Annex 1 Ad Hoc Interview Guidelines and Questionnaires
Annex 1.2 Survey on South African informal manufacturing of home and personal care products
General Information
| Name of Respondent:………………………………. Gender: Male [ ] Female [ ] |
|---|
| Age: [____] |
| Educational level: Primary [ ] Secondary [ ] Tertiary [ ] No formal education [ ] |
| Location of practice: …………………… District: ………………… |
| Region: ………………… |
I Information about the Business
1. Does your company have a name? If yes, name of business:
2. Description of your main line of products and services (specialty of the respondent)
………………………………………………………………………………
3. Why did you start your own business? (motivation)
4. Is your business registered? Yes [ ] No [ ]
4.a. If yes, what was the motivation to register your business?
4.b. If yes, was it difficult to register your business?
Very difficult [ ] Difficult [ ] Easy [ ] Very Easy [ ]
5. Do you employ other people? Yes [ ] No [ ]
5.a. If yes, please describe the employment (temporary, permanent, seasonal)
………………………………………………………………………………
5.b. If yes, do you have formal contract with your employees? Yes [ ] No [ ]
6. How long have you had this business? [ ] years, [ ] months
6.a. What did you do before?
7. What are your main products?
7.a. Which one(s) did you start with?
7.b. Please describe how you gradually moved into new products or services ……………………………………………………………………
8. Are all your products registered? Yes [ ] No [ ]
8.a. If yes, please indicate the institution you registered the products with ………….……………………………………………………………
8.b. If yes, was it difficult to register your products?
Very difficult [ ] Difficult [ ] Easy [ ] Very Easy [ ]
8.c. If yes, what was the motivation to register your products?
8.d. Please explain the process and requirements for product registration.
9. How did you get the funding to start your business?
Own funds [ ] Loan [ ] Friends and family [ ] Other [ ]
Please describe ……………………………………………………………
9.a. Have you ever obtained a loan from the bank for your practice? Yes [ ] No [ ]
9.b. Have you ever received any financial assistance from government? Yes [ ] No [ ]
10. How profitable do you find your business?
Very profitable [ ] Quite Profitable [ ] Not profitable [ ]
11. Do you get other benefits from your business beyond the financial profit? (value)
12. Do you keep regular accounts of the business? Yes [ ] No [ ]
13. Would you be able to give us a rough estimate of your business sales over the last year?
14. Where do you sell your products? …………………………………………
15. Who are your main customers? ……………………………………………
16. Do you produce on a large scale for people to collect and retail for you? Yes [ ] No [ ]
17. Do you have some of your products in formal establishments or shops? Yes [ ] No [ ]
II Sources of Knowledge
18. Where did you obtain the knowledge to manufacture your products? Please describe:
19. Have you received any type of training? Yes [ ] No [ ]
19.a. When did you do your training [ ] year, and how long was your training?
[ ] (number of years/months/days)
19.b. Please describe the nature of your training ….…………………………
20. Have you provided training to other people?
20.a. If yes, to how many?
20.b. Please describe the nature of the training provided ….…………………
21. Are your products based to some extent on indigenous/traditional knowledge?
Yes [ ] No [ ] Partially [ ]
21.a. If yes, how did you acquire that knowledge? Please describe:
III Innovation
22. What do you think makes your products successful?
……………………………………………………………………………
23. Please describe your main method or production process
……………………………………………………………………………
24. Please describe the equipment you use for manufacturing/production
……………………………………………………………………………
25. Describe new technologies, machines, production techniques or innovations you adopted in the last 2–3 years
……………………………………………………………………………
26. Have you introduced new or significantly improved products in the last 2–3 years? Yes [ ] No [ ]
26.a. If yes, please describe:
……………………………………………………………………………
27. Have you introduced any new or significantly improved method of production or production practices the last 2–3 years? Yes [ ] No [ ]
27.a. If yes, please describe
28. What exactly do you do to improve on your products or practice?
29. What/who is your inspiration to develop new products/processes?
30. What are your main challenges to come up with new products and processes? (please describe)
IV Networking and Knowledge Flows
31. Do you belong to any association? Yes [ ] No [ ]
31.a. If yes, name of the association(s)
32. Have you interacted with any formal organizations (i.e. recognized institution in South Africa, such as research centers, NGOs, incubators, etc.) while seeking support for your practice?
