Northern Europe Initiative

The Northern Europe Initiative – An Assessment

Northern Europe Initiative


United States Department of State Bureau of European and Eurasian Affairs Office of Nordic and Baltic Affairs



The Northern Europe Initiative

 – an Assessment April 2002



Table of Contents

Preface iv

Summary vi

Section I: Introduction and Methodology 1

Section II: Conceptual Model of the Northern Europe Initiative (NEI) 4

Section III: NEI Regional Projects and Bilateral Programs 5

Section IV: NEI Goals Versus Performance-A Comparative Analysis 27

Section V: Findings, Conclusions, and Recommendations 35



1 Conditional Continuum 2

2 Regional Programs 5

3 Tallinn Bilateral Projects 10

4 Riga Bilateral Projects 12

5 Ethnic Composition of Latvia 14

6 Vilnius Bilateral Projects 15

7 Analysis-Research Questions and Regional Projects 27

8 Analysis-Research Questions and Tallinn, Estonia Bilateral Projects 28

9 Analysis-Research Questions and Riga, Latvia Bilateral Projects 29

10 Analysis-Research Questions and Vilnius, Lithuania Bilateral Projects 29

11 Analysis on Northwest Russia Projects-Research Questions and American Consulate in St. Petersburg 30

12 Analysis-Research Questions and Warsaw, Poland Bilateral Project 31

13 Analysis-Research Questions and Stockholm, Sweden Projects 31

14 Analysis-Research Questions and Oslo, Norway Mission Projects 32

15 Analysis-Research Questions and Copenhagen, Denmark Mission Projects 33

16 Analysis-Research Questions and Helsinki, Finland Mission Projects 33

17 Analysis-Research Questions and Reykjavik, Iceland Mission Projects 34



This assessment report proposes recommendations and judgments about various programs and projects funded from the U.S. Government’s Northern Europe Initiative (NEI) policy. The NEI is the U.S. strategy in the Baltic Sea region, providing the conceptual framework for its policy and programs in the region. Funding for NEI has been derived from multi-sources, e.g., the Support for East European Democracy (SEED) Act of 1989, the Freedom and Support Act (FSA): Assistance for Newly Independent States of the Former Soviet Union of 1998 and the Department of State; and the Bureau ofInternational Narcotics and Law Enforcement (INLE). There are and have been other U.S. assistance programs operating in the region prior to the NEI. In many instances, NEI goals are complementary to these programs and activities and are therefore considered a part of the overall NEI policy (regardless of funding source) because they are all a part of the Posts’ diplomatic and economic portfolios. Some of these activities have been terminated, whereas others are operational with multi-year financial commitments.

These agencies include: Department of Defense (DOD), Environmental Protection Agency (EPA), U.S. Department of Agriculture (USDA), Peace Corps, U.S. Department of Energy (DOE), Centers for Disease Control (CDC), U.S. Agency for International Development (USAID), Federal Bureau ofInvestigation (FBI), and the Drug Enforcement Agency (DEA). Only those programs that the U.S. Missions in the region consider as NEI programs are covered in this study.

The database for this report has been derived from the following sources:

  • SEED Act (H.R.3402), FSA, INLE, printed reports, cables, memorandums, E-mails, and other correspondence
  • The EUR NEI Coordinator
  • Officials from the Office of Nordic and Baltic Affairs
  • Embassy personnel in Riga, Latvia and Stockholm, Sweden, and NGO practitioners in Latvia and officials from
  • NGO Associations in the United States


All projects assessed had adequate information to make definitive statements about the activity impact on targeted populations.

Additional insights, support, information, and assistance for this report were derived from personnel in different Department of State offices (e.g., EURJACE/EEA, EUR-ACE). In its most concrete form, NEI is a collection of projects in the Baltic Sea region. A wide variety of projects have been undertaken since NEI’s launch in 1997-small NGO grants, regional International Visitors programs, multi-year technical assistance programs, and many others in between. Some of these have been implemented with Nordic countries or other partners; Posts have implemented others; and “outsiders” from the U.S. Government and/or NGO community have implemented many. All have been designed to address specific needs. The central questions that this assessment will address are:

  • To what extent have the NEI programs and projects enhanced the ability of the Baltic States, i.e., Estonia, Latvia, and Lithuania, and northwest Russia’s ability to cooperate or integrate into regional Western institutions, e.g., EU, NATO, WTO, and others?
  • How has the U.S. Government-NEI policy strengthened its relationship with the Nordic states, Poland, Germany, and the EU in promoting regional cooperation between these entities?
  • How useful has the NEI program and project been for its recipients and the U.S. Government and their overall impact on society?



The Northern Europe Initiative Assessment study reviewed 16 selected regional and bilateral projects and programs funded by NEI. This report is the first systematic examination ofNEI, with the goal of recommend- ing future appropriate action to improve, modify, or adapt the program to new realities.

Using the procedures leads to the following conclusions regarding the future direction of the NEI.



  • The NEI is a modest program meant to complement U.S. Government and other Baltic Sea region governments’ efforts and provide a value-added dimension to these initiatives. The NEI has successfully complemented other efforts to reinforce the message that U.S. Government endeavors can be best achieved through wide-range areas of cooperation.
  • One objective of NEI was to help bolster U.S. trade and investments in the Baltic Sea region. In that regard, the NEI had no impact.
  • At least three Posts-Tallinn, Oslo, and Helsinki-have raised fundamental questions about the direction of NEI. Oslo is concerned about the Baltic-centered focus of NEI. Tallinn wonders if the NEI should recast its strategic umbrella and refocus integration eastward toward Russia. This will mean changing the label of the NEI policy.
  • Embassy Helsinki believes that the NEI program’s continued focus, primarily on the relationship between the Baltics and Russia, can undermine positive developments in the region.
  • Embassy Helsinki favors the NEI policy direction supporting Baltic nations becoming new members of the EU and possibly NATO allies, rather than focusing on bilateral assistance.
  • The NEI has made some real accomplishments, but these have not always been well advertised. Posts Vilnius, Stockholm, Oslo, Riga, and St. Petersburg share this view.
  • Reinvigorating public diplomacy efforts in support ofNEI remains a key goal. It is important, however, that NEI provide a realistic picture of its functioning and not try to oversell the initiative.
  • Posts are looking forward to receiving a matrix of all NEI projects and their current status. This tool would be invaluable in coordinating activities with other regional Posts. It would also enhance their public diplomacy work.
  • The Posts believe, and the researcher concurs, that the beneficiary countries are now better positioned to assess the real regional and local value ofNEI activities.
  • Future assessments must include site visits by researchers to all of the Posts included in the review. To rely on written documentation without interviewing implementing offices limits the effectiveness and risks the validity of the study.


Section I: Introduction and Methodology

The Northern Europe Initiative (NEI) is a U.S. Government strategy, led by the Department of State, to (a) promote stability in the increasingly vital Baltic Sea region, (b) bolster U.S. trade and investment there, and (c) strengthen key Western institutions and security structures. NEI provides the framework-with an emphasis on regional, cross-border cooperation-for U.S. Government-sponsored activities and programs in this area. Geographically, the initiative encompasses all of the countries and areas bordering the Baltic Sea, plus Iceland.

  • Estonia
  • Sweden
  • Latvia
  • Poland
  • Northern Germany
  • Iceland
  • Norway
  • Lithuania
  • Finland
  • Northwest Russia
  • Denmark

NEI was launched in 1997 as a response to the dramatic progress that occurred in Europe and the Baltic Sea region in the years following the break-up of the Soviet Union. The collapse of communism provided an opportunity for the first time in European history to build a whole and free Europe without dividing lines. It also opened up the opportunity to build a new partnership between the United States and Europe.

The region is made up largely of countries committed to international engagement and to regional cooperation. Although the former communist-bloc countries still lag economically behind their wealthier neighbors, they are making significant progress in their efforts to increase prosperity for their citizens. The Baltic region provides a unique historical opportunity for new economically cooperative structures, which can serve as a model for other parts of Europe. Northern Europe is also a promising area for broader U.S. efforts to integrate Russia into the West in a positive fashion.

NEI is intending to take advantage of these possibilities by energizing U.S. Government agencies, allies, and friends in the private sector and the community of nongovernmental organizations (NGO’s). NEI policy is focused on promoting interregional cooperation in six priority areas: trade and business, CIVIC society, environment, law enforcement, energy, and public health.



In order to make an assessment of the value of the various NEI-funded programs and projects in the Baltic region, it is reasonable and important to establish some evaluation criteria about the four central questions of the assessment study. Without exhausting all possibilities, these criteria are embedded in these questions:

  • To what extent have the activities of the NEI enhanced the Baltic States, i.e., Estonia, Latvia, and Lithuania, and northwest Russia’s ability to integrate into regional Western institutions, e.g., EU, NATO, WTO, etc.
  • How has the U.S. Government NEI policy strengthened its relationship with the Nordic states, Poland, Germany, and the EU in promoting regional cooperation among these entities?
  • Has the NEI bolstered U.S. trade in the Baltic Sea region?
  • How useful have the NEI projects been for their recipients and the U.S. Government in terms of their overall impact on society?


The data base utilized for analysis is based upon five sources:

  • The opinions and reports from implementing officials at the American Missions in the region who are directing or monitoring the specific programmatic activities;
  • The various reports, surveys, and products of the funded projects and programs;
  • Interviews with implementing NGO officials in the region;
  • The qualitative assessment of the NEI coordinator for the past 3 years;
  • and The NEI policy contribution to the accomplishment of goals of the U.S. Government in the Baltic Sea Region.


The central research questions in the study are explored by examining and evaluating the impact of both regional and Mission programs on achieving the objectives of the explicit Northern Europe policy goals. Here the primary device or scheme of assessment is a status or conditional continuum calibrated to contain high, moderate, low, and neutral statements as identified in the database. Figure 1 defines this conditional continuum, which permits a ranking of implementation outcomes.


Table I – Conditional Continuum

High – Strongly achieves at least two or more of the goals ofNEI

Moderate – At least one ofNEI’s goals are met fairly well, but sometime problems arise

Low – NEI goals are not achieved, and project should be adjusted or terminated

Neutral – Insignificant factor that played little or no role in achieving the NEI goals

This study reviews selected U.S. Government-funded regional and bilateral programs in the six priority areas: trade and business, civil society, environment, law enforcement, energy, and public health. Each of the selected projects is identified in section IV of the comparative analysis. The following definitional discussion highlights the importance of these areas in achieving the goals of NE!.

Trade and Business involves developing regional economical ties and expanding U.S. business opportunities in northern Europe. The Baltic region, itself a direct market with nearly 60 million people and a potential stepping stone to the much larger markets of Russia and central and eastern Europe, is ripe with such opportunities. U.S. Embassies there have developed a number of programs to support American companies interested in investing in and trading with the Baltic and Nordic states and with northwest Russia.

Civil Society is about increased public participation in the political system for all ethnic groups, which should contribute significantly to internal stability and economic prosperity.

Environment deals with the many environmental challenges in the NEI region. Environmental initiatives can address cross-border watershed management projects and programs that provide training in environmental management for military bases in the region.

Law Enforcement is critical in establishing an efficient legal system in the Baltic States to combat corruption and to end money-laundering there and in northwest Russia. Legal assistance and training to all three Baltic States and Russia are critical in creating a modem legal education for students from all three Baltic republics. Law Enforcement against Organized Crime is also important in establishing the rule of law.

Energy Reform in this Region is a basic building block for northern Europe’s economic growth. The development and implementation of a regional energy investment strategy are important in creating a common regional electricity market. This goal is only possible through the restructuring of the power sector, within an effective price and regulatory framework, and a privatized energy sector in order to attract strategic investment (including U.S. investment).

Public Health in many ways may be the key area that will ultimately determine the future well-being of the Baltic States and northern Russia. Tuberculosis and HIV infection rates are exceptionally high in this region. Working together with UNAIDS, the Baltic Sea States Task Force on Infectious Diseases, the governments in the region, and the U.S. helped launch a regional HIV/ AIDS strategy in 2000 to guide all international treatment efforts in the region. In March 2000, the U.S. Centers for Disease Control and Prevention (CDC) opened a Center of Excellence for Multidrug-Resistant Tuberculosis in Latvia, which is cofunded by Sweden and Latvia. The Center serves as a magnet research, treatment, and training center for the entire region. The U.S. Embassy in Copenhagen serves as a hub for public health activities throughout the NEI region.


Organization of the Study

Section I provides an overview of the goals of the Northern Europe Initiative (NEI), methodology, and criteria utilized in analyzing the data based upon the NEI six priority areas.

Section II presents a conceptual model, which organizes and illustrates the structural relationship between the Post and selected NEI activities.

Section III is an analysis of three case studies about regional and bilateral programs. In this section specific Mission NEI programs and activities are examined.

Section IV compares and contrasts the regional and Embassy programs to determine to what extent they address the central research question of the study. This is accomplished by using a qualitative ranking technique.

Section V provides findings, conclusions, and policy recommendations.






Case Study #1: Public Health

CDC Regional Tuberculosis Project


In response to the growing tuberculosis (TB) public health emergency in the Baltic States, the United States, the World Health Organization (WHO), and the Governments of Estonia, Latvia, and Lithuania pooled their resources and developed a strategy to halt the spread of multi drug resistant (MDR) TB. The U.S. Government contributed $850,000 in FY 2000-2001.

Implementation Project: a Center of Excellence established for MDR- TB in Riga, Latvia.


Resulting Activity

  • The Center has assisted Latvia in further reducing its MDR- TB burden by setting up a sustainable and reproducible model ofMDR TB management in a resource poor country.
  • The Center is used to train clinicians from other Soviet republics of the region that face the same issue with MDR- TB.

In Estonia, the national TB program trains participants on all aspects of ambulatory care and infection controls. Three phases of training have been funded with a grant from the Northern Europe Initiative (NEI) and the Finnish

Lung Association. Phase four received a $100,000 grant from NEI in 2002 to complete the TB nurses training.

In contrast to Latvia and Estonia, Lithuania has the largest population in the Baltic States. In 2002, Lithuanian officials received a $150,000 grant from NEI to complete a survey so that they can move forward to establish a national strategy for MDR- TB. The U.S. Centers for Disease Control (CDC) is assisting Lithuanian officials in this regard.

Assessment by U.S. Embassies in Riga and TalJinn. The NEI programs have been a success in combating drug- resistant TB. CDC Regional Tuberculosis projects are quite exciting and are moving forward. The commitment from national partners is great, and they bave proven quite willing to share their experience. The delegation from Russia that participated in the January 2001 TB course gave them rave reviews. As a compliment to the technical and programmatic quality of the Latvian Program, the World Health Organization has approved it to receive MDR- TB drugs through the Global Drug Fund/Green Light Committee. It provides drugs at a greatly discounted price. Washington has continued to be in communication with the Council of Baltic Sea States/Task Force on Communicable Diseases in the hope that additional support can be leveraged for this particular program.


Case Study #2: Energy
Baltic Regional Electricity Market Project


The Baltic Regional Electricity Market project was initiated under USAID funding. This l8-month technical assistance project has an estimated completion date of July 31, 2002. The project has provided assistance to the Forum of Baltic Regulators and Transmission Operators. The status and the assessment of this project’s work are viewed in the context of current U.S. foreign policy objectives in the region. U.S. Government funding for FY 2000-2001 was $300,000. Some of the lessons learned from the project include the following:

  • Today there is no possibility of delivering gas to the Baltics, except via Russia. There are no high- voltage lines connecting the Baltics with Poland or Finland.
  • Although it might be possible technically to supply Kaliningrad with power from Lithuania, without any connection to Latvia or Estonia, a highly reliable and low-cost supply of electric energy can be achieved only when western Russia, Belarus, Estonia, Latvia, and Lithuania are all operating in one interconnected power system.
  • The good news is that the recent development in foreign policy guarantees has enhanced energy security for the Baltic countries. As a result, NATO accession will not require the Baltics to become independent of Russia. The supply of gas from Russia will continue, and the joint operation of an interconnected electricity network will continue.
  • The Russian electric power system has initiated a reform program, intended to attract foreign investment and establish an electricity market on the basis of principles that will be roughly comparable to the EU. For the Russians, the Russian Electricity Directive is the most important piece oflegislation governing the future of electrical companies in the Baltic countries.
  • This legislation will be critical for all the Baltic States, particularly if they join the European Union.



The two main complications in setting up a Baltic Regional Electricity Market are adverse energy development in southeastern Europe and Russia’s inability to increase gas or electricity exports to the Baltics.

  • The level of economic development in Albania, Kosovo, Montenegro, Bosnia-Herzegovina, and Macedonia (the Former Yugoslav Republic of (FYR)), is substantially below that of EU accession candidates in northern Europe.
  • The aging Unified System of Russia’s power stations equipment exceeds the rates at which they are updated and new facilities are installed. This means a substantial growth of repair costs and maintenance, an increase in the incidence of equipment failures and low fuel efficiency. As a result, UES of Russia expects an output shortfall by 2005.



From a foreign policy perspective there are three reasons why the formulation of a Baltic regional electricity market would be desirable. First, it would set a good example for the Balkans. Second, it would promote cooperation among the Baltic States, Russia, and other states in the region. Third, it would establish a framework in which power supply alternatives could be evaluated on a regional basis and implemented. The prospects for NATO and EU accession are favorable; the Baltics have “graduated” from USAID technical assistance programs; and arguably, the EU should take responsibility for any further assistance. More research is needed to understand the long-term electricity supply problem.


Case Study #3: Environment

Watershed Management: Environment


The programmatic activities of the U.S. Environment Protection Agency’s (EPA) Region 5 Office of International Activities in the Baltic region, were conducted under the umbrella and funding of the Department of State’s Northern Europe Initiative’s Great Lakes/Baltic Sea Partnership. The Freedom Act funding focused on Russian participation in Watershed Management (Nemunas River Basin, Sesupe River sub- basin), and 3 Rivers in three countries (Lithuania, Russia, and Latvia) in the Yom, Aluksne, and Pskov triangle area). U.S. Government Funding for FY 2000-2001 was $185,000.

In May 2000, Kaliningrad officials were introduced to watershed management concepts in a joint Russian- Baltic training visit to the Great Lakes Region. This meeting was the first of many between officials from the EPA, Lithuanians, and their Russian counterparts. The results of these meetings and interactions led to the following:

  • Completion of the first joint water quality survey on the Sesupe and Nemunas River by Lithuanians and Russians in the Kaliningrad Region.
  • An agreement to collaborate in the areas of river quality modeling and data management and pollution prevention education.
  • Routine cross-border, working-level Government contacts maintained as a result of meetings facilitated by U.S. project funds and/or TACIS.
  • Latvians invited Russians to attend the first Baltic Military Conference on Environmental Cooperation in Sigulda (September 2001. Military and civilian representatives from Germany, Poland, 3 Baltic Countries, Denmark, Finland, Norway, Sweden, and U.S. attended. Russia sends military attache from Riga due to lack of travel funds).
  • Russians from Emergency Response Ministry (Moscow and Kaliningrad) and Baltic Fleet participate in Officer and Senior Non- Commissioned Officer Environmental Awareness course at Lithuanian invitation (Sweden pays for Russian travel). All three Baltic countries attended
  • the course and the trainers were from the US, Sweden, Latvia, and Lithuania.
  • Introduction of watershed management concepts to NGO’s and local Governments to deal with multilateral watershed situations. Commitment of support on the part of Estonian and Latvian national government for local trans boundary activities.



The Ministry of Natural Resources (Moscow) reconfirmed that the current Marine Inspector is the official Sesupe project lead. Both the Inspector and the Head of Department of Natural Resources ofKaliningrad Region Administration strongly support this and the related Swedish watershed activities. The head of the committee of Natural Resources is reportedly adverse to international projects; he refused to allow his staff to participate in our training and is reportedly the source of continued delays in scheduling meetings with Sweden, Lithuanians, and others. Staffs from TACIS, Lithuanian MOE, and Lithuanian Wildlife and Grain have noted this. If not addressed, this could prove to be a barrier to closer working relationships between Kaliningrad, the Lithuanians, and other neighboring countries.



Embassy Tallinn reports that the Watershed Management project was a success and points out that the project accomplished three tasks in three countries, which merged with three rivers. Local NGO’s from the three nations cooperated on monitoring the water quality in a river that runs through all the countries and empties into the Baltic Sea. All sides were engaged and achieved discreet goals. This worked well because the endeavor was depoliticized-as often is the case in the environmental arena.

EPA did an excellent job in assisting project implementation and in monitoring its progress, thus providing the expertise Tallinn lacked to fully monitor the project’s evolution.


The Lithuanian and Kaliningrad Governments established formal working relationships between themselves in the area of environment by providing specific tasks for each side to work on. Equipment provided needed capacity to conduct basic water surveys. Work has been initiated to develop compatible sampling and analytical procedures, databases, and GIS coverage.

Kaliningrad military (Baltic Fleet) and emergency response personnel were introduced to basic environmental management concepts.

The Watershed Management Project has helped to increase the capacity of local governments and nongovernmental organizations for multilateral watershed management. This improved working relationships and mechanisms.




part of the SEED Baltic earmark. The NGO’s that were recipients of the small grants are still spending these funds, and final reports about the projects are not due until October 2002.

Estonian Language CD-ROM Project

Embassy Tallinn reports that this project was very successful because it had a concrete goal: the production of an Estonian language CD-ROM geared to middle- schoolers and hinged to the Estonian school-leaving exam. This will help to compensate for the dearth of teachers of Estonian as a second language and to modernize the non- Estonian integration foundation. It has the support of the Government of Estonia (GOE). The project used State’s Global Technology Corps resources to get a start. The

Learning Company, the U.S. largest foreign language software company, provided its advice and services to Estonia, free of charge. The U.S. Government contributed $40,000 in FY 2000-2001.

Regional Police Training Center

Embassy Tallinn refurbished a room in the local police academy, which is anxious to take on a more ambitious regional role in combating organized crime. The facility is equipped with translation equipment and computers. The U.S. and Estonian authorities will conduct regional training in this classroom. Embassy Tallinn considers the center to be a success because it is a permanent fixture to be used for regional purposes. The U.S. Government contributed $75,000 in FY 2000-2001.






Democracy Commission

Through the Democracy Commission, the U.S. continued to support activities to stabilize democracy. In FY 2001, $225,000 was distributed to 20 Latvian NGO’s to support programs focused on human rights, civic education, Holocaust issues, local environmental education, anti-corruption initiatives, women’s issues, and social integration. Two examples of funded projects include:

  • Transparency International  – Transparency International is an anti-corruption NGO organization that promotes transparency in government and society, and works to reduce corruption at the national and international levels. The grant supported the project, “Strengthening the Public Opinion and Building Capacity for Anti-corruption Work in Latvia.” The project was implemented through a series of public discussions involving the media, a coalition, and monitoring. The grant paid honoraria, advertisement, and program expenses. In FY 2000-2001, Government contributed $9,914.
  • Riga Graduate School of Law – The Graduate School of Law is a private school that offers an intensive and demanding Masters’ Program in International and European Law to graduates from Estonia, Latvia, and Lithuania. The grant provided funds that supported a 2-day conference that initiated public debate and raised awareness about the draft Latvia Code of Criminal Procedures. Latvian law students, media representatives, the European Council, and the members of the European Court of Human Rights and U.S. judiciary participated in the project. The grant paid salaries, space rental, per diems, transportation, and administrative expenses. In FY 2000-2001, the U.S. Government contributed $20,695.



The programs of Transparency International and the Riga Graduate School of Law enjoy good reputations. The researcher reviewed program documentation and concluded that the two projects fulfilled the scope of work outlined in their agreements with Embassy Riga and that they delivered quality products. Embassy Riga concurs with the researcher’s assessment.


Criminal Procedure Code Reform Program

The project’s focus is the anti-corruption and rule of law area. The program has two dimensions. The first consists of helping the Latvians to design, staff, and implement an Anti-Corruption Bureau. The FBI and the U.S. Attorney General’s Office send representatives to Latvia every 6-8 weeks. Using their extensive experience in successful corruption investigations and prosecutions, they provide guidance to the Latvian Government on successful models for each task force. The second area focuses on replacing Latvia’s Criminal Procedure Code. The current Code is a hodge-podge of Soviet, pre-Soviet, and modem European law implemented during the 10 years since independence. In FY 2000-2001, the U.S. Government contributed $65,000.



A U.S. anti-corruption team report (January 13-18, 2002) on the proposed law to create an Anti-Corruption Bureau (ACB) in Latvia stated that an ACB can make a significant contribution to the effort to combat official corruption in Latvia. The report suggested that the impact of an ACB is contingent upon the following conditions:

  • The independence and integrity of the Bureau, and the appearance of its independence and integrity, are adequately protected;
  • The scope of the Bureau’s authority is broad enough to permit it to address the corruption problem in a comprehensive way;
  • The resources committed to the Bureau are adequate to address the tasks assigned to it;
  • The internal structure and eventual staffing of the Bureau enhance rather than impede its potential to be effective;
  • Expectations for the results to be achieved by the bureau are realistic; and
  • Anticipated changes to the Criminal Procedure Code, that would have an impact on corruption investigations, are adopted when they are posed.


Fast-Track Language Training

Social integration is a priority in Latvia, and the NEI supports three projects: two Latvian-language programs and a public awareness campaign. These operations are designed to assist the challenges of a country with close to 40 percent non-Latvians as residents. All three programs are managed by the United Nations Development Program and enjoy the support of multiple cofunders.

The Fast-Track program provides short courses for noncitizens to learn the Latvian language, which will assist them to pass the Latvian citizenship test. In FY 2001, the U.S. Government contributed $95,000.



The course originated in a Freedom House-managed project and was greatly oversubscribed. It has close to a

95 percent success rate in the citizenship test. Polls show that the percentage of people who do not know the Latvian language decreased from 23 percent in 1996 to 9 percent in 2000. This program is considered by many as one of the best integration projects in Latvia, with the Fast-Track program making a contribution to the change.

Embassy Riga reported recently a steady rise in the number of citizenship applications, from 692 in December 2001 to 1,001 in January 2002. The rise is the result of the Government of Latvia (GOL) lowering naturalization fees and the recent public awareness campaign (organized by OSeE and partially funded by NEI), which played an important role. The campaign included information booths, newspaper and TV advertising, and direct mailings. The advertisements (“Make your choice!”) highlighted everyday Russian-speaking residents who had chosen Latvian citizenship.






Vilnius Democracy Commission in FY 2000 supported 16 small grants to Lithuanian NGO’s. Two of those projects are highlighted in the next section of this paper.

  • The Center for Public Strategies ($11,930). The Center is a newly established organization with goals to promote better understanding of ethical differences and to implement civic initiatives that support tolerance within society. The grant supported a project, “Processes of Democratization in Lithuania in the Golden Age.” The project initiated debates that focused on three issues: E-Power and Democracy, Minorities and Citizenship in the Global World, and Globalization Theories and Public Policy. From the debates, researchers were able to publish policy recommendations on the role of globalization and public policy. The grant paid for salaries, honoraria, and publication expenses.
  • The Missing Persons Families Support Center ($5,342). The Center works for the prevention of trafficking of women and children and the reintegration of victims into society. The grant supported the implementation of an education and prevention program, aimed at attacking the problems of trafficking and protection of civil rights. The project consisted of meetings with schools in Lithuania to 1) advise educators on their curriculum, 2) present lectures to students, 3) produce printed materials and videos, 4) develop case studies, and 5) distribute material for resource centers and libraries. The grant paid salaries, transportation, publications, and administrative expenses.


Embassy Vilnius Commentary on USAID HIV/AIDS Project

HIV/AIDS is one of the most critical problems facing the Baltic States, but the work of the contractor that USAID hired to run the program has been unsatisfactory. The HIV/AIDS program is the largest expenditure of American funds and has yielded disappointing results. There have been lengthy delays in developing the program, questionable program management decisions, and, most importantly, very little actual spending on programs on the ground. USAID is conducting a program review to determine the next steps.

The Partners for Financial Stability program has been a success in the Baltics due to the work of the East-West Management Institute. USAID is now proposing to spend another $300,000 to fund other bilateral programs. Post Vilnius agreed to this program, provided the project manager develops specific guidelines for each of the U.S. programs.



The Vilnius Democracy Commission has been very successful in generating proposals and funding NGO’s that are responsive to NEI goals. On the other hand, inadequate information about other funded programs inhibits an assessment of speculating their overall performance in reference to the NEI mission. The other two programs reported on, HIV/AIDS and Partners for Stability, are funded and managed by USAID; they address many of the concerns of NEI.



Northwest Russia – Kaliningrad American Consulate St. Petersburg

From the Consulate perspective, NEI should be judged primarily by the extent to which it strengthens cross-border ties between northwest Russia’s professional and civic organizations and their Baltic/regional counterparts. To the extent it succeeds in achieving that goal, it addresses key problems involving Russia’s European integration and Russia’s own civic society development. Overall, NEI has played a meaningful role in this regard. It has contributed to integrating Russian NGO’s and civic organizations into the wider regional context. It has allowed contract building, opened doors to training and funding from a variety of sources, and promoted sharing of best practices.


Successful Projects Involving Northwest Russia-Kaliningrad

  • A very successful cross-border cooperation NEI project focused notably on environmental issues. Specifically, the Pskov Oblast project centered on the “Three Rivers in Three Countries” conducted in conjunction with EPA. The project focused on watershed issues in Russia, Estonia, and Lithuania. The Consulate is proposing another Pskov-related project to strengthen cross- border cooperation, particularly on the environmental matters.
  • Funding was made available to bring Baltic participants to Russian conferences that discussed issues such as freedom of speech, ethnic tolerance, NATO, and E-government. These issues are of key significance in the region, because by funding these conferences they encourage a free flow of ideas, enabling the breakdown of stereotypes.
  • Freedom House sponsored training for Russian journalists to promote objective reporting on Baltic issues. By focusing on journalists, NEI addresses a group with a particularly significant ability to deal with stereotypes and enhance communications.


Problems and Concerns

NEI programs have sometimes fallen short when “Baltic-wide” programs fail to take into account Russia’s development lag. This was most evident in the Women’s Mentoring Project. Baltic women entrepreneurs possessed more advanced Internet skills, English-language skills, financial opportunities, and “transparent” business culture than their Russian counterparts. In addition, problems of importing donated computer equipment for the Russian participants in a timely manner caused ill feelings. Unfortunately, Russian participants in other regional NEI programs have mentioned this “second class cousin” feeling. We would recommend additional attention be given to designing more feasible Russian participation goals in large regional projects.

The Consulate also suggests the NEI process become more systematic. Currently, projects are solicited on a somewhat ad hoc basis. This results in scrambling to draft project proposals to meet deadlines, often with incomplete or inaccurate descriptions. Flawed designs can prevent good projects from receiving the support they may deserve.



Another difficulty is the dual funding structures in place for NEI Russian projects. While Baltic projects can directly utilize NEI funds, Russian projects (or portions of common projects) must use FSA funds. The Consulate knows and appreciates that FSA managers do their utmost to provide timely funding for all of our projects. We would recommend a mechanism, however, allowing EURlNB to directly manage NEI FSA funds, thus avoiding extra paper work and funding delays.



Overall, the NEI has significantly helped to accelerate northwest Russia’s integration with Europe and the Baltic States on all levels. The NEI has enhanced regional stability and has had a positive effect on larger integration issues.

Unfortunately, NEI accomplishments in Kaliningrad have not always been well advertised. Reinvigorating the Post public diplomacy efforts on NEI’s behalf remains a goal. In so doing, we should be careful not to oversell NEI. Its modest assistance programs are meant to complement other regional and bilateral efforts in the Baltic Sea Region by providing useful value-added resources, services, and products. By highlighting the fact that a NEI project has successfully complemented other efforts, we would not only provide a realistic picture of its functioning but also reinforce the message that our goals can best be achieved through a wide range of cooperation.

Finally, the Post is looking forward to receiving a performance matrix from EURlNB with all the NEI projects and their current status. This tool would be invaluable in coordinating Mission activities with other regional posts. It would also enhance their public diplomacy work.



NEI Projects and Programs in Other Countries Bordering the Baltic Sea- Poland, Germany, Norway, Sweden, Denmark, Finland, and Iceland

American Embassy Warsaw

The Post participated in one NEI-funded project. The project supported a study of leasing mechanisms to support energy efficiency, and was conducted by the U.S. Department of Energy. The project was dormant for several months and appears to have been unsuccessful due to the lack of support from the Government of Poland, due in part to the changing regulatory situation.

The project does not appear to have had any regional cooperation element, aside from the fact that other projects were coincidentally being undertaken in Baltic countries. Post does not support additional funding for this project.

Poland has always been a marginal player in NEI, given the higher priority placed on relations with the European Union and the Ukraine.


The one area where the Post sees potential for NEl work, and in which the Government of Poland (GOP) is interested, is Kaliningrad. The Post would strongly support a U.S. Government-financed project that brings together Poles, Russians, Lithuanians, and others to craft practical means to improve trade and political and other ties between Kaliningrad and its neighbors.



American Consulate Hamburg

Northern German officials and NGO’s have been enthusiastic supporters of the NEI and of the EU’s Northern Dimension, given the importance of regional cooperation in “their” front yard pool. German police have participated in several NEI training programs in the past 3 years, and participants from Kiel, Hamburg, and other northern German cities have participated in some of the NEI regional International Visitor programs. The Consul General in Hamburg organized a conference in May 2001 in Schwerin on E-Government that brought together municipal officials and IT specialists from the Baltic states, Russia, Poland, the Nordic countries, and the U.S. to learn about and share experiences regarding government provision of E-services.

Germany, as 2000-2001 chair of the Council of Baltic Sea States, organized several regional seminars and workshops on topics like NGO development and electronic commerce, but the U.S. did not participate directly in those. Germany also provides a significant amount of bilateral assistance to the Baltic States.


German police participation in NEI training programs with other police in the Baltic Sea region has helped to facilitate regional cooperation and cross-border ties. These officials’ participation in regional meetings are important but are marginal when considering the range of NEI initiatives. The May 200 I E-Government conference was the Consulate’s most significant NEI accomplishment because it brought together municipal officials and IT specialists from the Baltic States, Russia, Poland, and the Nordic countries.


American Embassy Stockholm

Embassy Stockholm considers public health/ infectious diseases and the regional International Visitors (IV) program in Sweden as successes worthy of note. (The Multilateral Nuclear Environmental Program of Russia (MNEPR) is the principal loser among its activities.)

  • In the area of Infectious Diseases, the Swedish Institute for Infectious Disease Control (SMI), Karolinska Institute, has had useful cooperation with the Centers for Disease Control on relevant activity in the Baltics and Russia. The Post believes this cooperation can and should continue. They also note that SMI is increasingly upgrading its attention to international work with the creation of a secretariat to coordinate its projects. SMI will be looking more actively at cooperation and linkages with foreign partners. This implies that project funding will continue.
  • Stockholm initiated the regional International Visitor program on NEI in 1999,2000, and 2001. The Post believes it has contributed measurably to enhanced linkages among specialists throughout the region. European participants learned about U.S. cooperation with Northern Europe in areas of law enforcement , the environment, energy, business promotion, and building civil society.
  • The Multilateral Nuclear Environmental Program of Russia (MNEPR) predates NEI, but its regional goals are consistent with NEl. No other NEI- related activity in Sweden has failed due to the inability by all negotiating parties to reach an acceptable compromise. As a result, the stalemate of MNEPR negotiations also stymied promising ideas for other projects that have never gotten off the ground. Thus, the shadow cast by the failure of these negotiations is even longer.


The Post believes that the beneficiary countries are better positioned to assess the real (i.e., local) value of any of these activities and defer to their colleagues across the Baltic to make those judgments. evertheless, the Mission believes that there is value added in partnering with Sweden on discreet activities. It can help the U.S. Government leverage their support to obtain more funds and provide for closer ties throughout the region, one of the NEI pillars.


American Embassy Copenhagen

The Copenhagen Regional Environmental Office (CREO) focuses on three of the NEI priority areas (environment, energy, and health). The Post believes that by and large, the NEI program in Denmark has been a great success. While there is still much work to be done, NEI funding has assisted the integration of former iron curtain states into the Western family of free-market, democratic nations. For this Post, an effective NEI program should fulfill at least one (hopefully more) of the following criteria:

  • The activity should fit into an existing or new process. For example, a program on integrated coastal zone should fit into the regional ICZM plan developed by the Helsinki Commission.
  • Where possible, the program should be implemented jointly with a cosponsor (government, NGO, etc.). The Post believes the most reliable indicator of success for an NEI project is the level of effectiveness, enthusiasm, and capacity of the cosponsoring organization.
  • NEI programs should be evaluated not simply in the context of the events themselves, but in the wider context of the wider political message they send.


Two Successful CREO Pojects

1) The Post’s work on alien invasive species is a positive example of working within a process. That effort began when the Nordic States compiled an exhaustive catalog of invasive species in their countries. However, they did not include relevant and critical information from the wider regional ecosystem of the Baltic Sea, its watershed, and surrounding areas.

To remedy this, the Nordics expressed an interest in expanding their efforts to include the Baltic States, Poland, and Russia. The U.S., with considerable experience in both invasive species and regional (North America) strategies, was able to facilitate this process through an ongoing series of NEI workshops and meetings.

2) In 1999 the Post hosted an NEI workshop on Y2K preparation. The primary goal of the workshop was to initiate an on-going communication exchange on Y2K

preparations in the region and how to best solve the potential problems leading up to the millennium changeover. Good intentions to work together were expressed by everyone at the conference. Nevertheless, no regional information exchanges were initiated for the conference, nor did the conference help with preparations within the countries attending.



The Copenhagen Mission’s work with NEI leads to

the following:

  • Working through existing structures and mechanisms is more effective than trying to create new ones. For instance, the U.S. was (and is) concerned about the growing incidence of HIV/ AIDS in the eastern Baltic Region. The NEI sponsored and co-organized a series of 2-day regional workshops aimed at developing a strategy to deal with this threat. That strategy was plugged into the Council of Baltic Sea States’ Infectious Disease Task Force for Implementation. The U.S. provided start-up costs and salary for a coordinator for a year, with the CBSS agreeing to maintain the operation beyond that time.
  • The CREO does not possess the technical expertise or administrative resources to effectively advance any environment, energy, or health agendas that Post pursues in the region. Instead, the Mission is reliant upon cosponsors to playa leading role in formulating strategies, designing agendas, identifying participants, and outlining desired results. The CREO’s role is one of facilitator by which it brings players together, moderates a discussion of the issues, and offers seed money for program activities.
  • The Post has learned through experience that the choice of a cosponsor( s) is critical to the ultimate success of a project. For example, the CREO spring 2000 unsuccessful foray into urban/port redevelopment was due not to poor choice of issues, but rather to a poor choice of partners.
  • Similarly, the Post’s success with the ongoing civil-military emergency planning (CMEP) activities is almost entirely ascribable to the strength and ability of U.S. Government partners in that program.
  • The Post has seen initial suspicion of U.S. participation in various regional fora, quickly dispelled by promise of U.S. expertise or funding. The Mission’s work with the Helsinki Commission is another case in point to attitudes shifting over the past year from cautiously standoffish to willingness to cooperate. In sum, the Post believes the NEI has been fully successful and is worthy of continuation and expansion.



American Embassy Helsinki

The focus of Embassy Helsinki’s report concerning NEI projects was directed at policy concerns and the future direction of the NEI policy. As a consequence, there is no assessment for Helsinki because no specific NEI projects were reported on Finland. There are, however, a number of Baltic Sea region activities that the Post has been active with that support NEI objectives. For instance, Finnish- U.S. relations, both official and on a people-to-people level, have developed even closer thanks to the excellent U.S. Fulbright Program, targeted public outreach, and an active visitor exchange program.

The Post’s primary concern is that NEI must not undermine the Baltic Countries once they become members of the European Union (EU). In other words, regional cooperation will take place in an entirely new framework when the Balticsjoin EU and possibly NATO. This means that cooperation increasingly will be defmed between EU-Russia and NATO-Russia rather than bilaterally. Therefore, NEI should be revised to reflect support for the Baltics as members of the EU or NATO and not individual nations.

Two other NEI-related initiatives that Post has been actively involved in are the EU’s Northern Dimension and the Baltic Marine Environmental Protection Commission (the “Helsinki Commission” or HELCOM).



American Embassy Reykjavik

Embassy Reykjavik decided after the October 1999 Women’s Conference and Democracy Conference to devote its limited resources to just one major NEI project, the 2000 Nordic/Baltic Businesswomen’s Mentoring Initiative. In general, the Mission considers the project a success (albeit limited) in promoting NEI objectives and regional cooperation in Iceland.

The Embassy assembled a fairly representative group of Icelandic mentors (eight in all) who were enthusiastic about helping their Baltic counterparts. The Tallinn kick- off meeting was extremely useful in matching mentors and clients and in getting the project started. To sustain interest in the project, the Embassy arranged for the mentors to meet regularly with the Ambassador and set up a special roundtable for a session with then Secretary Albright when she visited Iceland in October 2000.

Most of the Icelandic mentors had regular contact with their clients during the l-year mentoring period.

a computer donation program with a local information technology firm. The donated computers had to be significantly modified by the receiving Post before they could be distributed to needy clients (e.g., CD-Rom drives had to be installed, software loaded, etc.). It would have been easier, cheaper, and faster to buy new computers for the clients.

