Citation

Hiếu, P. T. (2026). Negative emotions in modern psychology and Buddhist thought: A conceptual and comparative analysis. International Journal of Research, 13(3), 212–221. https://doi.org/10.26643/ijr/14

APA

Phí Thị Hiếu

Associate Professor, Thai Nguyen University of Education, Thai Nguyen, Vietnam

Abstract

Negative emotions constitute a central concern in both modern psychology and Buddhist thought, yet they are conceptualized within distinct theoretical and philosophical frameworks. This article presents a conceptual and comparative analysis of negative emotions as understood in contemporary psychological theories and Buddhist psychology. Drawing on authoritative secondary sources, the study examines key dimensions of comparison, including the definition and function of negative emotions, their underlying causes, the role of the self, and approaches to emotional change.

The analysis indicates that modern psychology primarily interprets negative emotions as adaptive affective responses that become problematic when dysregulated, emphasizing strategies of awareness and regulation to support psychological functioning. In contrast, Buddhist psychology conceptualizes negative emotions as afflictive mental states rooted in ignorance and attachment, framing emotional suffering as inseparable from self-clinging and existential dissatisfaction. While both traditions highlight the importance of awareness and non-reactivity, they diverge in their ultimate aims, with modern psychology focusing on adaptive well-being and Buddhist thought emphasizing transformative insight.

By clarifying these conceptual differences and points of convergence, the article contributes to a more precise understanding of how negative emotions are theorized across traditions. The findings underscore the value of comparative analysis for enriching theoretical discussions of emotion while acknowledging the distinct goals and assumptions underlying each framework.

Keywords

Negative emotions; modern psychology; buddhist psychology; suffering; emotional suffering

Introduction

Negative emotions have long occupied a central position in psychological inquiry due to their profound influence on human well-being, behavior, and mental health. Contemporary psychological research has extensively examined negative emotions such as anger, fear, sadness, and anxiety, primarily focusing on their adaptive functions, regulatory mechanisms, and implications for psychological adjustment (Gross, 2015; Lazarus, 1991). Within this framework, negative emotions are generally understood as functional affective responses that become problematic when they are excessive, poorly regulated, or contextually inappropriate (Ekman, 1992; Gross & Thompson, 2007).

Parallel to developments in modern psychology, Buddhist thought has for centuries offered a systematic analysis of emotional suffering, conceptualizing negative emotions as core mental afflictions (klesas) that sustain dissatisfaction and suffering (dukkha) (Gethin, 1998; Harvey, 2013). Buddhist psychology places particular emphasis on the cognitive and existential roots of negative emotions, especially ignorance (avidyā), attachment (taṇhā), and the reification of the self (attā) (Rahula, 1974; Wallace & Shapiro, 2006). From this perspective, emotional suffering is not merely a matter of dysregulation but reflects deeper patterns of misperception regarding the nature of reality and selfhood.

In recent decades, scholarly interest in dialogue between psychology and Buddhism has grown substantially, particularly through the incorporation of Buddhist-derived practices such as mindfulness into psychological interventions (Kabat-Zinn, 2003; Baer, 2003). While this interdisciplinary engagement has generated valuable insights, existing literature has largely focused on practical integration or therapeutic effectiveness (Khoury et al., 2015). Comparatively less attention has been given to the underlying conceptual assumptions that shape how negative emotions are defined, explained, and addressed within each tradition. As a result, important theoretical differences—particularly concerning the ontological status of emotions, the role of the self, and the ultimate aims of emotional change—remain insufficiently clarified (Wallace, 2007; Shonin, Van Gordon, & Griffiths, 2015).

Moreover, comparative discussions often risk presenting both modern psychology and Buddhist psychology as internally homogeneous traditions, overlooking conceptual diversity and methodological limitations (Lomas, 2016). Without careful conceptual analysis, such comparisons may conflate distinct explanatory levels or selectively appropriate Buddhist concepts while detaching them from their ethical and philosophical foundations (Purser & Loy, 2013). Addressing these challenges requires a systematic and critically informed comparative approach that respects the integrity of each framework while identifying meaningful points of convergence and divergence.

Against this background, the present study aims to conduct a conceptual and comparative analysis of negative emotions as theorized in modern psychology and Buddhist thought. Rather than proposing an integrative model or empirical synthesis, the article seeks to clarify key theoretical assumptions and analytical dimensions underlying each tradition. The analysis is guided by the following research questions:

(1) How are negative emotions defined and explained within modern psychological theories and Buddhist psychology?

(2) What role does the concept of the self play in shaping emotional experience and suffering in each framework?

(3) How do approaches to emotional change differ with respect to regulation, transformation, and ultimate aims?

By addressing these questions, this study contributes to ongoing interdisciplinary discussions by offering a more precise conceptual comparison of negative emotions across traditions. Clarifying these theoretical foundations may enhance mutual understanding between psychological science and Buddhist philosophy, while also informing future research on emotional suffering and well-being.

Methods

This study adopts a qualitative conceptual comparative approach to examine how negative emotions are theorized in modern psychology and Buddhist psychology. The purpose of the analysis is not to synthesize empirical findings or evaluate intervention outcomes, but to clarify and compare the underlying conceptual assumptions, explanatory frameworks, and approaches to emotional change within each tradition.

The analysis is based on a purposive selection of authoritative secondary sources. For modern psychology, the corpus includes foundational and influential works on emotion theory and emotion regulation, such as appraisal-based models, constructivist perspectives, and contemporary regulation frameworks. For Buddhist psychology, the sources consist of well-established scholarly interpretations of early Buddhist teachings and Buddhist psychological concepts, including discussions of klesas, dukkha, ignorance, attachment, and non-self. To ensure conceptual coherence, the study primarily draws on interpretations grounded in early Buddhist and broadly Theravāda-informed psychological frameworks, while acknowledging the diversity of Buddhist traditions.

Sources were selected according to three criteria: (1) academic credibility, indicated by peer-reviewed publication or established scholarly status; (2) direct relevance to the conceptualization, causes, or transformation of negative emotions; and (3) frequent citation and recognition within their respective fields. Empirical studies were included selectively to illustrate dominant theoretical assumptions rather than to provide systematic evidence of effectiveness.

The analytical procedure involved close reading and thematic comparison of key concepts across the two traditions. Core analytical dimensions—such as the definition of negative emotions, their underlying causes, the role of the self, and approaches to emotional change—were identified inductively from the literature and then used to structure the comparative analysis. Throughout the process, care was taken to avoid reducing one framework to the terms of the other or implying theoretical equivalence where fundamental philosophical differences exist.

As this study is based exclusively on published academic literature and does not involve human participants or original data collection, formal ethical approval was not required. While the conceptual scope of the analysis limits empirical generalization, this methodological approach is appropriate for the study’s aim of clarifying theoretical assumptions and advancing interdisciplinary understanding of negative emotions.

Results

The comparative analysis reveals both convergence and fundamental divergence in how negative emotions are conceptualized, explained, and addressed within modern psychology and Buddhist psychology. Although both traditions focus on similar emotional phenomena, such as anger, fear, and sadness, they differ markedly in their underlying assumptions and explanatory priorities.

In modern psychology, negative emotions are predominantly understood as affective responses that serve adaptive and communicative functions. Across major theoretical traditions, negative emotions are viewed as integral to survival, goal regulation, and social interaction, becoming maladaptive primarily when their intensity, duration, or expression is poorly regulated (Lazarus, 1991; Ekman, 1992; Gross, 2015). While explanatory models differ—ranging from appraisal-based accounts emphasizing cognitive evaluation (Lazarus, 1991) to constructivist perspectives highlighting social learning and categorization (Barrett, 2017)—a shared assumption is that negative emotions are not inherently pathological but context-sensitive responses shaped by biological and environmental factors.

By contrast, Buddhist psychology conceptualizes negative emotions as klesas, or afflictive mental states, that are intrinsically linked to suffering (dukkha). Rather than emphasizing functional adaptation, Buddhist explanations locate the origin of negative emotions in fundamental cognitive distortions, particularly ignorance (avidyā) and craving (taṇhā) (Rahula, 1974; Gethin, 1998; Harvey, 2013). From this perspective, negative emotions are not merely situational responses but manifestations of deeper patterns of misperception concerning impermanence and selfhood.

A central point of divergence emerging from the analysis concerns the role of the self in emotional experience. Modern psychological approaches generally presuppose a relatively stable self that experiences emotions and is capable of regulating them through deliberate strategies. Emotion regulation models conceptualize this self as an active agent that monitors emotional processes and modifies them to achieve adaptive outcomes (Gross & Thompson, 2007; Koole, 2009). Even acceptance-based and mindfulness-informed approaches often retain an implicit observer-self that relates to emotional experiences in a non-reactive manner (Baer, 2003).

In contrast, Buddhist psychology challenges the ontological status of the self itself. Emotional suffering is understood as arising from attachment to the notion of a permanent, autonomous self (attā), which gives rise to craving, aversion, and emotional reactivity (Rahula, 1974; Wallace & Shapiro, 2006). Negative emotions, in this framework, are sustained not only by situational triggers but by self-referential cognitive patterns that reinforce emotional clinging and aversion. Emotions are thus interpreted as conditioned and impermanent processes rather than attributes of a stable personal identity (Gethin, 1998).

Differences between the two traditions are also evident in their approaches to emotional change. In modern psychology, interventions targeting negative emotions primarily emphasize regulation strategies aimed at modifying emotional intensity, duration, or expression. Techniques such as cognitive reappraisal, attentional deployment, and acceptance are designed to enhance psychological flexibility and functional well-being, rather than to eradicate negative emotions altogether (Gross, 2015; Hayes et al., 2012). Emotional change is therefore framed as an ongoing process of management and adaptation.

Buddhist psychology, by contrast, conceptualizes emotional change as a gradual transformation rooted in insight, ethical cultivation, and the weakening of ignorance and attachment. Practices such as mindfulness (sati) and insight meditation (vipassanā) are directed not only toward observing emotions but toward undermining the cognitive conditions that give rise to them (Wallace, 2007). From this perspective, emotional change involves a reorientation of understanding that reduces the very basis of emotional affliction.

The analysis further indicates that contemporary psychological adaptations of Buddhist practices, particularly mindfulness-based interventions, selectively emphasize attentional awareness and emotional regulation while often bracketing broader ethical and philosophical dimensions central to Buddhist psychology (Purser & Loy, 2013; Shonin et al., 2015). This selective appropriation highlights an important conceptual distinction between managing negative emotions within existing psychological frameworks and pursuing deeper transformation of emotional suffering as articulated in Buddhist thought.

Discussion

The present study set out to clarify how negative emotions are conceptualized and addressed within modern psychology and Buddhist psychology through a conceptual comparative analysis. The findings indicate that, although both traditions engage with similar emotional phenomena, they are grounded in distinct theoretical assumptions that lead to different understandings of emotional suffering and change. This section discusses the implications of these differences, focusing on conceptual scope, the role of the self, and the aims of emotional intervention.