Yes [ ] No [ ]
32.a. If yes, please name the organizations
32.b. If yes, please describe the nature of the interaction
32.c. If yes, please indicate the benefits of those interactions
33. Do you interact or collaborate with other producers? Yes [ ] No [ ]
33.a. If yes, what kind of knowledge do you exchange?
34. Do you interact or collaborate with your suppliers? Yes [ ] No [ ]
34.a. If yes, what kind of knowledge do you exchange?
35. Do you interact or collaborate with your customers? Yes [ ] No [ ]
35.a. If yes, what kind of knowledge do you exchange?
36. Do you interact or collaborate with members of your community? Yes [ ] No [ ]
36.a. If yes, what kind of knowledge do you exchange?
37. Do you share knowledge about manufacturing with your employees? Yes [ ] No [ ]
Please explain:
38. Would you want to team up with somebody to commercialize on a large scale? Yes [ ] No [ ]
V Intellectual Property and Knowledge Appropriation
39. Do you have your own brand? Yes [ ] No [ ]
40. Do you feel that you own the ideas for the new products you make? Yes [ ] No [ ]
Please explain: ………………………………………………………………
41. Are you concerned about possible commercialization of your innovations/innovative ideas without your knowledge or consent? Yes [ ] No [ ]
42. Do you protect your ideas in any way? Yes [ ] No [ ]
42.a. If yes, what mechanisms do you use to protect your innovation or innovative ideas? (formal or informal)
43. Do you think open transfer or exchange of innovative ideas is useful in your sector? Yes [ ] No [ ]
44. What mechanisms for the protection of knowledge (e.g. patent, trademark, secrecy) do you think are most appropriate for the manufacture of home and personal care products? Please describe: ……………………
45. Would you like to make use of formal mechanisms of knowledge appropriation to protect your ideas? (e.g. patents, trademarks) Yes [ ] No [ ]
46. How do you assess South African IP legislation in connection with your sector?
47. What are your suggestions to improve the appropriation of knowledge of micro-producers of home and personal care products in South Africa?
Annex 1.3 Survey on the Ghanaian traditional, informal herbal medicine sector
Section I General Information
1. Name of Respondent…………………………… Gender: Male [ ] Female [ ]
2. Age: [____] Marital Status: Single [ ] Married [ ] Divorced [ ] Widow [ ] Separated [ ]
3. Educational level: Primary [ ] JHS/MSLC [ ] Secondary [ ] Tertiary [ ] No Formal education [ ]
4. What religion do you practice? Christian [ ] Muslim [ ] Traditional [ ] Other…………………………..
5. Location of practice ……..……………………… District …………..……… Region: …………..…………………
Section II Traditional Medical Practice (TMP)