In spite of the problems, the Post believes the Mentoring Project was worthwhile. There was considerable positive publicity in setting up the project, promoting the work of the mentors and organizing the computer donation. The local contacts are still paying dividends for the Embassy.

The Embassy strongly supports the continuation ofNE!. The Mentoring initiative was a concrete project that encompassed all interested NEI countries. The Embassy supports future projects, which include human trafficking and police/ judicial cooperation.








About the Author

Dr. Michael Frazier is an Associate Professor of Political Science at Howard University. Dr. Frazier served as a Visiting Scholar and Foreign Affairs Officer in the Bureau of European and Eurasian Affairs, U.S. Department of State, from 2001 to 2002. He has written three books and numerous articles; serves as the editor of the refereed journal, Government & Politics; and has served in public administration assignments in eight Federal agencies. He has taught at four American universities-National Defense College, Howard, Maryland, and Cincinnati.

Worldwide Information Warfare

DEFENSE POLICY Worldwide Information Warfare: 

The Search for the Information Warrior in the United States, England, Norway, and j apan ‘


During a 1996 Pentagon briefing on the”Future of Airpower,” Elliot Cohen of Johns Hopkins University stated that, in the past, Air Force General Officers did extensive permission planning and then were forced to wait for the outcome of a battle to unfold. According to Cohen, tomorrow’s war fighting engagements will see our Generals constantly involved in every phase of an operation due to the huge volume and constant flow of information available to them. Battlefield commanders at the highest levels will have to depend on a  select cadre of information warriors whocan process a large amount of diverse information quickly and efficiently (Cohen, 1996).

The significant impact of both the end of the Cold War and dramatic advances in technology have prompted the world-wide military establishment to reevaluate time-tested war fighting techniques. Many present-day military doctrinalists call these new war fighting strategies information warfare or information operations. According to the latest military publications, Information Warfare is defined as, “Those actions taken to achieve information superiority in support of national strategy by affecting adversary information and information systems, while leveraging and protect- ing our own information and information systems”. General Ronald Fogleman, the USAF Chief of Staff, often addresses this “Fifth Dimension” of warfare. He states that, ” … dominating this information spectrum is going to be critical to military success in the future” (Fogleman, 1995). Our national intent, there- fore, must be to deny the enemy’s use of critical information systems, protect ours, and leverage the differential (Kuehl, 1995). The most obvious problem for strategists is determining just how to achieve this goal. Sun Tzu, our oldest and perhaps most distinguished military theorist, was concerned with the accurate processing of information and intelligence as early as 500 B. C. He states that, “…if you know others and know yourself, you will not be imperiled in a hundred battles” (Cleary, 1991).


The first question we must ask ourselves, therefore, is, “Who are we?” What cognitive abilities/differences do the Air Force information warriors of today possess? Sun Tzu also believed that commanders must attempt to defeat their enemies before reaching the battle- field. Modern information operations may be fought on a “virtual battlespace” which will be very difficult to define. Aspects which commanders once concentrated on, such as geography and weather, may soon be irrelevant. The Cognitive Functions of the modern information warrior are illustrated in the above I, illustration. With the use of the latest computer technology, it may be possible to engage and defeat an enemy from thousands of miles away, without firing a single shot. This new battles pace will place even more emphasis on dynamic information processing.decision making, and problem- solving. The immense volume of in- formation may be problematic. The 21st century information warrior will, therefore, experience “information overload.” Battlefield commanders will be asked to function in a highly unstructured, fast paced, information rich, virtual battlespace. Timing and tempo and the quick and efficient processing of information will be an important key to victory. The obvious question we must ask ourselves then, is whether we possess the war fighting personnel who can face these new challenges. How will the officers of tomorrow process information; what types of problem solving and analytical techniques do they possess; and will they be able to function in a highly technical computer-enhanced war fighting world?


An investigation of the individual cognitive styles of our future war fighters can answer some, if not all, of these questions. Cognitive learning styles, as defined by Messick (1976), ” … help explain how an individual responds to a wide range of intellectual and perceptual stimuli. Each person’s style is determined by the way he takes note of his total surroundings, how he seeks meaning, how he becomes in- formed”. In other words, cognitive styles explain how individuals make decisions, interpret data, respond to information, and deal with their intellectual and perceptual environment. The potential impact of cognitive psy- chology on information operations is vast. The US Air Force is currently researching meth- ods, procedures, and their associated implica- tions in this new realm of Information War- fare. InApril, 1995 the Air Intelligence Agency, in cooperation with the Institute for National Security Studies, requested that research be conducted to determine the relationship be- tween cognitive styles and Information War- fare.


In 1996, Howard University conducted a joint research project with the Pentagon Air

Staff, Air University, and the USAF Academy. The purpose of this study was to identify a multi-dimensional construct of the cognitive styles of international Air Force officers. Knowledge of individual cognitive styles can potentially impact world-wide education and training, international relations, and the success or failure of future information operations. This research also sought to develop a “cognitive map” of the “ideal” information warrior. Identifying these 21st century warriors can have a dramatic impact on how we structure our forces in the future. General Officers must surround them- selves with highly effective and efficient information warfare cadres in order to survive 21st century conflicts. The figure above illustrates the cognitive functions of the information war- nor.




To determine a world-wide cognitive profile, 314 cadets were tested in four countries- the United States, England, Norway, and Japan. Researchers have identified approximately twelve different cognitive styles. This study investigated the cognitive styles that dealt specifically with information processing. Each cadet was administered three highly reliable cognitive style tests. The first test, the Group Embedded Figures Test, determines whether an individual is field independent or field de- pendent. Field independence and field dependence indicates the degree to which an individual can discern details in complex visual environments and explains an individual’s problem solving and information processing thought processes. This test also measures motivation, personality, and analytical skills. These skills will be critical to information warriors in the future. The second test, the Ge-




The USAF has made several significant changes in its Professional Military Education program, based on the feedback from these tests. Changes include an aggressive cooperative learning program and changes in the implementation of wargaming and course evaluations.

Findings also revealed that, although statistics showed differences among Caucasians and African-Americans, both groups were highly analytical.

stalt Completion Test,

flexibility. Cognitive

individual’s ability to

order to focus on relevant information. An individual who is cognitively flexible can sort through vast amounts of complex information, is analytical, and has highly developed information processing skills. Finally, the Kolb

Learning Style Inventory deter

individual’s predisposition to any

perceptual, or information-processing tion. It also indicates how individuals learn, perceive their environment, and how they pro- cess information. Statistical comparisons were

3). The biggest differences in the scores of the international cadets tested were found in Japan. Japanese cadets are very homogeneous (i.e., no single cognitive style stood out over the rest). This finding is consistent with Japanese values, harmony, consensus and how the individual identity is submerged in the group.

4). Results also indicated that English cadets tend to be “thinking oriented,” Norwegian cadets tend to be “doing oriented,” and Japanese cadets tend to be “feeling oriented.”

5). Finally, this research found that a large number of cadets in each group tested would make “ideal” information warriors–highly analytical, cognitively flexible, and field in- dependent.

Although more research in this area is needed, these preliminary findings can have a significant impact on a wide-range of personnel issues including, how we recruit/select individuals for certain career fields (e.g., computer technology, war gaming developers, intelligence processors, air traffic controllers, etc.). This knowledge can also impact education and training issues such as how we structure curricula, the amount and forms of technology used, how we test and evaluate trainees, and how we develop wargaming and other training scenarios. Finally, this knowledge base can impact us internationally. This re- search has implications on how we conduct multi-national operations and how we con- duct combined training. We can also gain a greater understanding of foreign nationals and enhance international relations.

made according to commissioning ethnic groups, and nationalities.





determines cognitive flexibility measures an ignore distractions in

The following results were determined by the research:

1). The cognitive styles of USAF Academy and ROTC cadets were significantly different. Over 90 percent of USAF cadets were field independent (highly analytical) and almost 100 percent of this group was cognitively flexible. Only 60 percent of the ROTC cadets were field independent and 80 per- cent of this group was cognitively flexible.


The USAF has made several significant changes in its Professional Military Educa- tion program, based on the feedback from these tests. Changes include an aggressive cooperative learning program and changes in the implementation of wargaming and course evaluations.

Findings also revealed that, although statistics showed differences among Caucasians and African-Americans, both groups were highly analytical.

stalt Completion Test,

flexibility. Cognitive

individual’s ability to

order to focus on relevant information. An individual who is cognitively flexible can sort through vast amounts of complex information, is analytical, and has highly developed information processing skills. Finally, the Kolb

Learning Style Inventory deter individual’s predisposition to any perceptual, or information-processing tion. It also indicates how individuals learn, perceive their environment, and how they process information. Statistical comparisons were

3). The biggest differences in the scores of the international cadets tested were found in Japan. Japanese cadets are very homogeneous (i.e., no single cognitive style stood out over the rest). This finding is consistent with Japanese values, harmony, consensus and how the individual identity is submerged in the group.

4). Results also indicated that English cadets tend to be “thinking oriented,” Norwegian cadets tend to be “doing oriented,” and

Japanese cadets tend to be “feeling oriented.”

5). Finally, this research found that a large number of cadets in each group tested would make “ideal” information warriors–highly analytical, cognitively flexible, and field in- dependent.

Although more research in this area is needed, these preliminary findings can have a significant impact on a wide-range of personnel issues including, how we recruit/select individuals for certain career fields (e.g., computer technology, war gaming developers, intelligence processors, air traffic controllers, etc.). This knowledge can also impact education and training issues such as how we structure curricula, the amount and forms of technology used, how we test and evaluate trainees, and how we develop wargaming and other training scenarios. Finally, this knowledge base can impact us internationally. This re- search has implications on how we conduct multi-national operations and how we con- duct combined training. We can also gain a greater understanding of foreign nationals and enhance international relations.






Cohen, E. (january, 1996). Speech, “The Future of Airpower,” to the USAF National Defense Fellows, Pentagon, Washington, DC.

Fogleman, R. R., General, USAF (April, 1995). Speech, “The Fifth Dimension of Warfare,” to the Armed Forces Communication and Electronics Association, Washington, D.C.

Kuehl, D. T. (1995). Presentation, “Information War- fare: Environment for Conflict, Strategy for the Future,” given at the Institute for National Strategic Studies Informa- tion Warfare Conference, Washington, D.C.

Cleary, T. (1991). Sun Tzu, The Art of War. London: Shambhala Publications, Inc.

Messick, S. (1984). The Nature of Cognitive Styles: Problems and Promise in Educational Practice. Educational Psychologist, .ill(2), 59-74.

Lt. Colonel Michael M. Whyte, Ph.D. was the US Air Force National Defense Fellow and Visiting Professor at Howard University in 1995-96. He is currently the Commander, AFROTC Detachment 27, Northern Ari- zona University.

Michael Frazier, Ph.D., is an Associate Professor, Depart- ment of Political Science, Howard University and is the Editor-in-Chief, Government and Politics.

1 The complete article appeared in the Fall 1997 issue of the Aerospace Education Foundation publication©.





SHARON PRATT DIXON: A New Mayor For The District Of Columbia


A New Mayor For The District Of Columbia

by Michael Frazier 

Sharon Pratt Dixon, a graduate of Howard University’s Department of Political Science and the School of Law, won a landslide victory with an unprecedented 86 percent of the vote against former police chief and Republican candidate, Maurice T. Turner on Tuesday, November 8, 1990. She became the first woman and the third mayor of the District of Columbia.

Throughout both the democratic primary and general election campaigns Dixon ran as a reformist candidate. She promised to “clean house” by firing 2,000 managers, trimming the “bloated” D.C. bureaucracy, and eliminating waste and inefficiency, while at the same time, holding the line on taxes. In her inaugural address on January 3, 1991, she spoke about “the strength that abides in Washington, D.C. cultural heritage and moral values that were part of the community where she was reared, disciplined and loved.”

In spite of many problems facing her new administration Dixon expressed optimism: “To all the
naysayers, we must say, ‘Yes we will!’ She contends naysayers are famous antiquated and obsolete technological for outlining problems as if there were no solutions . . . as if problems (i.e.
fiscal, health, drugs, etc.) were preordained and that we would all drown in a sea of insurmountable concerns.”!
She sent out a message calling for unity for a city, rich in tradition with its many hues and cultures, to work.

If Mayor Dixon is going to be successful in fulfilling the campaign promises previously stated, her stress on “cleaning house” has to promote a new managerial ethos throughout the bureaucracy, one which:

Tie Spending to Results
How can the Dixon Administration maximize scarce resources to be
more efficient in the future? How can

ducts its business. As a consequence, it has not been politically popular for the past ten years to talk about anything  that was adverse to the bargaining managers be effective in periods of unit employees. Therefore, Osborne is dwindling resources (i.e. tax base, fed- correct when he pointed out that poli- eral payment, etc.)? One way to ad- ticians often care more about voter

dress this dilemma is to change the management philosophy of the De- partment of Finance and Revenue. That is, the so-called ”bloated D.C. bureaucracy” is being driven by an

and interest group perceptions than about performance of public agencies and public managers are sometimes pressured to sh ow favoritism to certain groups.

support system requiring labor-inten-
sive resources. Consequently, the op-
erations system does not achieve the
anticipated savings in resources and
efficiency as an automated operation.
Jerome Person, an information man-
agement specialist who has provided
consultative services for a number of
D.C. agencies, asserts that, “Until the
D.C.government can normalize its data
sothat agencies caninteract with each
other their overall operations will
continue to be inefficient.” He recom-
mends that, if you can enhance the
technological support systems, you
decrease the number of persons who well as among the many communities

together to solve the many problems facing the city and to give the people of D.C.the honest deal they deserve and expect. This is the message ofthe Dixon Administration: ”Yes we will.”

Fully funded by ticket sales,
Dixon’s black-tie inaugural ball in
Union Station was a high-spirited
grand affair for the more than 6,000
people in attendance. The next day,
January 4, 1991, reality set in-how to
address the many pressing problems
of the District of Columbia? In this
regard, David Osborne, a student of
successful innovation in government,
highlights ”Ten Ways to Turn D.C. capital acquisition in the form of tant Professor in the Department of Around” and how Mayor Dixon can
really make the District of Columbia

AllofOsborne’s recommendations are excellent, but due to space limita- tions the remainder of this essay will focus only on one of his ideas: ”Tie Spending to Results.” The District’s financial problems provide an empiri- cal example to illustrate the value of Osborne’s assertions.




MunicipalFinance: vationintermsofhowthecitycon-


In spite of many problems facing
her new administration Dixon ex-
pressed optimism: “To all the
naysayers, we must say, ‘Yes we will!’
She contends naysayers are famous antiquated and obsolete technological for outlining problems as ifthere were
no solutions . . . as if problems (i.e.
fiscal, health, drugs, etc.) were preor-
dained and that we would all drown in
a sea of insurmountable concerns.”!
She sent out a message calling for
unity for a city, rich in tradition with
its many hues and cultures, to work

If Mayor Dixon is going to be suc- cessful in fulfilling the campaign promises previously stated, her stress on “cleaning house” has to promote a new managerial ethos throughout the bureaucracy, one which:

Tie Spending to Results
How can the Dixon Administra-

ducts its business. As a consequence, it has not been politically popular for the past ten years to talk about anything

tion maximize scarce resources to be
more efficient in the future? How can that was adverse to the bargaining managers be effective in periods of unit employees. Therefore, Osborne is dwindling resources (i.e. tax base, fed- correct when he pointed out that poli- eral payment, etc.)? One way to ad- ticians often care more about voter

dress this dilemma is to change the management philosophy of the De- partment of Finance and Revenue. That is, the so-called ”bloated D.C. bureaucracy” is being driven by an

and interest group perceptions than about performance of public agencies and public managers are sometimes pressured to sh ow favoritism to certain groups.

support system requiring labor-inten-
sive resources. Consequently, the op-
erations system does not achieve the
anticipated savings in resources and
efficiency as an automated operation.
Jerome Person, an information man-
agement specialist who has provided
consultative services for a number of
D.C. agencies, asserts that, “Until the
D.C.government can normalize its data
sothat agencies caninteract with each
other their overall operations will
continue to be inefficient.” He recom-
mends that, if you can enhance the
technological support systems, you
decrease the number of persons who well as among the many communities

together to solve the many problems facing the city and to give the people of D.C.the honest deal they deserve and expect. This is the message ofthe Dixon Administration: ”Yes we will.”

Fully funded by ticket sales,
Dixon’s black-tie inaugural ball in
Union Station was a high-spirited
grand affair for the more than 6,000
people in attendance. The next day,
January 4, 1991, reality set in-how to
address the many pressing problems
of the District of Columbia? In this
regard, David Osborne, a student of
successful innovation in government,
highlights ”Ten Ways to Turn D.C. capital acquisition in the form of tant Professor in the Department of Around” and how Mayor Dixon can
really make the District of Columbia

AllofOsborne’s recommendations are excellent, but due to space limita- tions the remainder of this essay will focus only on one of his ideas: ”Tie Spending to Results.” The District’s financial problems provide an empiri- cal example to illustrate the value of Osborne’s assertions.

means to secure the desired resources, it should consciously seek a maximi- zation of results from existing ones.

1Washington Post, January 3, 1991, A6,

are performing the same task.” The initial technological investment in a large infrastructure is quickly amor- tized and pays for itself as a result of lower, continuing personnel costs (i.e. benefits, promotions, cost of living adjustments, step increases, etc.). A

which make the District of Columbia a most attractive city. In this regard, the resources ofthe Department of Politi- cal Science at Howard University are available to assist the Dixon Adminis- tration in anyway we can .•

technological equipment is a non-re- Political Science, Howard University. curring outlay. If the city lacks the

(a) seeks cutting edge operations methodologies,

(b) remains alert to ways of en- hancing effectiveness and efficiency in agency operations,

(c)rewards peopIeforperformance rather than their loyalty or mere pres- ence, and

(d)keeps open lines ofcommunica- tion throughout the government as

“Mayor Sharon Pratt Dixon Inaugural Address,” For the past several years, for ex- District Building 1991.

ample, the management of the De- partmentofFinanceandRevenuehave
not been very creative and innovative. It has been a status quo type of opera- tion with very little cutting edge inno-

2’Ten Ways to Turn D.C. Around” in The Washington Post Magazine, December 9, 1990, pp.19-43.

3Jerome Person, Thomas Technical Ser- vices, A Minority D.C. Firm, (301) 937-0184.



Fifth International Conference on Public Management,
Policy and Development

Global Challenges and Opportunities: 

Best Practices in Public Policy and Development for the 21st Century June 18 – 22, 2005 Dakar, Senegal




Proceedings of the Fifth International Conference on Public Management, Policy, and Development

Cheikh Anta Diop University (UCAD) Dakar, Senegal
June 18-22, 2005




Acknowledgments vi

Part One Mirror of Africa 

Babacar Diop Buuba, President of CONGAD

Abdou Salam Sall, President, Cheikh Anta Diop University of Dakar (UCAD)

Sa atou Ndiaye Diop, Minister of Culture and Of cial Historical Sites

Alioune Badiane, Director of Arts, Ministry of Culture

Part Two Health 

Peggy Valentine, Winston-Salem State University Denise Wright, Howard University
Garnett Henley, Howard University


Mary D. Clark, Governors State University

Eliada Nwosu, University of Pittsburgh

Michael Frazier, Howard University Kurt Robertson, Howard University


Part Three The Environment 

Christian W. A. Seifert, Southern University Valerie Fuchs, Michigan Technological University




Part Four 

Technology and Sustainable Development 

Thomas D. Eatmon, Jr., Southern University Ronald A. Harris, Southern University


Decentralization, Governance, and Civil Service Reform Camilla Stivers, Cleveland State University


Esi Ansah, Rutgers University

Part Five Citizenship, Democracy, Peace and Human Rights 

Jennifer Alexander, Cleveland State University

Part Six Conclusion 

Harvey L. White, University of Pittsburgh, CIMPAD General Chair 1997-2005

Part Seven Post Conference Tour 



Translation services provided by:
Professor Guy Martin, Political Sciences Department,

Winston-Salem State University, Winston-Salem, North Carolina (USA) Professor Désiré Baloubi, Applied Linguist, Shaw University, Raleigh, North Carolina (USA)


Opening Address

Babacar Diop Buuba – President of CONGAD 



It is with a feeling of deep satisfaction that I address you in my capacity as president of the Local Organization Com- mittee and the Scienti c Committee of the Conference. On behalf of the two committees, let me rst thank all of you for responding to our invitation and, on behalf of CONGAD and Senegal’s civil society, for the trust that you have placed in us.

This conference is an initiative of a network of African- American university professors and experts in public admin- istration, aware of the need for partnership among govern- ment, the private sector, and civil society. The sites chosen
for the various conferences—South Africa in 1997; Ghana
in 1999; Ethiopia in 2001; Mozambique in 2003; Senegal in 2005; and Uganda in 2007—clearly exemplify the multilingual and multicultural character of this network in support of an Africa dedicated to democracy and good governance. The wager has proven successful, thanks to the dedication and sel essness of the members of the international and local organizational committees but also due to the support of the State of Senegal in general and the President of the Republic in particular. We wish to formally express our sincere thanks and appreciation to you. We also thank the US Embassy and the US-AID Of ce for their moral, material, and nancial support. Thanks are also due to the presidents of Cheikh Anta Diop University (UCAD) of Dakar and of Université Gaston Berger (UGB) of Saint-Louis.

The two years of preparation for this conference have provided an opportunity to test various types of horizontal and vertical partnerships and to witness continuity and change in cooperation. Those of you who are familiar with the concept of the sixth region of Africa within the Afri- can Union—the African diaspora—can witness the cultural, economic, social, and political bridges that the descendants of the people forcibly removed from Africa are now trying to build.

The beams of these bridges were provided by members of the international committee, working hand-in-hand with the local organization committee, composed of representatives
of CONGAD, other civil society organizations, trade union congresses, the private sector, ministries, and key government departments, such as Tourism, Air Transport, Public Service, and Labor. Other cooperating agencies included the Depart- ments of Foreign Affairs, Culture and Of cial Historical Sites, African regional integration, Good Governance, Public Management, and NEPAD (the New Partnership for Africa’s Development), as well as representatives from our universities (UCAD of Dakar, UGB of Saint-Louis, National School of Administration/ENA of Dakar).

We have agreed to work on the theme “Globalization’s Challenges and Opportunities: Best Practices in Public Policy and Development for the 21st Century.” In plenary sessions moderated by eminent scholars and professionals from the public, private, and academic sectors, we shall outline the African and international context within which contending views and perspectives on peace, con ict, and cooperation will be discussed.

Our conference workshops, according to a now well- established tradition, will deal with nine key areas: health, security, trade, the environment, infrastructure, technology, management and reform, education, and human rights. With almost one hundred papers in one week, we shall have ample matter for debate and discussion, but whether our discus- sions and debates will have any impact remains to be seen. This forum will provide a unique opportunity for various partner institutions to compare notes and to share experienc- es. Such partner institutions include CONGAD, which plans to set up a center for information and documentation on development issues, and Senegal’s civil society, which, having organized a research group on public policy and another one on good governance, plus a public management section, has also created a Center for the Study of Development Policies (CEPOD), open to civil society and the private sector as well as anyone interested in the potential of public-private partner- ships (PPD).

A few questions may be relevant overall:
• To what extent does institutional proliferation

breed inef ciency?
• How can ef ciency be measured?
• What are ef ciency’s rationale and priority goals? • What is the real meaning of best practices and in

relation to what?

We can only hope that the fruits will realize the promise of the owers. The two major challenges to be confronted are shared coherence and ef cient solidarity.




Fifth International Conference on Public Management, Policy and Development 

For us in Senegal, the context includes an evaluation of ve years of OMD (Objectifs du Millénaire pour le Développe- ment, or Millennium Development Goals), three years of NEPAD, as well as the relaunching of ALPI (Africa Liaison Program Initiative) for cooperation between African and American NGOs and the US-AID. All these efforts raise the issue of an ef cient and effective partnership, which requires three conditions to succeed:

  • Devising a dynamic legislative and institutional framework;
  • Lifting scal constraints; and
  • Initiating institutional and programmatic solidarity
    and cooperation.
    In this light, we started to work on an idea and a proposal: Senegal, mirror image and/or picture of Africa? Our Director of Historical Sites, Hamadi Bocoum, will try
    to show how Senegal’s prehistory and history can help us to understand the origins of African civilization and human civilization. What can we learn about human evolution
    from Western Cornwall? As Rokhaya Fall Sokona will show, Cornwall was a major population nexus in the human evo- lutionary process. This view will provide us with a lively and dynamic panorama of political, economic, social, and cultural development.
    Yes, Senegal is a microcosm of an Africa that is, at one and the same time, open to outside in uences and jealous of its identity. How are multiple cultural identities re ected in Senegalese society? The rst World Congress of Black Arts attempted to answer that question in 1966, and recent meet- ings enable us to assess the progress made and to evaluate the extent of preserved or recovered archeological and historical knowledge and artifacts.
    Let us now go back to our initial project: Senegal, mirror image and/or picture of Africa? Of these two very similar perspectives, which will prevail? Our experts will no doubt provide a variety of perspectives and arguments, and the jury will give its verdict at the end of the meeting.
    We wish all of you every success in your deliberations.


Professor Abdou Salam Sall
President, Cheikh Anta Diop University of Dakar (UCAD) 



The Cheikh Anta Diop University of Dakar is extremely pleased to participate in the Fifth International Conference on Public Management and Development on the theme “Management, Policy-making and Development.” This meet- ing brings together Africans and African Americans who,
by hosting this event on African soil, wish to contribute to Africa’s development. It behooves us to con rm our shared commitment as well as to bring Africa into an ever-changing world.

Africans and Africans in the diaspora have, for centuries, shared the indignities of slavery, racism, and colonialism. Regarding Senegal, the role of the island of Gorée and the city of Saint-Louis in the Atlantic slave trade is well known. Africans and Africans in the diaspora share a common ideal of peace, tolerance, mutual respect, and mutual assistance.

To a large extent, we share a common destiny that strength- ens the special bond that unites us. As a gesture of solidarity and brotherhood, we strongly support the historic proposal of the African Union to recognize the African diaspora as Africa’s sixth region. This proposal also invites our brothers in the diaspora to actively participate in the reconstruction and renaissance of the continent so that we may nally close the circle.

In this era of globalization, a re ection on the relation- ship between the African diaspora of the United States and Africa is particularly timely. We can also de nitely assess
the place and role of the African-American diaspora vis-à-
vis other—European, Asian, Latin American—diasporas in relation to the continent. Are Africans organizing themselves to draw the maximum bene t from their diaspora in gen- eral and African Americans in particular? Herein lies the main signi cance and purpose of this conference on public management and development policies, and we await the outcome of deliberations with great anticipation.

Given its status in Senegal and Africa, the Cheikh Anta Diop University intends to be an active and central partner in reinforcing the historic link between Africans and African Americans. Africa shall develop based on its communitarian values, assisted by scienti c progress. The African diaspora
in general—and African Americans in particular—will greatly help Africa in the process of internalizing scienti c discoveries.

We also expect our colleagues to show us why and how Senegal may be considered the mirror of Africa. Undoubt- edly, our history presents a society based on tolerance, mutual understanding, and hospitality (teranga). Senegal has always been at the forefront of the struggle for the political and cultural emancipation of Africa.

To all the colloquium participants, I extend a warm wel- come to Senegal and to UCAD. I thank you for placing your trust in the University. I congratulate you, I thank you, and I wish you every success in your deliberations.



Madame Sa atou Ndiaye Diop
Minister of Culture and Of cial Historical Sites, Senegal 



First of all, I would like to thank the organizers of the Fifth International Conference on Public Management and Development Policies for choosing our country as its host, following South Africa, Ghana, Ethiopia, and Mozambique. I extend these thanks along with our warm congratulations to CONGAD and its president, whose colleagues have en- trusted him with the responsibility of chairing the Scienti c Committee as well as the National Organization Committee.

The theme or, as Professor Buuba Diop put it in his ad- dress, working hypothesis, “Senegal: Mirror Image of Africa,” should be treated with extreme caution. Indeed, anyone who is aware of the danger of narcissism will handle any re ecting surface with extra care. In his rst address to independent Senegal, President Senghor warned Senegalese citizens about the dangers of chauvinism in their relations with their Afri- can brothers and sisters. This is why I think it is preferable to reaf rm Senegal’s rm grounding in the African soil—to avoid any danger of self-centered posturing and proffering unsolicited advice and counsel.

Consequently, we must read the theme as an invitation to re ect, together, on a set of speci c historical and geo- political circumstances that have led to the emergence of a viable national entity and a stable state. In this regard, the International Conference on Public Management and De- velopment Policies in Africa should provide its participants with an opportunity to draw lessons from the Senegalese experience, conceived in its totality and all of its dimensions: cultural, political, economic, and social.

Located at the crossroads of international trade and human migrations since time immemorial, Senegal has been able to take advantage of many external in uences—some con- vergent, some divergent, some contradictory—to progressively build a speci c culture that pervades all sectors of national life. This speci cally Senegalese culture, for which the country is known and renowned, takes a variety of distinctive forms.

A culture of cooperation and integration, which trans- lates into a community feeling shared by all of the country’s ethnic groups, most of them originating in the ancient empires of Ghana and Mali, and entertaining relations based on mutual trust and con dence in spite of historical religious differences. In this connection, it might be worthwhile to explore the role of family jokes in strengthening our national identity. Our value of teranga, more than mere hospitality, implies that a foreigner is a relative who is reconnecting with his native family. At a time when everywhere in the world, transnational corporations are consolidating their domina- tion of the global economy under the guise of multicultural- ism, much can be gained from rethinking our culture in

order to make it better support emergent African entrepre- neurship.

A democratic culture, with a dynamics of social integra- tion, that provides a rm foundation for the democratic man- agement of public affairs. It results from continuing struggles initiated during the colonial era and carried over in various forms into the postcolonial period. From Blaise Diagne to Abdoulaye Wade via Lamine Guèye, Léopold Sédar Senghor, and Abdou Diouf, Senegalese democracy was built through the many sacri ces of its various actors. Today, our Senegalese democracy is characterized by Republican institutions that support a competitive, open, and active political game, a free press, and a ercely independent civil society.

An administrative culture that, as successor to the colonial state, has, from the very beginning, set up rational, effective, and ef cient management structures at the cen- tral, regional, and local levels. It has also bene ted from the expertise of well-trained public servants capable of operating at every level of the administrative hierarchy. The universally recognized competence of Senegalese civil servants in various international organizations testi es to the excellence of our bureaucracy.

A culture of creativity that, duly assimilating a variety
of cultural in uences, dates Senegalese literary and artistic creation back to the 15th century with the writings of Fulani, Soninke, or Wolof Muslim scholars. From this tradition have emerged such cultural and literary luminaries as Birago Diop, Léopold Senghor, and Cheikh Anta Diop as well as talented artists and musicians, such as Iba Ndiaye, Papa Ibra Tall, Ousmane Sembène, Youssou Ndour, Wassis Diop, Diouma Dieng Diakhaté, and Collé Ardo Sow. Senegal’s well-deserved reputation as a modern-day Olympus is based on this tradi- tion.

This strong cultural heritage places Senegal squarely at the forefront of the struggle of all African countries for the advent of an African Renaissance. It is now an acknowledged fact that no African country can develop and experience do- mestic peace and tranquility if its neighbors wallow in poverty caused by bad governance and civil wars. Keenly aware of this dilemma and true to his Pan-Africanist ideal, President Ab- doulaye Wade has initiated and supported the New Partner- ship for Africa’s Development (NEPAD) in order to provide the continent with the wherewithal necessary to develop within a revamped African Union, intent upon reconnecting with its worldwide diaspora. It is not by chance that the rst meeting of African Intellectuals and the Diaspora took place in Dakar in October 2004. In the same spirit, Africa, with its dynamic youth and creativity, continues to play a global cul-




Fifth International Conference on Public Management, Policy and Development 

tural role, and that is why other major cultural events, such as the Numeric Solidarity Fund and the World Festival of Black Arts have been scheduled to take place in Senegal.

The objective is to coalesce and mobilize all the conti- nent’s energies toward the achievement of a single goal: the African Renaissance. If the Senegalese experience, as imper- fect as it is, elicits such a keen interest throughout Africa and the world, it means that it no longer belongs to the Senega- lese people alone: it constitutes Senegal’s contribution to the emergence of a new Africa. It behooves all of us to strengthen and to enrich this experience by contributing other national experiences to the reconstruction of Africa. This effort is required of us so that the mirror will stay clear enough to re ect the image of a continent that is both upright and free.

Reasserting Senegal’s interest in drawing the maximum bene t from your re ections and wishing you every success in your deliberations, I declare the Fifth International Confer- ence on Public Management and Development of cially open.


senegAl: Arts And Culture

Alioune Badiane
Director of Arts, Ministry of Culture, Senegal 



Translated by
Désiré Baloubi – Associate Professor of English and Linguistics
Department of Humanities – Shaw University, Raleigh, North Carolina, USA 

In the course of their history, the Senegalese have com- mitted themselves to building a blooming country of balance and prosperity. A few examples:

  1. Senegal is a country of teranga—an elevated form of hospitality among the Senegalese themselves and extended to their guests.
  2. Senegal is a country where dialogue prevails—in the shelter of the palaver tree, one is perpetually searching for what the wise man, Amadou Hampâté Ba, calls, “mutual understanding.”
  3. Senegal embraces freedom of speech—it has a national public radio with 3 stations; approximately 20 private radio stations; about 30 periodicals, besides the state-owned communication media; and a national news agency in addition to another 10 owned by foreigners.
  4. Senegal is ruled by law and democracy. 
    • People appreciate that the judicial bodies function properly.
    • More than 10 political parties are active in Senegal.
    • Dialogue between the ruling party and the opposition is guided by the interests of the
    • The March 2000 presidential election resulted in a
      democratic transfer of power.
  5. Senegal is a country of great spirituality. 
    • Everywhere, people, including families, respect one another and live harmoniously side-by-side, regardless of creed.
    • For 20 years, from 1960 to 1980, President Léopold Sédar Senghor, who was a Christian, led this 90% Muslim country without having to worry about any religious con ict.
    • The traditional practice of Islam, based on brotherhood, enhances the nation’s spirituality and facilitates social cohesion at the same time.
  6. Senegal has a remarkable artistic, literary, and cinematographic tradition.

• Ousmane Sembène produced the rst African

full-length feature lm, La Noire de…(Black Girl), based on his short stories, in 1966. He received
an award for his latest lm, Mooladé, at the Cannes Film Festival in 2004.

• Senegalese authors write in Arabic, French, and Senegalese languages.

• Three Senegalese writers are among the top 12 African best sellers in the 20th century: Léopold Sédar Senghor, for his poetry; Cheikh Anta Diop, for his historical and anthropological studies, including Nation Nègre et Culture (Negro/Black Nation and Culture); and Mariama Ba, for her novel Une si longue lettre (Such a Long Letter). 

• Sokhna Benga won the Grand Prize of the President in 2000 and Special Mention for the Grand Prize of Black Africa in 2001 for her novel, La Balade du Sabador. 

• In art, the giant sculptures crafted by Ousmane Sow still fascinate the world.

• In music, Youssou Ndour received a 2004 Grammy Award. Akon is indeed a Senegalese rap musician; his real name is Alioune Thiam. Doudou Ndiaye Rose has toured the world with her 100-drum symphony.

7. Sports are popular in Senegal—The brilliant football career of the Lions has overshadowed remarkable performances in other elds. Amy Mbacké won a gold medal in the 400m race in the 2001 World Championships in Edmonton, Canada. Also, the national sport shing team has been champion twice— rst in Spain in 2002, then in Dakar in 2003.

What is the rationale behind these achievements? 

The answer lies in a perceptible code of conduct that
is part of both the elders’ wisdom and the ambition of the younger generations. The Senegalese nation, through its ethnic, religious, linguistic, and professional components, conforms to a tradition of inclusion and convergence, while striving for progress and collective growth. Great trust is placed in mankind’s abilities to react to its environment and to live in the present, building on an open country with cultural creativity and a republic that regards culture as a state priority.

An Open Country with Cultural Creativity 

Senegal is located at the edge of the Atlantic Ocean. Dakar, Saint-Louis, and Gorée Island serve as entry gates into Africa. The landscape is a vast, sandy plain limited by the buttresses of Fouta-Jallon to the east and volcanic, rocky mountains to the west. The tropical sahelian climate is mild enough to attract myriad sh and birds.




Fifth International Conference on Public Management, Policy and Development 

Senegalese territory was very early marked by human presence. Archeological searches have uncovered prehistoric sites with objects dating back to the lower Paleolithic period (between 350,000 and 75,000 years ago) and to the Neolithic period (3,300 and 2,300 years before our modern era). The extent and complexity of its megalithic sites, dating from the 8th century, are unique in the world.

Senegal is also an open cultural space. Professor Cheikh Anta Diop brilliantly proved the cultural and genetic relation- ship of Negro-Africans with the people of Ancient Egypt un- der the Pharaohs. He reconstructed migration routes across the continent and demonstrated the cultural unity of Black Africa.

The Senegalese can be classi ed into two major ethnic and linguistic groups: the Mandé, related to the empire of Ghana (Mandingues), and the Atlantic group. Other groups, originally from Africa and other continents, supplement the mosaic of the population of Senegal. From an ethnic stand- point, the Wolof are the majority, representing 40 percent of the population. Most Senegalese speak or understand Wolof, although other national languages are written in an of cially accepted alphabet; balance and harmony stand out as major characteristics of good relationships between neighboring groups. French is used here as an of cial language and for international communication.

Senegal is a crossroads of ideas and beliefs. Other migra- tions followed the internal ethno-linguistic movement. Al- ready in the middle of the 11th century, the Almoravides, who came from the Sahara desert, had conquered the empire of Ghana to start the process of assimilation with the kingdom of Fouta Toro. Dinis Dias, a Portuguese citizen, approached the Senegalese coast in 1444 through the island of Gorée. Slavery followed as well as the teaching of the Christian religion by mulattoes. Colonization, based on rivalry, became a reality with the building of a trading center in Saint-Louis. The history of trade in this part of the world was especially marked by a crime against humanity: the Atlantic slave trade. The island of Gorée is living evidence of it.

Senegal is an intensive cultural melting pot. The ethno- linguistic groups practice what is sometimes called funny relationships or joking cousinhood. It acts out a kind of mythic relationship, based on a master-and-servant principle, accord- ing to which the parties involved have to assist one another and, above all, cannot get angry with one another. This practice affects patronymics, lands, cities, ethno-professional groups, indigenous populations, nomads, and, of course, cousins, in the broadest sense.

A Fighting Ground for the Dignity of Blacks 

The trans-Atlantic slave trade and colonization incited black intellectuals in general and artists and writers in par- ticular to ght for the dignity of oppressed peoples. Léopold Sédar Senghor, a poet and founding member of the Negri- tude movement, assessed the weight of cultural alienation upon the dominated black people as well as the importance of culture in building future independent states. According to him, Negritude is both objective and subjective. As he claims:

Objectively, Negritude is a fact; it is a culture. It is
a collective body of economic, political, intellectual, moral, artistic, and social values . . . Subjectively, Negritude is the approval of this fact of civilization and its projection into the future, into the history
of black civilization to be continued, revived, and ful lled. Take control of the values of black civilization, freshen and fertilize them, with foreign contributions, if necessary, not only to live by and
for oneself but also to let others experience for themselves. In doing so, the Negroes are contributing their share to universal civilization.

Thus, Negritude also means rooting and opening. 

Senegal was also home to Cheikh Anta Diop, who, sharing the battle of the intellectuals of his generation for the political, cultural, economic, and social independence of the people, used the scienti c method to rewrite the counterfeit history of Africa. Bright Egypt in the Pharaohs’ time was indeed Negro. Referring speci cally to intellectuals, he warns, “For us, returning to Egypt in every eld is a necessary condi- tion to reconcile African civilizations and history, to be able to build a body of modern human sciences, and to renovate African culture. Far from being a statement in the past, tak- ing a look at ancient Egypt is the best way to anticipate the future of our culture.” As an early Pan-Africanist, he does
not fail to explain the economic and cultural rationale for a federal state of Black Africa. As Théophile Obenga argues:

Upon taking a close look at his work, one may say that Cheikh Anta Diop has written only one book, only one article, and only one page: let us not de ne being any more in the sense of African humanity

as the sum of fragmentary entities, but let African civilizations, the native languages of the continent, the surface and underground resources, the arts and humanities—in short, let all African materials be


senegAl: Arts And Culture

Alioune Badiane
Director of Arts, Ministry of Culture, Senegal 



hereafter submitted to modern African genius so that it may unfold all its human potential.

A Republic that Has Made Culture the Central Aim of the State 

Following attempts to overhaul and to reform the Sen- egalese education system, thanks especially to the June 1971 Law of Orientation, an Evaluative Conference on Educa-
tion and Training was convened to improve the system and, above all, to address human resources, cultural, social, and economic issues in the country. These three days of national consensus to break away from the colonial education system were truly historic. Clear objectives were formulated to cre- ate a new, national, democratic, and popular school with cultural, scienti c, and technological dimensions, taking
into account positive features of both our civilization and international exchange. The political will to make optimal use of, and especially to apply ef ciently, the recommenda- tions of the Evaluative Conference resulted in the creation of the National Commission for Reforming the Education and Training System (CNRF). After three years of critical think- ing on our education system, from pre-K through college, recommendations were given to the Head of State and signed into what was known as the Orientation Law of February 1991. Today, 40 percent of the national budget is dedicated to education and training.