A central implication of the findings concerns the functional versus afflictive framing of negative emotions. In modern psychology, negative emotions are predominantly interpreted through a functional lens, emphasizing their adaptive value and the importance of effective regulation. This framing has proven productive for developing empirically grounded interventions that enhance emotional flexibility and psychological functioning. However, as the results suggest, such approaches tend to bracket deeper ontological or existential questions regarding why negative emotions arise and persist beyond situational triggers. Buddhist psychology, by contrast, situates negative emotions within a broader account of suffering, interpreting them as manifestations of ignorance and attachment. This perspective extends the explanatory scope of emotional suffering beyond regulation failure to include self-related cognitive distortions.

The comparative analysis also highlights the concept of the self as a critical point of divergence. Modern psychological models typically presuppose a self that regulates emotions, whether through cognitive control, acceptance, or metacognitive awareness. While this assumption is rarely made explicit, it structures both theoretical explanations and intervention strategies. Buddhist psychology challenges this presupposition by questioning the ontological status of the self itself, suggesting that emotional suffering is sustained by self-reification rather than by emotions alone. This distinction offers an important conceptual contribution by identifying limits to self-based regulation strategies, particularly in addressing persistent or existential forms of emotional distress.

Another significant implication emerges in relation to approaches to emotional change. Modern psychology emphasizes regulation-oriented strategies aimed at managing emotional responses within existing psychological structures. Buddhist psychology, in contrast, frames emotional change as a process of gradual transformation grounded in insight and ethical cultivation. Rather than opposing these approaches, the findings suggest that they operate at different explanatory levels. Regulation-oriented strategies may be effective for enhancing short-term functioning, while transformation-oriented practices address deeper cognitive and existential conditions underlying emotional suffering. Clarifying this distinction helps avoid conflating fundamentally different therapeutic aims.

The analysis further sheds light on ongoing debates surrounding the integration of Buddhist practices into contemporary psychological interventions. While mindfulness-based approaches have demonstrated effectiveness in emotion regulation, the selective adaptation of Buddhist techniques often involves detaching them from their broader philosophical and ethical contexts. As a result, mindfulness may function primarily as a regulatory tool rather than as a means of transforming the roots of emotional suffering. This observation does not undermine the value of mindfulness-based interventions but underscores the importance of conceptual clarity when translating practices across traditions.

Several limitations of the present study should be acknowledged. As a conceptual analysis based on secondary literature, the findings do not provide empirical evidence regarding the comparative effectiveness of psychological or Buddhist approaches to negative emotions. In addition, the focus on broadly influential psychological models and early Buddhist–informed interpretations necessarily involves a degree of generalization. Future research could address these limitations by empirically examining how self-related assumptions influence emotional outcomes or by exploring conceptual differences across specific psychological schools and Buddhist traditions.

Overall, the study contributes to interdisciplinary scholarship by clarifying key conceptual distinctions that are often blurred in discussions of negative emotions. Rather than proposing an integrative model, the analysis emphasizes the importance of maintaining theoretical integrity while recognizing the complementary insights offered by modern psychology and Buddhist thought. Such conceptual clarity may support more informed dialogue between traditions and guide future research on emotional suffering and well-being.

Conclusion

This study has undertaken a conceptual and comparative analysis of negative emotions as theorized in modern psychology and Buddhist psychology, with the aim of clarifying their underlying assumptions, explanatory frameworks, and approaches to emotional change. The analysis demonstrates that, although both traditions address similar emotional phenomena, they operate at different theoretical levels and pursue distinct goals.

Modern psychology primarily conceptualizes negative emotions as functionally adaptive responses that require effective regulation to support psychological well-being. Buddhist psychology, by contrast, frames negative emotions as afflictive mental states rooted in ignorance and attachment, emphasizing their role in sustaining suffering through self-related cognitive distortions. The comparison highlights the role of the self as a key conceptual axis distinguishing the two frameworks, as well as the contrast between regulation-oriented and transformation-oriented approaches to emotional change.

Rather than proposing an integrative model, this study contributes by clarifying these conceptual distinctions and by identifying points of convergence and divergence that are often obscured in interdisciplinary discussions. By maintaining the theoretical integrity of each tradition, the analysis underscores the value of comparative inquiry for deepening understanding of emotional suffering without reducing complex frameworks to simplified common denominators.

Policy implications

The findings of this conceptual analysis suggest several implications for policy and practice in mental health, education, and professional training, while acknowledging the limits inherent in theory-based research.

First, mental health policy may benefit from recognizing that emotional distress cannot be fully addressed through regulation-based interventions alone. While strategies aimed at managing negative emotions are essential, the analysis suggests that persistent emotional suffering may also be shaped by deeper self-related assumptions. Policymakers may therefore consider supporting complementary approaches that incorporate reflective and insight-oriented practices, provided they are adapted responsibly and evaluated within appropriate ethical and cultural frameworks.

Second, in the domain of education and emotional development, the results indicate the value of moving beyond instrumental emotion management toward cultivating emotional understanding and self-awareness. Educational policies that promote social and emotional learning could be strengthened by including reflective practices that encourage non-reactive engagement with emotions, without imposing specific religious or philosophical doctrines.

Third, regarding professional training in psychology and counseling, the comparative findings highlight the importance of conceptual literacy when drawing on non-Western psychological traditions. Policy frameworks governing professional education may encourage exposure to diverse theoretical perspectives, including Buddhist psychology, in order to enhance critical reflection, cultural sensitivity, and theoretical flexibility among practitioners.

Finally, at a broader societal level, the study supports policies that frame negative emotions not solely as individual deficits or pathologies, but as experiences shaped by cognitive, relational, and existential factors. Such an orientation may help reduce stigma associated with negative emotional states and promote more holistic approaches to mental health and well-being.

References

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Citation

Mafimisebi, T. E., Oni, F. O., Bello, T. O., Ibrahim, A. T., Afolayan, T. T., & Akinrotimi, A. F. (2026). Forecasting Climate Variability and Staple Food Prices in Nigeria: Evidence from ARIMA Modelling. International Journal of Research, 13(3), 195–211. https://doi.org/10.26643/ijr/13

Taiwo Ejiola Mafimisebi¹, Felix Olumide Oni¹*, Temitope Olanrewaju Bello¹, Ajolola Taibat Ibrahim², Thomas Tope Afolayan¹, Abiodun Festus Akinrotimi^1,3

¹Department of Agricultural and Resource Economics, Federal University of Technology, P.M.B. 704, Akure, Ondo State, Nigeria.

²Department of Agricultural Economics, Ekiti State University, Ado-Ekiti, Ekiti State, Nigeria.

³Ondo State Produce Inspection Service, Ministry of Agriculture and Forestry, Alagbaka-Akure, Ondo State, Nigeria.

*Corresponding email: akinrotimiabiodun4@gmail.com  

Abstract

Climate variability poses increasing risks to agricultural productivity and food price stability in sub-Saharan Africa. This study forecasts climate indicators and staple food prices in Nigeria using annual time-series data from 1991 to 2024. The analysis focuses on minimum temperature, maximum temperature, annual rainfall, and selected staple food prices (yams, garri, rice, and maize). Stationarity of the series was examined using the Augmented Dickey–Fuller test, and Autoregressive Integrated Moving Average (ARIMA) models were employed to generate projections for 2024–2034. The results indicate that all variables are integrated of order one and adequately modelled using ARIMA specifications. Forecasts reveal a sustained upward trend in staple food prices over the next decade, with rice projected to experience the largest increase, followed by yams and maize. Garri prices show relatively moderate but consistent growth. Climate projections indicate a steady rise in both minimum and maximum temperatures, alongside a modest increase in annual rainfall. The projected temperature growth suggests intensifying thermal stress, which may offset potential benefits from marginal increases in rainfall and contribute to future food price pressures. The findings highlight a likely convergence of rising temperatures and persistent food price inflation, with significant implications for food security and macroeconomic stability in Nigeria. The study underscores the importance of climate-smart agriculture, improved storage infrastructure, and forward-looking food policy planning to mitigate emerging risks. These projections provide an evidence-based baseline to inform national adaptation and market stabilization strategies.

Keywords: Climate variability; Staple food prices; ARIMA; Forecasting; Food security, Nigeria.

1. Introduction

Nigeria, the most populous country in Africa, faces intensifying challenges at the intersection of climate variability, agricultural productivity, and food price stability. Agriculture remains central to Nigeria’s economy, employing a significant share of the labour force and serving as the primary source of food and livelihood for rural households (World Bank, 2023). However, the sector is predominantly rain-fed and highly vulnerable to temperature and rainfall fluctuations. Increasing climatic variability, manifested in rising temperatures, erratic precipitation patterns, and more frequent extreme weather events, poses serious risks to agricultural output and market stability (Intergovernmental Panel on Climate Change [IPCC], 2023).

Recent climate assessments indicate that sub-Saharan Africa is warming at a rate faster than the global average, with substantial implications for crop productivity and food systems (IPCC, 2023). Rising temperatures increase evapotranspiration and soil moisture deficits, reducing yields of temperature-sensitive crops such as maize and rice (Zhao et al., 2017). At the same time, rainfall variability across West Africa has become increasingly unpredictable, characterized by shifts in onset dates, shorter growing seasons, and heightened rainfall intensity (Biasutti, 2019; Nicholson, 2022). These climatic shifts disrupt agricultural planning and constrain supply, thereby contributing to upward pressure on staple food prices (Porter et al., 2014).

Food price volatility has emerged as a major development concern in low- and middle-income countries, where food constitutes a large share of household expenditure (Headey & Fan, 2008; Oni et al., 2025; Mafimisebi et al., 2025). In Nigeria, staple commodities such as rice, maize, yams, and cassava-based products (e.g., garri) are critical components of national food security (Oni et al., 2025; Mafimisebi et al., 2025). Price increases in these commodities disproportionately affect low-income households and exacerbate poverty and nutritional insecurity (Gilbert & Morgan, 2010). Moreover, macroeconomic factors, including exchange rate fluctuations, inflationary pressures, and trade restrictions, interact with climate shocks to intensify food price instability (Baffes & Dennis, 2013; Oni et al., 2025; Mafimisebi et al., 2025).

Rice prices in Nigeria, for example, have been particularly sensitive to both domestic production shortfalls and global market disruptions, including supply chain constraints during the COVID-19 pandemic and geopolitical tensions such as the Russia–Ukraine conflict (Food and Agriculture Organization [FAO], 2023; Glauber & Laborde, 2022; Oni et al., 2025). Similarly, maize prices are influenced by climatic conditions and increasing demand from livestock and agro-industrial sectors (Kalkuhl et al., 2016; Bello et al., 2024). Root and tuber crops such as yams and cassava, though largely domestically produced, remain susceptible to rainfall variability and post-harvest losses, which contribute to seasonal and inter-annual price swings (Adenegan et al., 2021; Afolayan et al., 2024). These dynamics underscore the intricate relationship between climate variability and the behaviour of staple food prices.