6. Name of enterprise (if your traditional medical practice is done under the name of a company)………………………………………………………
7. Specialty of respondent……………………………………………………
…………..…………………………………………………………………
8. Is your enterprise/practice registered? Yes [ ] No [ ].
9. How many other employees? [____]
10. Do you contribute to social security? Yes [ ] No [ ]
11. Were you able to get some loan from a bank for your practice? Yes [ ] No [ ].
12. If yes which bank? ………………………………………………………
13. Have you ever received any financial assistance from the government? Yes [ ] No [ ].
14. Give the name of any agency which helped you in your practice?…………
15. For how long have you been in traditional medical practice? [ ] years
16. Which year did you actually start practicing? ……………………………..
17. How did you become a Traditional Medical Practitioner (TMP)? (e.g. apprenticeship, family business, divine call, hobby)………………………
18. If you trained to be a TMP, how long was your training? [ ] (number of years)
19. Explain the nature of your training……….………………………………
20. What are your main herbal products?……….……………………………
21. Which one(s) did you start with?……….…………………………………
22. Are all your herbal products registered? Yes [ ] No [ ].
23. State the institution you registered the products with……….……………
24. What are the requirements to have your products registered by these organizations?
25. Why did you register your product(s)?
26. How do you assess the registration process in Ghana? Very difficult [ ] Difficult [ ] Easy [ ] Very Easy [ ]
27. How profitable do you find the TMP? Very profitable [ ] Quite Profitable [ ] Not profitable [ ]
28. Explain your answer above to question 22……….…………………………
Section III Innovation
29. Describe new technologies, machines, production techniques or innovations you adopted in the last five years……………..………………………
30. Describe new products and processes you developed in the last five years …………………………
31. Have you patented or formally appropriated any of your products? Yes [] No [ ]
32. Do you know the process you go through to patent or formally appropriate a product? Yes/No
33. Where do you sell your products?…………………………………………
34. Who are your main customers?……………………………………………
35. The products you adopted, where do they come from?……………………
36. What exactly do you do to improve on your products or practice?…………………………………………………………………………
37. Do you produce on large scale for people to collect and retail for you? Yes [ ] No [ ]
38. Do you have some of your products in chemical/pharmacy shops? Yes [ ] No [ ]
39. Which of your products (if any) are on the Essential Drugs List (EDL) of the Ministry of Health?
40. What do you think accounted for that (your medicine sold in pharmacy or on the EDL)?
Section IV Networking and Knowledge Flows
41. Do you belong to any traditional medicine association? Yes [ ] No [ ]
42. Give the name of the association(s)…………………………………………
43. State the benefits of your membership of the association(s)………………
44. State any training you have received in your association…………………
45. Have you worked with any recognized institution in Ghana before (CSIR-Mampong, Noguchi, KNUST, KCCR, Legon)? Yes [ ] No [ ]
46. Explain how you worked – or are still working – with these institutions.
47. What are the other institutions you worked with?…………………………
How do you work with these other institutions?
48. Would you want to team up with somebody to commercialize on a large scale? Yes [ ] No [ ]
Section V Intellectual Property Protection
49. Are you concerned about possible commercialization of your innovations/innovative ideas without your knowledge or consent?
Yes [ ] No [ ]
50. If yes, what mechanisms do you use to protect your innovation or innovative ideas?
51. What is the cost of appropriation?………………………….
52. Is open transfer or exchange of innovation/innovative ideas useful in traditional medicine?
Yes [ ] No [ ]
53. What main intellectual property mechanism (e.g. patent, trademark, secrecy) do you think is most appropriate for traditional medical products?………………………………………………………
54. How do you assess the IP policy regime in Ghana among traditional medical practitioners?
Very high [ ] High [ ] Average [ ] Low [ ] Very low [ ] Non-existent [ ]
55. What do you suggest to improve the IP situation in the country?…………
………………………………
56. What do you suggest to improve traditional herbal practice in Ghana?………………………….
At end of interview, switch off recorder and thank the participant.
Annex 1.4 Senegalese informal ICT and trade sector
Name of Informal Production Unit (IPU) (Optional):…………………………
Address (Optional):…………………………
Telephone No.…………………………
(Optional):…………………………
1 Information on the respondent
Name – First name
Gender – Male/Female
Position in the IPU
Junior employee
Technical manager
Administration
General manager/Manager
Other (please specify):
2 Socio-demographic information on the owner/creator/manager of the IPU
2.1 Who created the IPU?
You alone
Your Father/Mother
Your brother/sister
Your uncle/aunt
A friend
A third party
The family
Associates
A cousin
Other (please specify):