Senegal aims to preserve cultural values through the writing of a consensual, national, cultural charter in 1983. It states:

In the past, relying on their own genius, our
societies designed economic, social, political, religious, and spiritual systems to address their concerns, their needs, and to satisfy their various aspirations. These local designs, which were highly coherent, gradually evolved to t into new
situations in the course of history. Without underestimating the real, numerous dif culties
that they had to face, such as the vagaries of nature, epidemics, and invasions, due to the weakness of their production techniques and their means of protection, they survived and developed by resolving their major problems in building united communities cultivating distinguished social, moral, and spiritual values.

Genuine heroes, wise individuals, and saints, who are members of our societies, by expressing their

deepest aspirations and their biggest hopes, have demonstrated and have been guided by values, such as honor, courage, wisdom, and dignity at the highest level, particularly during periods of decisive crises for the survival and destiny of these societies.

Today, still fresh in our collective memory, they deserve to be exalted, to be treated as references and role models for our people, and particularly for our youth, in order to triumph over dif culties and to overcome the challenges that threaten us.

Senegal thus acts as a patron in support of cultural policy. The most appropriate examples may be found in its support for artistic works that portray an original and strong Negro-African aesthetic.

Within this framework, sculpture has played a decisive role since the beginning of the 20th century. In 1906, Pablo Picasso broke with everything inherited from the Renais- sance, which ultimately led to Cubism, a new artistic style that in uenced modern art as a whole. It liberated form from the classical Western canons and learned a big lesson from masks: the expression of emotion by rhythm can truly be dis- sociated from natural appearances.

Senegalese political leaders understood the central posi- tion of culture early enough in the building of a national and Negro-African identity to ask for artistic and literary cre- ations, which support cultural landmarks. The symbols of the nation are made material; artists and writers revisit history
to scoop from it necessary resources for economic and social development. An immediate consequence is state patronage, formulated according to the principle that the President of the Republic is the First Protector of Arts and Humanities, and written into the Senegalese Constitution.

If the overall goals of cultural policy can be understood by reading between the lines indicated above, speci c objec- tives should be formulated to address the following concerns: the development of a network of cultural facilities; the development of cultural industries and businesses; a social welfare system for cultural actors; cultural education and professional training for culture-related jobs; the maintenance and dissemination of cultural heritage; the development of relationships among culture, science, and technology; and the development of exchange and cooperative initiatives.

In pursuit of such goals, the National Program for Cul- tural Development (PNDC) aims to formulate the needs in each sector and to plan and to implement cultural initiatives through a collaboration among the state, the local govern-




Fifth International Conference on Public Management, Policy and Development 

ments, and the people. Planned cultural development of the territory will seek to decentralize cultural initiatives around the regional centers for proximity-based management and maximal circulation of resources. The development of human resources will strengthen organizational capacities to meet

the great demands of the people and encourage new compe- tencies through technological advances. Support for private initiatives will include access to credit and strengthening entrepreneurial skills.

Cultural leadership in Senegal works toward the formu- lation of operative concepts, including NEPAD, the Evalua- tive Conference of Intellectuals of Africa and the Diaspora, the Fund for Numerical Solidarity, artistic and literary creation, national and local cultural initiatives, international cultural events, a network of international organizations, and a network of professional cultural actors. The Head of State’s major projects include the Museum of Black Civilizations; the Place of African Memory; the Big Theater; the Museum of Contemporary Art; and the Third World Festival of Negro Arts.

What Conclusions Should We Draw? 

If there is an area of national life in which Senegalese identity is easily recognized, at home as well as abroad, it is de nitely that of culture. As a matter of fact, the Senegalese distinguish themselves everywhere they are, thanks to their open-mindedness, their sense of exchange and dialogue, their creativity, their hospitality, their re nement, and their sense of excellence. They express these qualities in every eld at
all times, helping them to earn so many points and so much admiration. Behind them is an elevated idea of man, not only as a living being, but also as an inventive social personality, a creator of civilization value. It obliges them to be alert at all times. In this era of globalization, Senegal, through his lead- ers, is still capable of reacting to its environment and helping to preserve the sons and daughters of Africa and its diaspora from the pangs of the lonely thought. Every well-educated Senegalese knows that man is cultural by nature and natural by culture.


COllege students’ religiOus prACtiCes And risks fOr HiV/Aids

Peggy Valentine – Winston-Salem State University,
Denise Wright – Howard University, Garnett Henley – Howard University 




Religion’s effect on college students’ decision-making concerning sexual activity is not well understood. This study examined religion and church attendance practices among 614 allied health students who attended 7 Historically Black Colleges and Universi- ties (HBCUs) in the United States. We learned that the majority were sexually active (98 percent), and nearly half attended religious services on a regular basis. Christians were more likely to participate in religious services than other groups. About half of the students used condoms on a consistent basis for protection against sexually transmitted diseases, and there was no difference in condom use among those who attended religious services and those who did not. This study has implications for designing pre- vention programs to reduce the risk of HIV/STDs among college students.

As students enter college, they make choices concern- ing their sexuality and sexual activity. Some choose multiple sexual partners, others a primary partner, and some remain abstinent. Since knowledge alone does not deter risk-taking behaviors (Setumbwe, et al. 1996; Burratini, et al. 1996; Johnson, et al. 1992; Shapiro, et al. 1999; Latman & Latman 1995), some researchers are studying other factors, such as religion and its in uence on sexual activity (Beckwith & Mor- row 2005; Hollander 2003).

Review of the Literature 

College students engage in behaviors that place them at risk for HIV and sexually transmitted diseases. Researchers have reported that 80 percent of college students are sexu- ally active by their freshman year. It is further reported that less than half of college students consistently use condoms, which increases their risk for acquiring infections (Valentine, Wright, & Henley 2003).

In the United States, there is particular concern for HIV/AIDS among African Americans, who represent over half of all new HIV infections. Students at historically black colleges and universities (HBCUs) are particularly at risk. Their rate of infection is thought to be higher than the general population’s. For example, in an American College Health Association study of 408 southern African-American college students, 3.18 percent were diagnosed as HIV positive, compared to 2 percent of other student populations (CDC

1999; Johnson, et al. 1994). Researchers report the need for more HIV prevention programs on college campuses, espe- cially among black college students who engage in risk taking behaviors for HIV (CDC 2003).

In recent years, more faith-based organizations have become involved in HIV/AIDS intervention/prevention. Unfortunately, very little has been published on how they can in uence safer sex or abstinence or how religion and/
or church attendance might in uence sexual behaviors. A survey conducted by the National Campaign to Prevent
Teen Pregnancy (2001) determined that morals, values, and religion played an important role in students’ attitudes and decisions about sex. A similar study conducted by Beckwith and Morrow (2005) showed that spirituality was closely con- nected to more conservative attitudes about sex. A number of other studies have examined speci c religions in relation to incidence of sexual experience. For example, a study among university students in Portugal found that Catholics were
less sexually active than those who did not af liate with a particular religion. Catholic students had their rst sexual experience later than others; however, they tended not to use condoms during their rst intercourse (Guimaraes & Amaro 1996). There ndings were similar to those of Murray (2001), who found that religious commitment was associated with a later onset of sexual activity.

This study contributes to the literature on how religious beliefs and church attendance affect risks for HIV/AIDS among students who are enrolled in health professional programs at HBCUs. Since health professions students are knowledgeable about human sexuality, health promotion, and disease prevention, it would be reasonable to hypothesize that they practice less risky sexual behaviors compared to other college students.


As a component of a CDC-funded project to provide HIV training, we surveyed a total of 614 students who at- tended HBCU schools of allied health along the east and west coasts of the United States. The students completed self- report questionnaires designed to assess their sexual practices and other health-related behaviors. Self-reported measures are typically used in AIDS-related research to examine the incidence and prevalence of sexual practices and prevention interventions. Each student received a survey with a cover letter (informed consent), which described the purpose of the study and emphasized the anonymity and con dentiality of the questionnaire. Inclusion in the study was voluntary.

Acknowledgment. Funding for this project was made possible through a cooperative agreement from the Centers for Disease Control and Prevention.




Fifth International Conference on Public Management, Policy and Development 

The survey consisted of 36 items, which included socio-demographic information, personal sexual practices, risk-taking behaviors, and items identifying religion, spiritual beliefs, and church attendance. The National AIDS Minor- ity Information and Education Program, located at Howard University in Washington, DC, generated the nal survey instrument and distributed the questionnaire during a CDC- sponsored HIV/STD seminar at the collaborating schools.

Descriptive statistics were calculated for all variables. The SPSS univariate and multivariate functions of the Gen- eral Linear Model were used to analyze means and for regres- sion predictions. Variance associated with mean deviations was reported as the standard error of the mean, to account for differences in group sizes. Risk analysis functions for odds ratio and relative risk were calculated with cross-tabulation and chi square tests for variables that were on a nominal or ordinal scale. Related variables were grouped using cluster and factor analyses. All procedures were performed at =.05 within the 95 percent con dence level.

Table 1. Percent and Frequency Description of Data by Ethnicity 

Categories with Percent Respondents  African Americans  Caucasians  Hispanics  Asians  Alaska
Natives/ American Indians 
Participants 63.7 (N=393) 20.3 (N=125) 2.9 (N=18) 6.5 (N=40) 1.1 (N=7) 33.3 (N=34) <.05
Attend Church
< 2 times per year
34.9 (N=135) 44.8 (N=56) 33.3 (N=6) 25.0 (N=10) 71.4 (N=5) 44.8 (N=13) .066
Used condoms 72.4 (N=247) 36.3 (N=41) 33.3 (N=5) 55.9 (N=19) 57.1 (N=4) 50.0 (N=13) <.0005
Income < $30,000 59.7 (N=218) 61.9 (N=73) 52.9 (N=9) 50.0 (N=20) 40.0 (N=2) 40.6 (N=13) <.005
Lived off campus 75.2 (N=279) 99.2 (N=121) 76.5 (N=13) 97.4 (N=37) 100.0 (N=5) 77.4 (N=24) <.0005
Graduate Students 18.3 (N=70) 32.0 (N=39) 44.4 (N=8) 10.0 (N=4) 28.6 (N=2) 15.6 (N=5) <.005
In Primary Relationship 68.4 (N=242) 82.6 (N=100) 88.2 (N=15) 84.8 (N=28) 42.9 (N=3) 82.8 (N=24) <.005
Tested for HIV 62.3 (N=245) 52.6 (N=66) 72.2 (N=13) 52.5 (N=21) 100.0 (N=7) 41.2 (N=14) <.05

COllege students’ religiOus prACtiCes And risks fOr HiV/Aids

Peggy Valentine – Winston-Salem State University,
Denise Wright – Howard University, Garnett Henley – Howard University 



Table 2. Means of continuous variable by ethnicity. Error associated with means is given as standard error of the mean to account for differences in group sizes. 

  African Americans  Caucasians  Hispanics  Asians  Alaska Natives 
Age 25.54±.34 27.54±.60 30.00±153 29.75±1.06 26.40±.93 <.0005
Age at First Sexual Encounter 16.64±.1+8 17.49±.26 16.76±.90 20.53±.54 13.71±1.7 <.0005
Mean Monogamous Sex Last 90 Days 10.36±1.3 20.55±5.6 9.33±2.6 9.75±2.6 18.00±6.6 .124
Mean Non-monogamous Sex last 90 Days 1.76±.2 1.12±.01 1.0±0.0 1.06±.01 1.00±.000 .272
Mean Total Sex Encounters last 90 Days 10.87±1.3 20.61±5.6 9.33±2.55 10.20±2.3 18.00±6.6 .160
Times HIV Tested 2.37±.14 2.57±.45 1.62±.18 2.14±.26 2.43±.37 .753


Descriptive ndings are detailed in Tables 1 and 2. Survey respondents were primarily African American (63.7 percent) and female with an average age of 26 years. The ma- jority of students were sexually active (98 percent), and most engaged in monogamous sexual activity. It should be noted that African Americans were less likely to be in monogamous relationships than whites, Hispanics, and Asians. However, they tended to use condoms more than other racial/ethnic groups. There were no signi cant differences in condom
use and religious af liation among the various racial/ethnic groups.

In terms of classi cation, most of the respondents were undergraduate students who earned less than $30,000 per year. Students who attended religious services frequently reported fewer sexual encounters than those who attended less frequently. Further, those who attended religious services regularly tended to be older at their rst sexual encounter (17.7 years vs. 16.1 years of age). As many students lived on campus as off.

The signi cant ndings also re ected that the students were primarily Protestants and Catholics. Almost half at- tended weekly religious services, and many never attended services at all. There were some gender differences, in that female students participated in religious services more than male students. There were no signi cant differences noted among racial or ethnic groups and participation in religious

services. There were no signi cant differences in religious af liation and STDs or alcohol/drug use.


Our analyses revealed ndings similar to other studies and surveys. Respondents who attended religious services on a regular basis had fewer sexual encounters and tended to be older when they had their rst sexual encounter. Similar nd- ings were reported by Shapiro, et al. (1999), Guimaraes, et al. (1996), and the Associated Press (2001).

This study documented several important points.
1. The majority of college students were sexually active,

regardless of their religious af liation or practices. 2. At least 10 percent of respondents were at risk for

HIV/AIDS, as re ected in self- reports of a history of

STD and alcohol or drug use before sex.
3. African Americans were less likely to be in a

monogamous relationship than other groups; however, they were more likely to use condoms than others.

In designing a prevention program for this group of col- lege students, it is important to recognize that because they are older, they are likely to be sexually active. Prevention programs should focus on the reduction of risk-taking behav- iors, including proper use of condoms, avoiding alcohol




Fifth International Conference on Public Management, Policy and Development 

and drug use, which may impair judgment, before sex, and abstinence. Peer interventions have proven successful in risk-reduction practices. For example, the National Associa- tion for Equal Opportunity in Higher Education (NAFEO) has peer-education programs on HBCU campuses that target youth on risk reduction. These messages from youth educa- tors are well received by youth. For schools of allied health that enroll older students, as in this study, it is important to use community networks of older peer educators to imple- ment prevention programs.

This study also addressed a myth that African Americans are more likely to engage in risk-taking behaviors than oth- ers. African-American respondents in this study were more likely to use condoms than others. While the differences are unclear, a follow up study would be of interest. Further, these respondents have the potential to serve as peer educators for other students engaging in high-risk behaviors.


COllege students’ religiOus prACtiCes And risks fOr HiV/Aids

Peggy Valentine – Winston-Salem State University,
Denise Wright – Howard University, Garnett Henley – Howard University 




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COllege students’ religiOus prACtiCes And risks fOr HiV/Aids

Peggy Valentine – Winston-Salem State University,
Denise Wright – Howard University, Garnett Henley – Howard University 



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HiV/Aids And puBliC pOliCY

Mary D. Clark – Governors State University 



The American public’s knowledge of African politics
and public policy as well as its perceptions of leadership in African countries may be based on what it reads in newspa- pers and hears on televised news and radio programs. This study examined how the US print media present the avail- ability and use of antiretroviral (ARV) drugs for HIV/AIDS in Africa. Articles published in two national newspapers, the New York Times and Washington Post, were reviewed over six months to determine how journalists frame stories on HIV/ AIDS and ARV drugs in Africa.

According to Wikipedia, ARV drugs are used to treat infection by the retrovirus HIV, which causes AIDS. Differ- ent ARV drugs are used at various stages in the HIV life-cycle, and combinations, known as Highly Active Antiretroviral Therapy (HAART), work by suppressing reproduction of any mutation that conveys resistance to one of the drugs with a battery of other drugs. With rare exceptions, no individual ARV drug has been demonstrated to suppress an HIV infec- tion for long, so the standard of care is to use combinations.

ARV regimens are complex, with potentially serious side effects. Adherence poses dif culties, and nonadherence or suboptimal levels can cause viral resistance. Cost, availabil- ity, and health beliefs further reduce the use of these drugs and treatment protocols. Treatment should be offered to all patients who are exhibiting symptoms ascribed to HIV infec- tion, and their education and involvement in therapeutic decisions are critical.


A thematic analysis compared and contrasted how 2 national US newspapers framed stories on the availability in Africa of ARV drugs to treat HIV/AIDS. Articles in United Nations reports (IRIN) were included to validate the content of the newspaper articles in terms of statistics, public policy issues, and events. The results can help people in African countries and the United States understand how news about issues of availability, access, and acceptance of ARV drugs to treat HIV/AIDS in Africa was presented by the three publica- tions.

Review of the Literature on Framing 

Iyengar (1991) de nes the concept of framing as “subtle alterations in the statement or presentation of judgment and choice problems, and the term ‘framing effect’ refers to changes in decision outcomes resulting from these altera- tions” (11). Researchers de ne frames in a variety of ways, some in terms of their effects on the audience, and others focusing on what a frame is. Framing, according to Entman

(1993), “calls attention to some aspect of reality while obscur- ing other elements, which might lead the audience to have different reactions” (55). The way a problem is framed may determine how people understand and evaluate it. He also argues that public opinion can be in uenced substantially by the slant of a news story. According to Gitlin (cited in Mc- Combs, Weaver, & Shaw 1997), “Media frames are persistent patterns of cognition, interpretation, and presentation, of selection, emphasis and exclusion, by which symbol-handlers routinely organize discourse” (6). In response to a critique

by Kosicki, McCombs, et al. (1997) argue that framing is essential to agenda-setting research. Patterson (2000) con- tends that traditional agenda-setting posits that the media tell us what to think about, while framing and agenda-setting research focus on the public policy issues in the news and in voters’ minds. Framing selects elements of a particular issue and manipulates their place in the public’s agenda. That is, framing expands what people talk or think about by examin- ing how they think and talk (Patterson cited in McCombs, et al. 1997).

The news communicates much more than facts (Patter- son cited in McCombs, et al. 1997), with an affective dimen- sion related to the public’s emotional response. One way that the media exerts this affective response is through the narra- tive structure of the news. Schulman (cited in McCombs, et

al. 1997)

argues that:

The way a news story is structured focuses and thus limits the causes and outcomes of the issue. Schudson (1982) argues that the power of the media lies in the forms in which declarations appear. The narrative is the link around which components of who, what, where, why, how, and when (Bennett & Edelman 1985) that form the content of the message are connected. (12)

In this context, the journalist is viewed as a storyteller (Barkin cited in McCombs, et al. 1997).

Another factor to consider in examining media frames is the emphasis topics receive, as shown by their placement and size as well as photographs, pull quotes, and subheads that all give a story prominence. This aspect is salient when we compare the importance of items on the media agenda and on the public agenda. Tankard, et al. (cited in McCombs, et al. 1997) refer to these focal points as framing mechanisms. The frequency with which a topic is mentioned probably has more in uence than any particular framing mechanism (McCombs, et al. 1997).




Fifth International Conference on Public Management, Policy and Development 

Journalists’ Role of in Framing 

This study highlights how journalists and newspaper editors may in uence what people read and play a signi cant role in how a particular issue is framed. Barbour and Wright (2001) note: “The same painting can look very different depending on its frame: a heavy gold baroque frame gives a painting weight and tradition, whereas a thin metal frame makes it more stark and modern. The painting doesn’t change but how we see it does” (280). They contend that be- cause journalists work in a highly competitive environment, they are required to write stories that attract and keep their audience’s attention, which often means presenting news
in an entertaining fashion or in ways journalists think their audience would nd appealing. In reporting a disaster, one journalist may write about the number of injured survivors, while another may focus on the number not injured.

Framing in newspapers is important because the readers form an attentive audience whose opinions can be shaped or changed by journalists who have the power to control content and format. Lotz argues (in McCombs, et al. 1997) that fram- ing is not an ideological bias but a structural bias that results from a selection process. For example, whenever reporters must compress information into a few paragraphs, some
parts are deliberately left out, and some parts are deliberately highlighted, resulting in distortion.

Patterson (2000) distinguishes soft and hard news. “Critics say that the news is based increasingly on what will interest an audience rather than on what the audience needs to know” (3). According to his study, over the past 18 years, news stories that have no clear connections to policy have risen dramatically; in 1980, 35 percent of the news was con- sidered soft but by 1998, 50 percent.

Patterson also notes that many reporters believe they have a directive to represent the public. Their desire to play the role of public advocate has increased substantially since the 1960s. “As journalists’ status rose, they became more assertive, a tendency sharpened by the trend toward interpre- tive reporting. Vietnam and Watergate also contributed to the change; these events convinced many journalists that their judgments were superior to those of political leaders” (288). This role is close to a journalist acting as a political activist. However, Patterson asserts that the media are not as well suited for the role of public representative as political leaders. Journalists are not elected, and the public cannot re them. The public expects them to provide facts upon which to base opinions, not to provide opinions. When journalists frame the HIV/AIDS crisis and stories about the availability and use of ARV drugs as if they were political activists, then it is vital to study their effect on public policy.


The Washington Post, New York Times, and IRIN articles regarding HIV/AIDS in Africa were obtained by searching LexusNexus using Africa and HIV as terms for six months.
A total of 143 articles were obtained: 55 from the New York Times, 37 from the Washington Post, and 51 from IRIN. After reviewing the articles, the eld was restricted to articles on the availability of ARV drugs associated with HIV/AIDS: 6 from the New York Times, 6 from the Washington Post, and 8 from IRIN. 

A coding form was developed to determine the extent to which the articles included interpretive framing. While the research generally is qualitative, using an objective method
to code the articles provided a structure to compare the use of framing within each. According to Patterson (e-mail, 1 October 2002), news stories can be roughly divided between those that are descriptive (telling what) and those that are interpretive (telling what but going on to tell why through analysis, explanation, and interpretation. He noted that the challenge in coding is determining which stories contain a reasonable level of analysis and interpretation. He cautioned that it is important not to confuse interpretive reporting with opinionated reporting. He also indicated that most journal- ists try hard to appear neutral in their reporting; however, neutral reporting becomes interpretive when the journalist is trying to explain or evaluate a development using explicit or implied causal statements. For example, “In an attempt today to woo union voters, Candidate X came out in favor of . . . Unless Candidate X can make a more substantial inroad with these voters, he is likely to lose . . .”

The researcher and an assistant read the selected articles independently and used the coding sheets to determine the extent to which the process described below, and taken from Patterson, were present in the articles.

Analyzing results from separating items in an article/editorial to help readers to understand the topic. Journalists/editors may present an analysis
to closely examine the topics included in the article or offer alternate ways to look at the topics or use examples to support a particular position or point of view on the topic, often using conjunctions (and, but, or) or citing sources/data and mentioning universities/quoting professors.

Explaining is the process of providing additional information for readers to make the topic clearer. The journalist uses transitions that add information,


HiV/Aids And puBliC pOliCY

Mary D. Clark – Governors State University 



such as with, which, because, that, where, and verbs that depict what type of action is happening in the article. Adjectives can be used (e.g., “heavy voter turnout”) to provide additional explanation.

Evaluating is the process of judging, determining, or xing a value to a person, place, or thing. Journalists/editors often use value adjectives (most, always, never, crucial) or comparative or superlative adverbs (better, best, badly).

The data analysis used a thematic approach to compare and to contrast the interpretive reporting in the selected articles. The coding forms provided a structure for determin- ing how the journalists frame the stories for the American public.


An analysis of the framing methods used in newspaper articles regarding the availability of ARV drugs for the treat- ment of HIV/AIDS revealed that they were more likely to use explanation more than other types of framing. Table 1 presents the analysis of the type of framing used in each of the three publications. As some articles used multiple types of framing, the frequency with which each type was used could exceed the number of articles included in the analysis.

Table 1: Types of Framing Used in Newspaper Articles

To further examine the use of framing, speci c quotes from the articles were obtained from selected articles.

Analysis. The use of analysis is indicated in an IRIN article dated 13 January 2005, when an author states that: “While Senegal has one of Africa’s lowest HIV prevalence rates, thanks in part to ef cient campaigning, testing and pre- vention encouraged by the government, the gay community has been sidelined from AIDS programmes since homosexual sex is technically a crime.” The author is providing possible reasons for the low HIV prevalence rates in Senegal (ef cient campaigning, testing, prevention, as well as not counting people in the gay community).

An article in the New York Times, dated 27 January 2005, used analysis to provide a rationale for the lack of treat-
ment of HIV/AIDS in some sub-Saharan African countries. “Surprisingly, some of the most determined countries are the least equipped to deal with the crisis. Zambia, for instance, is treating nearly as many people as South Africa, even though South Africa has a much better health care system and more than ve times as many people in need of anti-retroviral drugs.”

None of the reviewed articles from the Washington Post used analysis to provide a rationale for the use and availability of ARV drugs in sub-Saharan Africa.

Explanation. Explanation was used extensively in framing articles on the availability of ARV drugs in IRIN articles. In a 28 January 2005 article, the author indicated that “Ghana’s subsidised ARV programme is a luxury that is only made pos- sible by funding from international donors. The government has to pay $7,200 per year to treat each subsidized patient in a country whose gross domestic product per capita income is only $304 per year. Patients are charged $5 per month for the drugs prescribed.” The author is attempting to explain that the ARV program is a luxury and what the government has to pay to subsidize patient treatment.

An example of the use of explanation by the New York Times appears in an article dated 25 October 2004: “The gov- ernment once hoped to have 70,000 of its citizens on ARVs by the end of this year, but the rollout of the lifesaving anti- AIDS drugs has proceeded markedly slower than expected. The rst major donations of money from the Global Fund to Fights AIDS, Tuberculosis and Malaria came this year, as well as the beginnings of a White House program, the President’s Emergency Plan for AIDS Relief, which has expanded drug treatment in the capital, Lusaka.” The journalist was trying to explain why citizens were not able to get the anti-AIDS drugs needed to treat them effectively.

Types of Framing New York Times  Washington Post  IRIN 
Analysis 2 0 6
Explanation 3 9 8
Evaluation 4 3 1



Fifth International Conference on Public Management, Policy and Development 

The Washington Post also used explanation in an article dated 19 February 2005 in which the journalist reported the reasons why ARV drugs were not available in Ethiopia. “As Ethiopia grapples with HIV/AIDS, it has received relatively little foreign aid. Lifesaving anti-retroviral drugs, widely avail- able in the West, are just an expensive rumor here.”

Evaluation. In a 17 March 2005 IRIN article, the author implies a cause and effect relationship. “And if the cheaper generic drugs stop owing into Togo, then prices will only rise again.”

A New York Times article dated 28 November 2004 indi- cated that:

Mr. Mbeki remains sensitive about the subject. Asked last month by a white member of Parliament if he believed the prevalence of rape played any role in the spread of AIDS, Mr. Mbeki exploded. The “disease of racism,” he declared,
lay behind portrayals of South African blacks as “lazy, liars, foul-smelling, diseased, corrupt, violent, amoral, sexually depraved, animalistic, savage and rapist.”

The outburst demonstrated how, a decade after the collapse of apartheid, the legacy of that racist system and a huge AIDS epidemic form an explosive brew.

Under apartheid, the portrayal of blacks as
sexual animals was integral to a white policy of dehumanizing them. Such stereotypes do not vanish overnight from white psyches formed over decades of apartheid. Mr. Mbeki’s government, aware of this, remains torn between its promise
last year to provide ARV drugs to all AIDS patients and a lingering anger over the past. The result often appears to be ambivalence, resulting in a slow roll out of drugs.

This article evaluates the causes of the slow rollout of drugs by the government in South Africa.

To further demonstrate the use of cause and effect, a Washington Post article dated 14 January 2005 used this form of framing.

Contrary to popular belief here, AIDS is not necessarily fatal. A small but growing trickle of ARV drugs is reaching those with AIDS in South Africa, allowing dramatically prolonged lives for the few people with access to the medicine. And the government, after years of resistance, is now offering the drugs at some public health clinics.

Yet most of the estimated 5 million South Africans infected with HIV have never even been tested
for the virus. Many of those who die of AIDS complications are unfamiliar with the illness and do not appear at hospitals until they are too sick to gain much bene t from potentially life-prolonging drugs, physicians say.


This brief review of articles in three US newspapers provided evidence that journalists use framing to expand on the description of this serious problem. Many of the articles reviewed were rst-person stories of the effects of HIV/AIDS, and others were purely descriptive, giving facts and not pro- viding any ampli cation.

Additional research is needed on the framing of newspa- per articles to determine its effects on readers. Through the use of framing, journalists may be acting as political activists by choosing what to include and to exclude in their articles. As a result, consumers of news information must examine multiple sources to obtain a comprehensive understanding of a topic, such as the use and availability of ARV drugs needed to combat HIV/AIDS throughout the continent of Africa.


HiV/Aids And puBliC pOliCY

Mary D. Clark – Governors State University 




Barbour, C., & Wright, G. (2001). Keeping the republic: Power and citizenship in American politics. Boston: Houghton Mif in Co.

Entman, R. M. (1993). Framing: Toward clari cation of a fractured paradigm. Journal of Communication, 43 (4):51-58.

Iyengar, S. (1991). Is anyone responsible? How television frames political issues. Chicago: University of Chicago Press.

McCombs, M. E., Shaw D. L., & Weaver, D. (Eds.). (1997). Communication and democracy: Exploring the intellectual frontiers in agenda-setting theory. Mahwah, NJ: Lawrence Erlbaum Associates.

Patterson, T. E. (2000). Doing well and doing good: How soft news and critical journalism are shrinking the news audience and weakening democracy—and what news outlets can do about it. Cambridge: President and Fellows of Harvard College.

Wikipedia. (2005). Antiretroviral drug. Retrieved 8 June 2005, from


Aids And urBAniZAtiOn WitHin A glOBAl

And AfriCAn COnteXt:

Eliada Nwosu – Graduate School of Public and International Affairs, University of Pittsburgh 




This paper compares the relationship of urbaniza- tion and adult AIDS prevalence rates to AIDS rates and other variables known to propel transmission of the disease. Using statistical regression analysis, the analysis includes 80 countries. Contrary to expecta- tions, the variables of income inequality, gender empowerment, and corruption—not urbanization— were the signi cant factors in explaining HIV/ AIDS rates. Gender-empowerment measures became insigni cant upon inserting the African Dummy Variable, implying that that the vast poverty of low- development countries disempowers both men and women. These results imply that structural and envi- ronmental forces that compel migration—rather than the migration process itself—should be the focus of policy-making. Possible policy directions include the promotion of small businessand entrepreneurship and holistic programs that view men and women

as partnering members of a whole rather than as exclusive groups.

Of the nearly 40 million people living with HIV at the end of 2002, 95 percent were living in developing countries (Business Referral and Information Network 2004), and the regions of southern Africa, eastern Asia, and eastern Europe show gradually increasing prevalence rates (UNAIDS & IOM 1998). Why have these regions now become focal points for HIV/AIDS? The 1998 UNAIDS/IOM report on Migration and AIDS also reports that these areas are undergoing dra- matic structural changes as they develop market economies and have opened once-closed borders. Consequently, they are attracting people seeking better economic opportunities in the emerging commercial centers. The movement of people would seem to have a large impact on the spread of the disease.

Literature Review 

Two major conclusions are steadily asserted throughout the commonly cited literature that addresses the link between HIV/AIDS and migration. First, case studies and histori-
cal analyses emphasize the fact that migrants, in contrast to nonmigrants, are at higher risk of acquiring the virus and perpetuating its transmission (Quinn 1994; Decosas 1995; Caldwell et al. 1997). Empirical studies that either draw primary data from a speci c locale (Nunn et al. 1995; Lurie 2000; Poudel et al. 2003) or use secondary data sources, such as national or multilateral databases (Carael 1995; Brocker- hoff & Biddlecom 1999; Dyson 2002), con rm this claim.

Second, studies seeking to identify the cause behind the link between migration and HIV transmission attribute it
to changes in individual sexual behavior due to the migra- tion process and/or fundamental structural crises, such as economic recession, that fuel it (Quinn 1994; Carael 1995; Caldwell et al. 1995; Soskolne & Shtarkshall 2002).

Most studies exploring the migration/AIDS relationship have been based in Africa. Analyzing the entire continent is common (Quinn 1994; Carael 1995; Caldwell et al. 1997). However, West Africa is the focus of many regional stud-
ies, where migration patterns between Ghana, Ivory Coast, Nigeria, and Senegal are explored (Quinn 1994; Decosas et al. 1995; Yelibi & Valentini 1993). Studies focused on south- ern and eastern Africa also highlight the migration patterns within countries, such as Uganda and Kenya (Nunn et al. 1995; Brockerhoff & Biddlecom 1999), as well as the paths carved by migrants from other southern African nations into the mines and factories of South Africa (Chirwa 1998; Lurie 2000; Dyson 2003).

More recently, however, empirical studies of Asia and eastern Europe are emerging as the epidemic becomes a threat to development in these areas. Southeast Asia has of- ten been the focus of study (Dyson 2003; Poudel et al. 2003) as well as nations of the former Soviet Union (Soskolne & Shtarkshall 2002).

Beyond the two main hypotheses consistently con rmed by the literature, several studies have offered new insight into understanding the relationship between migration and HIV transmission. Conventional thought has long asserted that AIDS is introduced into rural areas by migrant workers returning home from urban centers. On the other hand, Lurie (2000) demonstrates that among a large percentage
of HIV-infected migrant couples, the woman was infected rst. Such ndings suggest that the rural and urban dynam- ics of the disease must be investigated simultaneously to understand the full series of events that lead to HIV trans- mission. The “multi-level framework” provided by Soskolne & Shtarkshall’s (2002) study on immigrant communities in Israel offers an analytical tool to further interrogate migra- tion’s complex impact on structural and personal factors that increase HIV prevalence, as seen in Lurie’s study.

Unlike his colleagues, Dyson (2003) uses urbaniza-
tion rates to operationalize migration within a country. His straightforward regression analysis demonstrates that a coun- try’s rate of urbanization explains the variation in its HIV prevalence. He offers the rst statistical test of this hypothesis using cross-sectional data.




Fifth International Conference on Public Management, Policy and Development 

The Problem and the Project 

The relationship between migration in the form of ur- banization and variation in AIDS prevalence is con rmed by the preceding evidence. However, does it imply that the key to AIDS prevention lies in mitigating the risks perpetuated by migration? Does it suggest that AIDS prevention strategies should target migration over other factors that may contrib- ute to the disease? Research must now compare migration’s impact on the spread of AIDS relative to other well-known factors to inform governments of key areas to which limited resources should be channeled for maximum effect.

The following study seeks to determine migration’s prior- ity as a factor in HIV/AIDS transmission. Urbanization’s positive effect on HIV spread is known, but how does its im- pact compare to the in uence of other social variables, such as employment rates or education, in explaining the variance in HIV prevalence? This study hypothesizes that developing countries’ urbanization rates are an important determinant of the variation in HIV/AIDS transmission relative to other variables. It includes socio-economic data on 80 developing countries from 1993 to 2003. Interestingly, the results fail to show that urbanization has a signi cant impact on the varia- tion of AIDS prevalence rates, controlling for other variables, and other variables are shown to have a strongly signi cant relationship. These outcomes imply that it is not the pro-
cess of migration that increases the probability of disease transmission but rather the social and structural factors that trigger the movement in the rst place.

Model and Data 

The model tested the variation of HIV/AIDS prevalence as a function of various socio-economic variables, including urbanization. In total, 10 independent variables are included: adult AIDS prevalence = a + b1 (government expenditures to- ward health) + b2 (corruption) + b3 (income inequality) + b4 (gender-related development) + b5 (male adult literacy rate)
+ b6 (female adult literacy rate) + b7 (industrialization) + b8 (unemployment) + b9 (urbanization) + b10 (religion) + error.

The analysis tested these relationships in 80 developing nations. The breakdown of nations based on their geographi- cal regions is as follows: 29 sub-Saharan African countries; 14 south and east Asian countries; 14 Latin American countries; 13 eastern European countries; 5 Caribbean countries; and 5 countries from the Middle East and North Africa. The data cover or are included in the time span from 1993 to 2003.

Justi cation of Variables 

Adult AIDS Prevalence Rates were sourced from the WHO/UNAID Epidemiological Fact Sheet on HIV/AIDS and Sexually Transmitted Diseases. They describe the percent of adults (aged 15-49) living with HIV/AIDS out of a coun- try’s total adult population at the end of the year 2003. The prevalence rate does not include children, since adult rates are cited by most sources (2004).

Government Expenditures toward Health must be allocated to the areas and individuals most in need. Political stabil-
ity can determine how ef ciently the public health system ensures that supply meets demand. Economically, the more
a government spends on its health care facilities, the more
it can accommodate the demand of its HIV-infected popula- tion. Study data come from World Health Organization Core Health Indicators, which average scal spending on health
as a percentage of total government expenditures for the 5-year span from 1997 to 2001. Government expenditures
are expected to have a negative relationship to adult AIDS prevalence.

Corruption—from unjusti able and unaccountable rent payments to of cials to mismanagement of funds—squanders resources and perpetuates circumstances, such as incomplete projects and inadequate health services, where social costs outweigh social and private bene ts. Corruption was estimat- ed using the well-known Corruption Perception Index (CPI) of Transparency International. It measures the level at which countries are perceived to be corrupt, based on consultation with various experts and businesses. CPIs for each country are averaged for the years from 1995 to 2004. Corruption is expected to have a positive relationship to adult AIDS preva- lence.

Income Inequality. The Harris-Todero Model (Gillis 1992) of economics describes the dynamics of rural-urban migra- tion as motivated by the search for better wages. Typically, societies where the wage differentials between urban and rural sectors exceed the cost of migration—as perceived by the migrant—will trigger the movement of people from their agrarian homes. Hence, income inequality speaks to the broader social disparity that fuels population mobility. This item is measured by the Gini Coef cient with data from
the United Nations Human Development Index. Income inequality is expected to have a positive relationship to adult AIDS prevalence.


Aids And urBAniZAtiOn WitHin A glOBAl

And AfriCAn COnteXt:

Eliada Nwosu – Graduate School of Public and International Affairs, University of Pittsburgh 



Gender Empowerment was measured using the Gender- Related Development Index of UNDP. It is calculated in the same way as the Human Development Index and adjusted for gender inequalities. It takes into account women’s life expec- tancy, educational levels, and real adjusted income. GDI was averaged for the years 1997 to 2002. Globally, gender-related vulnerabilities contribute to HIV/AIDS transmission. The 2004 World’s AIDS Day, themed “Women, Girls, and HIV/ AIDS,” highlighted the need for further inquiry. Gender- related development is expected to have a negative relation- ship to adult AIDS prevalence. UNDP’s Female Economic Activity Rate index was also used to assess the percentage of economic activity performed by women in comparison to the percent of working women in the population and to men.

Adult Male/Female Literacy Rate. Increased ability to comprehend educational material and campaigns may lead to wiser health decisions. Rates were gathered from the World Bank’s World Development Indicators averaged for the years 1993 to 2003. Adult literacy rates are expected to have a nega- tive relationship to adult AIDS prevalence.

Unemployment was computed from annual in ation rates averaged for the years 1993 to 2003. Conventional economic knowledge explains that in ation and unemployment have an inverse relationship. When unemployment is high, wage costs remain low, and employers are not pressured to raise prices; in ation does not rise. When unemployment is low, then employees can push for increased wage costs, which employers then offset with an increase in prices, stimulating in ation (see “Accelerating In ation” http://williamking. In ation rates are gathered from the World Development Indicators. Unemployment can have either a positive or negative impact on adult AIDS prevalence.

Urbanization is measured by annual urban growth rates between 1990-1995 and 2000-2005 compiled by the United Nations Population Division. Urbanization is expected to have a positive relationship to adult AIDS prevalence.

African Dummy Variable indicates whether or not the signi cance of any other variable differs between African and other nations. It is inserted into the model to measure its signi cance within the African context.

Discussion of Empirical Results 

A preliminary regression analysis was performed to assess the relationship between the independent variables and adult AIDS prevalence rates. This preliminary analysis did not include the African Dummy Variable (ADV). Results showed that corruption, income inequality, and gender-related development were the only signi cant variables and were all signi cant at 99 percent con dence levels. The signs of the relationships were also as expected. Urbanization had no signi cant impact on HIV/AIDS prevalence in comparison to the other variables.

The analysis was then expanded to include the ADV in the regression model. The results are shown below. Again, corruption and income inequality were both signi cant at the 90 percent con dence interval or higher, and urbaniza- tion had no signi cant impact. Thus, controlling for all variables in the model, corruption and income inequality better predict variations in HIV/AIDS prevalence. Perhaps as corruption represents money hoarding and contributes
to the stagnation of the economy, opportunities for income generation and distribution are further thwarted, causing the polarization of society. The increasing gap between rich and poor continues to marginalize populations and threatens the sustainability of underprivileged communities. Such dispari- ties would fuel migration, as members of these communities leave home to search for better economic opportunities. Hence, the prevailing conditions rather than migration itself compel certain populations to migrate, increasing their vul- nerability to HIV/AIDS.




