector and professional groups)

13. Lack of a harmonized national research policy, agenda and priorities

14. Inadequate funding for

47

SNo. Potential challenge STRONGLY AGREE

1

AGREE 2

DISAGREE 3

STRONGLY DISAGREE

4

DON’T KNOW

5 research with great over-reliance on external resources

15. Weak institutional framework

16. Lack of advocacy for ST&I at high political and policy levels

17. Relatively low global competitiveness ranking

18. Weak performance management framework

19. Absence of a skills inventory

20. Inadequate alignment of the planning of human resource to development needs

21. Poor state of infrastructure and equipment in higher education and training

22. A weak STI culture in Kenya

b. State any other additional challenge(s) ………………………………………………………………………………………………………………………. ……………………………………………………………………………………………………………………………………

48

C. List the strategies that would be employed to address the challenges facing STI policies in your institution and/or in Kenya ………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………… Name of Field surveyor: ____________________________ Institution:- ____________________________ Signature:- ____________________________ Date:- ____________________________

THANK YOU FOR YOUR TIME

49

APPENDIX II: LIST OF FIELD SURVEYORS 1. Dr Mildred Nawiri Kenyatta University, Principle Investigator

2. Dr Dickson Andala Multi media University,

3. Dr Evans Changamu Kenyatta University

4. Dr Jaro Arero KNATCOM-UNESCO

5. Ms Pauline Munde Research Assistant

6. Ms Phoebe Obudho KNATCOM-UNESCO

7. Mr George Njoroge KNATCOM-UNESCO

8. Ms Jackline Njeru KNATCOM-UNESCO

9. Dr. Ndamburi KNATCOM-UNESCO

50

APPENDIX III: PROGRAMME CAPACITY BUILDING WORKSHOP ON STRENGTHENING SCIENCE, TECHNOLOGY AND INNOVATION GOVERNANCE IN KENYA, DECEMBER 6-8, 2017, IZAAK WALTON, INN, EMBU

DAY TIME ACTIVITY PERSON RESPONSIBLE

5/12/2017 5 pm Arrival to the hotel

Day 1 6th December 2017

8:00 am- 8:30am Arrival and Registration Phoebe Obudho, KNATCOM

8:30 am – 9:00 am Prayer/Introduction 9:00 am – 10:00 am Opening Remarks:

Secretary General- KNATCOM

Dr. E. Njoka

10:00 am -10:30am TEA BREAK/Photo Session 10:30 am – 11:30 am Essentials of STI Policy Dr. Jaro Arero, Deputy Director, KNATCOM

11:30 am – 1:00 pm Gender Equality in STEM and STI Policy for Gender Equality

Ms. Serah Kuhiu, STI consultant

1:00 pm – 2:00 pm LUNCH 2:00 pm – 4:00pm Migrating to the knowledge-based

economy and society through digital transformation: challenges, opportunities and policy implications

Dr. Jaro Arero, Deputy Director, KNATCOM

4:00 pm-4:30 pm Q&A Moderator: Dr. Nawiri

4:00 pm – 4:30 pm TEA BREAK Day 2 7th December 2017

8:00 – 10:00 Reforms in STI sector in Kenya Dr. Joyce Ngure, Directorate of Research, Science and Technology, MOEST

10:00 am- 10:30 am TEA BREAK 10:30 am –12:30 pm STI Policy Instruments & Gender equity

in STI governance Dr. Steven Karimi, Deputy Director, NACOSTI

51

12:30 pm-1:00 pm Q&A Panelists: Dr. Steven Karimi, Dr. Nawiri Moderator: Dr. J. Arero

1:00 pm – 2:00 pm LUNCH 2:00 pm – 4:00 pm A case for more Women and Girls in STI Dr. Nawiri, Kenyatta University

DAY 3 8th December, 2017

8:00 am-10:00 am Presentation on the Survey Report on the Status of ST&I governance in Kenya

Dr. Nawiri

10:00 am- 10:30 am TEA BREAK

10:30 am –1:00 pm Plenary and Q&A Dr. Nawiri

1:00 pm – 2:00 pm LUNCH

2:00 pm – 4:00 pm Validation of the Survey Report Mrs Orpha Nyakundi

4:00 pm – 4:30 pm TEA BREAK

DAY 4 8th December, 2017

Departure

52

APPENDIX IV: STAKEHOLDERS’ WORKSHOP CAPACITY BUILDING WORKSHOP

ON STRENGTHENING SCIENCE, TECHNOLOGY AND INNOVATION

GOVERNANCE IN KENYA, DECEMBER 6-8, 2017, IZAAK WALTON, INN, EMBU

SNO NAME INSTITUTION TEL.NO EMAIL

1. Daniel C. Boit Government Chemist 0721200046 danchboit@yahoo.com

2. Joyce Ngure Directorate of Research,

Science & Technology

(MOE)