Although numerous studies have investigated the impact of climate change on agricultural productivity in Africa (Lobell et al., 2011; Schlenker & Lobell, 2010), relatively fewer have focused on forecasting the joint evolution of climate indicators and food prices using robust time-series techniques. In Nigeria, prior empirical work has largely employed panel regression or equilibrium-based approaches to examine climate–agriculture linkages (Ajetomobi et al., 2018; Ogundari, 2014). While these approaches provide valuable insights into causal relationships, they are less suited for medium-term forecasting, which is essential for proactive policy planning and risk mitigation.

Time-series forecasting models, particularly the Autoregressive Integrated Moving Average (ARIMA) framework developed by Box and Jenkins (1970), have proven effective in modeling stochastic processes characterized by temporal dependence and non-stationarity. ARIMA models are widely applied in forecasting inflation, commodity prices, and climatic variables due to their flexibility in handling integrated series through differencing (Folarin & Akinbobola, 2019; Kumar et al., 2022). Recent applications demonstrate that ARIMA models can generate reliable short- and medium-term forecasts of agricultural prices under volatile market conditions (Abdullah & Othman, 2021; Ubilava, 2017). Similarly, ARIMA techniques have been successfully employed to predict rainfall variability and temperature trends in tropical regions (Alifu et al., 2023; Yadav et al., 2021).

Given the increasing convergence of climate stress and food market volatility, forecasting both climate variables and staple food prices within a unified modelling framework is critical. Forward-looking projections can provide policymakers with evidence-based baselines for designing adaptive strategies, including strategic grain reserves, irrigation investments, and climate-smart agricultural interventions (Wheeler & von Braun, 2013). In the Nigerian context, where demographic pressures and urbanization are rapidly expanding food demand, anticipatory forecasting is particularly important for safeguarding food system resilience.

Against this backdrop, this study employs ARIMA modelling to forecast climate variability and staple food prices in Nigeria over the period 1991–2034. Specifically, the study analyses historical trends in minimum and maximum temperature, annual rainfall, and selected staple food prices (yam, garri, rice, and maize), and generates projections for 2024–2034. By applying rigorous unit root diagnostics and optimal model identification procedures, the study contributes updated empirical evidence on temporal dynamics and future trajectories of climate and food price variables. The findings are expected to inform national climate adaptation policies, macroeconomic stabilization efforts, and long-term food security planning in Nigeria.

2. Materials and Methods

2.1 Study Area

The study is conducted in Nigeria, located in West Africa between latitudes 4°N and 14°N and longitudes 3°E and 15°E. Nigeria covers approximately 923,800 square kilometres and is the most populous country in Africa, with over 200 million inhabitants (World Bank, 2023). Agriculture plays a central role in the national economy, contributing about 23% to Gross Domestic Product and employing more than 60% of the population, particularly in rural areas.

Nigeria’s agricultural system is predominantly rain-fed, making it highly vulnerable to climate variability. The country experiences two main seasons: a wet season (April–October) and a dry season (November–March). Annual rainfall varies significantly across regions, ranging from about 500 mm in the northern Sahelian zones to over 3000 mm in the southern coastal areas. This marked climatic gradient gives rise to diverse agro-ecological zones, including Sahel and Sudan savannas in the north and tropical rainforest in the south, which shape regional agricultural production patterns. The northern regions are more susceptible to arid conditions, drought, and desertification, while the southern regions frequently experience heavy rainfall, flooding, and waterlogging. These spatial and temporal variations in temperature and rainfall directly influence crop yields, market supply, and price stability of staple foods. Given these climatic contrasts and Nigeria’s dependence on climate-sensitive agriculture, the country provides a suitable context for examining the dynamic interaction between climate variability and staple food prices. This study adopts a national-level time-series approach, using historical data on temperature, rainfall, and selected staple food prices to forecast future trends through ARIMA modelling. The national scope ensures that the analysis captures aggregated climatic variability and its macroeconomic implications for food price dynamics across the country.

Figure 1: Map of Nigeria with Agro-climatic Zones

Source: Adapted from Omonijo et al. (2025) and Oni et al. (2025)

2.2 Source of Data and Data Collection

This study utilizes annual secondary time-series data covering 1991–2024 (33 observations).

Annual mean temperature (°C) and total rainfall (mm) were obtained from the Nigerian Meteorological Agency (NiMet).Also, annual prices of selected staple foods (yams, garri, rice, and maize) were sourced from the Central Bank of Nigeria (CBN) and the National Bureau of Statistics (NBS). All variables were compiled at the national level and structured for time-series analysis and ARIMA forecasting.

2.3.0 Analytical Techniques and Model Specification

The following analytical tools were employed to achieve the objectives of this study.

2.3.1 Unit Root Test

Macroeconomic time series data, such as climate and food price data, are often nonstationary, meaning their statistical properties (such as mean and variance) change over time. Using non-stationary variables in regression models can lead to spurious and unreliable results (Granger & Newbold, 1974). Therefore, it is critical to test each variable for stationarity before conducting any regression or cointegration analysis. The Augmented Dickey-Fuller (ADF) test is a commonly used method to detect the presence of unit roots in time series data. It improves on the basic Dickey-Fuller test by correcting for serial correlation by including lagged differences of the variable. This test helps determine whether the series is stationary at the level or requires differencing to achieve stationarity, an essential step before further econometric modelling. The ADF Test is specified as follows:

 ……………………………. (1)

…………………(2)

Where:

 Δ = first difference operator

Y_t = input series

t = time or trend variable

2.3.2 Autoregressive Integrated Moving Average (ARIMA)

The ARIMA model was used to predict future trends in climate variables and staple food prices in the study area. The ARIMA model is a time series prediction method proposed by Box and Jenkins in the 1970s. The model consists of AR, I, and MA. Here, “AR” represents the Autoregressive model; “I” represents the Integration, indicating the order of a single integer; and “MA” represents the Moving Average model. In general, a stationary sequence can be used to establish the model. The unit root test is used to judge the stationarity of the sequence. For a non-stationary sequence, it should be converted to a stationary sequence using a difference operation. The number of corresponding differences is referred to as the order of a single integer. The ARIMA (p, d, q) model is essentially a combination of differential operation and the ARMA (p, q) model (Ma et al., 2017; Box et al., 2015; Fan and Zhang, 2009). A non-stationary I (d) process is one that can be made stationary by taking “d” differences. The process is often called difference-stationary or unit-root. A series that can be modelled as a stationary ARMA (p,q) process after being differenced d times is denoted by ARIMA (p,d,q) (Ma et al., 2017). The form of the ARIMA (p,d,q) model is stated as:

………….. (3)

Where Δ^dy_t denotes a d-th differenced series, and  is an uncorrelated process with mean zero. In lag operator notation, Liyt=yt−i. The ARIMA (p,d,q) model can be written as:

 ………………………………………….. (4)

Here, ϕ∗(L) is an unstable AR operator polynomial with exactly d unit roots. Someone can factor this polynomial as ϕ(L)(1−L)d, where ϕ(L)=(1−ϕ1L−……−ϕpLp) is a stable degree p AR lag operator polynomial. Similarly, θ(L)=(1+θ1L+…+θqLq) is an invertible degree q MA lag operator polynomial. When two of the three terms in ARIMA (p,d,q) are zeros, the model may be referred to by the non-zero parameter, dropping “AR”, “I”, or “MA” from the acronym describing the model. For example, ARIMA (1,0,0) is AR (1); ARIMA (0,1,0) is I (1); and ARIMA (0,0,1) is MA (1). The ARIMA model is a widely used time-series model and a short-term prediction model with high precision. The basic idea of the model is that some time series are sets of random variables that depend on time, but the changes in the entire time series follow certain rules that can be approximated by the corresponding mathematical model. Through the analysis of the mathematical model, one can understand the structure and characteristics of time series more fundamentally and achieve the optimal prediction in the sense of minimum variance. Therefore, ARIMA modelling is a procedure for determining the parameters p, d, and q (Ma et al., 2017; Zhao and Shang, 2012; Li, 2010; Xue, 2010; Zhang, 2007). The detailed process of ARIMA modelling follows five steps.

Step i: Identifying the Stationarity of the Time Series. The stationarity of the sequence is judged based on the line graph, scatter plot, autocorrelation function, and partial autocorrelation function graphs of the time series. The Augmented Dickey-Fuller (ADF) unit root test is usually used to test for variance, trend, and seasonal variation and to identify stationarity.

Step ii: Determining the Order of Single Integer “d”. If the time series is a stationary sequence, we go directly to Step (iii). If the time series is a non-stationary sequence, an appropriate transformation (including difference, variance stationarity, logarithm, square root) should be used to convert/differentiate to a stationary sequence. The number of differences is the order of a single integer.

Step iii: ARMA Modelling: As for the result sequence of Step (ii), the autocorrelation coefficient (ACF) and partial autocorrelation coefficient (PACF) of the sequence are calculated, and the values of the autocorrelation order p and the moving average order q of the ARMA model can be estimated.

Step iv: Performing Parameter Estimation: The autocorrelation and partial autocorrelation graphs are used to determine the number of autocorrelation and partial autocorrelation coefficients that are highly significant. In this step, the rough model of the sequence can be selected.

Step v: Diagnostic Test and Optimisation: The model is diagnosed and optimised by performing a white-noise test on the residuals. If the residual is not white noise, return to Step (iv) and re-select the model. If the residual is white noise, return to Step (iv), create multiple models, and choose the optimal model from all fitted models on the test.

3. Results and Discussion

3.1 Test of Stationarity Using the Augmented Dickey-Fuller (ADF) Test

Prior to ARIMA modelling, the stationarity properties of the time-series variables were examined using the Augmented Dickey-Fuller (ADF) unit root test. This step is necessary because ARIMA requires nonstationary series to be transformed into a stationary form through differencing. The results indicate that all selected staple food prices (yams, garri, rice, and maize) were non-stationary at the level, as the ADF statistics were not statistically significant under both constant and constant-with-trend specifications. However, after first differencing, all food price series became stationary at the 1% significance level. This confirms that the staple food prices are integrated of order one, I(1), and suitable for ARIMA modelling after first differencing. Similarly, the climate variables (minimum temperature, maximum temperature, and annual rainfall) were found to be non-stationary at the level but became stationary after first differencing. The ADF statistics in first differences were statistically significant at the 1% level, indicating that these variables are also integrated of order one (I(1).

Overall, the unit root results indicate that both climate indicators and staple food prices exhibit trend behaviour over time, but become stationary after first differencing. These findings justify the use of ARIMA models with an integration order of one (d = 1) for forecasting climate variability and food price dynamics in Nigeria.

Table 1: Results of the Unit Root using the ADF Test

Variables	Level (I[0])		First Difference (I[1])
	Constant	Constant & Trend	Constant	Constant & Trend
Yam	-1.106	-2.438	-6.012**	-5.907**
Gaari	1.243	-2.019	-7.452**	-7.840**
Rice	2.167	-0.644	-6.778**	-7.740**
Maize	0.029	-4.962**	-7.051**	-6.968**
Minimum temperature	0.647	-2.398	-4.509**	-4.604**
Maximum temperature	0.121	-1.032	-5.337**	-5.253**
Rainfall	-1.380	-1.219	-6.058**	-6.156**

Note: *, **, *** means significance at 10%, 5%, and 1% levels, respectively.