Fifth International Conference on Public Management, Policy and Development 

Independent variables  Model 1 


Model 2 


Model 3 


Constant -7.580 (-0.887) -19.691 (-2.851) -20.483 (-2.863)***
Government Expenditures toward health -0.235 (-1.289) -0.265 (-1.423) -0.264 (-1.427)
Corruption 2.088 (2.799)*** 1.525 (2.302)** 1.494 (2.267)**
Income Inequality 0.305 (3.482)*** 0.284 (3.096)*** 0.294 (3.095)***
Gender Empowerment -26.191 (-1.598) ADV Excluded -55.344 (-5.365)*** 0.038 (0.619) ADV Excluded 0.199 (3.601)*** 0.040 (0.738) ADV Excluded 0.178 (3.738)***
Male Adult Literacy Rate 0.018 (0.161) 0.036 (0.313) 0.035 (0.307)
Female Adult Literacy Rate 0.105 (0.875) 0.018 (0.191) (0.016) (0.167)
Unemployment .004 (0.480) 0.000 (0.008) 0.000 (-0.030)
Urbanization -0.287 (-0.445) -0.128 (-0.218) -0.073 (-0.125)
ADV 6.807 (2.235)** 9.923 (4.121)*** 9.726 (4.020)***
Adjusted R  0.585 0.553 0.555 (A) 0.555
F stat  9.929*** 9.117*** 9.164***

Aids And urBAniZAtiOn WitHin A glOBAl

And AfriCAn COnteXt:

Eliada Nwosu – Graduate School of Public and International Affairs, University of Pittsburgh 



Nonetheless, although corruption and income inequal- ity remained consistent, the various gender-empowerment measures were no longer signi cant after insertion of the ADV. The three models tested differ primarily by the measure of gender empowerment used—the Gender-Related Develop- ment Index [Model 1]; the Female Economic Activity Rate,
as percent of working-age women [Model 2]; and the Female Economic Activity Rate, as percent of men’s contributions [Model 3]. All three measures were signi cant at the 99 percent con dence interval during the preliminary analysis, when the ADV was excluded. The regression analyses that included the ADV in the models show that all gender-empow- erment measures have no statistical signi cance as predictors of HIV/AIDS prevalence.

What could explain this change? It is widely claimed that empowering women curbs HIV/AIDS spread. Is this claim wrong, or does it make no difference in the African context? To gain insight, the FEAR 2 data of the UNDP-HDI database were scrutinized more closely, targeting the African countries. The data showed that of 32 African countries, 31 of which were used in this study, 10 were considered medium-develop- ment, while 22 were deemed low-development. The average FEAR 2 gure for all these countries is 72 percent, meaning that the rate at which female activity contributes to the econ- omy is 72 percent of the men’s rate. More than 70 percent of the low-development African countries exceeded this FEAR
2 mean, while only 30 percent of the medium- development African countries surpassed the average. In other words, the economic activity of men and women was more equal in African nations where development is low. This comparison suggests that both men and women are affected by the conditions of pov- erty, resulting in limited economic activity for both men and women. As a result, the difference between men and women’s earning power are negligible because poverty disempowers both men and women. This rationale helps to explain the insigni cance of the GDI and FEAR 1 variables because, although the conditions of poor women are distinct from those of their male counterparts, the gap in HIV/AIDS vul- nerability between the genders may be less in countries where men and women are similarly disenfranchised in contrast to a society where there is large disparity in earning potential and political power between men and women.

Policy Implications and Conclusions 

Statistical analysis of the data set offers some unexpected results. Surprisingly, urbanization does not signi cantly predict the variation of adult HIV/AIDS prevalence relative to, and controlling for, the other variables in the model.

Findings show that gender-related development, corruption, and income inequality have a consistent impact on the varia- tion of AIDS prevalence rates in developing nations; these g- ures change, however, when investigating whether or not the impact of variables varies between African and non-African developing countries. Although the variables of corruption and income inequality remain signi cant, gender empower- ment does not.

The statistical analysis implies that future policy that seeks to curtail the spread of HIV need not target the process of migration alone but rather the social and economic dynamics that encourage migration in the rst place. In other words, policies that focus on migration may only be attack- ing a symptom rather than the actual forces contributing to the disease’s transmission. Policies geared toward alleviat-
ing income disparities, such as support for entrepreneurial ventures, small business development, and rural enterprise, could dampen urbanization itself. Such policies will also be more effective if they take into account the roles that gender, urban versus rural settings, regionalism and international trade, and manufacturing and service industries play in shaping an environment conducive to restoring heath. Such initiatives will also demand the dismantling of government procedures that perpetuate economic disparity, such as
laws biased against small business and actions that chan-
nel resources away from economic growth in lower income communities. Regarding future research, the fact that poverty affects men and women in joint, yet unique ways demands innovative approaches to combating income inequality.




Fifth International Conference on Public Management, Policy and Development 


Brockerhoff, M., & Biddlecom, A. E. (1999). Migration, Sexual Behavior and the Risk of HIV in Kenya. International Migration Review, 33:833-856.

Business Referral and Information Network. HIV/AIDS and small business.

Buve, A., Bisikwabo-Nsarhaza, K., & Mutangadura, G. (2002). The Spread of HIV-1 in Sub-Saharan Africa. The Lancet, 329:2011-2018.

Caldwell, J. C., Anar , J.K., & Caldwell, P. (1997). Mobility, Migration, Sex, STDs, and AIDS: An Essay on Sub-Saharan Africa with Other Parallels. In Gilbert Herdt (Ed.), Sexual Cultures and Migration in the Era of AIDS (pp. 41-54). Oxford: Clarendon Press.

Carael, M. (1997). Urban-Rural Differentials in HIV/STDs and Sexual Behavior. In Gilbert Herdt (Ed.), Sexual Cultures and Migration in the Era of AIDS (pp. 107-126). Oxford: Clarendon Press.

Chirwa, W. C. (1998). Aliens and AIDS in Southern Africa: The Malawi-South Africa Debate. African Affairs, 97:53-79. CIA World Fact Book Database.
Decosas, J., Kane, F., Anar , J. K., Sodji, K.D.R., & Wagner, H. U. (1995). Migration and AIDS. The Lancet, 346:826-829. Dyson, T. (2003). HIV/AIDS and Urbanization. Population and Development Review, 29:427-442.

Gillis, M., et al. (1992). Economics of Development. New York: W.W. Norton and Company.

Lurie, M. (2000). Migration and AIDS in Southern Africa. South African Journal of Science, 96:343-348.

Nunn, A. J., et al. (1995). Migration and HIV-1 Seroprevalence in a Rural Ugandan Population. AIDS, 9:503-506.

Poudel, K. C., Okumara, J., Sherchand, J. B., Jimba, M., & Murakami, I. (2003). Mumbai disease in far western Nepal: HIV infection and syphilis among male migrant-returnees and non-migrants. Tropical Medicine and International Health, 8:933-939.

Quinn, T. C. (1994). Population Migration and the Spread of Types 1 and 2 Human Immunode ciency Viruses. Proceedings of the National Academy of Sciences of the United States of America, 91:2407-2414

“Religion and HIV/AIDS.” (2002). AIDS Action, 47.
Soskolne, V., & Shtarkshall, R. A. (2002). Migration and HIV prevention programmes: linking structural factors, culture, and

individual behavior – an Israeli experience. Social Science and Medicine, 55:1297-1307.

Transparency International. Corruption Perception Index Database.

UNAIDS. WHO/UNAID Epidemiological Fact Sheet on HIV/AIDS and Sexually Transmitted Diseases.

UNAIDS & IOM. (1998). Migration and AIDS. International Migration, 36: 445-466


Aids And urBAniZAtiOn WitHin A glOBAl

And AfriCAn COnteXt:

Eliada Nwosu – Graduate School of Public and International Affairs, University of Pittsburgh 



UNAIDS & IOM. (2001). Population Mobility and AIDS: UNAIDS Technical Update.
United Nations Development Program. Human Development Index Database.
UN Population Division. United Nation Population Database. Wolffers, I., Verghis, S., & Marin, M. (2003). Migration, human rights, and health. The Lancet, 362:2019-2020. World Bank Group. World Development Indicators Database.
World Health Organization. Core Health Indicators.

Yelibi, S., & Valentini, P. (1993). Sociocultural Aspects of Aids in an Urban Peripheral Area of Abidjan (Cote D’Ivoire). AIDS Care, 5, 187-197.


COnteMpOrArY puBliC pOliCY OptiOns fOr tHe HiV/Aids

epideMiC in tHe CAriBBeAn

Michael Frazier – Howard University; Kurt Robertson – Howard University 




The Caribbean HIV/AIDS prevalence rate is approximately 2 percent of the adult population. Many Caribbean leaders see the epidemic not just as a health crisis but also as a major socio-economic problem. Among the 500,000 men and women

in Caribbean countries who are HIV positive and/or living with AIDS, this research focuses on the subgroup between 25-34 years of age who represent the core of the economic and reproduc- tive sectors (McEvoy 2000). For decision-makers in the war against the spread and containment of the HIV/AIDS virus, especially for nancially limited governments that lack resources to fund remediation efforts for people living with the disease, this investi- gation provides alternative policy proposals that are practical and cost-effective.


In the Caribbean, HIV/AIDS rst appeared in Haiti, Jamaica, and Trinidad and Tobago in 1979, 1982, and 1983, respectively (Howe & Cobley 2000). The reported cases
were “among gay men who had sex with North American
gay men, in North America or in the Caribbean” (Camara 2001). Epidemiological studies in both Jamaica and Trinidad showed that subtype B of HIV-1 in the Caribbean is the most prevalent subtype, generally associated with Canada, the United States, and western Europe (World Bank 1997).

According to Howe & Cobley (2002), however, since 1985, female and pediatric AIDS cases have represented 28 percent of total cases reported to the Caribbean Epidemio- logical Center (CAREC) by its member countries, indicating that AIDS was spreading to the general population and no longer restricted to gay or bisexual men. Presently in the Ca- ribbean, transmission is predominantly through heterosexual contact (World Bank 2001).

These high HIV/AIDS prevalence rates are a major con- cern for many Caribbean territories. Governmental efforts, both regionally and nationally, are critical in mitigating the proliferation of HIV/AIDS, and the aim of this research was to provide them with alternative policy proposals.

Section 1 presents methodology. Section 2 presents major cultural and economic policy ndings. Section 3

discusses the cultural dynamics of gender relations; the role of homophobia; the in uence of myths and superstitions
on the surge of HIV/AIDS in the region; and the economic effects of HIV/AIDS on Caribbean governments’ gross domestic products and labor markets. Section 4 examines
the Caribbean Community (CARICOM) and governmental efforts regionally and nationally to slow down the far-reaching effects of the HIV/AIDS epidemic. Section 5 presents policy recommendations for decision-makers in Caribbean societies. They are intended for individuals, families, health profession- als, Caribbean governments, nongovernmental organizations (NGOs), faith-based communities, and international organi- zations committed to mitigating the spread of HIV/AIDS.


This study is a qualitative analysis of Caribbean gov- ernments’ efforts to mitigate the spread of HIV/AIDS. Its strength lies in its in-depth examination of the HIV/AIDS phenomenon and its useful, accessible framework for concep- tualizing policy alternatives.

The study does have some limitations. It does not take into account budgetary disparities between Caribbean gov- ernments. The regional scope also limits its generalizability. Many governments studied here have ineffective surveillance techniques; thus, prevalence rates maybe underreported. These limitations indicate areas for further research.

The database used was derived from primary and second- ary sources. Primary sources included consultations and interviews with Caribbean Embassy of cials, US government of cials, and health care professionals from the National Institutes of Health (NIH); secondary sources were selected from the scholarly and professional literature. The research was conducted from 30 June 2003 to 16 June 2004.

The study found that cultural factors signi cantly affect the spread of HIV/AIDS, and the epidemic has extensive economic effects. These ndings, speci ed below, illuminate HIV/AIDS challenges in the Caribbean region.

1. HIV/AIDS is becoming a female disease, as women and girls are more vulnerable to sexual exploitation and sexual violence than men. Many adolescent girls are having sex with older men, especially in Trinidad and Tobago and Jamaica, which increases the risk for an AIDS surge (World Bank 2001).

1CAREC member countries include Anguilla, Antigua and Barbuda, Bahamas, Barbados, Belize, Bermuda, British Virgin Islands, Dominica, Grenada, Guyana, Jamaica, Montserrat, St. Kitts and Nevis, St. Lucia, St. Vincent, Suriname, Trinidad and Tobago, and Turks and Caicos.

2The Caribbean Community Secretariat (CARICOM) is the organization in control of regional policy and cooperation. It is comprised of the main regional institu- tions, governments, national program managers, donors, UN agencies, and PLWHA from almost every country and territory in the area. Its Human and Social Devel- opment arm is responsible for HIV/AIDS planning.




Fifth International Conference on Public Management, Policy and Development 

  1. Homophobia is one of the leading factors in the spread of the HIV/AIDS epidemic in the Caribbean, The connection between the disease and homosexuality exacerbates the challenges for people living with HIV/AIDS, as they are frequently ostracized and considered pariahs (Human Rights Watch 2004).
  2. Due to the lack of education on HIV/AIDS, myths and superstitions persist and fuel the surge of the disease (Farmer 1999).
  3. In the Caribbean, the median age of people living with HIV/AIDS (PLWHA) is between 25 and 34 years (World Bank 2001). The impact of the epidemic on this group has deleterious effects on Gross Domestic Product (GDP) and labor markets (World Bank 1997).

Analysis and Discussion 

Gender Relations. Women are more vulnerable to HIV than men for biological as well as social and cultural rea- sons. Machismo and male/female power relations have a sig- ni cant impact on many women who have little or no power to negotiate safer sex practices with their male partners (World Bank 2001). Many men in Caribbean countries feel that siring many children is a positive sign of virility. This chauvinistic attitude contributes to the high infection rates in women. “It is estimated that about 35% of the adults living in the Caribbean region with HIV/AIDS are women” (World Bank 2001:15).

A Joint United Nations Program on HIV/AIDS (UN- AIDS 1999) report noting the impact of male chauvinism on the spread of the epidemic recommended that Carib- bean governments pay special attention to sexual relation- ships between young female adolescents and older men, as they may result from rape, incest, domestic violence, and sex for social and nancial support. In Trinidad and Tobago,
28 percent of girls said they had sex with older men. As a result, the infection rates for women between 15 and 19 years of age were 5 times higher than those of their male counterparts (Epstein 2001).

Homophobia. In the Caribbean, HIV/AIDS is widely misunderstood as a gay illness, which obstructs successful prevention strategies and jeopardizes people living with it. The fear of being labeled homosexual in a homophobic culture may prevent people from requesting an HIV test. Others may refuse to divulge any pattern of homosexual

behavior as a potential risk factor if their HIV test results are positive for the virus. In Jamaica and other Caribbean islands, homosexuals are subject to violence ranging from verbal attacks to murder. Jamaican police are frequently reluctant to investigate complaints of homophobic violence or to protect its victims, as the island’s “sodomy laws crimi- nalize consensual sex between adult men” (Human Rights Watch 2004:2).

Furthermore, in many Caribbean states, religious leaders are intolerant of homosexuality, believing it is an abomination. Popular dancehall and calypso musicians reinforce negative stereotypes about homosexuals (Howe
& Cobley 2000). “Their antigay slogans promote violence and discrimination based on sexual orientation and gender identity” (Human Rights Watch 2004:.2). State of cials must enact laws that create a positive environment for homosexual, bisexual, and transgender people, so they can seek and access treatment for HIV and other opportunistic diseases without fear of societal bigotry and reprisals.

Myths and Superstitions in Haiti. In rural Haiti, AIDS
is referred to as sida (Farmer 1999). Rural popular culture perceives it as a new disease connected with skin infections, the symptoms of tuberculosis, drying up of the blood, and diarrhea. According to Farmer (1999), a series of interviews dating from 1983 to 1990 in the rural village of Do Kay revealed that many believed that sida might happen both naturally and supernaturally. “Natural sida is caused by sex- ual contact with someone who is a carrier of the germ and supernatural sida is sent by someone who deliberately exacts death upon the af icted” (176). Such superstitions coupled with cultural attitudes may be accelerating the spread of the disease in Haiti, resulting in devastating economic repercus- sions on the labor market and GDP in addition to the other human costs.

Effects of the HIV/AIDS Surge on Caribbean Labor Mar- kets. The epidemic has signi cant impact on the Caribbean labor force, as it greatly affects people in the prime working ages between 20 and 34 (World Bank 2001). The disease
has become an obstacle to employment objectives and
labor market ef ciency. Lisk (2002) states that reduction of worker productivity owing to AIDS-related in rmities or the demands of caring for a loved one af icted with the disease can substantially decrease output and reduce earnings, skills, and knowledge. He further posits that HIV/AIDS is shifting the age and sex distribution of the labor force, increasing reliance on children and the elderly.


COnteMpOrArY puBliC pOliCY OptiOns fOr tHe HiV/Aids

epideMiC in tHe CAriBBeAn

Michael Frazier – Howard University; Kurt Robertson – Howard University 



Effects of the HIV/AIDS Surge on Gross Domestic Product. 

The University of the West Indies and the Caribbean Re- gional Epidemiological Center (CAREC) conducted a study on the macro-economic in uence of variables in Trinidad and Tobago and Jamaica from 1997 to 2005, modeled on

a low projection of HIV/AIDS infection. It estimated that these countries’ GDPs would decline by 4.2 and 6.4 percent, respectively (McEvoy 2000). Countries like Guyana, Surinam, and the Dominican Republic are impeded in their reactions to the inordinate cost of debt levied on their governments by one of the most vicious epidemics in modern times. Their ef- forts in trying to treat and to contain the disease absorb more than half of their GDPs (World Bank 1997).

International, Regional, and National Initiatives 

International Donors to the Caribbean. “The European Union (EU) and its member countries, the Joint United Nations Program on AIDS (UNAIDS) and its co-sponsors, the U.S. Agency for International Development (USAID), the World Bank and the Canadian International Develop- ment Agency (CIDA) are the primary international donors involved in the HIV/AIDS related activities in Caribbean countries” (World Bank 2001:x). President Bush’s Emergency Plan for AIDS Relief (EPAR), formally known as the United States Leadership Against HIV/AIDS, Tuberculosis, and Malaria Act of 2003, H.R. 1298 (P.L.108-25), is set to make the largest contribution to the Caribbean (see Congressional Research Services 2004).

Regional Initiatives. The Caribbean is strengthening its regional response through the creation of the Caribbean Task Force on HIV/AIDS. The Task Force initiated the Pan Carib- bean Partnership on HIV/AIDS, which cultivated a Regional Strategic Framework (CARICOM 2002). The National AIDS Program is another regional initiative: “it encompasses the media, the public and private sectors, NGOs and community- based organizations and some church groups that have come together in ensuring educational control” (Howe & Cobley 2000:18). Regional strategies usually obtain their importance and power from national policy targets and objectives.

National Initiatives. In the Caribbean, national preven- tion strategies originally focused on behavioral adjustments. However, since 1995, new strategies have focused on epide- miological prevention measures; psychosocial support; HIV/

AIDS/STD clinical management; AIDS, human rights, and other socio-cultural concerns, stressing gender-related prob- lems and poverty (Howe & Cobley 2000). There are many successful national initiatives. In Cuba, for example, the government has created effective health programs that have reduced mother-to-child transmission and made antiretroviral drugs universally accessible to PLWHA (World Bank 2001).


Caribbean cultures play a signi cant role in the regional surge of HIV/AIDS. Cultural variables, such as gender relations, homophobic violence, and superstition, in uence economic factors, such as GDP and the labor market. CARI- COM member governments and other Caribbean govern- ments have bene ted from international interventions and created regional and national agendas to mitigate the spread of HIV/AIDS. While they have achieved some success, many of these initiatives are challenged by competing priorities, including “small economies, heavy reliance on revenues from export and tourism, lack of regional integration on trade and monetary issues and competing social goods such as crime prevention, health and high levels of unemployment” (Aarons 1999:2.).

Policy Recommendations 

These policy recommendations attempt to incorporate different, useful, and innovative methods to mitigate the spread of HIV/AIDS. They should not be seen as a panacea but rather as guidance and structure for implementations that will assist in minimizing the devastation of the HIV/ AIDS epidemic.

1. Government leaders must implement media campaigns and rallies that condemn discrimination against people living with HIV/AIDS. This pernicious cultural stigma leads to human rights violations and contributes to the HIV/AIDS surge (Human Rights Watch 2004).

2. Regional initiatives should incorporate an independent agency, operating under the auspices of CARICOM. It should have oversight responsi- bility and jurisdiction to establish rules and guidelines that pertain to the creation of health policies and conventions regarding HIV/AIDS in member countries.

3H.R. 1298 is a 5-year plan, totaling US $15 billion, to be distributed to 14 African nations and, initially, 2 Caribbean islands: Haiti and Guyana. However, a further initiative under Section of S.116, the FY2004 Foreign Assistance Authorization Act as reported out of Committee (S.Rept.108-56), now listed in H.R.1298 (P.L.108- 25), amended the bill to include 12 Caribbean nations.




Fifth International Conference on Public Management, Policy and Development 

  1. This agency should have departments located
    in CARICOM member and other Caribbean countries. Each department should have an annual budget for implementing HIV/AIDS programs based on the country’s GDP. Yearly budgets will give Caribbean governments an opportunity to opt out of the system if they are dissatis ed with the agency’s performance.
  2. This agency should work in conjunction with international organizations, such as the World Bank, the Bill Clinton Foundation, Human Rights Watch, and CARICOM’S strategic Regional Approach. It should submit quarterly reports regarding the status of surveillance systems and health-care infrastructure and negotiate a single regional price for all antiretroviral drugs with pharmaceutical companies.
  3. The agency will periodically send out observers to member countries. If any human right violations and abuse against marginalized high-risk groups
    or people living with HIV/AIDS are reported or discovered in any country’s department, the member countries will be sanctioned or penalized. The department must le grievances in the host country against, penalize, or incarcerate any health personnel who share con dential information without permission.
  4. Caribbean governments must work in partnership with NGOs, community-based organizations, other government ministries, and the private sector in designing and executing programs that address behavioral patterns like multiple sex partners and cultural norms. There has to be a clear understand- ing that controlling the HIV/AIDS epidemic will require that community leaders, youth leaders, and peer groups are included in the planning and implementation process to harness better results.
  5. School curricula must incorporate high-quality sexual health and HIV/AIDS education to inculcate attitudes and behavior patterns that will reduce the chances of HIV transmission (Kelly 2002). Sex education in schools should target youths 10 years old and older, especially young female adolescents,

informing them of the increased risk for contracting HIV/AIDS through sexual contact with older men.

8. Caribbean leaders should advocate that donor nations suspend all foreign debt, except for 10-
15 percent, which should be placed in a special account, managed by CARICOM, for HIV/AIDS remediation and treatment efforts in Caribbean nations. The World Bank and other donor nations should match these funds, which would represent
a new, international source of funding to help in the ght against a vicious killer that differentially attacks nations with slender economic resources.


COnteMpOrArY puBliC pOliCY OptiOns fOr tHe HiV/Aids

epideMiC in tHe CAriBBeAn

Michael Frazier – Howard University; Kurt Robertson – Howard University 




Aarons, D. (1999). Medicine and its alternative: health care priorities in the Caribbean. Hasting Center Report, 29(4):2. Camara, B., et al. (2001). Twenty years of the HIV/AIDS epidemic in the Caribbean. Retrieved 22 July 2003,


CARICOM. (2002). The Caribbean regional strategic framework for HIV/AIDS: pan-Caribbean partnership on HIV/AIDS 2002-2006. Retrieved 10 June 2004, from

Congressional Research Services. (2004). HR1298: United States leadership against HIV/AIDS, tuberculosis, and malaria act of 2003. Retrieved 17 July 2003, from

Envoy, P. (2000). Heightening the awareness of HIV/AIDS in the Caribbean. Retrieved 18 July 3003, from

Epstein, Daniel. (2001). Confronting AIDS in the Caribbean: major new efforts underway. Perspectives in Health, 6(1):1-2. Farmer, P. (1999). Infections and inequalities: the modern plagues. Berkeley: University of California Press.
Howe. G., & Cobley, A. (2000). The Caribbean AIDS epidemic. Kingston: University of the West Indies Press.
Human Rights Watch. (2004). Hated to death: homophobia, violence, and Jamaica’s HIV/AIDS epidemic. 16 (6B).

Kelly, M. J. (2002). The AIDS epidemic: why must the education system respond? Paper presented to the University of the West Indies and the Association of Caribbean Universities and Research Institutes.

Lisk, F. (2002). Labor markets and employment implications of HIV/AIDS. Retrieved 19 April 2004, from

PAHO. (2002). 100 framework for the accelerating access initiative in the Caribbean. Retrieved 9 November 2003, from

Richardson, D. (1988). Women and AIDS. New York: Methune, Inc.

Schoub, B. (1999). AIDS and HIV in perspective: a guide to understanding the virus and its consequences. (2nd ed.) Cambridge: Cambridge University Press.

UNAIDS. (1999, December). AIDS Epidemic Update. Geneva: UNAIDS/WHO.
World Bank. (1997). Confronting AIDS. New York: Oxford University Press.
World Bank. (2001). HIV/AIDS in the Caribbean: issues and options. Washington, DC: World Bank.

World Health Organization. (1999). Removing obstacles to healthy development. Report on Infectious Diseases. Geneva: World Health Organization.


COAstAl WetlAnds fOr sustAinABle deVelOpMent: A needs AssessMent And pOliCY AdOptiOn fOr tHe stAte Of lOuisiAnA And tHe repuBliC Of senegAl Christian W. A. Seifert – Southern University; Valerie Fuchs – Michigan Technological University 




The state of Louisiana and the Republic of Senegal are similar in that they both contain large coastal wetlands. Human demand for the products, services, and aesthetics of wetland ecosystems is a growing strain on already-stressed systems. Wetlands are economically and socially important and must be protected by policy. Policy-sharing between Louisi- ana and Senegal can promote sustainable economic development, alleviation of poverty, and protection of natural capital.

Before 1927, the Mississippi River ooded each year, depositing thousands of years of sediment to create Loui- siana’s wetlands. After the Great Flood of 1927, the Army Corps of Engineers dredged the river and built levees up
to 20 feet higher for hundreds of miles. The raised levees stopped the natural cycle of ooding that had provided water, sediment, and nutrients for land-building. Since then, 1,900 square miles of wetland have been lost. “Currently Louisiana has 30% of the total coastal marsh and accounts for 90% of the coastal marsh loss in the lower 48 states” (Dahl 2000). The wetlands are being lost by 25 to 35 square miles per

year (CWWPRA Task Force 1997). Although there are many programs to conserve, preserve, and restore wetlands, studies predict that 500 square miles will be lost in the next 40 years (State of Louisiana OLG & CRT 2004b). Only within the last few decades has science or policy begun to de ne, study, or protect the wetlands.

Wetlands serve important functions to societies in and around them. Economically, they provide sheries, timber
or peat production, land development, and water supply. Environmentally, they offer habitat and biodiversity. They provide society with culture, water quality, and ood reduc- tion. Though wetlands are very adaptable ecosystems, some forces can disrupt them beyond their ability to repair. Natural events include subsidence, hurricanes, large oods, and inva- sive species. Canal construction, pollution, clear-cutting, and overcultivation are some of the ways that humans contribute to their loss.

The state of Louisiana and the Republic of Senegal both have large wetland ecosystems. In Louisiana, they are home

to 2 million people and countless plants, animals, and birds. Their sheries, oil, minerals, and ecotourism contribute to the economy. In West Africa, the Senegalese coast is lined with mangrove wetlands, one of the world’s most produc- tive ecosystems and important breeding grounds for sh and other water creatures. Shrimp cultivation is a primary cause of tropical wetland destruction. Land development for agri- culture, important to Senegal’s economy and the livelihood of its citizens, may also contribute to wetland loss. Senegalese wetlands are sanctuaries for millions of tropical birds (James, Harris & Lyles 2004) and a resource for storm and ood protection, indigenous people, sheries, and water pollution control.

Wetlands function under the three pillars of sustain- ability: environment, society, and economy. In Louisiana and Senegal, the three have many interactions, and public policy is an instrument that ties them together and can ensure that their relationships are positive. For sustainable development, this means making policies to protect the environment from resource overconsumption and society from unpredictable events like destructive storms and economy-forced destruc- tion of indigenous habitat and livelihood. Proposed changes to wetland ecosystems and functions should be considered in terms of sustainable development and the effects they may have on natural, societal, and economic needs. It could be bene cial for Louisiana and Senegal to share their respective knowledge of wetland services and management. This study assesses the needs of each region and proposes policies and knowledge that could be shared.


Before wetlands policy. For centuries, Native American peo- ples called the wetlands of this region home. Their lifestyles were connected with the ecosystem and the natural cycles
of ooding. Wetland encroachment and alteration began with post-Colombian settlement and subsequent agricultural demand. In the 1920s, development of the marsh buggy and seismographic techniques enabled oil prospectors to explore the muddy wetlands for subsurface structures capable of holding oil. The functions and services of the wetlands were not understood at this time, and there were no policies for wetland protection. Wetlands were considered wastelands and only valued when their use was altered or underground

Acknowledgments and Disclaimer: This material is based upon work supported by the National Science Foundation under Grant No. 0333401. Any opinions, nd- ings, conclusions, or recommendations expressed in this material are those of the authors and do not necessarily re ect the views of the National Science Foundation.




Fifth International Conference on Public Management, Policy and Development 

reserves of petroleum and other minerals, such as sulfur and salt, were discovered.

In the 1970s, the rst academic mapping studies identi- ed and measured the severity and causes of coastal land loss in Louisiana. Environmental experts often sought assistance from other sectors, such as transportation, seafood, and landowners, to stress the importance of addressing coastal land loss. As public awareness of a disappearing coast and the need for wetland protection grew, the federal and state governments responded with legislation and public policies.

Federal and state-level wetland management. The primary law for wetland protection in the United States is Section 404 of the Clean Water Act. It has allowed the Army Corps of Engi- neers to establish a permit system to regulate the placement of dredged or lled material on a wetland, and the applicant must show that attempts were made, rst, to avoid wetland impact altogether and, second, to minimize it as much as pos- sible. If impact is made, compensation, called mitigation, is required and involves restoring or creating wetlands.

In 1972, Congress passed the Coastal Zone Management Act (CZMA), which encouraged coastal states to develop management policies that placed a high priority on wetland protection. These policies were required to address permis- sible land uses within the coastal zones that would have a “direct and signi cant impact on coastal waters.” The CZMA was crucial in establishing state programs for coastal zone management, but wetland protection did not necessarily take precedence over economic development; instead, the process of development and land use was simply made more dif cult. In 1990, this act was amended by the Coastal Zone Reau- thorization Amendment Act, which required that each state develop a nonpoint-source pollution control program.

In 1977, President Carter issued two executive orders (11990 and 11988) that speci cally established protection of wetlands, riparian systems, and oodplains as the of cial policy of the federal government. Consequently, all federal agencies were required to review their own policies to con- form to these new orders.

With the promulgation of, and funding from, the 1972 CZMA, the Louisiana legislature authored its state plan, the State and Local Coastal Resources Management Act of 1978 (SLCRMA). It named the Coastal Management Division of the Louisiana Department of Natural Resources (LDNR) as the state’s authority for implementing the Louisiana Coastal Resources Program (LCRP), its coastal zone management plan. LDNR’s Coastal Management Division (CMD), in car- rying out the LCRP as authorized under the SLCRMA, has

implemented a permit process that is similar to that carried out by the Corps of Engineers under Section 404 of the Clean Water Act. CMD works in association with the Corps of Engineers.

Wetland restoration. The loss of Louisiana’s coastal wetlands continued. It was projected that without any ac- tion, roughly “2,400 square miles of Louisiana will be under water within 50 years—a third of the entire Louisiana coast” (LCWCRTF 2005). In 1990, the Coastal Wetlands Planning, Protection, and Restoration Act (CWPPRA) was co-authored by Senator John Breaux and passed by the US Congress. CWPPRA, also called the Breaux Act, provides federal funding for wetland enhancement projects nationwide, with approximately $50 million annually designated for restora- tion work in Louisiana. Louisiana contributes 15 percent of the total costs for each restoration project. Since 1991, “more than 50,000 acres of wetlands have been protected or restored compared with what would have been present” without pro- active efforts funded by CWPPRA (LCWCRTF 2005).

CWPPRA-funded projects are handled by the Breaux Act Task Force, which consists of ve federal agencies—the US Army Corps of Engineers, US Fish and Wildlife Ser-
vice, National Marine Fisheries Service, Natural Resources Conservation Service, and US Environmental Protection Agency—and a state agency responsible for implementation and enforcement, the Louisiana Department of Natural Re- sources’ Coastal Restoration Division. This interagency Task Force formulates and designs projects each year to add to its Priority Project List; quanti es actual gains and losses in state wetland habitat using aerial photography and remote sensing, working to achieve a “no net loss” of wetlands from land use and development; and carries out public education outreach programs. During the rst 13 years of CWPPRA implementa- tion, 147 restoration projects were authorized (LCWCRTF 2004). Without federal and state investment in wetland protection and restoration, Louisiana’s coastal wetlands will disappear along with their socio-economic and environmen- tal functions.

Economic need for wetlands in Louisiana. The coastal marshes are very important to the state’s economy. The loss of these lands could mean displacement for many Louisiana residents and the visitors looking for recreational opportu- nities. Ecotourism in the wetlands brings $220 million to Louisiana annually (State of Louisiana OLG & CRT 2004a).

Other wetland-related industries pour income into the state. Louisiana contains as much as 35 percent of US oil and


COAstAl WetlAnds fOr sustAinABle deVelOpMent: A needs AssessMent And pOliCY AdOptiOn fOr tHe stAte Of lOuisiAnA And tHe repuBliC Of senegAl Christian W. A. Seifert – Southern University; Valerie Fuchs – Michigan Technological University 



natural gas reserves, not including Alaska. Its Department
of Natural Resources leases state lands and waterbottoms to oil and gas companies for $375 million each year (Blackmon 2005). In 1999, the seafood industry supplied $558 million of the $8.7 billion in agricultural industries in the state (LSU AgCenter 2000). Trapping is a revenue source; nutria pelts brought $2.1 million in 1997 (Hallowell 2001). Table 1 sum- marizes the major activities based on Louisiana’s sh, wildlife, and boating resources and their economic contributions in 2003. These resources are actively managed by the Louisiana Department of Wildlife and Fisheries, and “not only contrib- ute to the standard of living and economic health of state residents, they also contribute signi cantly through state tax revenues” (Southwick & Allen 2005).

Table 1.
Economic value of Louisiana’s sheries, wildlife, and boating resources in 2003 

  Retail or Harvest Sales  Total Economic Effect  Jobs Created  Sales & Income Tax Revenues 
Hunting $599 million $1.02 billion 9,475 $31.4 million
Recreational Fishing Nonconsuming Fish & $895 million $1.63 billion 16,999 $59.4 million
Wildlife Recreation $175 million $317.4 million 3,324 $11.7 million
Recreational Boating $1.7 billion $1.93 billion 22,741 $99 million
Commercial Fisheries $294 million* $2.61 billion 29,245 $100 million
Alligator $40 million* $73.9 million 541 $2.4 million
Reptile, Amphibian Collection $1.0 million* $1.2 million 14 $47,300
Fur Harvests $1.6 million* $2.9 million 42 $83,000
TOTAL: $5.1 billion $7.1 billion 77,690 $284.4 million

* These amounts represent the proceeds received by commercial harvesters for their sh, alligator, reptile/amphibian, and fur harvests. Source: Southwick & Allen (2005).




Fifth International Conference on Public Management, Policy and Development 

Social need for wetlands. For every mile of coastal marsh that a hurricane crosses, its water surge is reduced by about a foot in height (USACE 1999). The marsh protects thousands of miles of roads, railroads, oil and gas pipelines, water pipes, and electric and telephone lines. Without its protection, residents would be forced to relocate or to deal with harsher hurricane destruction. The soil and vegetation in the coastal wetlands absorb oodwater; they act as a sponge that slows and stores the water ow, reducing ood peaks by as much as 60 percent (CWPPRA Task Force 1997).

Louisiana’s rich Cajun culture relies on the wetlands for food and livelihood. Festivals depend on annual cycles of the swamp, like craw sh season, bird migration, and nutria trap- ping (Gomez 1998). Cajun food includes craw sh, oysters, shrimp, crab, cat sh and alligator, and 12 percent of US seafood comes from Louisiana’s coastal wetlands (CWPPRA Task Force 1997). Land loss may cause sheries to decline, resulting in a loss of cultural identity.

Table 2. Net land loss from 1978 to 2000 

Assessment of Louisiana wetlands and impacts on species abun- dance. Louisiana’s coastal wetlands contain 3.4 million acres, or 5,300 square miles, of swamp and marsh (LCWCRTF 2003). As substantial as that may sound, they are disappear- ing at an astonishing rate, 25-35 square miles each year, as the result of three general causes: (1) the human impact, which has left permanent scars; (2) natural destructive forces; and (3) the cessation of natural constructive processes. With the advent of restoration efforts, however, the net effect of these destructive processes has been reduced. Tables 2 and 3 show net land loss trends, both observed and projected, and the reduction in projected annual land loss is drastic. Although projections are by nature unsubstantiated, these land loss reductions are based on expected aggregate land gains from CWPPRA-funded restoration projects.

  1978-1990 Net loss 1990-2000 Net loss 1978-2000 Cumulative loss Annual loss
Total sq mi (Total sq km) 419 (1085) 239 (619) 658 (1704) 29.9 (77.4)

Table 3. Projected net land loss from 2000 to 2050 

Source: Both tables are adapted from Barras, et al. (2004).

  Land in 2000 Land in 2050 Net land loss 2000-2050 % Land loss Annual loss
Total sq mi (Total sq km) 5,851 (15,154) 5,338 (13,825) 513 (1,329) 8.77% 10.26 (26.57)

COAstAl WetlAnds fOr sustAinABle deVelOpMent: A needs AssessMent And pOliCY AdOptiOn fOr tHe stAte Of lOuisiAnA And tHe repuBliC Of senegAl Christian W. A. Seifert – Southern University; Valerie Fuchs – Michigan Technological University 



Many species of ora and fauna that depend on the wetlands for survival are hurt by land loss and helped by its creation and restoration. Migratory waterfowl bene t from land created by Breaux Act projects, while neotropical bird counts have steeply declined as the bald cypress trees in the swamps are cut down or die off (Wilson 2005). Animal spe- cies, such as oysters, are suffering as saltwater moves inland, bringing with it black drum sh, which decimate them. Saltwater kills plants, the detritus of which would usually feed juvenile shrimp, so shrimp also suffer. Invasive (nonnative) species, such as nutria and water hyacinth, are also decimat- ing the native life (Hallowell 2001).


Government structure, politics, and federal system. Senegal has never had a coup d’etat, a sign of the political system’s stability and integrity. In 1997, the government decentralized, distributing signi cant authority to regional assemblies (US Department of State 2005). These political similarities to the United States could make it easier to share wetlands policy knowledge.

Environmental policy. The Ministry of Environment and Nature Protection (MEPN), responsible for creating and implementing environmental policies in government, was established in 1993. Its missions include:

  • a)  protection and effective management of natural reserves and national parks;
  • b)  protection/restoration of soil and precautions for reforestation and bush- re control;
  • c)  prevention of environmental pollution and its harmful effects and provision of environmental impact assessments of development projects; and
  • d)  conservation and extension of sheries and water resources.

Social and economic facts. From 1995 to 2003, Senegal’s GDP grew an average of 5 percent annually, while its popula- tion growth rate declined (CIA World Fact Book 2005), which meant a growth in per capita income, moving Senegal a step closer to the developed world. These economic and demographic data are signs that the country is developing at a stable rate and, with planning, could be in position to work toward sustainable development.

Senegal’s wetlands include the Djoudj Sanctuary surrounding the Senegal River delta, the central coastal mangroves south of Dakar, and other mangroves along the coastline south of The Gambia. These coastal locations make them less susceptible to encroachment or drainage for

agriculture (Dia 1996) but more susceptible to destruction by shrimp aquaculture, ocean wave erosion, and the spread of urban development, since they are near several of Senegal’s larger cities, including Dakar.

Policy-sharing in the international context 

As manifest in the Millennium Development Goals (MDGs), an international consensus has developed that national systems should become sustainable. One MDG pro- motes global policy for environmental sustainability, in hopes that individual countries will adopt and enforce policies that reverse the loss of environmental resources. Another MDG promotes a global partnership for development. A particular target in achieving this goal is to “make available the bene ts of new technologies, especially information and communica- tions” (UNDP 2000). Such technology and information shar- ing could contribute to international wetland conservation policy. “Industrial countries have an obligation to support the efforts of the developing countries through the ow
not only of private capital, but also of of cial development assistance” (Dell 1991:4). Needs assessment for development is a process that can lead to policy diffusion. The focus of public policy should therefore include the diffusion of sound policy since the need for sustainable development awareness is global.

The Senegalese are now in a position to plan sustainable development through policy collaboration among the Minis- tries of Environment and Nature Protection, Economy and Finance, Education, and others. If the nation manages devel- opment appropriately, with the inclusion of local, regional, and national voices, its standard of living can continue to rise without encroaching on natural resources. Policy innovation for sustainable development may include environmental protection policies, diversi cation of markets, and local com- munity development.