0723936262 joycengure@yahoo.com

3. Halkano Molu Institute of Primate

Research

0726823816 halkamolu@gmail.com

4. Stephen Situma NACOSTI 0722241775 jmsituma@yahoo.com

5. Belinda Ilagosa KIPI 0729600338 bilagosa@kipi.go.ke

6. Humphrey Lumadede KIRDI 0721804331 lumadedeh@yahoo.com

7. Joseph Edebe Kenya Wildlife Service 0721491085 edebej@kws.go.ke

8. Dickson Andala Kenya Chemical Society 0705204610 andalad@gmail.com

9. Victor Odari MMUST 0723927357 odarivyc@gmail.com

53

10. Newton Osoro NEMA 0721298769 Nombese@nema.go.ke

11. Virginia Onyara Multi Media University 0721274703 onyara2002@gmail.com

12. Peter Mwirigi Kenyatta University 0721551163 mwirigip@gmail.com

13. Stephen Karimi NACOSTI 0727923357 karimisteve@gmail.com

14. Winston Ouna Kenya Wildlife Service 0733937618 wouna@kws.go.ke

15. Nuria Ali SGAC 0711598759 ali_nuria@yahoo.com

16. Rosemary Omwandho UoN 0720555068 rosemary.omwandho@uonbi.ac.ke

17. Geoffrey Ramba KIPI 0722303381 rambajeff@gmail.com

18. Florence Masese UoN 0722238627 maseseflorence@gmail.com

19. Vivian G. Mpekethu Government Chemist 0727095810 vivga2009@gmail.com

20. Benardatte Chege RPB 0721501533 benwairimuh@gmail.com

21. Nicholas Mwikwabe KEMRI 0722226724 nmwikwabe@kemri.org

22. Zipporah Onyambu Kenyatta University 0722301831 zipponya@yahoo.com

23. Selma Sanya Kenya Bureau of

Standards

0721961019 sanyas@kebs.org

24. Sophia Yioga WERK 0723164674 syoga@werk.co.ke

25. Josephine Kimani JKUAT 072073618 jkimani@jkuat.ac.ke

26. Serah Kahiu Consultant (STI) 0720947029 serahkahiu2@gmail.com

27. Beverly Patricia

Aswani

Ministry of Agriculture –

Livestock Department

0723863026 bevpat100@gmail.com

54

28. David Kimutai Kenya Wildlife Service 0720373684 dkimutai@kws.go.ke

29. Pauline Munde Kenyatta University 0712317414 Paulinemunde@gmail.com

30. Pius A. Adoyo IPR 0722459266 piusadoyo@gmail.com

31. Paul Kariuki G. Kenya Chemical Society 0724626204 palphilter@gmail.com

32. Evans Changamu Kenyatta University 0721852702 changamu.evans@ku.ac.ke

33. Ruth Wanjau Kenyatta University 0722423183 wanjau.ruth@ku.ac.ke

34. Mary Mwangi Kenyatta University 0722646382 mwangimary@ku.ac.ke

35. Mildred Nawiri Kenyatta University 0721319438 nawiri.mildred@ku.ac.ke

36. Teresa Ogetange WERK 0727325337 teresaoge@yahoo.com

37. Beth Kaboro KRPB 0722454156 kaborobeth@gmail.com

38. Shem Peter Mutuiri Kenyatta University 0721585200 mtuirishem@ku.ac.ke

39. Irene Githinji Kenyatta University 0721999435 irenegithinji6@gmail.com

40. Zipporah Mungai Kenyatta University 0722450615 zmmurugi@gmail.com

41. Dr. Jaro Arero KNATCOM 0721621986 jarero@unesco.go.ke

42. Orpha Nyakundi KNATCOM 0722724503 onyakundi@unesco.go.ke

43. George Stanely

Njoroge

KNATCOM 0723437753 gsnjoroge@unesco.go.ke

44. Nicholas Odipo KNATCOM 0720555536 nicklas@unesco.go.ke

45. Phoebe Obudho KNATCOM 0721294143 pobudho@unesco.go.ke

46. James Gitahi KNATCOM 0725487868 james@unesco.go.ke

55