Source: Author’s Computation, 2025

3.2 Prediction of the Future Trends of Staple Food Prices and Climate Variables using the ARIMA Model

3.2.1: Prediction of the Future Trends of Staple Food Prices

3.2.1.1 ARIMA Identification for the Staple Food Prices

The optimal ARIMA models were identified for each of the four staple food items-Yam, Gaari, Maize, and Rice, using Akaike Information Criterion (AIC), Schwarz Information Criterion (SIC), and significance of model coefficients. The objective was to develop reliable forecasting equations for food price behaviour using time-series data, while assessing volatility and model accuracy. As shown in Table 2, the selected models are: ARIMA(8,1,7) for Yam, ARIMA(7,1,1) for Gaari, ARIMA(3,1,6) for Rice, and ARIMA(1,1,2) for Maize. The models were chosen based on their lowest AIC and SIC values in each case, ensuring an optimal balance between model fit and parsimony. The R-squared values, which indicate the proportion of variance explained by the models, varied significantly. The highest R² was recorded for Maize (0.396), suggesting that the ARIMA(1,1,2) model explains approximately 40% of the variance in maize prices. This result implies that maize prices have more predictable trends, possibly due to shorter production cycles and greater market integration. This aligns with findings by Olutumise et al. (2024), who reported that maize prices in Nigeria are relatively more stable due to consistent production and lower susceptibility to post-harvest losses.

Table 2: Results of the Optimal Model Identification for Food Prices

Food	Yam	Gaari	Rice	Maize
Estimate	ARIMA (8,1,7)	ARIMA (7,1,1)	ARIMA (3,1,6)	ARIMA (1,1,2)
R-squared	0.114	0.048	0.050	0.396
Significant Coefficient	1	3	2	3
Volatility	225.130	48.390	278.750	205.710
AIC	8.546	6.872	8.719	8.521
SIC	8.728	7.154	8.900	8.702

Source: Author’s Computation, 2025

In contrast, Yam (R² = 0.114), Rice (R² = 0.050), and Gaari (R² = 0.048) exhibited much lower explanatory power. The relatively weak R-squared for rice and yams suggests that these prices are influenced by a broader set of unpredictable factors, including climate shocks, import dependency, policy fluctuations, and storage constraints. This finding is consistent with Brown and Kshirsagar (2015), who noted that rice prices in developing countries are highly volatile due to exposure to international markets and trade restrictions. Similarly, Nsabimana and Habimana (2017) highlighted that yam prices are vulnerable to rainfall variability and perishability, making short-term prediction more challenging.

Model Volatility and Forecast Complexity: The volatility estimates, reflected in the models’ residual variances, further reveal insights into the predictability and fluctuation tendencies of each staple. Rice (278.750) and Yam (225.130) had the highest volatility, indicating frequent and large deviations from trend behaviour. This reinforces the view that these staples are more sensitive to external shocks, including climate anomalies and market disruptions. According to Kassaye et al. (2021), rice and yams are particularly exposed to climatic factors such as erratic rainfall and extreme temperatures, which contribute to output fluctuations and, by extension, price volatility. Maize (205.710) and Gaari (48.390) exhibited comparatively lower volatility, especially Gaari, suggesting more stable price behaviour. This can be attributed to cassava’s drought tolerance and year-round harvesting cycle, which enhances supply stability. As supported by Haggblade and Dewina (2010), cassava-based products such as garri tend to exhibit less production and price volatility than cereals and tubers with defined seasons.

Information Criteria and Model Parsimony: The AIC and SIC values were lowest for the ARIMA(7,1,1) model of Gaari (AIC = 6.872; SIC = 7.154), indicating that it is the most parsimonious and statistically efficient among the four models. Conversely, Rice had the highest AIC (8.719) and SIC (8.900), confirming the complexity and irregularity in rice price movements. These findings affirm the challenge in building accurate predictive models for staples that are either import-dependent or heavily influenced by climate and macroeconomic variables.

Significant Coefficients: The number of significant coefficients in the models also varied: 3 for Gaari, 3 for Maize, 2 for Rice, and 1 for Yam. The greater number of statistically meaningful lags for Maize and Gaari suggests stronger autocorrelation and lag-dependent behaviour, which enhances predictability. This corroborates the findings of Minot (2010), who showed that food crops with shorter storage cycles and less exposure to imports exhibit more predictable lag structures.

3.2.1.2 ARIMA Forecast for the Selected Staple Food Prices (2024–2034)

The ARIMA forecasting models applied to yams, garri, rice, and maize prices yielded a consistent upward trend for all commodities over the projection period from 2024 to 2034. This sustained growth in staple food prices reflects the broader structural realities of Nigeria’s food economy, in which inflationary pressures, climatic disruptions, and demographic growth continue to exert upward pressure on price dynamics. The result is presented in Table 3 and Figure 2.

For yams, the forecast shows a gradual increase from 150.457 in 2024 to 195.517 by 2034. This approximately 30% rise over the decade aligns with the broader narrative of climate-induced production stress, especially given yams’ sensitivity to rainfall variation, post-harvest losses, and disease pressures. Nsabimana and Habimana (2017) found similar upward price tendencies for yams in East and West African markets, attributing much of the increase to inconsistent rainfall and challenges in storage and distribution, which mirror the underlying causes observed in this study.

Garri is projected to grow from 146.391 to 188.567 across the same forecast window. The 28.8% projected increase remains relatively moderate compared to rice and yams, likely reflecting cassava’s year-round availability and higher drought tolerance. Haggblade and Dewina (2010) also highlighted that cassava-based products tend to exhibit more stable price patterns due to the crop’s flexible harvest window and storage advantages in semi-processed forms such as garri. However, the persistent rise in garri prices observed in this study could be linked to rising energy costs for processing and market inefficiencies, as similarly noted by Olutumise et al. (2024, 2026) in their analysis of the cassava value chain.

Table 3: Results of ARIMA Forecast for the Selected Staple Food Prices (2024-2034)

Year	Yam	Gaari	Rice	Maize
2024	150.457	146.391	241.384	144.163
2025	154.973	150.608	249.499	148.417
2026	159.480	154.826	257.716	152.637
2027	164.004	159.044	265.805	156.891
2028	168.519	163.261	273.963	161.111
2029	173.012	167.479	282.126	165.365
2030	177.492	171.697	290.227	169.585
2031	181.989	175.914	298.370	173.839
2032	186.495	180.132	306.559	178.058
2033	191.005	184.349	314.689	182.313
2034	195.517	188.567	322.852	186.533

Source: Author’s Computation, 2025

Figure 2: Graphical Presentation of the Forecast for the Selected Staple Food Prices

Source: Author’s Computation, 2025

Rice, as expected, remains the most expensive of the four commodities throughout the forecast period. The ARIMA model projects an increase from241.384 in 2024 to 322.852 in 2034, amounting to a 33.7% cumulative growth. This finding is consistent with the work of Usman and Buhari (2018) and Brown and Kshirsagar (2015), who emphasized the roles of import dependence, exchange rate fluctuations, and trade restrictions in driving rice price inflation in countries such as Nigeria. Given that rice consumption continues to rise faster than domestic production capacity, the price forecast reflects an ongoing structural imbalance. Additionally, external shocks such as the Russia-Ukraine war and global supply disruptions, as discussed by Mohamed et al. (2024), further contribute to rice price volatility, especially in heavily import-reliant economies.

Maize prices, while increasing from 144.163 to 186.533 over the forecast horizon, exhibit relatively more stable growth compared to the other staples. The cumulative increase of 29.4% is indicative of underlying inflationary and supply-demand dynamics, but the smoother trend curve reflects maize’s shorter production cycle, widespread cultivation across agro-ecological zones, and relatively lower post-harvest losses. Kassaye et al. (2021) observed similar trends in maize markets, attributing their moderate volatility to improved agronomic practices and adaptive policy measures in recent years.

Compared with this study’s ARIMA-based projections, the core conclusions drawn by Subash and Sikka (2014) are reinforced: climate change-induced weather variability and systemic market inefficiencies jointly accelerate long-term inflation in food prices. Moreover, the forecast results underscore the broader global pattern identified by Baffes and Dennis (2013), which shows that food prices in developing countries exhibit strong upward inertia under combined shocks from climatic stress and macroeconomic volatility.

Although the forecast trends do not account for exogenous policy interventions or structural disruptions, they provide a statistically grounded baseline scenario that supports proactive policy formulation. Without significant investments in agricultural infrastructure, storage facilities, irrigation systems, and supply chain integration, the projected price increases could substantially erode household food security, particularly among low-income populations. The projected path of rice prices, in particular, signals the urgent need for self-sufficiency programmes to mitigate over-reliance on imports and buffer Nigeria against global food price shocks. Overall, the ARIMA forecast analysis reveals a decade-long inflationary trend across Nigeria’s key staple food commodities. The projected increases are consistent with patterns identified in prior regional and global studies and highlight the pressing need for robust food system planning. These findings validate earlier empirical assertions that staple food markets in Nigeria are increasingly shaped by climatic, economic, and demographic forces that, if unaddressed, will continue to fuel food price inflation in the years ahead.

3.2.2 Prediction for Climate Variables

3.2.2.1 ARIMA Identifications for Climate Variables

The application of ARIMA models to the climate variables (Average Minimum Temperature (AMT), Average Maximum Temperature (AXT), and Annual Rainfall (AAR)) provided a framework for evaluating the dynamic structure and forecast potential of these climatic indicators over the observed period. The optimal model for each variable was selected based on the minimization of the Akaike Information Criterion (AIC) and the Schwarz Information Criterion (SIC), as well as the statistical significance of autoregressive and moving average terms. The results, as detailed in Table 4, reflect varying levels of predictability and volatility across the climate indicators, indicating distinct stochastic behaviours inherent to temperature and precipitation dynamics in the region.

Minimum temperature was best modeled using ARIMA(9,1,2) specification. The model yielded an R-squared value of 0.222, indicating that approximately 22.2% of the variance in minimum temperature can be explained by the model’s historical lags and differenced structure. This moderate explanatory power suggests that while minimum temperature exhibits some degree of autoregressive structure, external climatic forces, including global temperature anomalies, likely play a role in shaping its variability. This finding is consistent with those of Funk and Brown (2009), who observed that minimum temperature trends in East Africa reflect both global warming signals and localized environmental feedbacks. The volatility in the residuals of the minimum temperature model, measured at 1.269, was the lowest among the three variables. This implies relatively stable fluctuations, likely due to the region’s nocturnal heat-retention properties, which buffer night-time temperatures against abrupt changes. Such stability was also highlighted by Subash and Sikka (2014), who found that minimum temperature variability in tropical agro-ecological zones tends to be less erratic compared to daytime temperature extremes.