Because of the similarities between Louisiana and Senegal, policy processes and knowledge might be shared
to bene t their communities, economies, and ecosystems. The innovative initiation of a relationship between them would provide the developing and the developed world an example of leadership and progress. While it has not been shown that Senegal is in dire need of wetlands protection or strict environmental regulations, the nation may learn much from Louisiana’s experience in wetlands policy. Louisiana, in turn, could bene t from studying Senegal’s coastal wetlands ecosystem to understand why encroachment and destruction are not as widespread and use that knowledge to devise novel policies to conserve Louisiana coastal wetlands.




Fifth International Conference on Public Management, Policy and Development 


In conclusion, we have found that the economic, social, and environmental bene ts of wetlands sustained via policy implementation can: (1) help to bring the Millennium Development Goals from the global to the local setting; (2) strengthen Senegal’s capacity to solve its own health and standard-of-living concerns related to implementation of wetland conservation policy; (3) increase stewardship through public empowerment, by hearing not only from experts but also the locals; (4) abate the natural and human causes of wetland degradation; and (5) encourage creation of social and economic capital while protecting natural capital. A needs assessment and policy adoption could bene t the coastal ecosystems, the communities of Senegal and Louisiana, and the economy that depends on a thriving environment.

The larger goal is actually environmental policy dif- fusion, which is vital to global sustainable development. Although this study was limited to Louisiana and Senegal, a similar blueprint may be helpful for other countries, and we plan to look for those with valuable natural capital and with- out protection policies. Speci cally, we will use Geographic Information Systems to locate appropriate wetland habitat, especially near population centers where the risks of human encroachment are high.


COAstAl WetlAnds fOr sustAinABle deVelOpMent: A needs AssessMent And pOliCY AdOptiOn fOr tHe stAte Of lOuisiAnA And tHe repuBliC Of senegAl Christian W. A. Seifert – Southern University; Valerie Fuchs – Michigan Technological University 




Barras, J.; Beville, S.; Britsch, D.; Hartley, S.; Hawes, S.; Johnston, J.; Kemp, P.; Kinler, Q.; Martucci, A.; Porthouse, J.; Reed, D.; Roy, K.; Sapkota, S. & Suhayda, J. (2004, January, revised). Historical and projected coastal Louisiana land changes: 1978-2050: USGS Open File Report 03-334.

Blackmon, B., Sullivan, D., & Vidrine, G. (2005, April). GIS in Louisiana DNR’s leasing of state lands and waterbottoms for petroleum extraction. 21st Annual Louisiana Remote Sensing & GIS Workshop.

CIA World Factbook. (2005). Retrieved April 2005, from

Coastal Wetlands Planning, Protection, and Restoration Act (CWPPRA) Task Force. (1997). Retrieved March 2005, from

Dahl, T.E. (2000). Status and trends of wetlands in the conterminous United States, 1986 to 1997. Washington DC: US Department of the Interior, Fish and Wildlife Service.

Dell, S. (1991). International development policies. Durham, NC: Duke University Press.
Dia, I. M. (1996). Assessing agricultural suitability of Senegalese landscape using geographic information systems. 

Thesis, Department of Geography and Anthropology, Louisiana State University. Gomez, G.M. (1998). A wetland biography. Austin: University of Texas Press.
Hallowell, C. (2001). Holding back the sea. New York: HarperCollins Publishers, Inc.

James, V., Harris, R., & Lyles, L. (2004). Human social development: wetlands conservation strategies in Louisiana and Senegal. Proposal for the National Science Foundation: Spatial Social Science and Agents of Change. Southern University, Michigan Technological University, and Wetlands International.

Louisiana Coastal Wetlands Conservation and Restoration Task Force (LCWCRTF). (2003). The 2003 evaluation report to the US Congress on the effectiveness of Coastal Wetland Planning, Protection and Restoration Act projects. Baton Rouge: Louisiana Department of Natural Resources.

Louisiana Coastal Wetlands Conservation and Restoration Task Force. (2004). Watermarks, 25.

Louisiana Coastal Wetlands Conservation and Restoration Task Force. (2005). Watermarks, 27.

Louisiana State University AgCenter Communications. (2000). Retrieved April 2005,

Southwick, R., & Allen, T. (2005). The economic bene ts of sheries, wildlife and boating resources in the state of Louisiana. Report prepared for Louisiana Department of Wildlife and Fisheries. Arlington, VA: Southwick Associates.

State of Louisiana, Of ce of the Lieutenant Governor, Department of Culture, Recreation & Tourism. (2004a). Louisiana statewide comprehensive outdoor recreation plan. Baton Rouge: OLG/CRT.

State of Louisiana, Of ce of the Lieutenant Governor, Department of Culture, Recreation & Tourism. (2004b). Roadmap for change. Washington, DC: Marmillion Company Strategic Communications.




Fifth International Conference on Public Management, Policy and Development 

United Nations Development Programme. (2000). Millennium development goals. Retrieved March 2005, from

US Army Corps of Engineers, New Orleans District. (1999). Freshwater diversion. New Orleans: USACE. US Department of State. (2005). Background Notes: Senegal. Retrieved April. 2005,

Wilson, D. (2005). Atchafalaya Basinkeeper. Personal communication with Valerie Fuchs, March 12, 2005.


internAtiOnAl teCHnOlOgY diffusiOn fOr sustAinABle

deVelOpMent: tHe MOntreAl prOtOCOl On suBstAnCes tHAt deplete tHe OZOne lAYer

Thomas D. Eatmon, Jr. – Southern University; Ronald A. Harris – Southern University 




The adoption of technology policy by governments, market-based or not, can be traced to a nonin- cremental innovation. Diffusion models usually describe communication through channels over time and within social systems. A critical mass of early adopters is often necessary for ef cient technologi- cal alternatives to be implemented. Inef cient local equilibria are sustained because of geographical boundaries and barriers to entry into markets. This paper examines existing diffusion channels and the geographical implications of technology transfer. We apply the National Diffusion Model (Berry & Berry 1999) to the Montreal Protocol to determine an ef- fective model for international policy adoption.

The Montreal Protocol (United Nations Environment Programme 2005), an international agreement designed to protect the ozone layer, was signed in 1987 and amended in 1990 and 1992. The 1985 Vienna Convention, which empha- sized the protection of human health and the environment from ozone depletion through international cooperation, established a framework for the protocol’s negotiation. It called for the phase-out of the production and consumption of chloro uorocarbons (CFCs), halons, carbon tetrachloride, and methyl chloroform by 2000 and methyl chloroform by 2005. Research suggests that these compounds could signi – cantly deplete the stratosphere, which shields the Earth from damaging ultraviolet radiation.

The Montreal Protocol has been very successful; 189 countries rati ed it. While developed countries were ex- pected to phase-out substances, such as CFCs, by the rst half of the 1990s and no later than the end of 1995, developing countries were expected to be slower, due to their lack of technological advancement, unless special efforts were made. Consequently, the Multilateral Fund was established in 1998 to assist developing countries with compliance by facilitating technology transfer.

“Our Common Future”, written in 1987, also known as the Bruntland Report, coined the term sustainable develop- ment and identi ed poverty as the main cause of environ- mental degradation. Past research has shown that technol-

ogy diffusion tends to be geographically localized around developed countries since trade diminishes with distance. If environmental goals like those set in the Montreal Protocol are to be met, developing countries across the world will need access to technologies that will bene t health, education, ag- riculture, and business in the short term and have long-term effects on economic and social stability.

We propose that governments must facilitate the diffu- sion of the new technologies, managing the risks through public policy, while enjoying the bene ts. This goal may be accomplished by the introduction of government innova- tions, such as the Multilateral Fund. The pace of public policy innovation must parallel that of technology, if coun- tries around the world are to meet the high expectations associated with sustainable development. This point of view is supported by the fact that the Montreal Protocol has been amended throughout the years in response to technologi-
cal assessments. This approach is consistent with previous research (Ernst 1999), where institutional change is viewed as the driver of diffusion, as opposed to social learning pro- cesses, where institutions are treated as dependent variables (Dalum, Freeman, et al. 1999).

History has shown that technological changes in agricul- ture, pharmaceuticals, energy, manufacturing, and commu- nication have been a powerful tool in human development. In many circumstances today, access to technology is directly proportional to income, but it may still be used as a develop- ment tool, empowering people to reach their goals and to raise their socioeconomic status. The persisting income dis- parities across countries indicate that technology does not dif- fuse automatically. The speed and extent of diffusion depend on the capacities of the receiving countries to absorb the new ideas about how to produce more ef ciently. These capaci- ties, in turn, depend on factors, such as income, education, openness to new ideas, property rights, and cost of access to technology.

Geographic models of innovation con rm that innova- tion that depends on technological infrastructure is measured by university R&D, industrial R&D, related industries, and business services (Feldman & Florida 1994). These rms
and activities usually occur in geographic clusters, creating
an infrastructural nucleus attributed to private researchers’ lack of motivation to release their inventions (Keller 2004).

Acknowledgment and Disclaimer. This paper is based upon work supported by the National Science Foundation grant no. 0333401. Any opinions, ndings, conclu- sions, or recommendations expressed are those of the authors and do not necessarily re ect the views of the NSF.




Fifth International Conference on Public Management, Policy and Development 

It has also has shown that technology diffusion depends on geographic location of knowledge diffusers and receivers through their contact as well as increased trade links and direct foreign investment (Eaton & Kortum 1996; Keller 2004). Spatial lag models con rm the presence of barriers to technology adoption, forcing technology levels to converge locally (Rezgui, retrieved 2005). However, some critics believe that the Internet revolution will mean the death of distance, forming equity of access across borders (Cairncross 2001).

While technology diffusion may be localized, some determinants can be in uenced by policies to force more equitable access for developed countries outside of techno- logically dense regions. The UNDP Human Development Report (2001) called for global action on four fronts: cre- ation of innovative partnerships; management of intellectual property rights; expanding investment in technologies for development; and providing regional and global institutional support.


Policy innovation research aims to explain the process by which governments adopt new policies. Before the 1990s, researchers used either diffusion models or internal deter- minant models, but more recent models combine the two (Berry and Berry 1999). They can be tested by a technique called event history analysis (Sabatier 1999). Although some work has been done on international diffusion, most has focused on policy-making within the United States.

We applied the National Interaction Model (Berry & Berry 1999) to international adoption of the 1987 Montreal Protocol. It assumes the existence of a national communica- tion network among state of cials regarding public-sector programs (Berry & Berry 1999) and that the states that have adopted a policy interact freely with of cials from states that have not yet adopted a policy. The probability that a state will adopt a new policy then becomes proportional to the number of interactions that of cials have had with of cials who have already adopted a policy. The equation takes the form:

rNt = Nt – Nt -1 = b Nt -1 [L – Nt -1], (1)

whererNt is the proportion of new adopters during period t; Nt is the cumulative proportion of adopters in the social system at the end of period t; Nt -1 is the cumulative propor- tion at the end of the previous period; and L is the propor- tion of potential adopters in the social system. The graph (Figure 1) of potential adopters over time is depicted as an S-shaped curve, beginning at the origin and approaching L.

This functional form may be used to describe the expected low frequency of adoption early in the process, followed by an increase that tapers as the number of potential adopters decreases.

Figure 1: Expected Potential Adopters vs. Time for the National Interaction Model 

Cumulative Adopters


Time (t)

Rearranging algebraic terms, we get the form:

N = (bL + 1)N – N2 (2) t t -1 t -1

This model was estimated with the equation:

N = γ (N ) – β (N2 ), (3) t t -1 t -1

where we assume the coef cient (bL + 1) from Equation 2
is subsumed by γ in Equation 3, and we assume L=1. This model was estimated for the years 1987 through 2005 for 195 countries in the United Nations. Linear regression was used to generate coef cients by suppressing the Y-axis intercept. The resulting coef cients of estimation are:

N = 1.437(N ) – 0.465(N2 ). (4) t t -1 t -1


internAtiOnAl teCHnOlOgY diffusiOn fOr sustAinABle

deVelOpMent: tHe MOntreAl prOtOCOl On suBstAnCes tHAt deplete tHe OZOne lAYer

Thomas D. Eatmon, Jr. – Southern University; Ronald A. Harris – Southern University 



The variance in the regressand Nt explained by the model (R2=0.999) approaches unity. The coef cients (γ, p=0.000), (β, p=0.000) are statistically signi cant. Substi- tuting mean values for the regressors (N =0.7062), N2

=0.5649) yields an estimate for Nt = 0.7521. By holding N2
-1 t -1

= 1.1168. As expected, low values for the lagged dependent variable Nt -1 predict negative policy adoption, while high values for the lagged dependent variable Nt -1 predict posi-
tive policy adoption for Nt. However, the functional form
for policy adoption, expected as an S-shaped curve, was not found. Rather, the functional form of policy adoption shows a positive function whose rate of increase decreases over time (Figure 2). The critical threshold for implementation of the policy change was met earlier than predicted. By 1992, more than half of all countries in the United Nations, whether developed or developing, had adopted the Montreal Protocol. From 1987 to 2005, 189 of the 195 potential countries had adopted it. All 41 of the developed countries rati ed it by 1996, but many developing counties did not adopt it until later. Six countries have yet to adopt it, but, except for Iraq, they are small and inconsequential.


The estimated model is a good t for the Montreal Protocol scenario. Since technology change in less-developed countries will primarily result from their ability to adopt technologies designed and implemented by developed coun- tries and not by their ability to innovate, the results of this research have important implications for future technology policy; for example, for predicting the adoption of interna- tional environmental policies and the future of sustainable development.

Figure 2: Observed Potential Adopters vs. Time for the National Interaction Model 








Time in years 

constant at its mean value (0.5649), we vary Nt -1 at minimum (0.16) and maximum (0.96) values to determine its effect
on Nt. When Nt -1 is entered at the lowest value, then Nt = -0.0328. When Nt -1 is entered at the highest value, then Nt

t -1 t

Value Cumulative Proportion of Adopters at time t 

2005 2004 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994 1993 1992 1991 1990 1989 1988




Fifth International Conference on Public Management, Policy and Development 


Although the National Interaction Model provides a good estimate of international adoption for the Montreal Protocol, its utility is somewhat limited. It assumes that all potential adopters have an equal chance of adopting and only relies on previous adoption as an indicator of future adoption. In addition, it does not account for nonadopters since potential adopters are undifferentiated. For this reason, its utility increases if used on a macro-level to describe the diffusion process of a consumer product in a large society, as- suming random interaction. Since international agreements function on a macro-level, this tool is precisely the one we need to estimate policy adoption on an international scale.

Technology diffusion is hampered by a number of fac- tors. “As research and development are largely associated with developed countries and multinational private enterprises, technology is created in response to market signals and
not the demands of those suffering from poverty” (UNDP 2001). In addition, inadequate intellectual property regimes discourage private investors. Adoption, trade and FDI costs, and complementary domestic factors also form barriers
to diffusion. A public goods market failure as well as the possibility of government failure require the intervention of public policy. Since most research predicts localized diffusion of technology, public policy will have to drive this change. The diffusion of technology in the network age will positively affect countries economically and in human development.

Our model based, on the Montreal Protocol, shows that the National Interaction Model is an adequate means to es- timate international policy diffusion. Future research should focus on the collection of more empirical data to estimate models from international agreements.


internAtiOnAl teCHnOlOgY diffusiOn fOr sustAinABle

deVelOpMent: tHe MOntreAl prOtOCOl On suBstAnCes tHAt deplete tHe OZOne lAYer

Thomas D. Eatmon, Jr. – Southern University; Ronald A. Harris – Southern University 




Berry, F., & Berry, W. D. (1999). Innovation and diffusion models in policy research. In P. A. Sabatier, (Ed.), Theories of the policy process (pp. 169-200). Colorado: Westview Press.

Cairncross, F. (2001). The Death of distance. Boston: Harvard Business School Press.

Dalum, B., Freeman, C., et al. (1999, June). Europe and the ICT revolution. In D. Ernst, How globalization reshapes the geography of innovation systems: Re ections on global production networks in information industries. Paper presented at the DRUID Summer Conference on Innovation Systems.

Eaton, J., & S. Kortum (1996). Trade in ideas: Patenting and productivity in the OECD. Journal of International Economics, 40:251-278.

Ernst, D. (1999, June). How globalization reshapes the geography of innovation systems: Re ections on global production networks in information industries. Paper presented for DRUID Summer Conference on Innovation Systems.

Feldman, M. P., & Florida, R. (1994). The Geographic sources of innovation: Technological infrastructure and product innovation in the United States. Annals of the Association of American Geographers, 84, 2:210-229.

Keller, W. (2004). International technology diffusion. Journal of Economic Literature, 42, 3:752-782. Rezgui, S. (2005). Geography, international trade and technological diffusion. Retrieved April 2005,

from le=paperresult&id=316
Sabatier, P. A. (1999). Theories of the policy process. Colorado: Westview Press.
United Nations Development Programme. (2001). Human development report 2001. New York: Oxford University Press.

United Nations Environment Programme. (2005, March). Retrieved 1 May 2005,
from cation/2C_rati cationTable.asp


gOOd gOVernAnCe in AfriCA: A CritiQue Of tHe us MOdel

Camilla Stivers – Maxine Goodman Levin College of Urban Affairs Cleveland State University 




The call for good governance in Africa began after the collapse of communist regimes in Europe. Foreign aid to African countries no longer had to address Cold War imperatives; instead, aid could
be conditioned on the adoption of what donors counted as good-governance practices: a free market, an end to government corruption, and a rights-based democracy that limits popular participation to vot- ing. This paper critiques US performance on several indicators of good governance and calls for a deeper form of democracy in all countries.

The term governance used to be a synonym for statecraft. It implied authoritative action to move societies in produc- tive directions. The state was seen as the primary policy actor, formulating or at least coordinating policy strategies.

In the 1980s, under the in uence of Reaganism and Thatcherism, governance began to mean something much less state-centered and more market-like. Government agencies were criticized as rigid, overbearing bureaucracies. Procurement and hiring rules were seen as “red tape,” sti ing entrepreneurial spirit and effectiveness. The most important article of faith became maximum privatization. Public admin- istration became the business-like public management, judged in terms of results rather than of due process.

Thus, the term governance, which once meant exercise of authority for the common good, was highjacked by an ideol- ogy that sees government as only one institution among many in a free market society. In its role of manager, government is restricted to the functions necessary for the market system to work freely. Government sets clear rules (as few as possible), like a sort of referee at a boxing match. If necessary, it makes “corrective interventions” (World Bank 1992:6). Otherwise, it gets out of the way.

The World Bank notion of good governance re ects
this new understanding. Historically, the bank evidenced little interest in governance, but by the early 1990s, it had concluded that it would have to give more attention to institutional frameworks within which development activities were pursued. “In place of the neoclassical ‘get prices right’ strategy, the approach shifted to ‘get institutions right rst’” (Brinkerhoff & Goldsmith 2005:201).

Clearly, it is not by chance that the World Bank began to sound the call for good governance soon after the collapse of socialist regimes in the Soviet Union and its satellites. During the Cold War, Western foreign aid was driven by the

ideological imperative of blocking the advance of Commu- nism. There was little point, at least in the minds of Western donors, in worrying about good governance in Africa when Soviet cooptation threatened Western in uence there. Once the Cold War ended, the way was opened for conditioning nancial assistance on the willingness of African countries to adopt what donors and lenders considered desirable gover- nance measures (Abrahamsen 2000).

The World Bank’s 1989 report on sub-Saharan Africa proclaimed a “crisis of governance,” by which it meant politicization of the administrative apparatus, “gross lack
of accountability,” the breakdown of judicial systems, and hostility to grassroots organizations and NGOs (60). The ingredients of good governance as de ned elsewhere include: “predictable, open and enlightened policy-making, a bureau- cracy imbued with professional ethos acting in furtherance of the public good, the rule of law, transparent processes, and

a strong civil society participating in public affairs” (Brinker- hoff and Goldsmith 2005:202). In the World Bank view, the point of good governance is to create a supportive environ- ment for a free market economy. Governance is deemed poor when it “cannot readily support a dynamic economy,” so although the bank says “better governance requires political renewal” and “a highly participatory approach,” these demo- cratic steps are only tools for the creation and maintenance of market freedom rather than ends in themselves (World Bank 1989: 60-61).

This good-governance agenda masks the political implica- tions of its economic policies behind a screen of neutral-
ity. The bank is prohibited by its charter from meddling
in politics, so, by de nition, it does not. Good-governance recommendations are offered as purely technical and/or com- monsense steps. However, this perspective is built on the as- sumption that political institutions like free elections support market freedom. It does not acknowledge that the opposite is also true: economic dynamics in uence the operation of the political system. Free and fair elections do not by themselves temper the power of capitalism. If your every waking mo- ment is a struggle for survival, the right to vote may seem an irrelevant luxury, particularly if none of the conditions of your own life improve, no matter who gets elected. Market freedom does not necessarily water the grassroots.

In my view, the dialogue on good governance in Africa, in addition to being deceptively apolitical, has been far too one-sided. The discourse, particularly as practiced by pur- veyors of international aid, has paid little attention to how well donor countries themselves have done. To put good governance in a broader context, I would like to re ect on the




Fifth International Conference on Public Management, Policy and Development 

case of the United States brie y, to ask whether it is “getting institutions right,” and to point out a few aspects of its experi- ence that may or may not be suggestive for other countries.

Free and fair elections. Although the US belief in the free- dom and fairness of the electoral system is high, voter turn- out in national elections barely tops 50 percent most of the time; even in the hotly contested presidential race of 2004, the turnout was only about 55 percent, which was considered high. Voting rates in state and local elections are much lower. In the two most recent presidential elections, the press report- ed numerous instances of African Americans, other minority group members, and ex-offenders being illegally purged from the voter rolls and turned away from the polls on Election Day. The 2000 election, which was essentially a tie, was set- tled when the Supreme Court stopped the recounting of bal- lots in the state of Florida and handed the election to George W. Bush, contravening both the separation of powers and
the principle of decentralized control enshrined in the US Constitution. A report on the 2004 election recently issued by minority party members of the House of Representatives Judiciary Committee, entitled “Preserving Democracy: What Went Wrong in Ohio?” found “massive and unprecedented voter irregularities and anomalies” in the state. The report uncovered “intentional misconduct and illegal behavior,” much of it involving the state of cial charged with overseeing the election in Ohio, who also happened to be the co-chair of the Ohio Bush-Cheney campaign (Vidal 2005:9). Surely these facts call into question the air of superiority with which US of cials tend to criticize elections in Africa.

Public opinion of government. Public opinion polls regularly report skepticism about government and its. As many as 4 out of 5 Americans believe that tax dollars are spent on the wrong things (King, Stivers, et al. 1998). Only 29 percent trust the federal government to do the right thing all or most of the time. As reasons for their lack of trust, people cite partisan bickering, special-interest in uence, lack of honesty among elected of cials, high taxes, and, of course, waste
and inef ciency. Nearly half of Americans think the federal government is a threat to their personal rights (NPR/Kaiser/ Kennedy School 2000). This state of affairs ts the World Bank’s diagnosis of sub-Saharan Africa: “Too frequently ordi- nary people see government as the source of, not the solution to, their problems” (1989:30).

Corruption. In high places in the bureaucracy, the use of public power for private gain is too common to be dismissed

in the way it often is. For example, Darlene Druyan, once the most powerful woman in the Air Force, steered billions of dollars in contracts to the Boeing Corporation. As the Air Force’s number 2 weapons buyer, Druyan met secretly with Boeing executives “to talk about a job and to protect her daughter, a Boeing employee who had received a poor performance review” (Wayne 2004, October:2). Granted, stories like this do not prove the extent of corruption in the US system; they do—or they should—temper the zeal with which US aid donors rail against corruption in Africa as if such things never happened at home.

Accountability. Serious challenges to accountability are raised by contracting out public responsibilities to private entities. As noted, the presumption now is that whatever can be contracted out, should be. This mentality sometimes leads to riding roughshod over established procurement principles, such as competitive bidding. A 2004 report by the Center for Public Integrity found that more than 40 percent of Pen- tagon contracts are awarded on a no-bid basis. The biggest companies, like Halliburton, once headed by Vice-President Cheney, and Lockheed Martin, are the least likely to have to compete for contracts. Half the military budget is outsourced to contractors, but oversight of these contracts has declined. The Pentagon, which now has some 600,000 contracts, has steadily reduced the number of contract monitors. Center Director Charles Lewis commented that, “No one is moni- toring the monitors. This is a very serious situation, and the Pentagon is treating it like a hair in the soup” (Wayne 2004, September:C1, C6).

Politicizing the Civil Service. Tension between the president and the civil service is a perennial feature of the executive branch, but efforts to get civil servants to toe the correct political line have increased dramatically during the past few years. The best known example is the shaping of the CIA’s intelligence reports to bring them into line with the Bush administration’s desire to invade Iraq. There are others:

When President Bush was pushing the idea of a prescrip- tion drug bene t for the elderly, an analyst in the Depart- ment of Health and Human Services was threatened with losing his job unless he reduced his estimates of what the drug bene t would cost the government. He was ordered to keep quiet; the department gave Congress a lower gure; the bill passed; and only afterward did it become clear that the cost estimate was way too low (Clemetson 2004).

At the Social Security Administration, the associate com- missioner for retirement policy went on a tour of the country


gOOd gOVernAnCe in AfriCA: A CritiQue Of tHe us MOdel

Camilla Stivers – Maxine Goodman Levin College of Urban Affairs Cleveland State University 



with President Bush to promote privatization of the Social Security system. As a New York Times columnist noted, “There was a time when it would have been considered inappropriate for a civil servant to play such a blatantly political role.” The commissioner had been a lobbyist for privatizing the system before he was appointed to his civil service position. There was a time when that also would have been frowned upon (Krugman 2005:A25).

Other examples: employees of the new Department of Homeland Security have been required to sign an agreement that prohibits them from passing on “sensitive but unclassi- ed” information (Wing eld 2004:A18)—a pre-emptive strike against the exercise of professional discretion. At the CIA, shortly after the 2004 election, the director issued a memo warning employees not to say anything in opposition to the administration or its policies.

Grassroots participation and civil society. In the US, civil society has become the destination for a great many social welfare programs off-loaded by government. Based on our study of the nonpro t sector in Cleveland, my colleague Jennifer Alexander and I concluded that the privatization of public responsibilities is not strengthening democracy at the grassroots. Community governing boards and staff are too busy coping with a ood of clients and too worried about losing their funding to speak out on behalf of the poor. The traditional sense of the NGO as a laboratory of democracy has just about vanished in the face of pressure to manage in the professional sense (Alexander & Stivers 2003).

My point is not to engage in a litany of outrageous ac- tions and situations. Rather, I want to make several general- izations based on the US experience and offer a suggestion.

A serious aw in the new understanding of good gover- nance is that political systems are valued only for their ability to create and to maintain the conditions for market freedom. Unfortunately, unfettered markets have never provided poor people with enough resources so that they can stop worry- ing about survival and start wondering how society might be made better for everyone—quite the opposite, in fact. With- out government intervention, free markets lead to increasing disparities in income and wealth, even in a rich country like the United States. Capitalism produces wealth. The question is for whom and with what result?

A second dif culty with the new notion of good governance is that the role of the civil service is reduced to management. In the US, we used to hear that public ad- ministration is not the same thing as business management. Every decision made in the public sector is an exercise of

power, and if government is to be considered legitimate that power had better be used for the public good. Now, everyone in public service is a manager. Managers do not concern themselves with whether the effects of their actions further the public good, only with whether they have “moved the money” (Ferguson 1994:70) and gotten the intended results.

A third problem is that the members of society have been transformed in the new governance from citizens to customers and clients. The distinguishing mark of a citizen is having a share in governing. For all the talk about participa- tion, the only kind that seems to concern proponents of the new governance is the sharing of service costs, which, in the United States, means volunteering or giving money, if you are rich and do not need the service, or paying a fee, if you are poor and do need it. Participation in public decision-making is easily as big an issue in the United States as it is in Africa.

The solution I would like to suggest, one as needed in the United States as in Africa, is to create opportunities and processes that encourage ordinary people to come together
to discuss common problems and share in decision-making or, at the very least, give advice directly to those in authority— advice that cannot safely be ignored. Everyone is an expert on the conditions of his or her own life, and the only way to gain access to that knowledge is to listen, to talk, and to learn. All countries need regular occasions for face-to-face contact, dis- cussion, and deliberation among ordinary citizens and those in authority. Through such interactions, citizens are able to join in governance—that is, in deliberations for the common good, and the accountability of the government to its citizens is made both concrete and practical. Without citizens, the expertise and rules of the bureaucracy are transformed into pure force. The strongest stability is built from the ground up not imposed from the top down. I believe public administra- tors are better positioned to foster these opportunities than anyone else in government. Administrators have the most direct impact on the lives of citizens, and they are, in many ways, closest to daily life.

The good governance perspective has put too much emphasis on economic freedom and not enough on politics. Capitalism is not the same thing as democracy. Public admin- istration in every country should be mindful that in ancient Athens, often cited as an example of democracy, debate in the Assembly began with these words: “What man has good advice to give the polis and wishes to make it known?” Now that is freedom (Finley 1983:139). How can we make it pos- sible in all the countries where it is so much needed?




Fifth International Conference on Public Management, Policy and Development 


Abrahamsen, R. (2000). Disciplining democracy: Development discourse and good governance in Africa. London & New York: Zed Books. Alexander, J., & Stivers, C. (2003, November). The effects of welfare reform-related devolution on the political capacity of community-based 

nonpro ts. Paper presented at the ARNOVA annual meeting, Denver, CO.
Brinkerhoff, D., & Goldsmith, A. (2005). Institutional dualism and international development: A revisionist interpretation of good

governance. Administration & Society 37(2):198-224.
Clemetson, L. (2004, March 15). Medicare actuary known for strong beliefs. New York Times. Retrieved 16 January 2005,


Ferguson, J. (1994). The anti-politics machine: “Development,” depoliticization, and bureaucratic power in Lesotho. Minneapolis & London: University of Minnesota Press.

Finley, M. I. (1983). Politics in the ancient world. Cambridge: Cambridge University Press.
King, C., Stivers, C., et al. (1998). Government is us: Public administration in an anti-government era. Thousand Oaks, CA:

Sage Publications.

Krugman, P. (2005, January 18). That magic moment. New York Times, p. A25.

NPR/Kaiser/Kennedy School. (2000). Americans distrust government, but want it to do more. Retrieved 26 May 2005, from

Vidal, G. (2005). Something rotten in Ohio. The Nation 280 (June 27):6-9.

Wayne, L. (2004, September 30). Pentagon spends without bids, a study nds. New York Times, pp. C1, C6.

Wayne, L. (2004, October 8). A growing military contract scandal. New York Times. Retrieved 7 November 2004, from http;//…

Wing eld, B. (2004, November 30). Homeland Security Dept. restricts employees’ actions. New York Times, p. A18. World Bank. (1989). Sub-Saharan Africa: From crisis to sustainable growth. Washington, DC: World Bank.
World Bank. (1992). Governance and development. Washington DC: World Bank.


refrAMing CApACitY – Building in AfriCA: reCOgniZing

tHe iMpOrtAnCe Of street-leVel CiVil serVAnts

Esi Ansah – Rutgers University 




This paper discusses the current trend of capacity building (CB) initiatives in Ghana and Africa at large, taking a closer look at what it is and how it
is carried out in selected agencies that train public personnel. First, it illustrates some de ciencies in current CB initiatives to reform the African civil service/public sector; speci cally, the parochial na- ture of their content, their narrow target audience of senior-level management personnel and consequent neglect of street-level/frontline workers, and the lack of well-de ned mechanisms for knowledge transfer within public agencies. Second, it aims to illuminate the importance of directly involving street-level work- ers in CB programs to improve the quality of the public sector.

In the last few years, the eld of public management has witnessed the growing visibility of capacity building (CB) as a concept in the literature and a strategy to reform the civil ser- vice sector in many developing countries. There is a general acceptance of the term, albeit with little discussion of what exactly it means and how it is translated into the practice of administration and management of the public sector. There are questions that need to be asked in order to re-evaluate, rede ne, and perhaps re-apply the concept more practically.

This paper is a work-in-progress that intends to ac- complish the following: (1) to illustrate some de ciencies in current CB approaches to reforming the African civil service/ public sector; (2) to illuminate the importance of directly involving street-level/frontline workers in CB efforts; and (3) to propose new ways of building the capacity of street-level bureaucrats and higher level personnel to provide ef cient and effective public service. It identi es three main de cien- cies of current CB initiatives: (1) the parochial nature of their content; (2) the narrow target audience of senior-level manage- ment personnel and the consequent neglect of street-level/ frontline workers; and (3) the lack of well-de ned mechanisms for knowledge transfer within public agencies. Through this discussion, the missing component of street-level bureaucrats, as Michael Lipsky (1980) calls them, is restored as a valuable constituency in civil service/sector reform (CSR).

Contextualizing Public Administration and Management in Africa 

It is prudent to brie y examine features that distinguish public administration (PA) in Africa from that in other parts of the world. Due to the limited scope of this paper, these factors cannot be developed or explored at length, but it
is important to mention that they make PA in Africa and, indeed, the larger global south community unlike PA in other countries or regions, cautioning us to be more circumspect in adopting concepts and strategies. Some of the unique features of African PA include:

• External, international pressures and dependencies 

that “beat” African PA into shape (i.e., the misapplication of Western modernization theory and liberal market economy policies in PA);

• Neglect of nonstructural or nonbudgetary issues, 

such as ethnic diversity, motivation, personnel management, ethics, social equity, citizen participation, and quality of service delivery, to name a few;

• Exclusion of the academy;
• Narrow CB focus,
or bias toward senior-level

• Lack of support for research and development; and • Little or no attention to professionalization. 

The Evolution of PA in Africa 

PA in Africa has gone through a slight shift from eco- nomic reform as part of International Monetary Fund (IMF) and World Bank restructuring programs (ERP and SAP1) to
a new emphasis on New Public Management (NPM), which seeks to adopt private-sector models into the public sector, often without proper adaptation to local contexts.2 In the CB context, the NPM philosophy has shaped CB efforts along two key dimensions: content and target audience, which

1The Economic Recovery Program and Structural Adjustment Program were commonly implemented in the 1980s and early 1990s and continue to shape the public sector by placing NPM demands on countries.

2For more information on how NPM reforms have been carried out in developing countries, see Manning 2001; Minogue, et al. 1998; Polidano and Hulme 1999. The idea of a radial transfer of knowledge is a deliberate move away from the usual notion of a vertical or horizontal organizational structure, where the ow of in- formation, knowledge, and other related resources is limited by direction of ow. A radial transference, I would suggest, is preferable because more inclusive. See also Helgeson (1995) on alternatives to the traditional hierarchical organization structure.

Pre-colonial Administration/ Organization

Colonial Administration (Up to 1960s)

Development Administration (1960s – 1980s)

Economic Restructuring/ Civil Svc. Reform (1980s – 1990s)

CSR, NPM – Privatization, Decentralization (1990s –




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will be discussed in subsequent sections. The applicability of NPM-oriented initiatives in the African context has been questioned (Schick 1998; Hood 1991), and the ground for further research on the topic is fertile.

The literature abounds with narratives of the problems in African PA. Some commonly mentioned include a wide gap between theory and practice; lack of funding to develop the civil service; lack of well-quali ed personnel; lack of relevant literature for and by academics; lack of practical training related to curricula (internships/attachments); short- age of teaching staff; and corruption. They were outlined
by many scholars at the 2001 Pan-African Conference of Civil Service Ministers in Namibia and in other forums. In response, CB initiatives have recently become the panacea for many of these problems. It is prudent to examine what the term means and how it is interpreted and adopted in efforts to build or perhaps to rebuild the public service.

De ning Capacity Building 

Capacity building has quickly become a fad in the area of public management and a buzz word in the eld of develop- ment among donors and organizations, training institutes and practitioners. However, there is no consensus on the meaning of the term, and an examination of relevant/related academic literature and professional CB initiatives reveals two strains of conceptualizations with distinct emphases.
In academia, it is conceived of at a macro level as a compre- hensive structural approach to building organizations, and, when translated into practice, it becomes a micro-level reform strategy heavily focused on staff “training.”

In academic circles leaning toward economics and management, CB is de ned in terms of enhancing human capital on a macro or organizational level, with the aim of improving public-sector performance in terms of service delivery. CB thus encompasses efforts to create or to increase knowledge, to restructure processes, and to reshape interac- tions and other mechanisms within the organization in order to enhance its capacity to deliver services and ful ll its raison d’être. Polidano and Hulme (1999) de ne CB as “expanding the range of functions which an organization can carry out effectively on a sustained basis” (124). This broad context approach is also adopted by many international organizations engaged in the “CB enterprise.”

In the professional domain, CB often introduces the notion of increasing civil servants’ potential to successfully perform their roles/functions in the organization. The focus is on training, through programs and workshops aimed at increasing knowledge and enhancing the capacity of the civil

service workforce to perform the functions required of it. This bias toward training is re ected in the plethora of knowl- edge-building initiatives set up for civil servants, especially at the higher levels of management. Edward Jaycox (1993), vice- president of the World Bank’s Africa Region, spoke about CB in an address at the African-American Institute, echoing what CB has come to mean in professional circles—training. He said, “in every loan, every credit, every operation, there should be a heavy training component …” (my emphasis), and this is the general idea behind CB efforts: training of senior- level staff.

Two of their notable de ciencies are in content and tar- get biases. They are found in the domestic Ghanaian context as well as the larger African context.

Content. The content of CB training initiatives focuses largely on donor requirements and programs established by external nancial institutions and donor agencies, including the World Bank and the IMF. Thus, many CB efforts may be tilted toward decentralization and retrenchment, privatiza- tion, and contracting and, more recently, performance man- agement and improvement. Though they are all important, the xation on them and the consequent neglect of other salient issues is problematic.

Target audience. Ironically, this ambiguous and uid concept also has a xed and rigid target audience: senior-level managers. Many workshops, seminars, conferences, and train- ing sessions are organized as part of CB efforts, and a general trend is the almost exclusive participation of senior-level management. Often, senior-level employees are trained and involved in new initiatives, with the expectation or assump- tion that the knowledge and skills gained will trickle down to the rest of the employees in the agency, through a few either formal or informal arrangements, and ultimately improve performance and service delivery. Unfortunately, this trickle- down transference rarely happens because few mechanisms are designed to aid the process. Instead, the street-level or frontline workers who actually administer policies and deal with citizen-clients on a daily basis are excluded and thus
not equipped to make progressive changes. It is important to recognize that the development of the civil servant’s potential must be done with certain considerations—there must be properly and carefully outlined mechanisms through which the knowledge gained will be transferred and applied for the bene t of the organization at large.


refrAMing CApACitY – Building in AfriCA: reCOgniZing

tHe iMpOrtAnCe Of street-leVel CiVil serVAnts

Esi Ansah – Rutgers University 



Illustrations of Biases in Capacity Building Efforts 

In Ghana, institutions that train civil servants include the Ghana Institute of Management and Public Administra- tion (GIMPA), the Management Development and Produc- tivity Institute (MDPI), the Institute for Local Government Studies (ILGS), and the Civil Service [ICT] Training Center (CSTC). An examination of their literature illustrates the key point about CB efforts: most training programs offered tend to focus on helping participants to understand and to imple- ment new policy directives from external sources.

The ILGS curricula reveals a Weber-oriented selection of training issues, such as contracting in public-private partner- ships, environmental/natural resource management, decen- tralization, and, on a more micro level, payroll and reward management, recruitment, grievance policies, and commu- nication within the organizational hierarchy. There is little

or no mention of service delivery, work ethic, customer care, and other salient issues. The target group also tends to be managers at the district level, including the District Coordi- nating Directors (DCDs), District Planning Of cers (DPOs), and other managers. For the 2003 scal year, “15 programs were organized under functional programs and informal sector support for District Functionaries…. The traditional target groups (DCDs, DFOs, DBOs, and DCOs) remain the main bene ciaries of the Institute’s programmes, although new target groups—District Environmental Health Of cers and Administrative Of cers Class II A and B, Secretaries and Executive Of cers—were added.”

The MDPI and GIMPA’s programs focus on executive- level civil servants, to the neglect of lower-level civil servants. Management, as their names suggest, is the main focus, with a diversion from other dimensions of administration, which is re ected in the focus of their courses and training work- shops. An additional review of documents published by the Public Services Commission, including District Handbooks, re ects the same trend.

In a broader African context, institutions that train pub- lic servants share these features—problems, as I see them. An examination of training curricula by the Eastern and South- ern African Management Institute (ESAMI) also re ects the problem. To its credit, ESAMI workshops have more diverse content, including standards of service and service delivery in addition to previously mentioned themes. However, the tar- get group is once again very narrow: “heads of civil services, permanent secretaries/principal secretaries, senior of cials managing public service. Participants are expected to have direct responsibility for reform, policy advocacy, formulation and implementation in the public sector” (ESAMI 2001). The

United Nations Online Network in Public Administration and Finance (UNPAN) and the Centre Africain de Forma- tion et de Recherche Administratives pour le Développement (CAFRAD; African Training and Research Center in Admin- istration for Development) are other training institutions that focus on the civil service. They re ect the same problems, and examples of some of their target audiences include directors-general and heads and ministers of civil services. One recent example was the 6-8 June 2005 Ministerial Con- ference on Leadership Capacity Building for Decentralized Governance and Poverty Reduction for Sub-Saharan Africa.