2.2 Gender – Male/Female
2.3 Matrimonial status
Married, monogamous
Married, polygamous
Single
Divorced
Widowed
Other
2.4 What is your ethnic group?
Wolof
Serer
Toucouleur
Diola
Mandingo
Other Senegalese ethnic group (please specify):
Foreigner (please specify):
2.5 Languages spoken (you can check more than one box)
Wolof
Serer
Toucouleur
Diola
Mandingo
French
English
Spanish
Chinese
Arabic
Other languages (please specify)
2.6 Place of origin:
2.7 Religion practiced or brotherhood
Tidiane
Mouride
Layenne
Catholic
Protestant
Animist
Other (please specify):
2.8 Level of Education
None
Primary
General secondary
Technical secondary
Higher
Professional training
Koranic school
Other (please specify):
2.9 Socio-professional trajectory (please number in sequence)
Unemployed
French school
Koranic school
Craftsperson
Employed in the modern sector
Other
3 Nature and Structure of the IPU and its activities
3.0a. Do you have a NINEA registration number?
Yes
No
3.0b. Does your business have
Written SYSCOA-compliant accounting?
No SYSCOA-compliant accounting?
Other (please specify)?
If the business has a NINEA registration number and formal accounting to SYSCOA standards,
3.1 How long has your IPU been in existence?
3.2 How would you categorize your activity?
Sale of recharge cards, telephones
Maintenance and servicing
Mobile telephone decoding
Computer and peripheral device assembly
Sale of computer hardware, office electronics
Sale of audiovisual equipment
Sale of CDs, VCDs, DVDs
Asset creation
Repairs
Services
Other (please specify):
3.3 What material resources does your IPU use to conduct its activities?
Computer
Printer
Scanner
Telephone
Photocopier
Repair kit
Fax
Other (please specify):
3.4 What kind of premises do you have for conducting your activities? (you can check more than one box)
Street
Stall in the street
Vehicle
Market stall
Workshop
Shop
Kiosk
3.5 How did the idea for this activity originate?
Market demand
Social demand
Something to do
Advice from a third party
Imitation
More freedom
Fewer constraints
Other (please specify):
3.6 What are the general stages in carrying out the activity? (please number in sequence)
Identifying targets
Financing
Equipment
Cooperation
Human resources
3.7 Are there especially favorable periods in the year for conducting your activities?
Religious festivals
Religious events
End of year
Return to school
Weekly markets
Fairs
3.8 How do you take advantage of these favorable periods?
Investments
Pricing strategy
New product
Work organization
Special offers
3.9 How did this happen?
3.10 What problems have you had to face in conducting a new activity? (you can check more than one box)
Technical
Financial
Human
Organizational
Institutional
Other (please specify)
3.11 How have you overcome these problems?
Technical
Financial
Human
Organizational
Institutional
Other (please specify)
3.12 Over the last few years, has your business invested in the following activities?
Acquiring a machine
Acquiring outside knowledge
Training
Buying software
Other (please specify):
3.13 What sources of information have you used for setting up your activities?
The family
Market
State and State departments
Religious associations
Business culture
Community living conditions
Internet
3.14 Which types of financing do you use for keeping your activities going?
Own resources
Family resources
Tontines
Mutual savings and loan associations
Bank
Religious associations
Other (please specify)
3.15 Which of the following social values have helped you to increase turnover?
Solidarity (Ndimbaleunté)
Sharing (seddo)
Honesty (djoub ak ngor)
Dialogue (disso)
Hospitality (teranga)
Courage (diom)
Reserve (mandou)
Perseverance (goorgolou)