Table 4: Results of the Optimal Model Identification for Climate Variables

Variable	Minimum Temperature	Maximum Temperature	Annual Rainfall
Estimate	ARIMA (9, 1, 2)	ARIMA (2, 1, 8)	ARIMA (9,1, 7)
R-squared	0.222	0.085	0.117
Significant Coefficient	3	2	1
Volatility	1.269	3.855	55701.840
AIC	3.409	4.448	14.061
SIC	3.591	4.629	14.242

Source: Author’s Computation, 2025

The model for maximum temperature was identified as ARIMA(2,1,8), with an R-squared of 0.085, much lower than the other models. This low explanatory power suggests that the series is less predictable from its own past values and may be more strongly influenced by exogenous shocks, such as heat waves, deforestation, or long-term climate oscillations, such as ENSO. The relatively high volatility of 3.855 supports this assertion, reflecting substantial inter-annual variability in maximum daytime temperatures. These findings are consistent with Battisti and Naylor (2009), who reported that daily maximum temperatures are more susceptible to abrupt shifts, particularly in regions affected by anthropogenic emissions and by shifting solar radiation patterns. The limited model fit underscores the challenges of forecasting temperature extremes using time-series alone and highlights the need for hybrid models that incorporate global climate drivers and remote sensing data to improve accuracy.

Annual rainfall was modeled using an ARIMA(9,1,7) configuration, producing an R-squared of 0.117 and a notably high volatility of 55,701.840. The sheer magnitude of this volatility reflects the highly erratic nature of precipitation in the region, characterized by alternating droughts and intense rainfall episodes, typical of climate variability in the sub-Saharan Sahel and Sudano-Sahelian zones. The findings align with earlier work by von Braun and Tadesse (2012), who highlighted the increasing irregularity in rainfall distribution patterns in semi-arid regions of Africa due to global climate change. Moreover, the low significance of only one coefficient in the ARIMA model reinforces the conclusion that rainfall behaviour in the study area lacks strong autocorrelation and is instead shaped by stochastic influences that are difficult to model with linear time-series approaches. This also mirrors the conclusions of Kassaye et al. (2021), who noted that rainfall patterns in West Africa have increasingly deviated from historical trends, complicating prediction efforts and undermining rain-fed agricultural planning.

The AIC and SIC values further substantiate the relative model efficiencies. The minimum temperature had the lowest AIC and SIC (3.409 and 3.591, respectively), indicating a comparatively better-fitting model. The maximum temperature’s higher AIC (4.448) and SIC (4.629), alongside its low R-squared, imply a poor fit and high uncertainty in forecasting. The rainfall model, while more complex, registered the highest AIC (14.061) and SIC (14.242), driven in part by its high variance and inherent data irregularity. Overall, the ARIMA model identifications for climate variables reveal varying levels of forecast potential. Minimum temperature displays moderate predictability and low volatility, suggesting a relatively smoother evolution over time. In contrast, maximum temperature and rainfall exhibit high volatility and weak autocorrelation, limiting the ability of univariate models to capture their dynamics. These outcomes reinforce the findings of Darnton-Hill and Cogill (2010); Benson et al. (2008), who emphasized the complexity of modeling climate variables in tropical zones due to compounded effects of land degradation, atmospheric interactions, and socio-economic pressures.

The implication of these results for climate-sensitive sectors, particularly agriculture, is significant. The erratic behaviour of rainfall and extreme heat events implies that existing agronomic planning frameworks must be revised to accommodate greater uncertainty. Early warning systems and adaptation policies should incorporate ensemble forecasting techniques that integrate multiple data sources and climate models to improve prediction reliability.

3.2.2.2 ARIMA Forecast for Climate Variables (2024–2034)

The ARIMA forecasting models developed in the preceding section were applied to project the trajectories of key climatic variables: Average Minimum Temperature, Average Maximum Temperature, and Annual Rainfall, for the period 2024 to 2034. These forecasts offer a statistical glimpse into the future direction of climate variability in the study region and are critical for anticipating environmental pressures that may affect agricultural productivity and food system resilience. The result is presented in Table 5 and Figure 3. The forecast results indicate a steady and consistent increase in both minimum and maximum temperatures over the forecast horizon. Specifically, the average minimum temperature is projected to rise from 39.32°C in 2024 to 47.77°C by 2034. This represents a cumulative increase of over 8.4°C within a decade, which, although influenced by the statistical mechanics of the ARIMA model, signals a potentially dangerous warming trend. This is consistent with the broader findings of Battisti and Naylor (2009), who warned of intensified heat stress in tropical regions, particularly at night, when elevated minimum temperatures impair crop respiration recovery, reduce yields, and accelerate evapotranspiration losses.

Similarly, the average maximum temperature is forecasted to increase from 56.63°C in 2024 to 73.56°C by 2034, marking a steep rise of nearly 17°C over ten years. While the absolute figures may reflect the upper bounds of localized extremes rather than annual averages, the pattern highlights the compounding effects of heat waves and thermal anomalies, which are becoming increasingly prevalent under global warming. These findings parallel the conclusions of Kumar et al. (2024), who noted that extreme daytime temperatures, particularly above 40°C, substantially impair photosynthesis, damage pollen viability, and reduce grain fill in cereal crops such as maize and rice.

Table 5: Results of ARIMA Forecast for the Climate Variables from 2024 – 2034

Year	Minimum Temperature	Maximum Temperature	Annual Rainfall
2024	39.32350	56.62642	1093.166
2025	40.43331	58.31957	1102.157
2026	40.83929	60.01271	1105.029
2027	41.54478	61.70586	1113.856
2028	42.48371	63.39901	1115.308
2029	43.32596	65.09215	1117.934
2030	44.13861	66.78530	1120.177
2031	45.13417	68.47845	1124.776
2032	45.93887	70.17159	1128.616
2033	46.98215	71.86474	1132.612
2034	47.77094	73.55788	1134.059

Source: Author’s Computation, 2025

Figure 3: Graphical presentation of ARIMA Forecast for the Climate Variables

Source: Author’s computation, 2025

In contrast to the temperature trends, annual rainfall is projected to follow a relatively stable but modestly increasing pattern, rising from 1,093.17 mm in 2024 to 1,134.06 mm by 2034. This increase of approximately 40 mm over a decade appears marginal in absolute terms but may hold significant implications when coupled with the forecasted temperature rises. Rainfall alone does not guarantee improved agricultural outcomes; rather, the intensity, distribution, and seasonality of rainfall are critical. Subash and Sikka (2014) emphasized that erratic rainfall combined with rising temperatures can exacerbate flooding, shorten growing seasons, and reduce water-use efficiency in crops. The relatively mild upward trend in rainfall observed in this forecast may thus be insufficient to offset the thermal stress indicated by the sharp rise in both AMT and AXT.

Moreover, the simultaneous rise in all three climate variables reflects the broader pattern of climate change in sub-Saharan Africa, where warming is occurring at approximately twice the global average, and rainfall patterns are becoming increasingly unpredictable. Von Braun and Tadesse (2012) observed similar compound stressors in East and West Africa, where temperature increases and shifts in rainfall jointly contributed to food insecurity and altered cropping calendars. The forecast also underscores concerns raised by Funk and Brown (2009), who documented that in regions experiencing concurrent temperature increases and moderate rainfall gains, the net water balance may still decline due to heightened evapotranspiration. This imbalance often leads to soil moisture depletion, even when total annual precipitation appears stable or rising. The projections presented in Table 5 confirm that while rainfall is expected to slightly increase, it may not be sufficient to counteract the accelerated thermal regime forecasted for the study area.

These ARIMA-based projections thus suggest that the region is on a path of intensifying climate stress, particularly with respect to rising temperatures. The implications for agricultural planning, water resource management, and public health are significant. Without proactive adaptation strategies, including the adoption of heat-tolerant crop varieties, improved irrigation systems, and climate-smart agronomic practices, the forecasted climatic trends may severely undermine productivity and food security goals.

In sum, the ARIMA forecasts for the period 2024 to 2034 project a marked increase in both minimum and maximum temperatures, alongside a modest yet steady increase in annual rainfall. These results reinforce earlier empirical findings and global climate models that predict amplified warming in tropical agro-ecological zones. They also signal the urgent need for integrated climate mitigation and adaptation frameworks to prevent the cascading effects of these changes on human and ecological systems.

4. Conclusion and Recommendations

This study forecasted climate variability and staple food prices in Nigeria using ARIMA models based on annual data from 1991–2024. The unit root results confirmed that all variables are integrated of order one, justifying first-difference ARIMA specifications.

The forecasts for 2024–2034 indicate a sustained increase in staple food prices, particularly rice, yams, and maize. Garri shows relatively moderate but steady growth. Climate projections reveal a consistent rise in minimum and maximum temperatures, alongside a slight increase in annual rainfall. The projected temperature growth suggests increasing production stress, which may further intensify food price inflation.

Overall, the findings point to a likely convergence of rising temperatures and persistent increases in food prices, posing risks to food security and economic stability in Nigeria.

Recommendations

1. Promote climate-smart agriculture, including heat-tolerant crop varieties and irrigation expansion.
2. Strengthen storage and supply chain systems to reduce post-harvest losses.
3. Establish strategic food reserves to moderate future price spikes.
4. Integrate climate and price forecasts into national agricultural planning frameworks.

Proactive adaptation and market-stabilization policies are essential to mitigate the projected climate–food-price pressures in the coming decade.

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Citation

Reblora, R. M., Diaz, W. D. B.-O., Macuto, M. T. V., & Talamo, R. S. (2026). Sustainability of Homegrown Coffee Shops in Cebu City, Cebu, Philippines. International Journal of Research, 13(3), 175–194. https://doi.org/10.26643/ijr/12

Main Author:
Rona Marie Reblora

Co- Author:
Welou Dil Bato-On Diaz
Maria Trinidad Victoria Macuto
Roselio Serafina Talamo

University of Cebu Main Campus

Abstract
            This study determines the level of sustainability of selected homegrown coffee shops in Cebu City, Cebu, Philippines, focusing on the three pillars of sustainability: economic viability, environmental protection, and social equity. Anchored on Brundtland’s Theory of Sustainability (1987) and supported by Fiedler’s Contingency Theory of Leadership and Fayol’s Administrative Theory of Management, the research examines how internal management practices and business conditions influence long-term sustainability. A descriptive-correlational research design will be used with a researcher-made checklist survey questionnaire. Purposive sampling will select ten (10) coffee shop owners or managers from ten (10) homegrown coffee shops in Cebu City. Data will describe respondent profiles (gender, civil status, citizenship, educational attainment, and years in operation), assess sustainability levels, and identify common operational problems encountered. Statistical treatments will include frequency and percentage, weighted mean, and chi-square to test the relationship between respondent profile and sustainability level at a 0.05 level of significance. Findings will serve as the basis for a proposed action plan that can help homegrown coffee shops improve sustainability practices, strengthen competitiveness, and address key operational challenges in Cebu City’s growing coffee market.