The African Capacity Building Foundation (ACBF) is another laudable effort to improve the capacity of African resources to produce an ef cient and effective public sector. Its international workshop, held in Harare in April 2004, focused on performance measurement, a re ection of NPM philosophy, in the public sector, and the ACBF has yet to give any attention to frontline workers.

If CB’s goal is to equip the public sector to deliver services ef ciently and effectively, then it is as relevant to the senior-level bureaucrat or execucrat as it is to the street-level bureaucrat. It is prudent to examine who these street-level civil servants are and their role and contributions in the civil service.

Street-level bureaucrats 

The traditional approach to policymaking and policy implementation, targets appointed political executives and senior-level civil servants without recognizing the reality
that the actual implementation is left to the jurisdiction of what Michael Lipsky (1980) calls “street-level bureaucrats.” He describes them as “public service workers who interact directly with citizens in the course of their jobs, and who have substantial discretion in the execution of their work” (3). He suggests that street-level bureaucrats have a wide area of “discretion” and actually become the people who make policy choices through recon guring what is handed down to them for implementation. The importance of street-level bureaucrats cannot be overestimated. As shown in the lit- erature and through empirical research (Lipsky 1980; Crook 2002; Weatherly & Lipsky 1975), street-level bureaucrats are essentially the representatives of government on the ground and act as the liaisons between citizens and the government. The way that they interpret and apply policies shapes not just the understanding of policies by both civil servants and citi- zens but the actual implementation, tailored to suit speci c contexts with either negative of positive implications.




Fifth International Conference on Public Management, Policy and Development 

Of cials, such as passport and license of cers, traf c control of cers, ministerial employees, public school teachers, and the police force, to name a few, all shape what comes to be known as public policy. A trip to any government of ce would show frontline workers using their discretion to make and remake policy by choosing how and to whom resources should be allocated and who should have access rst. This discretionary bureaucratic power must be properly channeled for the bene t of the public sector, or it may be channeled into nepotism and patronage or usurped by politicians and private contractors (Crook & Ayee 2002). These groups must be given a place of visibility and must be recognized as key factors in the public sector’s effort to be responsive, ef cient, and effective in accomplishing its missions.

The gure below illustrates these points. The training bias toward senior-level employees in CB is illustrated in the model on the left and shows a weak or broken link between those who are trained and the rest of the organization, espe- cially the frontline workers who have the most interaction

The Status Quo 

with citizens and other stakeholders in society. The assump- tion is that knowledge gained will trickle down to the rest of the organization, but with no explicit mechanisms in place, this trickling down may not happen.

The proposed model (on the right) is more inclusive, equipping employees with the necessary skills and knowledge through human resource development (HRD). Street-level personnel are prioritized, and unlike the previous model, there are speci c mechanisms (indicated by solid lines) for sharing knowledge with the rest of the organization, and this sharing process is radial, not unidirectional. Relevant train- ing is conducted for the different groups in the organization, and this knowledge is shared. If and when this kind of CB
is pursued, especially when aligned with the organization’s mission and vision, other bene ts will accrue, such as articu- lating and building an organizational culture that values its various functions.

Proposed Model 


Contemporary Capacity – Building (Training) Efforts 


Senior/Executive Level Personnel

Human Resource Development (HRD) Efforts 


Mid-Level Personnel (new focus)

Senior Level Personnel

Street-level personnel (new focus)

Mid-Level Personnel

Street-Level Personnel

Citizens & Other Stakeholders in Society

Citizens & Other Stakeholders in Society


refrAMing CApACitY – Building in AfriCA: reCOgniZing

tHe iMpOrtAnCe Of street-leVel CiVil serVAnts

Esi Ansah – Rutgers University 



Recommendations and Conclusion 

  • Re-evaluation of management-oriented capacity building approaches and initiatives;
  • Elevation of the importance of street-level bureaucrats/frontline workers, especially in professionalization efforts;
  • Renewed focus on previously neglected nonstructural issues;
  • Internal human resource development;
  • Rede nition of the role of the human resource
  • Training of HR managers as trainers and facilitators
    of training;
  • Building an organizational culture; and
  • Clearly de ned, radial knowledge-transfer
    mechanisms within organizations.
    Although I suggest that CB is conceptualized and applied in a problematic way, I do acknowledge the impor- tance of what it attempts to accomplish. I am advocating the position that the management-bias in CB efforts must be ad- dressed and street-level civil servants included in the public- sector performance improvement equation. There is the need for a renewed focus on what it means to build capacity in the profession of PA and to move beyond constraining training- oriented reforms that target management only.
    Because many lower-level civil servants enter the sector with little prior experience or sincere interest in serving the public—frankly, many apply after other attempts to enter ca- reer areas fail—they are ill-equipped to deal with citizens and to serve effectively. The training offered to these entry-level employees, if any, is scant, and resources must be redirected to equipping and retaining them. Many of the efforts to develop human resources have been in the private sector, although the public sector engages more citizens in the gover- nance equation; whether they like it or not, they have to deal with some aspect of government one way or the other, which makes it even more crucial to design ways to develop human capital for the public sector.
    The role of the public-sector human resource manager must also be clari ed. Managers must make a transition from enforcing rules and regulations, recruiting and managing the payroll, to a more valuative role that builds organizational culture, trains or organizes training for employees in relevant job areas, and helps them to become conscientious in deliver- ing not only ef cient but effective services to the public. The HR manager thus moves beyond “managing” personnel to “developing” them.

I would also advocate a renewed focus on developing clearly de ned, viable mechanisms for knowledge transfer within public agencies, especially as it pertains to improving organizational performance. Public agencies must not only begin to pay attention to frontline workers, but when they equip employees with new skills and knowledge, they must have well laid-out plans for how that knowledge is going to be shared with the rest of the organization; there must be an organizational plan for how the knowledge and skills gained can meander radially through the organization at large.

Many scholars have lamented the failures and weaknesses of PA in Africa, offering some theoretical—and sometimes impractical—solutions. Others have lamented but refrained from prescribing any remedies, and hardly any mention is made of professionalizing PA and collaborating with train- ing institutions (Bongyu 2002; Okoli 1980; Mutahaba, et al. 1993). Academics might gather data on phenomena or prac- tices used in public agencies, organize that information into
a useful resource for carrying out administrative tasks and for other agencies. The public sector provides a social laboratory for academics to generate and to test knowledge, while it can also pro t from academic ndings.

If we can balance this crucial relationship properly, then perhaps we can begin to train administrators at the college level and encourage the production and reproduction of knowledge, boosting the progress of PA in Africa. There is some consensus on the incompatibility of Western models of PA and local African contexts (Mhone 2003; Heady 1998; Okoli 1980). PA scholars must be challenged to replace the old, ill-suited paradigms and strategies with fresh, new ones that will link theory and practice to enhance local public- sector performance. If the aim of CB initiatives is to equip human resources to implement policy, deliver services, and perform other functions ef ciently and effectively, then the focus must be shifted to the ground-level implementers and redesigners of policy—street-level bureaucrats—in a variety of local contexts.




Fifth International Conference on Public Management, Policy and Development 


Ayee, J. (2001, February). Renovated pedagogical methods and curricula in the training institutes of public administration in Africa. Paper presented at the 3rd Pan-African Conference of Ministers of Civil Service, Windhoek, Namibia. Retrieved 29 July 2005, from

Ayeni, V. (2001, February). Capacity-building of institutes of public administration: lessons of experience. Paper presented at the 3rd Pan-African Conference of Ministers of Civil Service, Windhoek, Namibia. Retrieved 29 July 2005,

Bongyu, G. (2002). Creating a positive administrative environment: a prerequisite for the development of Africa. Paper written for the United Nations Online Network in Public Administration and Finance (UNPAN). Retrieved 29 July 2005,
from groups/public/documents/CAFRAD/UNPAN008009.pdf

Crook, R., & Ayee, J. (2002, November). Urban service partnerships, ‘street level bureaucrats’ and environmental sanitation in Kumasi and Accra, Ghana: Coping with organisational change in the public bureaucracy. Prepared and presented at the “Making Services Work for Poor People” World Development Report (WDR) 2003/2004 Workshop, Oxford, UK. Retrieved 29 July 2005, from

ESAMI (2001). ESAMI management development programs: policy analysis and public sector management programs. Arusha, Tanzania: ESAMI Printing Press.

Heady, F. (1998). Comparative and international public administration: building intellectual bridges. Public Administration Review, 58 (1):32-39.

Helgesen, S. (1995). The Web of inclusion. New York: Doubleday.
Hood, C. (1991). A Public management for all seasons? Public Administration, 69 (1):3-19. ILGS (2003). ILGS Annual Report. Accra, Ghana: Saara Ventures.

Jaycox, E.V.K. (1993, May). Capacity building: The missing link in African development. Address delivered at the African-American Institute Conference on African Capacity-Building: Effective and Enduring Partnerships, Reston, VA, USA. Retrieved 29 July 2005, from$ le/1993%20 Jaycox%20 speech%20on%20CB%20in%20Africa.pdf

Lipsky, M. (1980). Street-level bureaucracy: The dilemmas of individuals in public services. Cambridge: MIT Press.
Manning, N. (2001). The Legacy of the new public management in developing countries. International Review of Administrative 

Sciences, 67 (2):297-312.

Mhone, G. (2003). The Challenges of governance, public sector reform and public administration In Africa: Some Research Issues. DPMN (Development Policy Management Network) Bulletin: Special Issue. 10, (3). Retrieved 29 July 2005,

Minogue, M., Policano, C., & Hulme, D. (Eds.). (1998). Beyond the new public management: Ideas and practices in governance. Cheltenham: Edward Elgar Publishers.


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tHe iMpOrtAnCe Of street-leVel CiVil serVAnts

Esi Ansah – Rutgers University 



Mutahaba, G., Mutahaba, Baguma, G., & Halfani, M. (1993). Vitalizing African public administration for recovery and development. West Hartford, CT: Kumarian Press.

Okoli, F. (1980). The Dilemma of premature bureaucratization in the new states of Africa: the case of Nigeria. African Studies Review, 23 (2):1-16.

Polidano, C., & Hulme, D. (1999). Public management reform in developing countries: issues and outcomes. International Journal of Research and Theory, 1, (1):121-132.

Schick, A. (1998). Why most developing countries should not try New Zealand reforms. World Bank Research Observer, 13 (1):123-131. UNPAN/CAFRAD (online) training programme for capacity building in public sector reform and management in Sierra Leone in

01/03. Retrieved 29 July 2005, from

Weatherly, R., & Lipsky, M. (1977). Street-level bureaucrats and institutional innovation: Implementing special education reform. Harvard Educational Review, 47:171-197.


us puBliC MAnAgeMent fOr eXpOrt: CAVeAt eMptOr –

An AnAlYsis Of VAlues And underlYing AssuMptiOns

Jennifer Alexander – Maxine Goodman Levin College of Urban Affairs Cleveland State University 




This article examines underlying values of public management and public service and their appli- cability for “transition societies”, those nations in the process of achieving democratic governments (O’Donnel & Schmitter 1991). The limitation of public management is that it provides no norma- tive foundation for governance or democracy. In contrast, the new public service presupposes an administrative ethic of public service, some degree of community engagement in civic issues, and a posi- tive perception of government. The solution to the limitations of public management can be found in the American philosophy of positivism, a method- ology that holds promise for generating not only new, effective practices consistent with the needs of African nations but also theories of public adminis- tration suited to transition societies.

The following paper is a thoughtful examination of the challenge of transferring public- management processes from the United States to African nations, or what O’Donnel
and Schmitter (1991) refer to as “transition societies”, those nations in the process of achieving democratic governments. I begin by outlining the values and assumptions that inhere in public management as well as the stream of US public administration known as the “new public service.” After ex- ploring these two approaches and what they offer, I turn to a brief discussion of pragmatism and how, as a methodology, it holds promise for generating not only new practices but new theories of public administration uniquely suited to transi- tion societies.

The body of work we know as public administration in the United States began during the Progressive Era, which was a period of economic, political, and social turbulence. Prior to the 1880s, the United States had very little gov- ernment administration, nor did it need one. During the Progressive Era, administrative services developed in response to rapid urbanization, a massive in ux of immigrants, wide- spread government corruption at both the local and national levels, and rapid technological change. An administrative arm of the state was needed to provide services, build infra- structure, and make democracy work. Public administration evolved in the United States to face many of the challenges developing nations face today, and the best of what was learned may have some value and transferability.

An essay by US President Woodrow Wilson was probably the rst appeal for a study of comparative administration.
He argued that we should borrow knowledge from Germany and France to learn how to make our government work. He offered an analogy: if we see a murderous fellow sharpen-
ing his knife, we may copy his sharpening skills without the murderous intent. He meant that the techniques of admin- istration are neutral, and we can adapt them to our political system without investing in their original purposes. What
we discovered within fty short years was that the tools were not as neutral as we believed (Waldo 1948/1984). In fact, we grafted onto our political system a model of public adminis- tration adapted to the centralized bureaucratic structures of European nations, which turned out to be a poor t for our highly decentralized system of shared power.

So the rst lesson I offer from our 125 years of experi- ence is that, for all our efforts to generate a neutral science of administration, what we have is neither neutral nor scien- ti c but very much a re ection of our political, economic, and cultural history. This lesson is not a surprise, given the experience of African nations. The World Bank, the Interna- tional Monetary Fund, and a number of donor agencies have followed the same logic in their attempts to build the public institutions and economies of developing nations, importing models of economic development, governance, and, most recently, theories regarding civil society from Western indus- trialized societies.

With the acknowledgment that what appears bene cial may be a poor t and deserves careful scrutiny, then, I put forward the assumptions behind theories of public admin- istration and management in the hope that they may hold practical value for nations seeking to strengthen and to improve the administrative arm of the state.

Public Management: Strengths and limitations 

First, I would say that the very title of this group, the International Conference on Public Management, identi es the dominant stream of thought in American public admin- istration and the larger global movement we know as the new public management. Public management refers to a cluster of ideas that seek to introduce private-sector techniques into the public and nonpro t sectors in order to improve government performance and statecraft. It assumes that management is a generic practice that can be imported into all organizational forms for their betterment and that free-market competition is a valuable strategy for improving all organizational perfor- mance (Kaboolian 1998).




Fifth International Conference on Public Management, Policy and Development 

Public management offers a popular alternative to our traditional model of public administration, which suffered from the worst shortcomings of bureaucracy—it was imper- sonal, slow, oppressive, and rigid (Hummel 1998). In con- trast, public management promises a smaller, more responsive administrative arm. As in traditional public administration, administrators are attentive to the means of achieving politi- cally determined ends. They are expected to be innovative and entrepreneurial in identifying how political goals may

be achieved as ef ciently and effectively as possible. The focus of training, therefore, is on generating competence in key management skills, such as budgeting, human resources, strategic planning, and accounting. Government effectiveness is evaluated based on performance, and citizens are regarded as customers. The strengths of this approach are its emphasis on the development of administrative expertise or skill that is essential for effective governance in any system; it is attentive to ef ciency in the achievement of established goals, and it seeks to win people’s support for government and adminis- tration through ef cient and responsive service delivery by people who have expertise.

The challenges of a public-management approach are, rst, that the model is drawn from business and econom-
ics and provides no politically derived framework or value structure to guide administrative behavior. The state is supposed to create and to sustain a supportive environment for the market. In fact, I would argue that we could teach public- management techniques to administrators in a system of apartheid, and it would generate no value con ict. Herein lies the problem. In transitional governments bent on becom- ing stable democracies, administrators have political respon- sibilities to create conditions under which citizens and public servants can join in deliberation about the problems they confront (King & Stivers 1998). Administrators foster democ- racy when they help citizens to articulate their interests, form strong communities, and translate that information into the policy dialogue. Accordingly, the core management value of ef ciency must be counterbalanced and occasionally overrid- den by political values, such as individual rights, equity, and representation.

Second, public management has its roots in classical liberalism and economic theory, so it makes certain as- sumptions about human beings; speci cally, that people are rational, self-interested, pragmatic, and prioritize individual- ity over their social role. Policy driven by these assumptions will support a market-based logic of survival-of-the- ttest, achieved through competition and individualism, over tradi- tional values that sustain communities. These values present

a signi cant challenge to assumptions in an African context, where a community’s responsibilities and rights are priori- tized over the individual’s.

Virtually every nation today is suffering from the rapid changes and disruption brought on by globalization; one of the often cited effects is hyper-individualism. This individual- ism is particularly pernicious in an African context because community and kinship ties, which have been the foundation of survival, are falling away without any support system to take their place. The new public management, as an approach to government administration, may accelerate these trends.

New Public Service 

The countervailing stream of thought in US public administration is known as the new public service. It has been a part of the American experience since the founding of our nation and the Federalist debates with Anti-Federalists about how to best create a strong and stable democracy. The Anti- Federalists argued that an active citizenry, strong communi- ties that shape individuals, and accessible, decentralized gov- ernment would create a stable government that people would trust. This theme was echoed during the Progressive Era in the Settlement House movement, when men and women moved into urban neighborhoods to live with the poor and to provide necessary services. These early public administra- tors focused on citizenship and community; they wanted to learn the causes of urban problems and poverty rsthand.

Recent attention to a public-service approach is a re- sponse to the loss of community and a need to build “mediat- ing institutions” that enable citizens to come together and to formulate ideas about their needs that can inform the policy dialogue. In Botswana, I experienced this sense of commu- nity at village gatherings, or Kgotla, where people congregated to resolve community problems. The central government left chiefs the authority to resolve local disputes, making govern- ment accessible to the people.

The new public service is a long-standing approach
to public administration that developed to support strong democracy, civil society, and democratic citizenship. Admin- istration is regarded as an inherently political activity in that administrators identify ends as well as means in collaboration with individual citizens or citizen groups. Administrators seek to build strong linkages with communities to help them ar- ticulate shared interests. Rather than functioning as experts, administrators share leadership and seek to identify solutions in collaboration with communities, recognizing that citizens are the experts on their own lives. This approach requires the administrative skill to function as a negotiator and facilitator,


us puBliC MAnAgeMent fOr eXpOrt: CAVeAt eMptOr –

An AnAlYsis Of VAlues And underlYing AssuMptiOns

Jennifer Alexander – Maxine Goodman Levin College of Urban Affairs Cleveland State University 



building coalitions and brokering interests between groups to meet what the community regards as its overall interests (Denhardt & Denhardt 2000). It requires that administra- tors hold and demonstrate an ethic of public service and an awareness of history. US political heritage ideally mandates that the values that guide administrators include the core values of the state: individual freedoms and rights, equality, and representation.

The new public-service approach to public adminis- tration fosters a sense of citizenship and civil society, the elements that comprise the bedrock of any democracy. Civil servants exercise political discretion, identifying ends as well as means of state action in concert with citizenry. The new public service holds potential for transition societies and Af- rican nations in particular because they are still formulating the idea of citizenship as a social and political membership that transcends ethnicity.

However, administrative behavior re ects the political system of which it is a part. Citizens and citizen administra- tors’ virtue and engagement re ect knowledge about, and positive evaluation of, government and politics (Gimpel, et al. 2000). Colonial and postcolonial governments, in the main, have not been instruments of the people but more often predatory and exploitative (Landell-Mills 1992). Nor have citizens developed strong national identities. “Citizenship as
a principle imposes obligations on the ruled . . . to respect the legitimacy of choices made by deliberation among equals” (O’Donnel & Schmitter in Adebanwi 2004:7). Hence, the creation of an active citizenry and political engagement may prove not only dif cult but unwanted.

In order to be effective, the service approach to public administration requires the political support of elected of- cials and an ethic of community service or civic virtue that encourages administrators to consider themselves “citizen administrators.” If the civil service does not hold this ethic or holds an ethic of graft and corruption, the approach may not be a logical alternative.

What these approaches offer in the context of transitional governments in Africa 

In the US, these streams of thought are regarded as im- miscible. Public servants are working for strong democracy by building strong linkages with citizens and seeking shared solu- tions, or public managers are neutral experts, implementing policy with a focus on ef ciency and effectiveness, and using their entrepreneurial skills to reduce the size of government. However, both share the idea of a civil servant less controlled and encumbered by hierarchy than in the past, who aims

to create a more nimble government that is responsive to citizens/customers.

What do these two approaches offer to the challenges
of the public sector in transitional societies? First, based on recent reports, African nations must build strong public insti- tutions. Donor institutions, such as the World Bank, which previously focused on a market-based approach, intended to reduce the role of government, have recently reversed their stance and recognized that without strong state institutions, these governments will not be able to respond adequately to needs for security, economic growth, and human develop- ment. More than one- fth of all Africans live in countries af- fected by con icts; in nations not at war, crime and violence generated by refugees and poverty can drain government and economic resources (Harsch 2000). The public sector must invest in public goods, such as infrastructure, health, and educational services, that will support economic growth, which is enormously expensive. “Better health and education are vital public goods that governments must guarantee if their economies are to become more productive and competi- tive” (Harsh 2000).

In service to institution-building, the new public manage- ment brings expertise in key administrative skills; the values of competence, ef ciency, and effectiveness; and an entre- preneurial spirit that seeks creative solutions. One example from the favelas in Brazil recounts the experience of a mayor, who had the problem of garbage and no budget for public works. He offered residents a bottle of milk or a loaf of bread in exchange for bags of garbage, and within short order, the problem was resolved. Public of cials employed a similar reso- lution to the problem of garbage in the bay, paying shermen for retrieving garbage from the waters.

The danger in this approach is its antistatist perspective. When attention should be paid to building strong institu- tions, the market-based approach converts citizens to custom- ers. It regards as logical charging user-fees for health care and education, when shifting the costs to people least able to pay simply deters use of critical services (Harsch 2000) and long- term human development.

The new public service, with its focus on building civil society and citizenship by creating collaborative relation- ships between administration and community groups, offers the opportunity to generate government administration

and institutions attuned to community traditions and the structures of indigenous societies (Landell-Mills 1992:545). In an earlier example, I noted that the national government of Botswana left local Tswana chiefs the authority to adjudicate local disputes and citizens with the right to choose either the




Fifth International Conference on Public Management, Policy and Development 

traditional or new government when seeking resolution. By supporting an approach to public administration that allows citizen participation, “the design and operational practices of public institutions can become consonant with the social values of the society in which they are imbedded” (Landell- Mills 1992:546).

African nations today confront terri c disruption and social change as the commercialism and hyper-individualism that accompany globalization dislodge communal values. Public-administration approaches that collaboratively gener- ate solutions to community problems have the potential
to support traditional values and practices and slow social disruption. If nations can cultivate an ethic of community service among administrators, they will build not only a sense of citizenship but more effective public policy because it
will re ect “cultural concepts and practices familiar to those directly involved “ (Landell-Mills 1992: 547).


Not until the late 19th century did the United States set about the task of developing an administrative arm of govern- ment. We had nearly one hundred, largely isolated years to mature as a democracy and to develop a national identity as citizens prior to developing any sophisticated administrative apparatus. More than public service or public management, an American philosophy born at this time of turbulence
and change may be of use to administrative practitioners in transition societies today. It is a way of exploring what works when we seek to resolve a problem that emphasizes direct experience and the knowledge generated from that experi- ence. Pragmatism has evolved and acquired a number of de nitions, but, most simply, it is a philosophical movement premised on the belief that individuals must act continuously and experimentally to discover knowledge. Pragmatism is a tolerant approach that allows us to draw on a variety of other theories, philosophies, and bases of knowledge. All are tools that can inform administrative action.

As a public-administration method, pragmatism moves away from the idea of expertise and one best way. Rather than relying on one particular theory, truth, or tradition, ad- ministrators respond to the current context, using on a multi- tude of sources and experiences to inform practice. Instead of building a body of theory to guide practice, pragmatism uses the practice of public administration to build theory.

Instead of readily applying US public-administration practices that re ect the culture and norms of Western societies to transition nations, pragmatism allows us to sort through the various theories about what will work—new pub-

lic management, new public service, indigenous institutional norms, and cultural practices—to discern a course of action. As a philosophy, pragmatism supports the idea that we learn from expertise as well as experimentation. As an inherently practical approach, it encourages administrators to let what works generate knowledge and inform practice.

Pragmatism is consistent with the new public service in that it fosters strong democracy and collaborative problem- solving. The administrator as expert contributes by “discover- ing the facts and presenting the alternatives” to citizens and communities (Evans 2000:313). Decisions that will affect lives and livelihoods belong to those who might be affected. If we miss the mark, then experimentation begins anew.


When we set out to create a science of public admin- istration, Americans borrowed from Europeans, found
their programs a poor t with our system, and progressively developed theories of public administration and management that re ect our political, economic, and social values. In this essay, I have drawn attention to the underlying values of our two dominant streams of thought about how to run a govern- ment. I have introduced readers to a promising methodology that encourages experimentation and practical generation
of knowledge. Pragmatism encourages public administrators to sort through the variety of theoretical and community- generated approaches and to engage in experimentation and inquiry to generate their own solutions to state-building. Instead of offering one best way, the practice of public ad- ministration can be built from a variety of knowledge sources that government administrators nd practically suited to their needs. By taking a pragmatic approach to the practice
of administration, administrators and scholars in transitional democracies are highly likely to generate their own theories of administration.


us puBliC MAnAgeMent fOr eXpOrt: CAVeAt eMptOr –

An AnAlYsis Of VAlues And underlYing AssuMptiOns

Jennifer Alexander – Maxine Goodman Levin College of Urban Affairs Cleveland State University 




Adebanwi, W. (2004, July). Contesting exclusion: The dilemmas of citizenship in Nigeria. Paper presented at the Sixth International Conference of the International Society for Third Sector Research, Toronto, Canada.

Denhardt, R. B., & Denhardt, J. V. (2000). The new public service: Serving rather than steering. Public Administration Review, 60, (6):549-569.

Evans, K. G. (2000). Reclaiming John Dewey: Democracy, inquiry, pragmatism and public management. Administration & Society, 32(3):329-354.

Gimpel, J., Lay, J. C., & Schuknect, J. E. (2003). Cultivating democracy: Civic environments and political socialization in America. Washington, DC: Brookings.

Harsh, E. (2000). Can Africa claim the 21st century? Africa Recovery, 14 (3):20-25.

Hummel, R. (1998). International Encyclopedia of Public Policy and Administration, 1:307.

Kaboolian, L. (1998). The new public management: Challenging the boundaries of the management vs. administration debate. Public Administration Review, 58:189-193.

King, C., & Stivers, C. (1998). Government is us: Public administration in an anti-government era. Thousand Oaks: Sage Publications.

Landell-Mills, P. (1992). Governance, cultural change and empowerment. Journal of Modern African Studies, 30 (4):543-567.

O’Donnell, G., & Schmitter, P. (1991). Transitions and authoritarian rule: Tentative conclusions about uncertain democracies. Baltimore: Johns Hopkins University Press.

Stivers, C. (2002). Bureau men, settlement women, studies in government and public policy. Lawrence: University of Kansas Press. Waldo, D. (1984). The administrative state. New York: Holmes and Meier Publishers. (Original work published 1948). Wilson, W. (1887). The study of administration, Political Science Quarterly, 197- 222.


COnsOrtiuM fOr internAtiOnAl MAnAgeMent, pOliCY And

deVelOpMent (CiMpAd): Our MissiOn, HistOrY, And WAY fOrWArd

Harvey L. White – University of Pittsburgh, CIMPAD General Chair 1997-2005 



Conference Closing Session Address 

Principles guiding struggles for freedom and justice here and in other parts of the world are rhetorically, substantively, and humanistically inclusive. As Frantz Fanon points out in The Wretched of the Earth (1963), “Each generation must, out of relative obscurity, discover its mission, ful ll it or betray it.” This statement is true for both humans and the organiza- tions they create. It certainly has been true for CIMPAD, which has, out of relative obscurity, discovered the promise that exists in collaborative partnerships and spent the past ten years seeking to ful ll it.

From a relatively obscure 1995 meeting in South Africa’s Northwest Province, a consensus among the participants in a capacity-building project emerged to build linkages between South African, American, and other public-service profession- als. This consensus was subsequently embraced by a variety of individuals, organizations, and institutions in Africa and the United States, resulting in the partnerships that now make up the Consortium for International Management, Policy, and Development.

Building partnerships that promote good governance and sustainable development continues to as serve the Con- sortium’s mission. Partnerships that support effective man- agement, better health, con ict resolution, and peace and security have been addressed at each conference. Consider- able attention has also been paid to economic development. The speci c objective is to foster partnerships to help improve peoples’ lives. Moreover, CIMPAD’s mission embraces the concepts and practices of “people-centered development”, which seeks to empower people to help develop their com- munities sustainably.

These people-centered concepts and practices, while culturally sensitive, are premised on scienti c conclusions that humankind, regardless of race, is 99 percent the same. Those of us who organized this conference, in general, agree that our humanness makes us aware of our oneness. Indeed, the struggles we have experienced—as Africans, African Americans, and other nationalities—re ect our aspirations to improve conditions for all human beings.

“An injury to one is an injury to all.” Motto of the International Workers of the World

“Injustice anywhere is a threat to justice everywhere.” Martin Luther King, Jr.

The organizers of this conference realized very early in our collaborative efforts that good governance and sustain- able development are universal public goods to be pursued.

Thus, the collaborative partnerships formed to pursue CIMPAD’s mission have been diverse and inclusive. Through them and the research and committed efforts they engender, CIMPAD is working to provide a new set of people-centered resources for achieving sustainable development that are germane to all communities.

This convening marks the tenth year of collective work. It also represents my tenth year and end of my term as the General Chair of the Consortium. Although brief histori- cally, the activities and experiences that are products of these African conferences on Public Management, Policy, and De- velopment constitute a rich legacy of learning, collaboration, and, hopefully, inspiration for a new generation of leaders who will carry on the work that has been started.

History: from struggle to construction 

The international conferences on Public Management Policy and Development Administration and the Consortium that sponsors them were precipitated by the struggle against apartheid in South Africa. However, their postapartheid focus is on the construction of new realities for the oppressed and dispossessed. The oppressive apartheid system, in a strange way, inspired public-service professionals in various countries on several continents to collaboratively seek the construction of more effective paradigms for delivering public services and achieving sustainable development.

During the January 1994 meeting at the University of Bophutatswana (now the University of the Northwest), men- tioned above, the Conference of Minority Public Administra- tors (COMPA) was asked to facilitate new linkages. COMPA of cials made contact with numerous public-service organiza- tions and invited them to become part of this initiative. The response was very positive, and planning started in 1995 for an international conference in South Africa.

The rst planning meeting was held at Southern Uni- versity in Baton Rouge, Louisiana. In addition to the nine American public-service institutions and organizations, rep- resentatives from Ethiopia, Ghana, Nigeria, Mali, Morocco, and South Africa were also present. Subsequent planning meetings were held in Washington, DC, and Pittsburgh in the United States, and Pretoria, Durban, and Capetown in South Africa. A decision was made to hold a conference in Johannesburg in the summer of 1997.

Highlights of previous conferences. The theme of the First International Conference, convened 4-7 August 1997 in Johannesburg, was “Transforming and Revitalizing Public Management and Development through Institutional Capac- ity- Building and Governance: A Program for Action.” More




Fifth International Conference on Public Management, Policy and Development 

than 150 individuals, representing 11 African countries, Great Britain, India, and the United States, participated in panel and workshop sessions. Keynote speakers included Dr. Mapule Frances Ramashala, a member of the South African Truth and Reconciliation Commission; Dr. Joan S. Wallace, former US Assistant Secretary for Agriculture; Mr. Harold R. Sims, former Vice-President of Corporate Affairs for Johnson and Johnson, Inc.; Dr. Sibusiso Vil-Nkomo, Director of the University of Pretoria School of Public Management and Administration and Member of the Republic of South Africa Public Service Commission; and Professor Sylvester Murray of Cleveland State University and former President of the American Society for Public Administration and the Interna- tional City and County Managers Association.

Even though the rst conference was conceived as a one- time event, organizers and participants immediately realized the far-reaching advantages of continuing this international endeavor. A decision was made to hold a biennial conference in an African capital city, with future plans to hold confer- ences in countries outside of Africa, including the Caribbean islands.

The Second International Conference was convened 24-
28 July 1999 in Accra, Ghana. The theme was “Improving Government Performance in Development: An International Dialogue.” African and American participants were joined
by Caribbean and Canadian public-service professionals.
The conference featured meetings, panel discussions, and presentations addressing innovative management and de- velopment activities in the areas of budgeting, port manage- ment, civil-service reform, and privatization. The desire to develop productive linkages with local communities and to provide support for indigenous organizations was signi cantly advanced during the Ghana Conference. Resources for vil- lage school activities and subsequent collaborations with the Ghana Public Service Commission and the Ghana Institute for Management and Public Administration are sustainable outcomes of the Second African Conference. Other signi – cant conference activities included a meeting with Ghana’s First Lady and members of her First December Movement as well as postconference visits to historical sites, such as slave castles and the W.E.B. Dubois Centre.

The Third International Conference convened in Addis Ababa, Ethiopia, 3-6 June 2001. The program included four days of academic, cultural, and social activities. These diverse activities included presentations from renowned scholars, keynote addresses from Ethiopian government and UN rep- resentatives, an array of cultural exchanges, and diplomatic and public-service receptions. The conference was convened

with keynote addresses from Ethiopian President Dr. Negasso Gidada and Deputy Executive Secretary of the UN Economic Commission for Africa Ms. Lalla Ben Barka. Addresses were also given by Dr. Alemayehu Hailermariam, Commissioner of the Ethiopian Federal Civil Service; and Mr. James Nxumalo, Director of the Development Management Division of the UN Economic Commission for Africa. The quantity and di- versity of participants signi cantly enhanced the conference. Nearly 400 public-service professionals from more than 40 institutions and 10 countries were in attendance. In addi- tion to representation from the United States and Ethiopia, delegations came from the European Union, India, China, Nigeria, Kenya, Morocco, Mozambique, Mali, Sierra Leone, Ghana, Nigeria, and several other African countries. Insti- tutionally, 19 US universities, governmental agencies, and not-for-pro t organizations were represented. More than 30 Ethiopian universities, government, and nongovernmental organizations, representing most regions of their country, had participants at the conference.

The Fourth International Conference convened in Maputo, Mozambique, 20-24 July 2003. Mozambican public-service professionals from the highest levels of government par- ticipated. More than 1,000 individuals from 21 African, North American, South America and European countries, representing more than 100 institutions and organizations, engaged in an array of scholarly, professional, and cultural activities, supported by more than 30 cosponsors. Keynote addresses were delivered by His Excellency Dr. Alberto Chissano, President of Mozambique and President of the African Union; Dr. Pascoal Mocumbi, Prime Minister of the Republic of Mozambique; Dr. Graca Machel, former First Lady of Mozambique and South Africa and Chancellor of the University of the Cape; Dr. Leonardo Simao, Mozam- bique Minister of Foreign Affairs and Corporation; Dr. Lidia Brito, Mozambique Minister of Higher Education, Science, and Technology; and the Honorable Sharon P. Wilkinson, US Ambassador to the Republic of Mozambique. Conference participants also included 3 UN of cials; 5 Mozambique cabi- net ministers; parliamentarians from Mozambique, Uganda, and Rwanda; ambassadors from Europe and Latin America; university presidents and chancellors form the United States, South Africa, and Mozambique; and numerous academics and other public-service professionals.

This 2005 Senegal Conference has had a similar array of distinguished participants.


COnsOrtiuM fOr internAtiOnAl MAnAgeMent, pOliCY And

deVelOpMent (CiMpAd): Our MissiOn, HistOrY, And WAY fOrWArd

Harvey L. White – University of Pittsburgh, CIMPAD General Chair 1997-2005 



Conference Closing Session Address 

CIMPAD: an idea whose time has come 

As Fred Hampton, a revered leader who was killed during the struggle by African Americans to gain their civil rights, noted: “You can kill a revolutionary, but you cannot kill a revolution. You can jail a liberation ghter, but you cannot jail liberation.” The point he was making and the point many before and after him have made is that an idea whose time has come is a powerful thing. This timeliness is one of the essential points we make about the Consortium for International Management, Policy, and Development. As the highlights of the previous four conferences indicate, CIMPAD is an idea whose time has come. CIMPAD and the conferences it convenes are ideas that originate from the gestation of African seeds that are subsequently planted and nurtured around the world.

We made the point at our rst conference in South Af- rica in 1997 and at later conferences in Ghana, Ethiopia, and Mozambique: “This conference is the product of an African vision.” I feel fortunate to have been selected to carry the vision across the Atlantic. African men and women, however, generated the ideas for developing this biennial international conference and have been collaborative partners in planning and convening each meeting. While I have served as the Gen- eral Chair since the inception of CIMPAD, it is important for all to understand—those of us here today and those who may become involved with our efforts in the future—that not only was Harvey White not the genesis for this conference, he is also not the substance that sustains it. Many on both sides of the Atlantic and other parts of the world have contributed to the ve conferences we have convened here on the conti- nent of Africa.

These conferences and the work they facilitate continue to be a powerful idea whose time has come. The time has also come for us to select new leaders. As I announced in Mozambique, the culmination of this Senegal meeting will constitute the end of my tenure as General Chair. That seat is now vacant, but the Consortium that convenes us is very strong. It is strong because of the powerful vision that guides it. CIMPAD is strong because of the hard work that nurtures it, and the Consortium is strong because of the partnerships that sustain it. It has developed into a forestial resource for effective management, good governance, better health, con- ict resolution, and peace and security for Africa and other regions of the world.

What of the future? Using CIMPAD as a resource for development 

In my closing remarks for each of the previous four conferences, I have used an agro-forestry allegory to describe the mission and development of CIMPAD. The forest is also an appropriate allegory for our consideration today.

During the closing of the First Conference in Johannes- burg, I noted that efforts to support our colleagues in South Africa planted seeds for constructive collaboration extending throughout Africa and abroad. Conference participants were encouraged to water and feed the seeds so that they might germinate and grow. Although a modest beginning, it was noted, “The seeds of collaboration planted have within them the potential to develop into major resources for achieving sustainable development.”

“The seeds sown in South Africa have sprouted and become vibrant young seedlings” was the emphasis in the closing session of the Second Conference in Accra. Although strong and starting to reach for the sky, participants were told, “the ideas, the vision and the mission these seedlings constitute still need nurturing and support to reach fruition.”

It was exclaimed during the closing session in Addis Ababa, “the seedlings have become young trees that must be pruned and fed a rich diet of new ideas to ourish.” Indeed, during our Third Conference in Ethiopia the vision for CIMPAD became clearer, the mission more focused, and its structure better de ned. The possibilities for CIMPAD also became more obvious. The vision was expanded to embrace a more eclectic approach to sustainable development, represent- ing a multisectorial orientation. Mission- related objectives fo- cused on developing relationships with government agencies, universities, institutes, and not-for-pro t organizations that train and employ individuals in development management and policy. The Host Steering Committee structure used to plan and to implement the Ethiopian Conference has also become the model for subsequent meetings.

As proclaimed at the Fourth Conference in Mozam- bique, “The young trees have developed into a mature forest with localized ecosystems that are enriching the lives of communities in Africa and abroad.” The pre-South Africa Seminars and the post-African Executive Of cers Network meetings were new and exciting CIMPAD endeavors. Trees in the CIMPAD forest, it was also noted, “would very soon pro- vide resources for building homes and communities, which, in turn, can serve as the foundation for developing nations.”

CIMPAD has become an allegorical forest with many resources that developed from the seeds planted more than ten years ago in South Africa. It continues to be nourished




Fifth International Conference on Public Management, Policy and Development 

by the ideas, vision, and efforts of those who seek to promote good governance and sustainable development. Although CIMPAD developed from African seeds, it has been nurtured by a diversity of ideas, which makes it even stronger.

Yes, the seeds planted in South Africa have become mature trees; they are producing fruit. The seeds from this fruit have developed into young trees. The young trees need space to grow. Other organisms are also becoming a part of CIMPAD, making it an ecological system of ideas and efforts for enhancing governance and achieving sustainable develop- ment.

Thus, we have a dilemma: old and young trees exist in the forest, both needing more space to grow. What must we do? For the forest to be sustainable, some of the old trees must be harvested. We must make room in CIMPAD for emerging leaders, new ideas, and new avenues to advance the organization’s mission. Making room in the forest for other trees will further strengthen CIMPAD.

The old trees must be taken from the forest. However, we should not feel sorry them. They are ful lling their destiny. They were planted and nurtured for this day—to be harvested! They shall be used to build homes and furniture for those homes so that families will have shelter and comfort. Thus

it is with CIMPAD. Some of us who have been in leadership positions will move on to lead other organizations. We leave because the time has come for us to make room for others. The time has come for us to become building materials that can help provide shelter and support for the next generation that must lead.

As my term as General Chair of the Consortium for International Management, Policy, and Development comes to an end, I look back with a sense of accomplishment. The time and effort invested have produced rewarding personal and professional dividends for me. More important, I look forward to the future with excitement because the ideas, vision, and mission the new leadership brings to the Con- sortium will enable it to be a far greater resource for good governance and sustainable development than was possible during my term in of ce. Please give the new leadership the same level of support you gave me. The Chair is vacant, but it will soon be lled because CIMPAD continues to be a power- ful idea whose time has come.

In closing, please accept my deepest gratitude for allow- ing me to serve in this capacity. These have been ten of best years of my life. Thank you, and may God’s blessings con- tinue to be upon you.