3.16 Give an explanation for each value checked?
Solidarity
Sharing
Honesty
Dialogue
Hospitality
Courage
Reserve
Perseverance
4 Work Organization
4.1 How many people work in the IPU?
4.2 How is the work distributed?
Based on skill
Based on kinship
Based on friendship
Based on age
4.3 How are employees paid?
Monthly
Weekly
Daily
Hourly
Irregularly
4.5 What are the methods of remuneration?
Commission (sales)
Quotas
Wages
5 Commerce and Marketing
5.1 What is your main strategy for market occupancy?
Social network
Advertising
Price
Accessibility
Other (please specify):
5.2 Do your product prices vary according to:
Market
Customer
Place
Time
Other (please specify):
5.3 What is your main pricing mechanism?
Bargaining
Fixed price
5.4 What are your customer relations based on?
Trust Work Family Religion Place of origin
5.5 Who are your main suppliers?
Wholesalers
Outside partners
Retailers (traders)
Formal businesses
5.6 What are your supplier relations based on?
Trust
Work
Family
Religion
Place of origin
5.7 How would you assess the competition in your field of activity?
Very strong
Strong
Average
Weak
Very weak
5.8 Who are your main competitors?
Formal sector
Participants in the same sector
Foreign participants
5.9 What do you think is the most important factor in being competitive?
Proximity
Product quality
Affordable price
Capital
Other (please specify):
5.10 What innovative strategies do you adopt for facing this competition?
Cutting prices
Using new sales
Improving product quality
Other (please specify)
Techniques (packaging, etc.)
6 Partnership and Cooperation
Does your IPU belong to a group or network?
Yes
No
If yes, please specify the group:
Who are your IPU’s partners in implementing an activity?
Informal sector
Modern sector
State
NGO
Religious association
Other
What links does your business have with the so-called modern sector? (you can check more than one box)
Customer
Supplier
Competitor
Associate
What relations does your business have with the State and State departments?
Business tax
Tax
Subsidy
No problem
3.14 Has your business benefited from public financial support for new activities?
Yes
No
Annex 1.5 The diffusion and transfer of IP-related innovation between formal and informal sectors in Uganda
Background Information:
Name_____________________
Workplace_________________
Work specialty______________
Education: (a) Formal___ (b) Informal___
Section I Questions about work (for researchers the questions will focus on education and research work):
1. What exactly do you do?
2. How and when did you learn about the work you do?
3. What “experience” do you have for this work? (In local language this means how long respondent has been at this work)
4. How has this work changed over the years and why?
5. What are the benefits you have realized through this work?
6. What are the main challenges?
Section II Questions on networks [linkage below refers to formal–informal (F–I), informal–informal (I–I), informal–formal (I–F) exchanges]:
7. Looking at your work [as a researcher/artisan/farmer], do you have linkages with people in [formal/informal] sector?
8. What kinds of linkages do you have and of what benefit to you/them?
9. If you don’t have linkages in [formal/informal] sector, is that something you would consider establishing? If yes/no, why/why not? If yes, how can they be established and/or enhanced? If yes, will the linkage benefit from formalized mechanisms for the diffusion, transfer or exchange of innovation or are informal mechanisms ideal?
10. Which areas [will] benefit most from linkages between you/your work and [formal and informal] sector actors working in the same area as yours?
11. What are the challenges of the linkages between you and [formal and informal] sector actors?
12. What are your main concerns about the linkages?
Section III Linkages, innovation exchange and intellectual property:
13. Do the linkages involve the diffusion, transfer or exchange of innovation/innovative ideas between you and [formal/informal] collaborators/actors?
14. Are the innovations/innovative ideas applied by the recipient party – applied meaning translated into commercialization or non-commercial application?
15. Are you concerned about possible commercialization of innovations/innovative ideas?
16. If, yes to (15), does this often lead to secrecy, restricted access or lack of sharing of innovation/innovative ideas?
17. Is open transfer or exchange of innovation/innovative ideas possible?
18. Do you think about intellectual property/intellectual property laws or ownership of innovations in instances of exchange of innovation/innovative ideas with your collaborators?
19. If yes to (18), is that due to the potential for commercialization of some or all of the innovation by the other party/parties?