Keywords: Homegrown Coffee Shops, Business Sustainability, Cebu City

INTRODUCTION

Rationale

Sustainability in homegrown coffee shops in Cebu City is a growing trend that reflects both local culture and global environmental consciousness. As more consumers become aware of the environmental and social impacts of their choices, homegrown coffee shops are embracing sustainable practices, from sourcing locally grown coffee beans to implementing eco-friendly packaging and energy-efficient operations. This movement not only supports the local economy and farmers but also promotes a deeper connection between customers and the community, fostering a more mindful and responsible coffee culture in the heart of Cebu City.

            With the increasing influences of the coffee culture, the coffee business, in general, has eventually become a big business and driving a relatively growing demand in the country, specifically in Cebu City. The city has seen the mushrooming of coffee shops on almost every corner: in malls, business centers, workplaces, terminals, schools, and even in neighborhoods. While global branded coffee shops have since penetrated the Cebu market, several homegrown enterprises have also evolved to take in a fair share of the expanding coffee industry.

            But as in any business, when competition rises, it usually becomes a challenge to capture the increasingly competitive market. As an economy goes, so go local entrepreneurs. Small businesses in the Philippines are finding themselves in a sweet spot, surrounded by a growing middle class and bustling business process outsourcing sector.

Since most of the big coffee shop is already established, well-known, and experienced, the new coffee shop has a hard time competing with them, and is still wondering and planning on how they can get loyal customers. A lot of reasons why some coffee shops have lost their business due to bankruptcy are because it might lack a marketing strategy, inconsistency of product and service, customer service, and impatience.

The researcher is motivated to conduct this study to assess the long-term sustainability of homegrown coffee shops in Cebu City, particularly in terms of their environmental, economic, and social impacts. Further, this study also examines how these businesses operate and adapt to changing consumer demands, and to shed light on the factors that contribute to their success or failure. This research will also provide valuable insights for students, especially those in the Hospitality Management program at the University of Cebu, offering them a practical understanding of the challenges and opportunities in running a sustainable, local business. The researcher’s unique position as a college instructor allows her to bridge the gap between academic theory and real-world application, enriching students’ knowledge of sustainable business practices while fostering a deeper appreciation for local entrepreneurship in Cebu. Through this study, students will gain a clearer perspective on how sustainability can be integrated into business models, preparing them to be future leaders in the hospitality and tourism industry.

Theoretical Background

This study is mainly anchored on the Theory of Sustainabilityby Gro Harlem Brundtland (1987). This is supported by the Contingency Theory of Leadership by Fred Fiedler (1964), and the Administrative Theory of Management by Henri Fayol (1916).

The Theory of Sustainability by Brundtland (1987) is one of the most influential frameworks for understanding sustainability in both environmental and development contexts. The theory emphasizes the need for sustainable development, which balances the needs of the present without compromising the ability of future generations to meet their own needs. This theory is designed to guide actions and decisions toward achieving long-term well-being for the planet, society, and economy, without depleting resources or causing harm to future generations. Central to this theory is the concept of sustainable development, which aims to meet the needs of the present without compromising the ability of future generations to meet their own needs. Sustainability theory is built around three interconnected pillars: environmental protection, economic viability, and social equity. Environmental sustainability focuses on preserving natural resources, reducing pollution, and maintaining ecosystems, ensuring that the planet can continue to support life. Economic sustainability promotes long-term, resilient growth while avoiding the depletion of resources, advocating for efficient use of resources and fair economic opportunities. Social sustainability emphasizes justice, equity, and inclusion, ensuring that all individuals have access to essential needs such as healthcare, education, and economic opportunities, while also supporting community development and cultural diversity. These pillars guide decision-making at individual, business, and policy levels, encouraging practices that balance environmental, economic, and social well-being to create a more equitable and sustainable world.

The implications of this theory lie in the application of sustainable development principles that balance environmental, economic, and social factors. Homegrown coffee shops can embody environmental sustainability by sourcing locally grown coffee beans, reducing transportation-related carbon footprints, and implementing eco-friendly practices like waste reduction and energy conservation. By collaborating with local farmers who employ sustainable farming methods, these coffee shops help preserve ecosystems while providing organic and fair-trade products. Economically, these businesses contribute to the local economy by supporting small-scale farmers and creating long-term job opportunities, which aligns with the Theory of Sustainability by Brundtland (1987) emphasis on inclusive growth that does not exploit resources. These coffee shops also foster social sustainability by creating community spaces, promoting fair labor practices, and supporting local culture, which strengthens social bonds and empowers vulnerable groups. To ensure that the business is adaptable and resilient, these coffee shops can ensure their long-term viability while minimizing their impact on future generations.

The Contingency Theory of Leadership by Fiedler (1964), posits that there is no single best way to lead an organization. Instead, the effectiveness of leadership is contingent on the alignment between a leader’s style and the specific situation or context in which they operate. According to Fiedler, leadership effectiveness is determined by two main factors: leadership style and situational favorableness. Leadership style is categorized as either task-oriented or relationship-oriented. Task-oriented leaders focus on achieving goals and getting tasks done, while relationship-oriented leaders prioritize building strong relationships with their teams. Fiedler argued that a leader’s style is relatively fixed and cannot be easily changed, making it crucial to match the leader’s style with the appropriate environment or situation. The second key element of Fiedler’s theory is situational favorableness, which refers to the degree to which a leader has control and influence over the situation. This includes factors such as the leader’s relationship with their team, the structure of the tasks, and the leader’s power or authority. Fiedler identified three key situational variables: leader-member relations, task structure, and position power. When these conditions align favorably with a leader’s style, leadership effectiveness is enhanced. For example, task-oriented leaders perform best in highly structured or highly unstructured situations, whereas relationship-oriented leaders excel in situations with good leader-member relations and moderate task structure. Fiedler’s theory emphasizes that leaders must be aware of the specific circumstances they face and adapt their approach accordingly. While it is not about changing a leader’s inherent style, it suggests that organizations should place leaders in situations where their natural leadership style can be most effective. The Contingency Theory has had a significant impact on leadership studies, as it challenges the idea of a one-size-fits-all leadership approach, highlighting the importance of context in determining leadership success.

The implications of this theory can be effectively applied to homegrown coffee shops by recognizing that the leadership style of the coffee shop owner or manager should align with the specific challenges and opportunities presented by the business’s environment. In the context of a homegrown coffee shop, the leadership approach needs to adapt to various factors such as the team dynamics, customer relations, market conditions, and operational structure. For instance, a task-oriented leader may be highly effective in situations where the coffee shop needs to achieve specific goals, such as improving sales or managing busy hours. In these cases, a leader who is focused on efficiency, productivity, and meeting targets may thrive in situations where tasks are structured and clear. A task-oriented approach would be beneficial during peak times when precision, speed, and consistent product quality are paramount to customer satisfaction. In contrast, a relationship-oriented leader would be more successful in fostering a strong, cohesive team and maintaining a positive customer experience, especially in a small, community-based setting like a homegrown coffee shop. If the coffee shop’s environment relies heavily on customer loyalty, positive team dynamics, and long-term relationships, a leader who prioritizes employee morale and customer interaction would be most effective. Fiedler’s theory also stresses the importance of situational favorableness, which in the case of a homegrown coffee shop could involve factors like the shop’s reputation, employee relationships, and the level of control the manager has over the operational processes. If the coffee shop has well-established relationships with its staff, clear tasks (such as barista roles), and a defined system for operations, a task-oriented leader may be able to drive efficiency and meet targets. However, if the shop is in a stage of growth or trying to build a loyal customer base, a relationship-oriented leader would be more effective in nurturing a positive environment for both employees and customers.

The Administrative Theory of Management by Fayol (1919) is one of the earliest and most influential management theories. Fayol’s work laid the foundation for modern management practices by emphasizing the role of managers in organizing and administering businesses effectively. Fayol’s approach was holistic, providing a general framework for management activities and responsibilities across all types of organizations. He believed that management should be treated as a distinct discipline and that its principles could be applied universally, regardless of the industry or size of the organization. Fayol identified five key functions of management: planning, organizing, commanding, coordinating, and controlling. These functions are considered fundamental to running an organization efficiently and effectively. Planning involves setting objectives and determining the best course of action to achieve them. Organizing refers to arranging resources and tasks to meet those goals. Commanding involves directing and overseeing the work of employees to ensure that tasks are completed efficiently. Coordinating is the process of aligning activities across different departments or teams to achieve organizational objectives. Finally, controlling involves monitoring performance, ensuring that goals are being met, and making adjustments where necessary to stay on track. Fayol also developed 14 principles of management, which offer guidelines for managers to follow to ensure their organizations run smoothly. These principles include the division of work, which encourages specialization to increase efficiency, and unity of command, which stipulates that each employee should report to only one superior to avoid confusion. Other principles, such as authority, discipline, and remuneration, emphasize the importance of clear structures, mutual respect, and fair compensation. Fayol also highlighted the significance of centralization versus decentralization depending on the situation, the importance of order in maintaining structure within an organization, and the need for equity and esprit de corps to foster morale and teamwork among employees. Fayol’s theory is significant because it was one of the first to present management as a universal process applicable to all types of organizations. His emphasis on managerial functions and principles provided a structured approach to management that has influenced modern business practices. Although some of Fayol’s ideas may seem outdated in today’s rapidly changing business environment, his core concepts of planning, organization, and leadership continue to be fundamental to the study and practice of management. His theory also laid the groundwork for later management theories and practices, making him a key figure in the development of modern management thought.

The implications of this theory can be effectively applied to homegrown coffee shops by offering a structured approach to managing the business. The planning function helps set clear goals, such as increasing sales or launching seasonal promotions. Organizing ensures that resources, such as staff and inventory, are efficiently allocated, with roles clearly defined to boost productivity. Commanding focuses on leading the team, setting expectations, and fostering a positive work environment. Coordinating ensures smooth operations between staff, inventory, and customer service. Finally, controlling involves monitoring performance, adjusting strategies, and maintaining high standards. The implementation of Fayol’s 14 principles, such as unity of command and equity, can help coffee shop managers improve communication, employee morale, and overall business efficiency, creating a more organized, productive, and customer-friendly environment.

According to the study of J. S. Delos Santos (2023), the critical role that effective inventory management plays in the success and sustainability of homegrown coffee businesses. Delos Santos emphasizes that for small, locally owned coffee shops, managing inventory efficiently is key to maintaining product availability, minimizing waste, and controlling costs, which are crucial elements for long-term viability in a competitive market. The study identifies several key practices that contribute to efficient inventory management, such as accurate demand forecasting, implementing an organized stock rotation system, and building strong relationships with suppliers to ensure timely delivery of high-quality products. One of the central findings of the research is that homegrown coffee businesses can attain a sustainable competitive advantage through the effective use of inventory management. By minimizing waste through better forecasting and stock control, these businesses can reduce operational costs, thereby increasing profitability. Additionally, having an efficient inventory system allows businesses to meet customer demand without overstocking or facing shortages, which ultimately enhances customer satisfaction and loyalty. Delos Santos also explores how technology, such as inventory tracking software and point-of-sale systems, can help streamline operations and provide real-time data on stock levels, enabling better decision-making. Moreover, the study highlights the importance of supplier relationships in maintaining a consistent supply of quality coffee beans and other products. Building good communication and trust with suppliers ensures that homegrown coffee businesses can access the best raw materials, which can differentiate their offerings from larger chains and contribute to a unique brand identity.