MeMOries Of MAli



…meeting our guide, Mamadi, at the airport in Bamako. He immediately established himself as cordial, charming, patient, incredibly organized, and ef cient. He made our visit to Mali a delight.

… ying into the Aeroport de Tombouctou on Mali Air Express during a dust storm that reminded me of my life in southern New Mexico. Because of this providential storm, which blocked the full force of the summer Saharan sun, the temperature was only about 107 degrees Fahrenheit, instead of the 130 typical of mid-June.

…being met and escorted by the intrepid, enterprising, and charming young Mohamed, my companion for the day, who spoke four languages, pointed me in the direction of some
of the best artisans, and found me a CD of Boubacar Traoré, known to everyone in Mali as Kar Kar, whose beautiful songs evoke his country in a moment.

…visiting the local mosque in Timbuktu, the only one non- Moslems were allowed to enter, with a local Tuareg guide, informative, thoughtful, and regal in his royal blue robe and turban.

…visiting the famed center in Timbuktu for the preservation of ancient documents, which we were allowed to view. A
few were brought out especially for us to see. On the outside wall of the center was written in French: “The salt comes from the north, the gold comes from the south, the money comes from the country of the whites, but the word of God, the holy things, the beautiful tales, one only nds them in Tombouctou.”

…watching my more intrepid colleagues, a few complete with turbans, mount their camels and take off into the Sahara for a two-hour ride.

…dinner on the rooftop terrace at the hotel in Timbuktu, with an expansive view of the town. The power went off brie y, and the hotel manager came rushing up to assure us that he had been in contact with the manager of the power plant, and the power would be back on within 40 minutes. It was.

…waking in the middle of the night to utter blackness and memorable heat. In my stupor, I thought, someone has put me in an oven and is baking me. Once I thought to draw open the curtain, I saw that the dark outside was lighter than inside. Again, the power came back on within an hour.

….stopping at a Fulani village outside Mopti, where villagers came out to meet us. The Fulani are herders, and there were lots of cattle being driven along nearby. The children cluster around my colleague Edna’s digital camera to see the picture she had just taken of them.

…arriving in Mopti, a shing town on the banks of the great river Niger, for lunch on a parapet overlooking the river with the panorama of river life spread out on all sides: pirogues (the local shing boats) painted with bright designs; people sorting their catch, washing their clothes, bathing, swim- ming…We were served the local specialty, capitaine, a large sh common in the river, utterly fresh, cooked over a wood re, and served on skewers with huge bowls of rice, vegeta- bles, and other goodies, maybe the best lunch I’ve ever had.

…taking a boat across the river to a village of the Bobo, the shing people of Mali. We toured with the village elders and an enthusiastic cluster of children. Our colleague Dana orga- nized the children and led them in an Ohio State cheer. The Bobo children yelled “Beat Michigan!” with great enthusiasm.

…the stop in Djenne, with its world-famous mosque, the larg- est adobe building in the world, completely surrounded on Mondays by one of the biggest markets in West Africa. The only frustration was not being able to get back far enough to see the mosque as a whole, but it was balanced by the kalei- doscope of color and sound of the market itself, the heaps

of many-colored fabrics, jewelry, and the many necessities of daily life.

…driving along on the great plain of the Sahel, the transition zone between the desert and the tropics, seeing graceful trees that seem as equally spaced as if a gardener had planned it.

…visiting a village on the site of the former capital of the great 17th–18th century Empire of Segou, a most beautiful place, with adobe buildings spread along the banks of the river beneath giant trees…

….exploring the Women’s Cooperative in Segou, with its many artistic wares…

…back in the capital city of Bamako for a tour of the world- class art museum, where Malian artistry is shown to have roots that go back centuries. An intricately woven blue-and- cream tapestry many hundreds of years old was made by the people who preceded the Dogon, who now live along a great escarpment not too far from Djenne. A magni cent white




Fifth International Conference on Public Management, Policy and Development 

wedding robe, to be worn by the groom, is adorned with very ne embroidery that the sign says took more than three years to complete. We see statues of grave and digni ed Dogon couples and have lunch in the museum café, with typical Malian dishes, including an okra stew.

…on our last day in Mali, we drive to the top of the highest hill to see the sweeping panorama of Bamako, stretched out along the Niger river.

All in all, Mali is one of the most interesting and moving trips I’ve ever taken. In the months since, I’ve thought about the unfailing cordiality, patience, and helpfulness of everyone we met…about how art and music pervade life in Mali…about the beauty of the countryside and the adobe architecture… about the less visible parts of life in Mali, including poverty, high rates of infectious illness, and the daunting challenges that face countries poised at the interface between modernity and tradition. I think about the Malians who died in a series of res in Paris, the dangers of their overcrowded buildings, ignored by authorities even after the rst blazes made the hazard clear. I think about the fact that Mali is one of Africa’s most unquestionable democracies, and wonder why rich coun- tries like the US, who profess to care about democracy, don’t do more to nourish the growth of this emerging ower. I will continue to think of Mali and to thank Mali for the bountiful gifts it gives, even to those who pay it the briefest of visits.

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Fifth International Conference on Public Management,
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Volume 1, Number 1

Reflections on Japan: An Academic’s Experience in the Land of the Rising Sun

reflectiononjapan1Reflections on Japan: An Academic’s Experience in the Land of the Rising Sun 


In February 1996, the Japanese Ministry of

Foreign Affairs and Japanese corporations sponsored a ten-day visit for myself and the H.U.Jazz Ensemble. The Jazz Ensemble spent ten days touring three cities and performing concerts. I gave a lecture at the Tokyo Ameri- can Center, met with the media, and govern- ment executives, academics and undergradu- ate and graduate students from three univer- sities. I also attended policy meetings with members of the House of Representatives and House of Councillors in the Japanese Diet. The Diet is the equivalent to the U.S. Con- gress. The invitation to the Jazz Ensemble and myselfwasthe finalactivityofatwo-year “Building Bridges Program” sponsored by the Em- bassy of Japan and Howard University. The following remarks are excerpts from a speech I made at the Japan Information and Cultural Center/Embassy ofJapan on Wednesday, May 8,1996.

Reflections on Japan
In presenting my perspective about what

we experienced during our ten-day visit it is important to point out that I can only talk about impressions. This is critical because it


would be either extremely arrogant or patron- izing for me to suggest that I fully understand or have a total appreciation for the Japanese people or their 2000 + year old culture in only

10 days. Nevertheless, I do have impressions about the Japanese people, their culture and traditions. Therefore, I will try to communi- cate my impressions about Japan which are organized around what I call the three “Ps”: People, Principles, and Prospects (past & present).

Impressions of the People 

In my meetings with officials in the J apa- nese Ministry of Foreign Affairs there was a keen interest in my perceptions about the 1996 U.S. Presidential election. A number of these officials in different meetings were also inter- ested in knowing more about the African American experience in the United States. They were all very pleased to know that the Howard University Jazz Ensemble was per- forming concerts in Tokyo and other cities.

Five days after arriving in Japan I had the high honor of attending a private luncheon with Mr. and Mrs. Takakazu Kuriyama, Am- bassador Extraordinary and Plenipotentiary, at “Fuksu” restaurant in Tokyo Prince Hotel. The luncheon was pleasant and the food was tasty, as we exchanged ideas about the future of the relationship between Japanese and Afri- can Americans. I presented Ambassador Kuriyama with a copy of my first book, Imple- menting State Government Export Programs as a small token of appreciation for his many years of service to the Japanese and American people.

Personnel from the Japanese media were extremely interested in my perceptions as a political scientist about the eventual outcome of the 1996 U.S. Presidential election. The Editor of “SEKAI SHUHIO” (The World

Weekly) wanted to know “why isn’t the race problem being debated by the presidential candidates?” As a result, I was commissioned to write a commentary based upon some spe- cific criteria to address this issue. That article is published in the April 13, 1996 issue of The World Weekly entitled, “Ideology and Lan- guage in the 1996 Presidential Election.”

On February 21, 1996, I gave a lecture on

The Role and Concerns of the Diverse Afri- can American Community in the 1996 U.S. Electoral Process. The lecture was co-spon- sored by the American Embassy and ]apan Institute for Globalism. Approximately 70 people attended the lecture and half were

journalists from the] apanese media. The lec- ture was well received and I gave interviews to six journalists about U.S. politics and j apa- nese/African American relationships.

I was encouraged when I met the politi- cians because they all seemed to be receptive to African American/] apanese Business Summit to be hosted at Howard University. They all offered to help and indicated they were aware of a number of major Japanese firms who might be interested in participating in such an event. We all agreed that a number of impor- tant logistical and financial issues would have to be reconciled before such an important event could take place. I presented these offi- cials with copies of CDs from the Howard University]azz Ensemble and University pub- lications, including Government & Politics Journal where I serve as editor. Many of the politicians gave me small gifts to commemo- rate our meeting. I was honored by a token of friendship from Mr. Tuutomu Hata, a former Prime Minister of ] apan, with a copy of his favorite poem, Epithalamium [Ep-i-tha-la-mi- urn], which means a poem or song for con- gratulations on marriage or friendship.

Another memorable meeting occurred with Mr. Kabun Muto, former Minister ofthe giant Ministry of Industry and International Trade (MIlT). We were scheduled to meet for only 20-30 minutes, but both meetings lasted over an hour because the exchange was so reward- ing. My regret was I had not mastered ]apa- nese well enough to speak with these two gentle- men directly without an interpreter.

reflectiononjapan2As an academic, I always enjoy and welcome the opportunity to chat with students. This opportunity came when I traveled to the University of Tsukuba. In Tsukuba I was hosted by Associate Professor, Yasuko I. Takezawa, Ph.D., a scholar I knew from her visit to Howard University in 1995. She scheduled a large classroom and put up flyers about my visit but did not have any idea how many people would attend. To our surprise and delight over seventy people were waiting for us upon our arrival. After a brief introduction the students had a lot of questions about public policy as well as African American Japanese relations. They wanted to know my opinions about affirmative action, the 1996 U.S. Presidential election, African American perceptions about the Japanese, Why are there so many poor people in such a rich country as the

United States? Were there any Caucasians or Asian people at Howard University? Why is Howard University called a Black university? My greatest surprise in the exchange came when I made the assertion that the “Emperor” was a central and important aspect of the ] apanese culture. Many of the students groaned and shook their heads in disagreement with my assertion. I realized that many of students


the classroom are from a generation that grew up in the economic boom years of Japan and were not connected to the hardships of the post war period. I made the assertion because the Emperor’s Palace is in the heart of downtown Tokyo and occupies a very large amount ofland in an area where land is limited and extremely valuable.

After fielding questions for over an hour, the next class came into the room and we had to leave. Dr. Takezawa invited the students to an informal discussion with me in another classroom. To our surprise, over 36 students continued our dialogue. Dr. Takezawa thought this was somewhat unusual because students were in the midst of taking and preparing for final exams. The students’ enthusiasm and receptiveness was similar to the response of our students when professor Kazuko Kawachi of Keio University visited Howard University in October 1995.

Most important of all for me was the recep- tion and courtesy afforded me by many people I met in the, train station, taxis, restaurants, hotels, gift shops, stores, and at the Kabuki theater. For me this was the real Japan. The kindness, hospitality and respect afforded me by strangers gave me a feeling that I want to know more about the Japanese culture.

Perhaps the most unexpected but very re- warding experience I had during my tour was the meetings with three prominent African Americans living and working inJapan. Karen Hill Anton is a columnist with The Japan Times and Lance Lee is the President & CEO of 1GCOapan) Ltd., both are married to Japa- nese. The third African American is Reggie Life, a film maker and executive producer of two major films-“Struggle and Success” and “Doubles.” Mr. Life does not live in Japan but he has studied in and traveled frequently to

Japan on business. Both of his films have received praise and are financially successful.

Mr. Lee and I are currently looking for a publisher for his autobiography highlighting his 23 years of experience as an entrepreneur in Japan selling his health supply products in the Chinese market. A former airman, Mr. Lee is 43 years old. His other business is a school that teaches gymnastics and martial arts. Lee has a black belt in the martial arts. He rents a building in Tokyo for his enterprises, where he has employed 20Japanese for over 12years.

He is also the founder and Chairman ofthe African American Associate in Japan. His wife is a physician and he is the father offour sons.

Mr. Lee never went to college, but he has learned a lot in life about achieving success by developing a strong sense of discipline, pa- tience, and harmony with himself and nature. Lee learned his craft by apprenticeships, self- study and the skills acquired while in the u.s. Air Force.

Impressions of Principles
Certain principles and rules of conduct

that I have discerned help to account for japan’s impressive rise in world visibility and commerce. My impressions of the office work- ers in the various bureaus that I visited in the

Ministry of Foreign Affairs gave me, as an outsider, a sense that there was a set of core values, namely respect and harmony. On the other hand, in personal relationships, some Japanese men never tell their wives or girl friends that they love them. As one Japanese gentleman whom I had several conversations with said, “Japanese men don’t do that. They know we love them.”

Other central principles and values worthy of commentary include respect, courtesy, and not tipping for services rendered by vendors. For instance, the majority of the musicians in the Howard University Jazz Ensemble are young African American men in their early 20s. Many of the young men were surprised and pleased with the courtesy and respect they received during a visit to a store to purchase

gifts. In the United States, young African American men are often, unfortunately, re- garded in many retail and commercial estab- lishments as unwanted customers. Therefore, for some members in the band, receiving com- mon courtesy and respect in stores was a new expenence.

I was very pleased with the respect that I received as a university professor during my visit to the University ofTsukuba. Many of the students had never seen a Black professor and scholar. Several of the students sent me e-mail messages before I returned to Washington, D.C. A number of Japanese students were interested in the e-mail addresses of some of my students so they could initiate a dialogue with people their age.

When I visited the shrines in Kyoto, people in the hotel, shops, and restaurants were all very courteous and helpful. I never felt on any occasion that race was a factor in the type of treatment I received anywhere in Japan. Al- though it was obvious to everyone that I was a foreigner, perhaps people were extending themselves. Again, it was a pleasure to be treated with courtesy and respect.

As far as the Western custom of tipping is concerned, it is frowned upon in Japan. My escort, Mr. Saito, informed me immediately when I arrived in Tokyo that tipping for com- mon courtesies is frowned upon. In short, why should people pay a waiter, porter, vendor or a supplier for doing their job. I immediately had a flashback to a luncheon meeting at Union Station in the District of Columbia where I paid the bill and left a waiter a $5.00 tip. The waiter followed me to the door and wanted to know if he had offended me or was he disre- spectful in anyway. I answered no. He de- manded more money for providing my group with good service, even though he was receiv- ing a salary.

Impressions of Prospects: Past and Present 

reflectiononjapan3The modern Japan is less than 150 years old, but the real cultural foundation of Japan stretches back over 2000 years. Japan is a nation of shiny new buildings, impressive cit- ies, a low crime rate, high quality electronics and automobiles. Japan is also a society that values respect, courtesy and harmony. In 1995, Japan and the United States were the world’s two largest economic aid donors, each provid- ing over $1 0 billion annually. The United States sold Japan $75 billion worth of goods last year, making it the U .S.’s second largest market.

Until slightly more than a century ago, Japan, by its own choice, was almost com-

pletely isolated from the rest of the world. Reluctantly opening itself to Western coun- tries in the mid-19th century, it adopted mod- ern technology and quickly became an indus- trial and military power. Following the de- struction of World War II, Japan rebuilt its economy and now ranks among the world’s leading industrialized nations.

It is interesting to note that modern Japan has its roots in Meiji Restoration from 1868 onward, when the seat of government was moved from Kyoto which had been the capital of Japan for 1000 years, to Tokyo. One year earlier, in 1867 in the United States, Howard University was founded with the explicit mis- sion of providing ed ucational opportunities to promising Black students. Both years, 1867 and 1868, were defining years for the Japanese government and the founding of Historically Black Colleges and Universities (i.e., Howard University, Bowie State College, Fisk Univer- sity, ete.) in the United States. During this period, the Japanese were modernizing by converting from wood and bamboo to iron and steel in the material sphere and dealing with the external modern world, African Ameri- cans during this period were beginning their quest for social justice in the legal sphere and

the context of freedom for emancipated slaves. African Americans, like the Japanese, have gone through developmental stages. The Japa- nese went through stages and were able to meet on equal terms with other nations at sea. I am referring to japan’s defeat of the Russian fleet in the Russo-Japanese War, 1904-05.


Just as the Japanese were branching ou tin the world, African Americans were branching out from the South that held them in bondage for over 250 years. African Americans, were seeking out economic employment opportuni- ties in freedom and migrating to northern cities in the U.S. This was the period of the great Booker T. Washington and Dr. W.E. B. DuBois who were spokespersons for African American rights, educational opportunities and social justice. One of the greatest misconcep- tions that some Japanese and others have is that African Americans have squandered op- portunities. Frederick Douglass, the great African American abolitionist and leader says it best, “at the time of emancipation, the newly freed man began life with nothing other than the clothes on his back and the blue sky above him.” The Japanese in a sense started off with nothing when compared to other Great Pow- ers in 1868. However, because Japan was able to absorb new ideas and influences and adapt them to their own needs they have been able to make great strides in science, industry, and technology. At the same time, Japan remains a nation with distinctive cultural traditions. J a- pan will continue to move forward, challeng- ing other nations with its capacity for hard work and innovation, while retaining its own heritage.

Prospects for the Future 

1. Today, there are 45,000Japanese study- ing at colleges and universities in the United States, whereas there are only 1,700 Ameri- cans studying in Japanese colleges and univer- sities. That gap is widening each year, and it is at the root of the astounding lack of under- standing between the peoples of the two world’s largest economies. In 1995, Howard University’s Department of Modern Languages initiated its first-ever Japanese language pro- gram and wants to expand it in the near fu- ture. As a result of this program many of

Howard students are planning to study in Japan.

2. Scholarships and fellowships are avail- able for visiting scholars and students inter- ested in studying or teaching in Japan. Japan’s Ministry of Education announced an increase in the $190 million it provides in scholarships to foreign students, during an April 1996 meet- ing in ] apan between President Clinton and japan’s Prime Minister Ryutaro Hashimito. Less than 3 percent of this in scholarships now goes to Americans.

3. In the near future, Howard University President H. Patrick Swygert and japan’s Ambassador Saito may meet to consider poten- tial ways the two carr cooperate and collabo- rate. Once these two leaders agree upon a course of action, then resources can be mobi- lized to accomplish specific objectives. For instance, the proposed African American/] apa- nese Business Summit to be hosted at Howard University could lead to a multitude of collabo- rative business ventures, franchises, techno- logical exchanges, educational exchanges for faculty and students, etc. Moreover, such a summit could help to improve mutual under- standing and could reduce some of the cul- tural and psychological barriers that exist in the hearts and minds of African Americans and] apanese people.

4. The prospect of sustaining the practice of publishing essays and articles in publica- tions controlled by the Embassy of] apan and Howard University, specifically, japan Now and Government & Politics journal will be im- portant as we continue our dialogue.

In conclusion, as I reflect back on my experiences in the land of the rising sun, I am more convinced than ever before that African Americans and] apanese must continue to cul- tivate cultural interactions which can become a process of mutual learning. As the renowned writer Maya Angelou has observed,

“Human beings are more alike than unlike, And what is true anywhere is true every- where.”

And so it is with African Americans and Japanese. We are at the end of the day, more alike than unlike, because we are all human beings. We are well advised to remember this simple truth, as our world is fast becoming more a neighborhood rather than disparate continents and cultures separated by vast oceans.









Representative Bureaucracy : The Politics of Access to Policy-Making Positions in the Federal Executive Service

Representative Bureaucracy : The Politics of Access to Policy-Making Positions in the Federal Executive Service
Ronald C. Clark, Jr., Holona LeAnne Ochs and Michael Frazier

Public Personnel Management 2013 42: 75 DOI: 10.1177/0091026013484570

The online version of this article can be found at:

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PPM42110.1177/0091026013484570Public Personnel ManagementClark et al. 


Representative Bureaucracy: The Politics of Access to Policy-Making Positions in the Federal Executive Service 

Public Personnel Management 42(1) 75–89 © The Author(s) 2013 Reprints and permissions: DOI: 10.1177/0091026013484570

Ronald C. Clark Jr.1, Holona LeAnne Ochs2, and Michael Frazier


Does the bureaucracy represent the interests of the public or react to the partisan and ideological demands of political principals? This study uses data from the federal workforce reports and the U.S. Office of Personnel Management’s Central Personnel Data File to demonstrate that partisanship and ideology influence the demographic composition of the federal senior executives. The analysis indicates that fluctuation between administrations is largely attributed to presidents nominating and appointing individuals who share similar ideological views. The analysis also suggests that political control by ideologically driven principals has the potential to perpetuate divisiveness over polarizing issues. The partisan and ideological influences that continue to influence access to policy-making positions contribute to the perpetuation of patterned disparities in the representation of interests and undermine government performance.


representative bureaucracy, Senior Executive Service (SES), diversity, race, gender


Demographic shifts during the last two decades in the U.S. population have led to increased racial and ethnic diversity in America’s labor force. The U.S. Census Bureau (2008) estimated that people of color will become the demographic majority in 2042

1Capella University, Minneapolis, MN 2Lehigh University, Bethlehem, PA, USA 3Howard University, Washington, DC, USA

Corresponding Author: 

Ronald C. Clark Jr., 13510 Bermingham Manor Drive, Laurel, MD 20708, USA. Email:


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76 Public Personnel Management 42(1) 


due to the effects of immigration. These demographic trends and population projec- tions have renewed attention to the promise and challenge of attaining diversity at all levels of the federal workforce.

Diversity in the federal service has been a preeminent concern since the Civil Service Reform Act (CSRA) of 1978, requiring a “federal workforce reflective of the Nation’s diversity.”1 Diversity is salient because it connotes democracy, citizenship, inclusion, parity, and equal opportunity. Managed effectively, the assortment of racial, ethnic, and cultural perspectives within the federal workforce enhances innovation and problem solving, and strengthens employee retention which, in turn, improves govern- ment performance.2 Diversity at every level of the federal service reassures the public that they are descriptively represented by those who might be better able to understand and represent the range of interests in such a diverse society (Crum, 2008). Yet, 30 years after the CSRA was ratified, the demographic profile of the federal workforce indicates that women and people of color remain concentrated at the lower level, while White men occupy the bulk of middle-management and senior leadership positions (Crumpacker & Crumpacker, 2008; Greene, Selden, & Brewer, 2001; Hsieh & Winslow, 2006; Riccucci & Seidel, 1997). People of color also tend to be concentrated into jobs that are administrative, are perceived as inferior, and offer lesser rewards. Whites, however, are most overrepresented in high-ranking positions that regulate the scope and operations of government and professional occupations that are generously rewarded (Collins, 1997; Colvin & Riccucci, 2003). In spite of the expanded use of targeted minority recruitment programs and diversity training throughout the federal service, the evidence suggests that there remains a good deal of work to be done to achieve the inclusive workforce intended by the CSRA. The occupational and struc- tural segregation across the federal workforce also seems to indicate the persistence of social inequality, further indicating an illusion of opportunity without a concerted commitment to overcoming the various forms of discrimination.

Discrimination against women and people of color has historically been enforced through various means, thereby limiting minority opportunities for upward mobility. For example, the requirement that a photo had to be submitted with an application for government employment was an explicit method used by Woodrow Wilson’s adminis- tration to exclude minorities from government service and prevent the advancement of those already employed (Gest & Maranto, 2000; King, 1995). Data also suggest that discretion and subjectivity exercised by administrators have adversely affected people of color, particularly African American and Hispanic men, in attaining career execu- tive positions (Powell & Butterfield, 1997, 2002). Moreover, women have not advanced to senior leadership positions in proportionate rates as men, despite possess- ing comparable education, work experience, and performance ratings (U.S. Merit Systems Protection Board, 1992). A substantial body of literature demonstrates that discrimination and systemic barriers impede women and people of color from attain- ing access to senior executive policy-making positions (Mani, 2001; Naff & Kellough, 2003; Riccucci, 2002). In an effort to curtail the deficiencies and systematic barriers to meeting the statutory intent of the CSRA, the Senior Executive Service (SES) Diversity Assurance Act was introduced for the second time during the 111th Congress. Among

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Clark et al. 77


other provisions, the proposed bill includes mechanisms to remove barriers in the merit staffing process to boost diversity in the senior ranks and requires the Office of Personnel Management (OPM) to strengthen policies and oversee the SES. This legis- lation, however, was referred to committee and died thereafter.

Notwithstanding the premise or motivation of discriminatory practices and system- atic barriers within the SES hiring process, a series of U.S. Government Accountability Office (GAO; 2001, 2003, 2007, 2008) reports show gradual increases for women and people of color in reaching the top rung of the federal service. Yet, the fluctuation across the presidential administrations is not reflected in GAO assessments. Consequently, these reports reveal little about the tenor and tone of the reported gains. These studies also do not provide a theoretical basis that assesses or explains why racial and gender disparity persists among career senior executives. Naff and Crum (2000) used equal employment opportunity and affirmative action as ideological benchmarks to show that Presidents Jimmy Carter and Bill Clinton made more politi- cal appointments of women and people of color to career senior executive positions than Republican presidents. Kim (2003) substantiated Naff and Crum’s results after finding no relationship between the size of the federal senior leadership corps and education, occupation, population, and unemployment. In addition, the literature has yet to identify the current partisan and ideological variations in the administrative appointments to the SES.

There are three primary objectives for this article. First, it empirically analyzes the relationship between party identification and the demographic representation of senior executives in federal executive branch departments. Second, this article analyzes the upward mobility prospects for women and people of color notwithstanding political ideology. Third, it questions whether public policy change is necessary to attain diver- sity in federal senior executive positions.

This study proceeds as follows. The theory of representative bureaucracy and the evolving strand of research on inclusion and integration are described. Subsequently, the data and method examined within the context of representative bureaucracy in the SES are specified. Next, the variations across presidential administrations in the career SES compared with the noncareer SES are analyzed, and the representative nature of executive administrations is examined with respect to partisanship and ideology. Finally, the implications of these findings are discussed in the context of the proposed legislation.


Representative bureaucracy is a term first used by Donald Kingsley in 1944 in his description of the British civil service. Representative bureaucracy refers to the rela- tionship between a demographically representative public service and policy out- comes. The idea is that the social backgrounds and status of public administrators have the potential to enhance performance and make government more responsive based on their different perspectives, experience, and socialization. President Abraham Lincoln alluded to this concept in his Gettysburg Address by declaring “government for the

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78 Public Personnel Management 42(1) 


people, by the people, and of the people” (Goss, 2004). Similar to Pitkin (1967), Mosher (1982) effectively dissected this theory by declaring a distinction between passive and active representation. Passive representation concerns how bureaucracies demographically reflect their constituents. Active representatives subsequently advo- cate for public policies that affect the populations and communities they serve. Active representation in public administration requires a degree of bureaucratic discretion on salient issues specific to the group being represented (Keiser, Wilkins, Meier, & Holland, 2002; Meier, 1993; Selden, 1997). Active representation, however, is not automatic and does not necessarily benefit the interests of the populations and com- munities affected (Nielsen & Wolf, 2001).

This strand of research explores issues of inclusion and integration, and attempts to understand how well different groups have been able to move up the ranks in the fed- eral workforce. Empirical evidence shows that the overall representation for some groups has increased but continues to lag behind Whites in terms of grade and pay (Crumpacker & Crumpacker, 2008). Similar studies also indicate that there is a seg- mented equality, whereby women are significantly underrepresented in high-level jobs (Hsieh & Winslow, 2006). Furthermore, the homogeneity of White men in senior level positions is not commensurate with their performance ratings. Lewis (1997) found that higher percentages of women than men received outstanding performance ratings at every grade level; yet, women were not advancing through the ranks at the same rate as White men. Moreover, data from federal agencies show that racial and gender ste- reotypes influence attitudes about the significance of inclusion and integration (Soni, 2000). Representative bureaucracy is also generally less affected by the external envi- ronment than by the internal environment (Goode & Baldwin, 2005). In other words, the presence of minorities with authority over policy and personnel decisions is an important predictor of inclusiveness.

Previous research suggests that women and people of color may have greater access to the executive suite during Democratic administrations than Republican (Kim, 2003; Naff & Crum, 2000). The theoretical basis for this perceived disparity may be attributed to differences in conservative and liberal views regarding affirmative action. Democrats have championed this divisive issue since the Civil Rights Act of 1964 was enacted, whereas Republicans consistently resist it. The conservative view of affirmative action may be described in two distinct forms: (a) those who are against quotas but do not oppose equality of opportunity and (b) those who believe that affirmative action amounts to or has the potential to result in “reverse discrimination” or “reverse racism.” The liberal perspective on affirmative action, however, champions policies that provide opportunities to underrepresented and historically disadvantaged groups. Overcoming negative stereotypes and myths that perpetuate discrimination and eliminating barriers to equal opportunity as they relate to affirmative action are core liberal beliefs.

Data and Method 

Demographic data from federal workforce reports and the OPM’s Central Personnel Data File (CPDF) were used for this study. OPM’s CPDF contains employment data

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Clark et al. 79


for the entire federal civilian workforce that consists of approximately 1.9 million employees. Demographic data from executive branch departments were aggregated and analyzed according to six variables: (a) year; (b) race; (c) gender; (d) number of permanent, full-time employees in noncareer senior executive positions; (e) career senior executive positions; and (f) General Schedule and related (GSR) grade group- ing GS 14-15—the middle-management feeder grades.

Federal senior executives are essentially categorized in one of two groups: (a) non- career executives comprising presidential political appointees and (b) career execu- tives consisting of administrators who had to undergo the SES merit staffing process for their initial appointment. Noncareer senior executives are primarily political appointees who may or may not require U.S. Senate approval. Cabinet secretaries and their immediate leadership are normally presidential appointees confirmed by the Senate. Presidential appointees excluded from Senate confirmation typically include numerous policy advisors and heads of independent federal agencies and government corporations. Political appointees are not subject to the merit staffing processes and are also strategically chosen to maintain control by political principals to advance the sitting president’s executive agenda (Stehr, 1997; Williams, 1993). Whether they are exempt from Senate confirmation or not, presidential appointees are placed in nonca- reer executive policy-making positions throughout the federal service.

Career appointments to the SES are determined through an administrative merit staffing process. Career executives occupy 90% of all senior executive positions and typically advance from the lower ranks of the federal service. The bulk of careerists advance from the middle-management feeder grades. They essentially serve as key leaders just below presidential appointees. Careerists act as the major link between appointees and the federal workforce and, to a certain extent, influence public policy (Brewer & Maranto, 2000; Dolan, 2000a; Dolan, 2000b; Dolan, 2004; Maranto, 2005; U.S. OPM, n.d.).

This analysis also includes a measure of presidential social ideology. Developed and used by Jeffrey Segal, Richard Timpone, and Robert Howard, this measure reflects the mean ideology scores for each President with the exception of George W. Bush3 in the social policy domain based on expert ratings (Segal, Timpone, & Howard, 2000), ranging from 0 (most conservative) to 100 (most liberal). This allows for an examina- tion of the relationship between the ideological disposition of the President and the representative nature of the bureaucracy.


American Indian representation in GSR 14-15 remained constant at 1% from 1998 to 2007. As shown in Figure 1, Asian and Black representations gradually increased by 3% and 4%, respectively. Hispanic representation in the feeder grades increased from 3% to 4% during the 10-year span, and White representation declined by 8%. The results indicate that the candidate pool from which career senior executives are likely to be promoted has become slightly more diverse, as there are presently more Asians, Blacks, and Hispanics in the feeder grades than in the past. Yet, promotions from

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80 Public Personnel Management 42(1) 





2006 Black      2004 2002 2000 1998 


Native American 

0 10 20 30 40 50 60 70 80 90 

Figure 1. Percentage representation of GSR 14-15 grade grouping, from 1998-2007.

middle-management seem to vary in accordance with presidential partisanship and ideological disposition.

It appears that the merit staffing process for career executive appointments is affected by presidential prerogatives across the administrations. The findings suggest that the gains in the representation of Blacks in the SES were reversed, and the repre- sentation of Asians during the Carter administration were eliminated under the Reagan administration. Similarly, Native American and Black representations were reversed from the Carter administration to the Reagan administration.

The composition of the SES under the Reagan administration reflects the perceived constituency of the Republican Party at that time. Reagan’s campaigns catered to White and Hispanic voters. For the sake of comparison, Gerald Ford obtained 15% of the Hispanic vote in 1976. Reagan doubled the percentage of the Hispanic vote to 30% in the 1980 presidential election and attained 37% to 40% in his 1984 reelection (DiSepio, 1996; DiSepio, de la Garza, & Setzler, 1999). Reagan declared in several campaign fora in 1979 that “Hispanics are Republicans. They just don’t know it.” Alternatively, the George H. W. Bush’s (Bush I) administration reflects the philosophy of an executive focused on “integrity in government.” The demographic makeup of the SES under his leadership illustrate the policies of a president whose administration saw the passing of the Americans With Disabilities Act of 1990 and worked behind the scenes to increase federal spending on education, child care, and advanced technology research and development. The changes in the composition of the career SES under the Clinton administration reveal a trend toward greater diversity that also exhibits the demographic characteristics of the Democratic Party constituents that helped Clinton get elected. The SES under Clinton’s leadership remained predominantly White; yet,

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Clark et al. 81


3 2 1 0 

-1 -2 -3 -4 -5 


Carter Reagan Bush I Clinton Bush II 



Native American Asian


Figure 2. Percentage change in composition of career senior executive service by presidential administration.

the Clinton administration included more Blacks, Hispanics, Asians, and Native Americans than any previous administration. Those changes in the representation of minorities in the SES were not maintained by George W. Bush (Bush II). Fewer appointments of Blacks, Asians, and Native Americans were made under his adminis- tration. Despite his record support from Hispanics during the 2000 and 2004 elections, appointments to the SES under Bush II’s administration remained relatively stable (see Figure 2).

When the data are aggregated by party, as illustrated in Figure 3, partisan differ- ences in the representative nature of the bureaucracy are evident. Minority representa- tion in the career SES significantly increases under Democratic administrations when compared with Republican administrations. The change in the appointments of minor- ities to the SES by Democrats is more than 5 times that of Republicans.

To understand the representative nature of the bureaucracy, it is necessary to exam- ine the data on career SES within the context of the broader population. Figure 4 illustrates the racial and ethnic composition of the career SES in relation to the broader population across presidential administrations. It is important to note that the higher rates of Native American representation in the career SES over time may reflect a gradual increase compared with other minority groups, particularly because the U.S. Census Bureau’s definition of the American Indian identity is based on bloodlines. People are also identifying themselves as American Indians more now than before. The results indicate that Whites are consistently overrepresented in the career SES relative to their proportion of the overall population of the United States. The over- representation of Asians during the Carter administration, however, is difficult to

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82 Public Personnel Management 42(1) 


Percent Change in Minority Representation by Party 3 

2.5 2 1.5 1 0.5 0 





Figure 3. Percentage change in minority representation in the career senior executive service by party.

0.06 0.05 0.04 0.03 0.02 0.01 


Carter Reagan Bush I Clinton Bush II 

Figure 4. Representation in the career senior executive service of racial/ethnic groups in relation to the broader population.

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Native American Representation 

Asian Representation 

Black Representation 

Hispanic Representation 

White Representation 

Clark et al. 83











50 0 

Native American Asian




Bush I 


Bush II 

Figure 5. Noncareer political appointments to the senior executive service across presidential administrations.

untangle. The Census Bureau’s definition of Asian includes descendants from the entire continent of Asia, which lumps together groups with very different partisan leanings, perspectives on governance, and histories of inclusion, or the lack thereof, in American society.

The analysis of administrative career SES appointments compared with the political noncareer SES appointments suggests how the orientation toward representative bureau- cracy may be reflected symbolically. Figure 5 shows what appears to be a relationship between partisanship and the demographic representation of noncareer senior executive positions in executive branch departments. Whites have the lion’s share of noncareer executive positions across the administrations and hold a higher percentage during Republican administrations. Yet, compared with the Reagan and the Bush administra- tions, people of color held a higher percentage of noncareer executive positions during the Carter and Clinton presidencies. Given that political appointments are temporary, they are less likely than administrative career SES appointments to have a consistent impact on personnel. Political appointments may give the impression that the bureaucracy is more diverse when, in fact, the temporary political appointments reflect the elected party’s con- stituents and, subsequently, affect the promotion potential of people of color in the admin- istrative ranks in a manner that corresponds with the party’s social ideology.

The way in which political appointments to the SES affect representative bureau- cracy may also be understood by evaluating the relationship between presidential social ideology and minority representation. Figure 6 demonstrates that minority rep- resentation corresponds closely with presidential social ideology. The correlation between presidential social ideology and minority representation is .86, indicating that

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84 Public Personnel Management 42(1) 


Figure 6. Presidential social ideology (0-100).

10 8 6 4 2 0 -2 

Native American Asian


Carter Reagan Bush I Clinton Bush II 


Figure 7. Percentage change in female representation in the career senior executive service by race and ethnicity across presidential administrations.

socially liberal presidents are likely to be associated with an increased minority repre- sentation in the bureaucracy. Conversely, socially conservative presidents are likely to be associated with a less demographically diverse bureaucracy.

Existing research on the representation of women in the bureaucracy has shown a pattern indicating that they have often been underrepresented in policy-making posi- tions and overrepresented in lower paying, clerical positions (Crumpacker & Crumpacker, 2008). This finding demonstrates that women are gradually gaining access to policy-making positions. These gains, however, are primarily concentrated

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Clark et al. 85


7 6 5 4 3 2 1 0 

-1 -2 

Republican Democrat 

Female Minority Female White Female 


Figure 8. Comparison of the percentage change in the representation of minority females in the career senior executive service by party.

among White women. Figure 7 also shows the changes in the representation of women in the career SES by race and ethnicity across presidential administrations.

From Figure 7, one can see a discrepancy in the pattern of representation by women in the bureaucracy when the data are aggregated by party and compared in a dichotomous manner. The gains by White women in securing policy-making positions appear to have come largely at the expense of women of color. Democratic administrations have appointed more women to the career SES, but those increases tend to favor White women. Figure 8 reveals that women of color seem to be more represented in the bureaucratic administrations of Republican presidents and curiously less represented in the bureau- cratic administrations of Democratic presidents when compared with White women.


This study demonstrates that partisanship and ideology appear to influence the demo- graphic composition of senior federal executives. The analysis indicates that fluctua- tions among administrations are largely attributed to presidents appointing individuals with whom they share similar ideological views. Given the philosophical differences regarding affirmative action, it is not surprising that access to policy-making positions for women and people of color under Republican presidents remain low compared with Democratic administrations in spite of the general trend toward inclusion. This particular wedge issue seems to maintain the balance between those that question whether the glass is half empty or half full, while sustaining the belief that a represen- tative bureaucracy at the executive level is actually achievable.

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Hsieh and Winslow (2006) showed that segmented inequality pervaded the federal workforce in 2000 and provide recommendations that may in fact have contributed to changes reflected in the data analyzed in the present investigation. The representation of White women in the career SES suggests that data lumped together might indicate general progress toward greater inclusiveness. Yet, those gains appear to be lopsided. White women are replacing overrepresented White men in middle-management and career executive positions at a higher and faster rate than people of color, particularly women of color. White women may have essentially broken the glass ceiling by pro- gressively advancing from the feeder grades to senior policy-making positions, but their success seems to come at the expense of women of color. This trend suggests racial preference in career executive appointments and detracts from the notion of attaining a “representative” bureaucracy at the highest level of the federal workforce. Interestingly, women of color are more affected by this pattern under Democratic administrations than Republican. Future research could focus on the nature of this curious finding by examining differences in the qualifications of the résumés submit- ted for career executive jobs across the presidential administrations.

The analysis indicates that enacting the SES Diversity Assurance Act or similar legislation will strengthen the SES merit staffing process and accelerate the access of people of color to policy-making positions. Public policy change, however, will only minimize the affect of party control. The analysis also suggests that political control has the potential to augment divisiveness and hinder openness and equal opportunity over polarizing issues. Research consistently demonstrates the value of diversity in terms of ethical obligations (Fine & Johnson, 1990; McDaniel & Walls, 1997) and managerial performance in the public and private sectors (Cox & Beale, 1997; Dobbs, 1996; Fernandez & Barr, 1993; Pitts, 2006; Riccucci, 2002; Wise & Tschierhart, 2000). Yet, the partisan and ideological influences that affect access to policy-making posi- tions contribute to the perpetuation of patterned disparities in the representation of the public, their interests, and government performance.

Declaration of Conflicting Interests 

The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.


The author(s) received no financial support for the research, authorship, and/or publication of this article.


  1. Public Law No. 95-454 (October 13, 1978)
  2. For a comprehensive review of managing a diverse workforce effectively, see Reichenberg,
  3. At the time of publication, no social ideology scores are publicly available for George W.

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Author Biographies 

Ronald C. Clark Jr., PhD, SPHR, is an adjunct professor in the school of business and technol- ogy at Capella University. He also currently serves as the deputy director of Organizational Policy, Planning, and Analysis Division at the U.S. Department of Housing and Urban Development, in the Office of Housing. His research interests include diversity and inclusion, public policy and management, human capital planning, and human resources management. His contributions to this article, in whole or in part, do not represent the Federal government or the U.S. Department of Housing and Urban Development.