20. If no to (18), is IP/IP laws something on your horizon?
21. Any instance where IP/IP laws have affected your work in any way (negative or positive)?
22. Any instance where IP/IP laws have hindered or slowed down the exchange of innovation/innovative ideas?
23. Any government policies you know of to encourage linkages and/or exchange of innovation between you and the [formal and informal sector]?
24. If no policies exist, will the formation of such policies facilitate or deepen the linkages and exchange of innovation/innovative ideas between you and [formal and informal] sectors?
Annex 3 Kenya 2014 MSME Survey
1. The module on business income and seasonal variations includes a section on Product, Process and Marketing Innovation with four questions:
a. During the period 2009 to 2013, did you introduce new or significantly improved goods or services? Yes/No
b. During the period 2009 to 2013, did you introduce new or significantly improved methods of manufacturing or producing goods or services?
c. During the period 2009 to 2013, did you implement a new marketing method involving significant changes in product design or packaging, product placement, promotion or pricing?
d. Please estimate the total turnover in 2013 of goods and services innovations introduced in 2013 (Kenyan Shilling).
2. The module on capital and technology comprises six questions on ICT, besides the amount and sources of initial and additional capital and the types of equipment:
a. What other type of support did you receive?
1 = Marketing information
2 = Accounting
3 = Legal
4 = Training
5 = Business planning
6 = Stock layout
7 = None
8 = Other (specify)
b. Indicate source of technological advice if any received.
1 = Government institutions
2 = Research institutions
3 = NGO
4 = Contracting MSME
5 = Contracting non-MSME
6 = Salesmen
7 = Publications
8 = Other (specify)
9 = N/A
c. Does the business use any type of ICT? Yes/No
d. Specify the types of ICT used
1 = Mobile phone
2 = Fax
3 = Computer
4 = Email/website
5 = Internet
6 = Other (specify)
e. What is the purpose of using ICT?
1 = Ordering supplies
2 = Marketing
3 = Getting general information
4 = Other (specify)
f. Why does the business not use ICT?
1 = Too costly
2 = Not needed
3 = No electricity
4 = Not accessible
5 = Other (specify)
3. The module on business organization and marketing comprises seven specific questions on marketing
a. How are prices set?
1 = Independently
2 = In consultation with others
3 = Buyers
4 = Suppliers
5 = Others (specify)
b. Main source of inputs or agency
1 = MSMEs
2 = Non-MSMEs
3 = Farmers
4 = Direct imports
5 = Individual suppliers
6 = Government
7 = Other (specify)
c. Main buyer of products or services
1 = MSMEs
2 = Non-MSMEs
3 = Direct exports
4 = Individual consumers
5 = Government
6 = Other (specify)
d. Indicate any sub-contracting arrangements for inputs or orders received from clients
1 = None
2 = MSMEs
3 = Non-MSMEs
4 = Middlemen
5 = Government
6 = Other (specify)
e. Indicate any sub-contracted arrangement for your products or services
1 = None
2 = MSMEs
3 = Non-MSMEs
4 = Middlemen
5 = Government
6 = Other (specify)
f. Main method of advertisement of products and services
1 = None
2 = Electronic media
3 = Print media
4 = Trade exhibition
5 = Posters/fliers/brochures
6 = Public marketing/promotion bodies
7 = Private market/promotion bodies
8 = Quality of products/clientele satisfaction
9 = Other (specify)
g. What are your customer feedback mechanisms?
Source: The Kenya MSME Survey is a repetition of the 1999 Baseline Survey of Micro and Small Enterprises (see CBS-ICEG-K-Rep (1999) National Micro and Small Enterprise Baseline Survey 1999, Survey Results, Nairobi, Central Bureau of Statistics, International Centre for Economic Growth and K-Rep Holdings Ltd). It was planned for 2014 by the Kenya National Bureau of Statistics (KNBS), but was postponed to end of 2015 for budgetary reasons.