According to the study of H. K. Recamadas (2018), the factors that influence customer loyalty to homegrown coffee shops highlighted the importance of the marketing mix, including product, price, place, and promotion, in shaping customers’ perceptions and their loyalty to local coffee shops. The research finds that customers’ expectations and experiences significantly impact their level of satisfaction, which, in turn, affects their loyalty to the coffee shop. By analyzing various elements of the customer experience, the study reveals that a positive interaction with the coffee shop, including quality of service, atmosphere, and product offerings, leads to higher customer retention. The study uses path analysis to examine how these factors are interrelated, providing a statistical model for understanding the relationships between marketing efforts, customer satisfaction, and loyalty. Recamadas emphasizes that for homegrown coffee shops to thrive and build a loyal customer base, they must focus on meeting and exceeding customer expectations. A unique, high-quality customer experience ranging from the coffee’s taste to personalized service plays a critical role in encouraging repeat visits. This research offers practical insights for small, locally owned coffee shops looking to develop strategies that can foster long-term customer loyalty in a competitive market.

According to the study of M. A. Light (2019), the challenges that independent coffee shop owners face during the early years of their business, and the strategies that contribute to long-term survival and success. Light’s research highlights that the first five years are crucial for a coffee shop, as this is when many small businesses face the highest risk of closure due to financial instability, market competition, and changing customer preferences. The study identifies key strategies that help these businesses navigate through this challenging period, including effective financial management, building strong customer relationships, and creating a unique brand identity. One of the primary findings of the research is the importance of adaptability. Successful coffee shop owners often pivot and adjust their business models to meet evolving consumer demands, such as offering specialty drinks, catering to dietary trends (e.g., vegan or gluten-free options), or incorporating technology into their operations (such as loyalty apps or online ordering). Another key strategy identified is community involvement independent coffee shops that actively engage with their local communities by hosting events, supporting local suppliers, and establishing themselves as integral parts of the neighborhood tend to have stronger customer loyalty and a more sustainable customer base. In addition, Light’s study emphasizes the significance of employee training and maintaining a positive work culture. Happy, well-trained staff contribute to better customer service and are instrumental in building repeat business. Moreover, the research also discusses how efficient inventory management and cost control measures are critical in maintaining profitability, especially in the face of increasing competition from larger coffee chains. Ultimately, Light’s study provides practical insights for coffee shop owners seeking to not only survive but thrive in the competitive and challenging coffee shop industry. The strategies outlined in the study offer guidance on how to maintain a loyal customer base, manage operational costs, and adapt to industry changes for long-term success.

The study by Vickery, S.K., Jayaram, J., & Droge, C. (2003), investigates how integrative supply chain management practices, including inventory management, affect the performance of businesses, particularly focusing on small and medium enterprises (SMEs) like coffee shops. The authors argue that successful businesses must adopt an integrated approach to supply chain management, where all components such as inventory, suppliers, and distribution channels—are aligned and work together to optimize efficiency and reduce costs. This holistic approach leads to better inventory control, less waste, and a more responsive system that can quickly adapt to market changes. The study suggests that integrating inventory management with overall supply chain strategies helps businesses improve performance in key areas like cost efficiency, delivery speed, and product quality. For small businesses like homegrown coffee shops, the ability to predict demand accurately, manage stock effectively, and maintain relationships with suppliers can significantly improve profitability and customer satisfaction. By reducing stockouts and overstock situations, small businesses can create a more consistent customer experience, leading to better loyalty and retention. Moreover, the study highlights that businesses that adopt these integrative practices can gain a competitive advantage by becoming more agile, lowering operational costs, and enhancing their ability to meet customer expectations. For homegrown coffee shops, this means being able to offer high-quality coffee consistently while minimizing waste and ensuring that popular items are always in stock, even during peak demand periods. The findings from Vickery, Jayaram, and Droge (2003) underscore the importance of supply chain integration and inventory management for the long-term success and sustainability of small businesses in a competitive marketplace.

The study by Koksal, M. H., & Kucuk, M. (2016), explores the crucial role that inventory management plays in the success of small and medium-sized enterprises (SMEs), specifically focusing on coffee shops. The research emphasizes how effective inventory control practices can help coffee shop owners manage their resources more efficiently, which is vital for maintaining profitability and competitiveness in a market that is often dominated by larger chains. Koksal and Kucuk argue that for small coffee shops, managing inventory effectively is a key determinant of operational success. Proper inventory management enables businesses to minimize waste, optimize stock levels, and reduce costs associated with overstocking or stockouts. The study highlights that by using techniques such as demand forecasting, regular stock audits, and supplier relationship management, coffee shop owners can ensure that they always have the right products available at the right time, preventing missed sales opportunities and improving customer satisfaction. The authors also discuss how inventory management systems are particularly beneficial for coffee shops in addressing seasonal fluctuations and customer preferences. For example, during peak seasons or special events, accurate inventory tracking can ensure that coffee shops are prepared for higher demand while avoiding the accumulation of unsold goods that may go to waste. Moreover, the research underscores that effective inventory management contributes to financial stability by improving cash flow and reducing unnecessary expenses, which is critical for the survival and growth of small businesses. Koksal and Kucuk’s study further suggests that coffee shop owners who invest in efficient inventory management systems are more likely to improve their competitive position in the market, providing them with a foundation for long-term sustainability. By reducing operational inefficiencies, increasing responsiveness to market demands, and ensuring a consistent customer experience, coffee shops can build a loyal customer base and remain profitable despite challenges posed by larger competitors and fluctuating market conditions.

The study by Van der Meer, R. (2018), examines how small businesses, including coffee shops, can implement effective inventory management strategies to improve operational efficiency and competitiveness. The research emphasizes that for small enterprises, especially those in the food and beverage industry like coffee shops, managing inventory is a critical aspect of maintaining a balanced cash flow, minimizing waste, and meeting customer demands. Van der Meer discusses several inventory management strategies that small businesses can adopt, such as just-in-time (JIT) inventory, which focuses on maintaining minimal stock levels and ordering products only when needed. This method reduces storage costs and minimizes the risk of spoilage, which is particularly important for coffee shops that work with perishable goods like milk, pastries, and fresh coffee beans. The study also highlights the importance of accurate demand forecasting, allowing businesses to predict customer preferences and purchasing patterns more accurately, ensuring that they stock the right quantity of items and reduce the chances of stockouts or overstocking. Additionally, Van der Meer’s research stresses the value of using technology to streamline inventory management. Small businesses can implement software systems to track inventory levels in real-time, improve ordering processes, and manage supplier relationships more efficiently. This can help coffee shops optimize their operations, reduce human error, and make better data-driven decisions, all of which contribute to a more sustainable business model. Furthermore, the study notes the importance of supplier collaboration in ensuring that small enterprises, such as homegrown coffee shops, can maintain a reliable and timely supply of quality products. Building strong relationships with suppliers helps ensure consistent deliveries and the possibility of negotiating favorable terms, such as discounts or flexible payment schedules, which can be crucial for the financial health of small businesses. In conclusion, Van der Meer’s study provides a comprehensive framework for small businesses, especially coffee shops, to adopt inventory management practices that enhance efficiency, reduce costs, and improve customer satisfaction. By adopting these strategies, coffee shops can increase their chances of long-term success, even in a competitive and fluctuating market.

In conclusion, the related studies and literature on inventory management practices offer valuable insights that directly relate to the sustainability and success of homegrown coffee shops. This provides a foundation for understanding how small coffee shops can adopt effective inventory management strategies to gain a competitive edge. In this study, these practices are particularly relevant as they highlight the need for homegrown coffee shops in Cebu City to efficiently manage resources, control costs, and meet customer demand while minimizing waste. To incorporate demand forecasting, just-in-time inventory systems, and technology, local coffee shops can improve their operational efficiency, ensuring a consistent customer experience and financial sustainability. Furthermore, these studies support the notion that strong supplier relationships and adaptability to market changes are essential for long-term success, which is crucial for homegrown coffee shops aiming to establish themselves in a competitive market like Cebu City. These practices provide a roadmap for homegrown coffee shops to thrive and achieve sustainable growth.

THE PROBLEM

Statement of the Problem

The study aims to determine the sustainability of a homegrown coffee shop business in Cebu City, Cebu, Philippines. The findings of the study will be the basis for a proposed action plan for homegrown coffee shops.

Specifically, this study will seek answers to the following questions:

1. What is the profile of the respondents in terms of:

1.1 gender;

1. civil status;
   1. citizenship;
   1. highest educational attainment; and
   1. years in the business operation?

2. What is the level of sustainability of a homegrown coffee shop in terms of:

• economic viability;
  • environmental protection; and
  • social equity?

3. What are the problems encountered by the respondents in the operations of their homegrown coffee shops?

4. Is there a significant relationship between the profile of the respondents and the level of sustainability of a homegrown coffee shop?

5. Based on the findings of the study, what action plan may be proposed?

Statement of the Null Hypothesis

            The following null hypothesis will be tested at a 0.05 level of significance:

Ho1: There is no significant relationship between the profile of the respondents and the level of sustainability of a homegrown coffee shop.

Significance of the Study

The following terms are defined operationally which greatly helps the individuals and entities as indicated below:

Coffee Shop Owners – This will help them identify what specific challenges need to be rectified and facilitate improvement to make a sustainable and profitable business. This will also help them how to support the local economy, create jobs, stimulate economic growth, and ensure a thriving local community for years to come.

            Coffee Shop Managers/Supervisors – This will help them improve the operational aspects including managing staff, ensuring customer satisfaction, and increasing sales and profits.

            Barista – This will help them how to create other variations on serving either hot or cold beverages which are tailored to customer’s preferences and choices.

Local Government Unit (LGU) – This will help them promote economic development by keeping the community members informed on the business possibilities as well as encouraging sustainable business practices in the area.

            Department of Trade and Industry (DTI) – This will help them to increase local and foreign direct investments as well as to protect consumers through consumer education and information dissemination programs.

            Researcher – This will help him/her identify opportunities and threats, solve issues and concerns using this gathered information, and wise decisions that can be made to tackle the issue appropriately. This will also help to understand customers better and hence can be useful to communicate better with the customers or stakeholders.

            Future Researchers – This will help them to pursue interests in continuing research education and related studies, to learn something new, to hone their problem-solving skills, and to challenge themselves in new ways.

RESEARCH METHODOLOGY

This chapter covers the research design, research environment, research respondents, research instruments, research procedures, the gathering of data, and statistical treatment of data used in the study.

Research Design

This study will use a descriptive-correlational method with the aid of a researcher-made checklist survey questionnaire to determine the level the sustainability of a homegrown coffee shop in Cebu City. 

A pilot test will also be used to be conducted by twenty (20) individuals who are not part of the study using the researcher-made checklist survey questionnaire to determine its validity, consistency, and reliability.