Holona LeAnne Ochs, PhD, is an assistant professor in the political science department at Lehigh University whose research focuses on credible sources of authority that are trustworthy and trust enhancing. She has coauthored two books on nonstandard compensation systems, Gratuity: A Contextual Understanding of Tipping Norms From the Perspective of Tipped Employees and Getting a Cut: A Contextual Understanding of Commission Systems. She has published research on justice and governance in journals including Justice Research and Policy, Journal of Ethnicity and Criminal Justice, Journal of Public Affairs Education, Policy Studies Journal, Social Science Quarterly, American Politics Research, and Journal of Public Management and Social Policy.

Michael Frazier, PhD, is an associate professor in the political science department at Howard University. He is the founding editor of Government and Politics and former director of the NASPAA accredited Master of Arts in Public Administration (MAPA) Program. His research interests include comparative administration, international develop and diversity in public affairs.

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Malcolm X – El-Hajj Malik El Shabazz: An American Hero Deserves Recognition and Respect

malcolm1Spike Lee’s film, Malcolm X, like Malcolm himself, evoked controversy before its official release on November18, 1992. Lee added fuel to the film controversy by requesting members of the National Association ofBlack Journalists and Black parents to take their children not to work or attend school on that day but rather go to a theater to see the film. I, for one, have seen the film as part of my work but recommend others see it when their time and resources permit.

The selection of actors Denzel Washington as the character MalcolmX and Howard University professor Al Freeman as the Honorable Elijah Mohammad assured a first rate performance by the two central figures in the film. Huge profits from the film are expected because in life and death Malcolm X has been both
revered and despised by different groups of people. One view,especially among critics of conservative temperament in the United States, is that Malcolm X, a former product of the Nation of Islam, should not be celebrated as a true American hero. The nationally known journalist Carl T. Rowan in the Washington Post (9/4/92) wrote a column entitled “Malcolm X – No Hero of Mine.” In it Rowan argued” the whole Malcolm X phenomenon is a glaring, sometimes dismaying, case of movie makers and others revising history and making a man who had dubious impact in life appear to be a towering social and political figure long after his death.”! Fortunately, Rowan’s opinion of Malcolm X is inconsequential since he only speaks for himself as a journalist and not for African-American people. The real tragedy in Rowan’s commentary is his fundamental ignorance of Malcolm X’s ideological contributions to African- Americans’ struggle for freedom and liberation from mainstream American hypocrisy and racism.

This quest for freedom continues today in the executive offices in both the public and private sector where racism thrives in myriad guises impervious to claims of both merit or mercy.

Malcolm X’s rage was based on a radical clarity of vision of the way American society functioned for Black people. His hostility was directed at changing a political! cultural! economic system aimed at maintaining de facto racial inequalities. Many of the disparities that Malcolm X lashed out against continue to retard the progress ofBlacks and other oppressed people. His message was clear and penetrating: Black people must accept themselves as they are and cease Spike Lee’s film, Malcolm X, like Malcolm himself, evoked controversy before its official release on November18, 1992.Lee added fuel to the film controversy by requesting members of the National Association ofBlack Journalists and Black parents to take their children not to work or attend school on that day but rather go to a theater to see the film. I, for one, have seen the film as part of my work but recommend others see it when their time and resources permit.


The selection of actors Denzel Washington as the character Malcolm X and Howard University professor Al Freeman as the Honorable Elijah Mohammad assured a first rate performance by the two central figures in the film. Huge profits from the film are expected because in life and death Malcolm X has been both revered and despised by different groups of people. One view, especially among critics of conservative temperament in the United States, is that Malcolm X, a former product of the Nation of Islam, should not be celebrated as a true American hero. The nationally known journalist Carl T. Rowan in the Washington Post (9/4/92) wrote a column entitled “Malcolm X – No Hero of Mine.” In it Rowan argued” the whole Malcolm X phenomenon is a glaring, sometimes dismaying, case of movie makers and others revising history and making a man who had dubious impact in life appear to be a towering social and political figure long after his death.”! Fortunately, Rowan’s opinion of Malcolm X is inconsequential since he only speaks for himself as a journalist and not for African-American people. The real tragedy in Rowan’s commentary is his fundamental ignorance of Malcolm X’s ideological contributions to African- Americans’ struggle for freedom and liberation from mainstream American hypocrisy and racism. trying to emulate Euro- Americans, especially in the area of economic exploitation of non-Europeans everywhere. His ideological, enduring legacy of racial pride, self help, and group solidarity is useful for any oppressed people.


Contrary to the myopic Carl Rowans of the world, let’s set the record straight as to why I, and millions of people all over the world, consider Malcolm X a hero. First, the raised expectations and failures of the Civil Rights movement of the 1960s led many African-Americans to conclude that posi- tive and progressive change in American is not possible via traditional forms of social protest. Malcolm X was especially adept in pointing out the hypocrisy of governmental leaders. For instance, in 1964,in Malcolm’s ”The Ballot or the Bullet” speech he pointed out the perceived conspiracy between the Democra tic and Republican parties on the issue of civil rights. It was his view that the government was responsible for the lack of action on the civil right issue and not political parties. He questioned an immigration policy of permitting northern Europeans (i.e., Italians, Polish, etc.) to immigrate into the society and acculturated, as supporting their immediate and full participation in the American mainstream society. On the other hand, Malcolm observed that Black people have been in America clean up their lives. This work has to be considered as an act of helping them to “lift the level of their lives.”! Malcolm also lifted the level of his vision. It is widely known that at the end of his life, he articulated a unifying vision of Black and White people working together to uplift the human race. Malcolm’s rage was aimed at social misconduct and injustice, at behavior and not color.

“I no longer subscribe to racism.
I have adjusted my thinking to
the point where I believe that whites are human beings as long as this is born out of their
humane attitude toward negroes/”

malcolm2Malcolm X changed his name to El-Hajj Malik El Shabazz to further highlight his conversion from a Black Muslim to a Muslim, without a racial label. As one white participant in the civil rights movement, Ed Lahn, pointed out in an essay in the Washington Post (9/12/92) “…I believe that Malcolm X deserves respect. It is true that he preached anti-white racism atone time in his life – but also true that he stopped preaching it.Early life experiences caused Malcolm to hate white people. For instance, he witnessed one of his brothers lynched and two others also slain by whites. In Lansing, Michigan whites burned down his family’s first home an constantly harassed his family because his father since 1619 and must have constitutional amend- ments and civil rights legislation to make them functional Americans.” Things have not changed all that much in the 28 years since Malcolm X was assassinated. The Executive Director of TransAfrica, Randall Robinson and the late former tennis star, Arthur Ashe, before his death for example, made the same point in highlighting governmental hypocrisy. They correctly contend that the Bush administration’s hypocrisy was reflected in its refugee policy which is inconsistent when it deals with Haitian versus former Soviet and Eastern European refugees seeking political asylum. This hypocrisy not only applied to immigrants but also to the racial stock of countries seeking foreign aid. o.c. shadow Senator Jesse Jackson highlights this ethnic bias in public policy when he compares the Reagan and Bush financial support for the former Soviet Union and Eastern Europe with Angola, particularly since the United States is the largest trading partner with a new democratic elected government in Angola.’

Second, Rowan and others have chosen to judge Malcolm solely by the depths he fell to as a young hustler and not by the heights to which he ascended as an international spokesperson. To do this is not only infuriating but also an overt act of disrespect for Malcolm’s work for which he paid the ultimate price with his life. Malcolm X detractors do not recognize and respect his work, along with the Nation of Islam organization, in redeeming one of the most alienated segments of the Black community, victims of drug and alcohol abuse. Their efforts helped tens of thousands of people regain their self respect and was a follower of Marcus Garvey. His mother suffered a nervous breakdown and after a white insurance company refused to pay after his Father’s death. While in elementary school a white school teacher’s encouragement of young Malcolm to be- come a carpenter rather than the “unrealistic” expectation of becoming a lawyer).” Nevertheless, “later experiences enabled him to give up his hatred. How many convinced racists are capable of giving up their racism? Not many …Those who do deserve respect.”?

Third, and most important of all, Malcolm’s transformation from an underworld opportunist to transcendent leader respected in many quarters in the world is indeed an accomplishment to be emu- lated. Specifically, Malcolm’s mature life is truly representative of the three elements of the strong black male identity: a provider for his family, a soul mate for his wife and a warrior for his race. Seen as a warrior against injustice, Malcolm X could be counted upon to confront this country for its hypocrisy and racism. Malcolm X’s life provides a clear example and a challenge to all of us to decide whether we shall remain mute and victimized or engender our own resurrection by accepting the challenge to reform ourselves, our people, in this increasingly dangerous nation.

Malcolm X, for many, joins a cluster of Black warrior leaders initially disrespected by the establishment when alive but subsequently revered after death. Frederick Douglass, for example, was born into slavery but overcame his origins to become a spokesperson for African American liberation. Douglas, in 1847 asked ”What country have I? 120 years later Malcolm X raised the same troubling question …”I am one of the 22 million victims of Americanism.:” Marcus Garvey, often called “Black Moses” was able to organize over a million Black men and women towards self-determination when established institutions like the NAACP and Urban League were not able secure the support of many Black people at the bottom of the economic and social ladder. Dr. W.E.B. DuBois was called a communist and considered as an undesirable American by the establishment because of his unwavering commitment to the liberation of African-American people. Recently, the U.S. Postal Service honored DuBois’ legacy with an official stamp recognizing his contributions to American society. His legacy includes 23 books, hundreds of essays and co- founder in 1910 of the National Association for the Advancement of Colored People NAACP). In 1903, in DuBois’ Soul of Black Folks he correctly argued that the problem of the 20th Century will be the color line.9 Paul Robeson, Phi Beta Kappa scholar,” All- American” athlete, lawyer, actor, singer and movie star in the 1920s-194Os spoke out against Jim Crow laws believed that Black Americans would not fight for racist America against what he saw at the time as nondiscriminatory Soviet Russia. His career was ruined. The State Department canceled his pass- port, cutting him off from lucrative European appearances. It took 10years for the Supreme Court to restore his passport.” Drs. Bill and Camille Cosby recently donated a commissioned bronze bust of Paul Robeson by sculptor George Carlson for the entrance to the Paul Robeson Cultural and Perform- ing Arts Center at Central State University in recognition of Roberson’s accomplishments.

malcolm4Today, Minister Louis Farrakhan of the Nation of Islam and Rev. Jessie Louis Jackson are two contemporary examples of Black men who have challenged the system on behalf of African-American people. Unlike these warriors many middle class blacks must rely upon the critical element of financial support to dictate to them how to behave and what strategies to call upon in specific situations.” In the past and today many Black actors, scholars musicians, athletes, entertainers, journalist, academics, preachers, secretaries, administrators, executives and others sometimes bit their lips and endure insults and lack of respect silently, hoping that their performances will win friends and gradually break down prejudice. Malcolm X as a warrior rejected this “good behavior” philosophy. He felt that the goal of liberation called for forthright, upfront action.

In conclusion, Malcolm X, for many of his admirers, provides a shining example of the requirements of true warrior-like African American male leadership. Malcolm X and other Black leaders caused this nation to search its soul and question its practices. For many others beyond the Carl T. Rowans,smacking their lips in satisfaction with the status quo, Malcolm X’s deeds bring to mind qualities that are essential to human progress: hope, aspiration, courage, perseverance and faith, Hope for example, is essential to man’s well-being. Man’s sanity, if not his survival, and his commitment to long range planning, is predicated on hope that events are moving towards an ultimate good. When young black men lose hope in their abilities to change their realities, they often develop passive or overly aggressive life styles which reflect a sense of helplessness, despair and desperation. In this country, too often dreams, ambitions and beliefs are assassinated by despair. Many young African- American males are dying mentally, spiritually, emotionally, and physically, buried in inappropriate lifestyles heedless of the admonition to “train up a child in the way he should go: so when he is old, he will not depart from it”12Malcolm realized the power and importance of role models as well as perspectives like economic and social justice long before they became the watch words of the leader- ship community. He devoted most of his adult life attempting to improve the quality of the moral and mental life in the Black community by trying to convince his people to remove the shackles from their minds as their initial liberating step in the process of self help. He taught Black men that manhood is not proven through violence, taking drugs, or impregnating women. He instilled in Black people, many of whom were trapped by ignorance, abuse, lack of appropriate nurturing and low self-esteem, a sense of self-worth and responsibility both to themselves and others. Malcolm X’s legacy represents one important chapter in a continuing struggle to challenge the nation to live up to its creed, ‘We hold these truths to be self evident that all men are created equal …” For these deeds and others not discussed in this essay Malcolm X de- serves both recognition and respect as a true American hero who believed like the old stone cutter during slavery days, that it is neither the first blow nor the last blow that splits the stone, but a constant succession of blows that achieve the desired result.

He paid the ultimate price for his convictions and I have seen the 3 hour and 20 minute film it is truly important for Ml Americans to see and sup- port the film because it tells the story of one of America’s great heroes who attempted to help liber- ate his people from the negative consequences of racism and hypocrisy. The film also helps to illuminate why racial tension continues to exist today even after the technical end of slavery in 1865. Finally, Malcolm X’s life clearly demonstrates how people can change their world view to accept the diversity that exist in the United States and through- out the world and thus he was able to rid himself of a narrow perspective. With the dawning of the Bill Ointon Administration, America might be able to free herself from the shackles of its past and move towards valuing diversity and utilizing the strengths of all its people as the United States of America attempts to lead the world into the 21st century and beyond. Malcolm X’s life can be viewed as a model of how to accomplish this feat and for this reason alone, he deserves recognition and respect as an African-American and an American hero for demonstrating to all of us how we can overcome our own internalized oppression .•

Micheal Frazier, Ph.D. is an Assistant Professor of Political Science at Howard University. 

1. Carl T. Rowan, “Malcolm X-No Hero of Mine” Washington Post, 4 September 1992.

2. George Breitman, ed. “The Ballot or Bullet” in Malcolm X Speaks New York: Grove Press, 1965.

3. Michael Frazier, “Jesse L. Jackson’s State of Black Africa Report: South Africa-The Evil Empire,” The Men of Shiloh Newsletter, Vo1.2,No.2 Washington, D.C. 1987.

4. Timothy Bodor, “What We Can Learn From Malcolm X,” Washington Post, 12 September 1992.

5. Alex Haley. 1985. The Autobiography York: Ballantine Books.

of Malcolm X. New

6. Edgar A. Toppin. 1985. A Biographical History of Black Americans in America Since 1528. New York: David McKay Company.

7. Ed Jahn, “What We Can Leam From Malcolm X,”Washington Post, 12 September 1992.

8. Milton D. Morris. 1975. The Politics of Black America. New York: Harper & Row, Publishers.

9. W.E.B. Dubois. 1969. The Souls of Black Folk. New York: New American Library.

10. Edgar A. Topin. Opt. Cit.
11. James E. Blackwell. 1985. The Black Community. New

York: Harper& Row.

12. American Bible Society. 1978. Good News Bible: Todays’s English Version. New York.

Is it Public Policy Disagreement or old Fashion American Racism?

Is it Public Policy Disagreement or old Fashion American Racism?

Michael Frazier

mikefrazier350Former President Jimmy Carter recently said the “overwhelming position of the intensely demonstrated animosity toward President Barack Obama is based upon the fact that he is a black man.” I agree. President Carte gave voice to millions of people in the United States who believe President Obama has been unfairly treated not because of policy differences but rather his very presence in the White House is distasteful to many White Americans that believe the job of President should not be held by any persons of color. What other explanation would explain the comparison between President Obama and Adolph Hitler who used his racism and power to murder millions of people not Arians. President Obama has devoted his entire life to help others and provide leadership to the nation desperate for change after the past 8 years of Republican rule in the white House. President Obama and his administration have tried to take the high road and keep the discourse focused on policy differences. Nevertheless, the outrageous disrespect for President Obama who is still the leader of the free world and our nation has nothing to with health care reform initiatives but has everything to do with salient undercurrents of racial hostility which has always been very close to the surface and any incident can light the spark of overt violence, e.g., Rodney King, Martin Luther King, Jr. assignation, etc. Former President William Jefferson Clinton tried to address the perennial problem of racism with his “National Conversation of Race” initiative.

President Carter words helps to explain why President Obama image has been depicted as “the Joker” a criminal from the Batman Dark Night film. At recent town hall meetings President Obama’s critics use signs with his likeness as a monkey, an African witch doctor, and as a mistreal figure. Are these images rooted in public policy differences or are they the real salient views of many white Americans that claim to follow the teachings of Jesus Christ who preached love and not hate. Even a undistinguished South Carolina Representative, Joe Wilson goes so far as to holler, “You lie” during a joint session of Congress for rightly he was censored by Congress. Representative Wilson is most noted for his support for the Confederate flag to fly over the state capitol building.

To his credit President Obama has tried to keep his public policy proposals focused on trying to help all of the people in the nation and not for any specific group. In contrast, hired black leaders like National Committee Chairman Michael Steel become an apologist for racially motivate behavior for the Republican Party and its members who have not resonated well in America’s multiracial society. President Carter is correct in his feelings that many people in the country do not believe African Americans are qualified to lead the United States of America. Public policy difference has nothing to do with old fashion American racism.


Dr. Frazier is the Director of the Master of Arts in Public Administration and Associate Professor, Department of Political Science, Howard University                                                                              September 19, 2009

Exclusive Interview with
 General Lester Lyles

clusive Interview with
General Lester Lyles, Commander, U.S. Air Force, Materiel Command

Michael Frazier Howard University April 6, 2001 

Imagine you are at a secure conference room at a major United States Air Force installation in a midwestern state. The room has approximately 20 high-ranking general officers, members of the senior executive service (SES) and other high-ranking military officers none-are African Americans. This is the conference room of the Commander of the Air Force Materiel Command at Wright Paterson Air Force Base near Dayton, Ohio. The Commander supervises 82,000 military and civilian employees at 14 military significant installations and manages a $40 billion budget, and has worldwide military and national security responsibilities. Suddenly, at 8:00 a.m. four-star General Lester Lyles (1968 Howard University alumnus) enters the room. An order is given

Attention” and everyone rises. This is the beginning of an average day in the life of General Lyles. The General invited me as the editor of the Government & Politics Journal to spend a day with him as part of his “Shadowing the General Program.” When the workday was concluded he directed or participated in 11 meetings. He even met with approximately150 junior officers to answer questions and encourage them in their careers. The next day the General was flying to California for a series of other important meetings. A very busy 

man, General Lyles is currently the only African American four-star General on active duty in all the military services. What advice can the General provide to young African Americans? What motivates the General? How has being an African American influenced his career? Who are General Lyles’ heroes? Why seek education at Howard University? What role has family and God played in his extraordinary career? 

Dr. Frazier: When did you first decide to make a career in the Air Force? 

General Lyles: First, it was not a certain thing that I was thinking about when I joined ROTC at Howard. It was almost serendipity concerning my involvement with the Air Force. There were so many exciting programs in the engineering pro- gram, the space program, and the new aeronautical program, in addition to many classified programs that stimulated my interest. What really “kicked me over to the other side,” so to speak, happened when, as a young captain, I was named “Air Force Junior Engineer of the Year.” That designation, I was told, immediately identified me for what was called “the fast track,” that is, a young officer who showed potential, whose career people would watch, and who would receive mentoring. It was probably that designation and that recognition that started me thinking that my work in the Air Force was some- thing that I was excited about. And I enjoyed it. So, this recognition probably helped to really stimulate me.


Dr. Frazier: Did you have any early childhood heroes? 

General Lyles: It wasn’t until that fatal day in August 1963, when Martin Luther King, Jr. had his march down in Washington, D.C. that I gained a national hero. Since I was from D.C., I was there, not for any altruistic purposes, but I was down there to socialize, to grow. I was a teenager. But grow- ing up, it was my father primarily who was my hero, not because of his academic background; he only finished the 8th grade. But it was his character, the way he supported the family, his love and respect for God and the church, the way he carried himself in spite of not having had a formal education, and the way he cared for my mother,– all of these aspects made him my first hero. As I mentioned, Martin Luther King, Jr. became my hero, and as I went along in my career, I met many others

that I admired, including General Chappy James. I met him when I was an ROTC cadet at Howard, and meeting him the first time, I saw how charismatic and larger than life he was. So, he also became a sort of hero and role model.

Dr. Frazier: Excellent. When you were in high school, were you active in organizations and various kinds of events that caused you to look at the broader world? 

General Lyles: Yes, to some extent. I was and still sort of characterize myself as kind of a shy kid. I

Government and Politics Journal • Spring 2002

was not as social as some, but we had a high school fraternity at my particular high school. Membership in the fraternity broadened me a little bit because I met people from outside of my neighborhood. I don’t know how familiar you are with Washington, D.C., but I grew up in the area of DC that fed into some of the lesser-known high schools. But if you did academically well in school, then you could go to any high school in the city as long as you could get there. And I chose to go to McKinley Technical High School, which was known for its technical orientation and college preparation. I had to take the bus across town to McKinley, and there, I met entirely different strata of young people. I characterized my own neighborhood as lower middle class, or lower class. But in this community most of the kids had parents who were doctors, engineers, lawyers, and accountants. So I encountered an entirely different social stratum than what exist- ed in my neighborhood. There was a high school fraternity and a sorority. There was also a junior ROTC program in which I participated.

Dr. Frazier: Why did you choose to attend Howard? There were perhaps many colleges and universities you could have selected, universities with expertise in areas you were interested in studying. Was Howard really the school you wanted to attend

General Lyles: Howard was always the choice that was available out there. It was an obvious choice for a black student particularly growing up in D.C. Two factors came into play. I had an opportunity for an appointment to the Air Force Academy, but I turned that down partly because of my mother who would be so worried about her son going across the country by himself. Also, as a shy kid, I didn’t go against her wishes. So, I passed on that opportunity (to attend the Air Force Academy) and went to Howard. Howard was also an obvious choice because of the scholarship offering, and because my mother worked there as the secretary and special assistant to Inabel Lindsay, then Dean of the School of Social Work. Also, I was used to Howard because it was a comfortable environment for me. I was used to the campus, used to the school, and my mother worked there everyday. We drove in together everyday. Since I lived at home, I drove every- day with my mother and usually went home with her at the end of the day, unless there was some activity taking place on campus. So, Howard was just a comfortable environment for me, a place I was familiar with.

Dr. Frazier: Was there anything that happened to you during your time at Howard that influenced you in terms of shaping some of the values that yo

hold? Was there a professor, or was there some- thing about Howard that was special? 

General Lyles: Yes, there were many additional role models that I encountered at Howard. I met many administrators largely because of my mother who was very much of a social person, very friend- ly, outgoing and gregarious. She worked on the campus, and everybody knew her, so I had a chance to meet and occasionally talk to almost every Dean who was associated with the university. My best friend in high school was James Washington whose father was the Dean of the Law School. He was somewhat like me; that is, some- one who was a shy kid whom also chose to go to Howard. When he wasn’t in class, he stayed around the Law School. And when I wasn’t in class, I stayed around the School of Social Work. Neither one of us spent a lot of time at the student union. Each of us had a sort of natural comfortable environment-he, in one of the lounges at the Law School, and I in the lounge for students and professors at the School of Social Work. It was a place to study and there were faculty members at the school who were role models.

But I guess if there was one person who really shaped something for me as an engineer, particularly working in the Air Force, it was my professor of nuclear engineering at the School of Engineering, Dr. George Ferguson. He was very larger-than life and very distinguished ‘guy’ who was very charismatic. He was very well known in the engineering community, not just within Howard. He did work for the National Bureau of Standards, creating research capability throughout the city. Professor Ferguson exposed us to engineering outside of the confines of Howard University’s School of Engineering.

But it was the way he prepared us for the future. He was a professor who graded in a strict way: For tests, for homework, you had to get everything right to earn an “A.” If you had anything wrong, you received a zero or “E” What he was trying to do was to discipline us as engineers. He would say, “We cannot afford to be less than complete and comprehensive in our work. We cannot afford to do shoddy work. We cannot afford to do less than perfect work.” Professor Ferguson wanted us to be pre- pared to be very strong in getting everything done correctly. He wanted to prepare us for perfection. I received a straight “A” in that class. From the first week of his class, I think that all of the engineering students were a little bit daunted by his method of grading, and by the zeros on the papers. But we certainly learned very quickly, and that discipline was something that is still in me. I remember, and I always talk about him when I talk to young students about preparing themselves for life. So, the one professor that I can think about would be Dr. Ferguson and what he taught me about being an engineer.

Dr. Frazier: I looked at your resume and saw that your specialty is space and missiles. There used to be a program that was called “the Star War Program, and I think that you were a commander of the missile defense program. 

General Lyles: The Ballistic Missile Defense Organization.

Dr. Frazier: And is that the new name of the Star Wars program? 


General Lyles: It is. It is the star wars organization, which is called the Ballistic Missile Defense Organization. It had the nickname “Star War” given to it by President Reagan, the media, or somebody. I took over as director of that organization in the Pentagon in Washington, D.C. The organization works directly for the Secretary of Defense, and so all services are involved, as well as a number of civilian activities. Lots of politics are also associated with missile defense. In August of 1996, I

became director of the Ballistic Missile Defense Organization and stayed there until May 1999.

Dr. Frazier: You have said that lots of politics are involved. I believe I have seen you a few times on Capitol Hill, leaving various offices. I assume either you were coming from briefings or meetings, or were involved in hearings

General Lyles: Both. Missile defense, as we are now seeing in the new administration was a very strong item on the political agenda for the Republicans and for the very Conservatives. And there are many missile defense supporters on the Hill. I was on the Hill almost every week, usually visiting some member office and talking with them about what our needs were and what our technical problems were. There were lots of hearings that involved testifying before the House and the Senate, the appropriate authorizers. You name it. There was a great deal of political interaction.

Dr. Frazier: It would seem then that it is difficult to try to do your job from a technical standpoint and at the same time try to placate and manage the political types who perhaps have no clue as to the technical requirements. How do you feel about the role that politics plays?

General Lyles: In some cases there is a very fine line, and a great deal of diplomacy is required. In other cases, you have to undergo a kind of baptism under fire, and you have to try to adapt to that. What I found out is that you must never lose your integrity and never your honesty. You just can’t compromise when it comes to your basic values, no matter what the politics might be. Otherwise, you are going to lose somewhere along the way. I try to use that principle going into these sessions, but I also still try to, at least, make sure that the Senators, Congressmen or their staffs, understand all of the issues. I try to be very open with them, for if they understand the issue, and understand the difficulty  that something might have, then you have created a environment that would also address some of their needs. Sometimes, however, that was just not possible. What I found, though, is that regardless of the politics, most people really respected honesty and integrity. As long as you are straightforward, you come out ahead whether they agree with your answers or not.

I did have one conflict back in 1998, and that became a story in the Washington Post. One of the missile defense supporters, he was heading a committee and constantly criticizing the administration for not putting more money into something. But I knew that there were a lot of technical problems that precluded anybody from committing another dollar until it was understood what the technical difficulties were. He wanted me to say something in the hearing that fortified his position against the administration, and I could not do that in good con- science. I just could not say that we needed to pour a lot more money into something until we under- stood the technical ramifications. This member became upset because I did not answer his questions as he expected. He stopped the hearing, and in front of the press started yelling at me. He made the comment that he could not trust me. He thought he could trust me to give him the answer that he wanted. My immediate response was to say that if he could not trust those of us in uniform, then whom could he trust. Both of those lines made their way into the Washington Post. The conservative press lauded the congressman, and others thought it was great that I had responded to him in the manner in which I had. But the situation was exactly as you described it. We have subsequently made-up, and if not friends, we at least respect each other. Sometimes you run into those types of situations.

Dr. Frazier: During your career, about 32 years now, you have had a lot of assignments. Most of the rotations have been domestic. Is that because of the nature of your specialty? 

General Lyles: Yes. Research development acquisition defines the technology. All of our facilities are bases here in the United States. Really, there are a couple of minor offices that we have in Europe and in Japan. There really is no opportunity for overseas assignments in that particular career field. That is something that the Air Force is trying to change a little bit. We think that everybody could benefit from having at least one operational tour in the Air Force. So, we are changing some of our career management policy in that we are going to almost insist that engineers or scientists, for example, get an operational overseas tour to really understand the operational aspects, whether it is the first, second, or third tour. But it was not a rule. When I came up, all of our bases and our command were here in the United States. I have taken trips overseas, but no assignments overseas.

Dr. Frazier: I have just a few more questions. One, have you experienced race problems as a commander, or has that ever been an issue that you had to address, considering the fact that you command a large number of people of diverse backgrounds and experiences

General Lyles: That is an interesting a question. I like to be honest with everybody. I can’t point to a single case of overt racism at all in my military career. I can’t think of a single thing that I can pin- point. Sometimes you just sense that people are uncomfortable dealing with somebody who is not from the same background. That has sort of waned as I obviously have progressed through the ranks. It is amazing what a star does in terms of getting people to be open-minded. But I can’t point to anything specific other than the obvious perception of some being uncomfortable. My wife and I talk about this occasionally.

Dr. Frazier: This question has pretty much been answered, but I want to hear directly from you. How has your family, your spouse and your children, enhanced your life as well as your career

General Lyles: I can point to and single out lots of peers, associates, friends, and even people I don’t know whose family has not been supportive of their work in the military. Ultimately, they end up personally becoming discouraged. Occasionally, we have some situations with the family breaking up. But in my case, my wife has been extremely supportive throughout everything, and my children, all four of them, have been just ideal. They enjoy the opportunity and the successes I have had and a chance to be a part of, as much as I do, if not more than I do. They have been a source of strength, if you will, and the foundation for everything that I have been able to do.

Dr. Frazier: What about God

General Lyles: There is nothing I could accomplish without the spiritual. I pray and thank God every- day, and I tell people that I am very blessed. Whenever anybody asks me about this position or about being a General, I just say that I have been very blessed. It’s really the bottom line. That is all that I can say.

Dr. Frazier: Do you see your success as the by- product of divine intervention, luck, family support, opportunity or what

General Lyles: All of that is there. But my first response has always been that I have been very, very blessed. I am blessed to have had good jobs, blessed to have had good bosses, blessed to have bosses regardless of their background, and who have been good mentors and supportive of me. I am blessed to have a wonderful family and their support. And, obviously, I have been lucky in terms of timing. All of that is there, but I just say, I was very, very blessed.

Government and Politics Journal • Spring 2002 

Dr. Frazier: If you could speak to a large group about many shared values, what would you recommend to young people to help them be successful in their careers, their lives, and in obtaining a positive sense of well being? Are there three or four principles or lessons you would recommend to them

General Lyles: There are two that I specifically point out to people. One is that I don’t care what your job is, I don’t care what position you hold, or what your aspirations are. I always tell people to try to be the very best person they can be at that particular thing. I say this for two reasons: One reason is that most people don’t think that way; they don’t think in terms of being the very best they can be in their particular career field or their particular profession. Being the very best means understanding in everything you care about in that particular job. It means that you understand from both the customer’s and the supplier’s perspectives, understand what feeds into your job and what those people who are feeding you need to know to do that, and to understand what happens to the product in your job, and what the people you give it to need to know. If you really understand your job and try to be the very best you can be, you will stand out in the crowd. The average persons often just think in terms of a 9-5 job. The people, though, that try to be the very best are the ones people will ask to help solve problems. They are going to literally be the cream of the crop. There is a poem that I always try to quote during Martin Luther King celebrations. We all know the “I Have a Dream” speech, but this particular poem is about a street sweeper. Basically, he says that if you are a street sweeper, be the very best street sweeper you can be. At some point, the gods in heaven can look down and say, “There goes a street sweeper who did his job well.” Perhaps, that’s not a good analogy, but it is to tell everybody to be the very best you can at that par- ticular thing you do, and you will stand out above your peers. The (second) thing is that I never stop learning. I don’t care how much education you have or whatever your background is, or what your profession is, you can always learn something new everyday. Never lose that thirst for learning, and that also will put you above the rest of the crowd. The third one, I would always tell people is to stop to smell the roses. There are many interesting aspects around your culture. Just enjoy those. I par- ticularly point that out to minorities in the Air Force. We used to have a couple of groups in the Air Force where the black young officers would get together and socialize and help each other, if you will. At the same time, though, they were standing

apart and excluding other people. And, they were not giving themselves an opportunity to learn other cultures and to learn more about the community around them. Do not forget to enjoy and learn about the culture around you. You will benefit from it, and then the other culture will benefit from learning about you.

There is one thing I’d like to add, as we talk to career opportunities, transition and change- and this is directed to those young men and women in schools like Howard across the country: Definitely consider the Air Force among your many career options. If you do you will be blessed to work with a truly dedicated, talented and diverse team. And you don’t have to serve in uniform to be a part of the world’s most respected air and space team. We have thousands of civilian jobs in exciting disciplines like research and engineering. Minorities and people with disabilities serve in my command and are doing truly great things to shape and modernize our Air Force for the future.

Dr. Frazier: I also talk to young people. I tell them that if you stay in one circle, then you never move the paradigm. You have to move the paradigm when you get stuck. Last question, absolutely the last question, and it concerns the future. I assume at some point that all of this will end, and it will be time for a next challenge. Do you have any hypothesis about the future, or do you just play it as it comes

General Lyles: I more or less play it as it comes. But I will be very honest with you about this. I have fears about the future. I have been very blessed and very successful in the Air Force, but I don’t know what the future might portend. There is one area where again “racism” is too strong a word, but this is one area where I have fears and trepidations. To be specific, I have seen too many of my peers, even some who were junior to me get tremendous, lucrative job offers when they leave the Air Force. Some of them get these offers before they leave the Air Force, and this forces them to make a decision to go. And then I see that this is the non-minority group.

On the other hand, I have seen some very competent black guys, including some generals who end up with good jobs, but never perhaps (I should not say never), on the top rung. I know of one retired gen- eral, whose situation really shocked me. He could- n’t find a corporate job. This man was a pioneer early on, a black one-star general, even a fighter pilot. When he left the Air Force, he ended up work- ing for a corporation where his boss was a former master sergeant who also got out, but ended up being the vice president of this company. I know another retired four-star general who retired and ended up getting a pretty good job in terms of salary but not in terms of position.

I can’t prove there was any racism or prejudice or bias in these cases. I have many of my non-minor- ity peers who ended up with great things, and I have minority peers who ended up not quite on top of the world. I just don’t know what’s out there. It’s scary to me.

Dr. Frazier: I am fortunate to have had the opportunity to interview a four-star general, one that manages a $40 billion corporation. I know your talents will be appreciated and rewarded. 

General Lyles: We’ll see. I tell everybody, my wife, and my twin daughters who are freshmen at Ohio State that I can work anywhere. My wife says that I have to get a good job after I retire to help take care of them. I tell people facetiously that as long as they have a McDonald fry-

Promoting Japan-U.S. Relations: An Opinion Leader’s Dialogue

Michael Frazier, PhD, M.C.P.
Howard University
Washington, DC
January 25, 2013


Ryozo Kato, Board Member, Mitsubishi Corporation & Commissioner Nippon Professional Baseball, former Ambassador from Japan to United States, and Dr. Michael Frazier, Howard University

As a participant in the 2012 Sasakawa Peace Foundation’s “Promoting Japan-U.S. Relations: An Opinion Leaders’ Dialogue,” I met with colleagues from Japan’s intellectual community from November 24 -30, 2012. The participants in these meetings included representatives from the Sasakawa Peace Foundation , the Tokyo Foundation, seven professors, and senior bureaucrats from the Ministry of Foreign Affairs (MOFA). I also lectured and responded to student questions at three leading universities on the subject, “African Americans and the American Political System: From Slave Ships to the white House.”
All of the meetings were stimulating and focused on issues associated with Japan’s national security dilemmas and future prospects. For instance, officials from the Tokyo Foundation requested feedback regarding, A Policy Research Brief and Policy Proposal: Japan’s Security Strategy Toward China. Integrating, balancing, and Deterrence in the era of Power Shift.” A reoccurring caveat in these documents was the omission of a discourse about international development assistance programs funded by philanthropic and government agencies. These agencies should be considered as important actors in the overall national security strategy towards China and important in promoting security cooperation in the Asia-Pacific region. In short, these two entities should be considered as an important instrument of Japan’s national power, and have already impacted the region and many developing countries.
Meetings with Ambassador Ryozo Kato and Professor Naoyuki at Shonan-Fujisawa campus of Keio University are memorable due to the issues considered. Ambassador Kato for instance informed me how Japan promotes “inclusive development” in its international assistance programs. This approach promotes greater understanding and participation in developmental processes and programs among the recipients of Japan’s developmental assistance.


Dr. Frazier at the Center for Pacific and American Studies, University of Tokyo

The role of its implementing agency, Japan International Cooperation Agency (JICA) is to help facilitate this process. The mainstream Western Consensus focuses on the work of the World Bank, IMF, USAID, and other international development banks. In contrast, the “Beijing Consensus” promotes a brand of authoritarian capitalism which is the opposite of U.S.-led liberal economic orthodoxy of good governance and sensitivity to human rights issues. The “Inclusive Development” paradigm could offer a useful tool to help promote international development directed toward poor countries. Lessons learned from the experiences of Japanese assistance projects in the promotion of international development should be published in English and other languages. I was particularly pleased to know that Ambassador Kato was a colleague of former Ambassador to the United States, Mr. Takakazu Kuriyama who arranged my initial 1996 visit to Japan and is considered a friend to the American people.
As a senior professor from the United States I always welcome the opportunity to interact with university students from other lands. In this regard, I lectured at Akita International University, Aoyama Gakuin University, and the Center for Pacific and American Studies (CPAS) at the University of Tokyo. All of the students from the different universities were fully engaged in the presentations. Most of the students have little information about the long and difficult road African Americans traveled from slave ships to the White House. My presentations included a brief chronology about slavery, the American Civil War (1861 – 1865) where 600,000 American lost their lives, racial discrimination, Supreme Court decisions, the passing of multiple civil rights laws and their enforcement. I reviewed the rise of African American leadership in cities, states and Congress, and finally the White House, highlighting the progress made since approximately 389 years after the first African slave arrived in what is known as the USA. The main point made was that an African American, Barack Obama’s re-election as President of the United States, is a symbol of the potential of the American political system. The students had many questions about the African American experience in the American political system. Hopefully, my presentations helped these students gain a better understanding of the African American experience.


My visit to Japan was further enhanced in meeting with senior leaders from the National Defense Academy of Japan. These meetings involved a wide range of Japanese security topics and relations with the United State, China, and the future of the Security Defense Force (SDF) which technically is not a military but has all the attributes of a military force. In that regard, upon my return to the USA I reviewed a video entitled, “Japan’s About-Face,” which is a story addressing the issue of Article 9 of the Japanese Constitution. The video discusses the views of Americans, who wrote the Japanese Constitution that now want the Japanese to turn “About Face” and be more active with its forces to contribute to regional and international peace and stability, particularly since Japan’s economy is one of the most powerful in the world, ranking the third largest economy in the world. They are especially concerned about Japan accepting increased responsibility for the defense of its own islands and the waters surrounding them.


Lieutenant General (ret.) Noboru Yamaguchi (Professor and Director of the Center for National Security and Crisis Management, National Defense Academy of Japan)

Lieutenant General (ret.) Noboru Yamaguchi (Professor and Director of the Center for National Security and Crisis Management, National Defense Academy of Japan)

My conversation with Professor Naoyuki Agawa, Vice President, Keio University’s Mita campus, ended the official meeting of my trip. I was pleased to learn that one of his judicial heroes was the late Supreme Court Justice, Thurgood Marshal who was a graduate of the Howard University Law School, the university where I teach political science courses. After returning to the U.S., I forwarded to him the last interview with Justice Marshall with journalist Carl Rowan in 1975. In our meeting we discussed a wide range of topics and he commented on the many amazing life stories he has heard from many Americans. I reminded him my life story is also amazing but it would not have been possible if the U.S. had not finally move away from exclusion to inclusionary public policies. Inclusive development assistance programs as well as African American’s Civil Rights laws and of the 1960s policies the context for both entities to participate in decisions that affect and impact their communities. Inclusive development means planning for for people is the best way for developing countries as well as the United States to improve the lives of disadvantaged groups. Inclusive development in Japan’s development assistance programs allows poor countries to participate and build capacity to improve their communities. President Barrack Obama’s rise to become the leader of the free world is a by-product of inclusive developments in diverse public policy areas in the United States.

Our meeting concluded admirably and both agreed to meet again in the future.
Needless to say, as with other countries in this globalized world, Japan’s prosperity and security rely on all kinds of imports and foreign markets. Cooperation with allied international organizations and other countries are thus a prerequisite for Japan’s security.As my meetings in Tokyo has confirmed, “inclusive development” in the developing world is one way for Japan to achieve these ends while at the same time fostering regional security.
In a speech on January 19, 1995,Japan Ambassador Takakazu Kuriyama commented, “Today we live in a world in which nations interact with each other more extensively than ever. As a result we are exposed, to an unprecedented degree, to the diversity of the world – to different cultures and values of other nations. And yet the lack of international understanding, which yields stereotypes and prejudices, constrains our ability to benefit from such exposure… but exposure to diversity can be a two-way street through which both sides can benefit from each other”. Hopefully, my interactions with members of Japan’s university students and its intellectual community have contributed to realization of the advice of Ambassador Kuriyama.