To depict the overview of the research study, a research paradigm will be formulated as shown in Figure 1. This is an interaction of force elements composed of input, process, output, and feedback.

      INPUT                                     PROCESS                                 OUTPUT      

Figure 1.

Research Flow

Figure 1

Research Flow

Research Environment

This study will be conducted specifically in Cebu City, Philippines, where many coffee shops are located and accessible to many business offices, schools, malls, and terminals.

The city is a tourist hotspot with a winning combination of beautiful countryside scenery, and urban attractions like cultural and historical sites. Owing to its economic importance and influence in modern times, this city is popularly known as the Queen City of the South, Cebu is the oldest and second most important city in the country. Cebu is on the top list of destinations for tourists because of its world-class beach resorts and diving spots. Cebu’s tourist destinations and attractions are found in both the north and south of Metro Cebu. Its capital, Cebu City, is the oldest city in the Philippines and is filled with Spanish colonial relics from the 16th century. It is also considered to be the birthplace of Christianity in the Far East. Regarded by the Philippines as the Queen City of the South, Cebu is a global creative hub. It is one of the country’s largest cities and is a bustling port. Its harbor is provided by the sheltered strait between Mactan Island and the coast. The country’s oldest settlement, it is also one of its most historic and retains much of the flavor of its long Spanish heritage. Cebu has a population of 2.5 million and is the oldest city and the first capital of the Philippines. Under Spanish rule for three centuries, Cebu has the oldest university, San Carlos University, and the oldest street, Colon Street, built by the Spaniards.

Coffee shop A is a popular local café known for its cozy atmosphere and high-quality coffee. Founded in the Philippines, it has become a go-to spot for coffee lovers seeking a relaxing environment to enjoy a cup of expertly brewed coffee. The shop offers a variety of blends, including both local and international options, catering to different tastes and preferences. Besides coffee, they also serve a selection of pastries and light meals, making it a great place for breakfast or a midday break. With its commitment to sustainability and supporting local coffee farmers, this coffee shop stands out as a favorite for those who value both quality and community.

Coffee shop B is a charming café that offers a warm and inviting ambiance, perfect for those seeking a peaceful place to relax and enjoy a great cup of coffee. Located in the Philippines, this coffee house is known for its focus on locally sourced coffee beans, showcasing the rich flavors of Filipino coffee. The café’s name, which means “window” in Filipino, reflects the café’s concept of offering a “window” to the local coffee culture, with a cozy setting that connects people to both the community and the beauty of Filipino coffee. In addition to coffee, they also serve a variety of delicious snacks and meals, making it a great spot for breakfast, lunch, or a leisurely afternoon. With its dedication to quality and local ingredients, this coffee house offers a delightful and authentic coffee experience.

Coffee shop C is a popular coffee chain in the Philippines, known for its wide variety of coffee drinks, cozy ambiance, and commitment to delivering quality coffee experiences. Established with a focus on serving freshly brewed coffee made from high-quality beans, they also offer a diverse menu ranging from classic brewed coffee to specialty drinks like lattes, frappes, and espresso-based beverages. The café also serves a selection of light meals and pastries, making it a perfect spot for casual hangouts, studying, or a quick break. This coffee shop is inviting atmosphere, combined with its dedication to customer satisfaction, has made it a beloved local favorite for coffee enthusiasts across the country.

Coffee shop D is a well-known artisanal bakery and café in the Philippines, celebrated for its high-quality, handcrafted pastries and bread. With a focus on using premium ingredients, this coffee shop creates a range of delicious treats, from freshly baked bread and cakes to pastries and savory items. The café offers a cozy and stylish environment, making it a popular destination for breakfast, brunch, or a leisurely coffee break. Aside from its wide selection of baked goods, they also serve specialty coffee and light meals, all prepared with care and attention to detail. With its commitment to quality and a passion for baking, this company has earned a loyal following and is considered one of the best spots for those seeking a delightful and wholesome bakery experience.

Coffee shop E is a cozy and welcoming café known for its variety of coffee blends and relaxed atmosphere. Located in the Philippines, it has gained a reputation for offering high-quality coffee drinks, from classic brews to unique specialty beverages. The café prides itself on its focus on customer service and providing a comfortable space for people to unwind, work, or catch up with friends. In addition to its coffee offerings, this coffee house serves a selection of light meals and snacks, making it an ideal spot for breakfast, lunch, or a mid-afternoon treat. It’s friendly vibe and dedication to quality make it a popular destination for coffee lovers looking for a great coffee experience.

Coffee shop F is a specialty coffee shop that has earned a reputation for its high-quality coffee and inviting atmosphere. Known for its dedication to the art of coffee, which offers a variety of expertly brewed coffee drinks, including espresso-based beverages, pour-overs, and signature blends. The café takes pride in sourcing its beans from top-quality local and international suppliers, ensuring a rich and flavorful coffee experience. Along with its exceptional coffee offerings, they also serve a selection of pastries and light bites, perfect for pairing with a morning or afternoon cup of coffee. With its cozy ambiance and commitment to craft, this café and company has become a beloved spot for coffee enthusiasts looking for a place to relax, work, or connect with friends.

Coffee shop G is a charming coffee shop known for its inviting atmosphere and focus on quality coffee. Located in the Philippines, the café offers a variety of expertly brewed coffee drinks, from classic espresso-based beverages to unique signature blends. This Cafe takes pride in using high-quality, locally sourced beans to create flavorful and aromatic coffees. Along with its coffee offerings, the café also serves a selection of delicious pastries and light snacks, making it a great spot for breakfast or a mid-day break. The cozy and relaxing ambiance of this cafe makes it a popular choice for people looking to unwind, meet friends, or enjoy a quiet moment with a great cup of coffee.

Coffee shop H is a specialty coffee shop that focuses on providing a high-quality coffee experience in a relaxed and welcoming environment. Known for its expertly brewed coffee, the café offers a variety of espresso-based drinks, cold brews, pour-overs, and unique blends that cater to different preferences. This coffee shop emphasizes a carefully curated selection of beans, often sourced from local and international suppliers, to ensure a rich and flavorful taste. In addition to its coffee offerings, the café serves light bites and pastries, making it a perfect spot for a coffee break or a casual gathering. The combination of great coffee, a cozy ambiance, and a dedication to craftsmanship makes this coffee shop a favorite for coffee lovers seeking a delightful café experience.

Coffee shop I is a popular coffee shop in Cebu City, known for its cozy ambiance and diverse selection of specialty coffee drinks. The café offers a variety of espresso-based beverages, cold brews, frappes, and unique signature drinks, all crafted with care using high-quality coffee beans. Along with its coffee offerings, the café also serves a range of light snacks and pastries, making it a great spot for a relaxing coffee break or casual hangout. The café is known for its inviting and vibrant atmosphere, making it a perfect destination for friends to meet up, students to study, or anyone who simply enjoys a comfortable environment while sipping on great coffee. Whether you’re a coffee enthusiast or just looking for a peaceful place to unwind, this café offers a delightful experience for all.

Coffee shop J is a charming coffee shop in Cebu City, known for its cozy and welcoming atmosphere, making it a great place for coffee lovers to relax or catch up with friends. The café offers a variety of coffee drinks, including freshly brewed local and international coffees, espresso-based beverages, and refreshing iced drinks. They also serve a selection of light snacks, pastries, and comfort food, perfect for pairing with your coffee. What sets of this café is its emphasis on creating a relaxed environment with a minimalist yet stylish design, ideal for unwinding or working. It’s a popular choice for those who appreciate good coffee and a comfortable space to enjoy their drinks. Whether you’re in the mood for a rich cup of coffee or a casual snack, this café is a great spot in Cebu City to satisfy your cravings.Bottom of Form

Research Respondents

The respondents for this study will be the owners or managers of homegrown coffee shops in Cebu City. Purposive sampling will be used to select participants, as this method targets individuals who are directly involved in the management of these businesses and are therefore best positioned to provide valuable insights. The sample size will consist of 10 coffee shop owners or managers, chosen from 10 selected homegrown coffee shops in Cebu City. This relatively small sample size is appropriate for a focused study, as it allows for in-depth data collection and analysis. Purposive sampling is used for this study because it ensures that the respondents possess specific knowledge relevant to the research, such as operational practices, market trends, and challenges faced by local coffee shops. However, while purposive sampling ensures targeted responses, it may limit the generalizability of the findings, as the results may not reflect the broader population of coffee shop owners. The study will rely on a survey sheet to gather data from the respondents. A checklist survey questionnaire will be used in this study to collect information in quantitative data. This will allow for a comprehensive understanding of the experiences and perspectives of coffee shop owners and managers. Ethical considerations, including confidentiality and informed consent, will be prioritized to ensure the participants feel comfortable sharing their experiences. Finally, once the data is collected, it will be analyzed statistically based on the responses, and to identify patterns and draw conclusions about the operations and challenges of homegrown coffee shops in Cebu City.

Research Instrument

            The use of a researcher-made survey instrument for this study provides flexibility in tailoring the questions specifically to the research objectives. By creating a custom survey, the researcher can ensure that the instrument directly addresses the unique aspects of homegrown coffee shops in Cebu City, particularly regarding their sustainability and the problems encountered. To ensure that the survey instrument is both valid and reliable, it will be validated by experts in the field and pilot-tested. The expert validation process involves gathering feedback from individuals with experience in research methodology or the coffee shop industry, which will help identify any areas of improvement in the survey’s content, clarity, and overall structure. The pilot test, conducted on a small sample of respondents, will test the reliability and internal consistency of the survey, ensuring that the instrument accurately measures what it intends to measure and produces consistent results across different respondents. Additionally, the pilot test will help identify and resolve any issues related to the appropriateness of the questions or any potential biases that could affect the integrity of the responses.

The survey instrument is divided into three main parts to collect comprehensive data. The first part focuses on demographic information or the profile of the respondents, such as age, gender, civil status, citizenship, highest educational attainment, and years in the business operations. This data will provide valuable context and help identify any patterns or trends that might emerge based on the characteristics of the respondents. Understanding the background of the respondents is crucial in interpreting the data on sustainability and the problems encountered, these factors could vary depending on the size and maturity of the coffee shop business.

The second part of the survey centers around the level of sustainability of a homegrown coffee shop business, assessing how different factors affect its operations. The rating scale used in this section provides a subjective measure of sustainability, where respondents evaluate the extent to which their business is sustainable in terms of economic viability, environmental protection, and social equity. A rating scale and categorical responses are used to determine the level of sustainability of a homegrown coffee such as 4 – Highly Sustainable (indicating a high degree of sustainability with the products and services available), 3 – Moderately Sustainable (indicating an equal degree of sustainability with the products and services available), 2 – Less Sustainable (indicating a low degree of sustainability with the products and services available), and 1 – Not Sustainable (indicating no degree of sustainability with the products and services available).

Furthermore, the third part is the problems encountered by the respondents in the operations, in which a checklist instrument will also be utilized, and this is another key area being measured in the study.

Research Procedures

            This section presents the gathering of data and statistical tools to be used in the study.

            Data Gathering.

Before the data gathering, the researcher will send a transmittal letter addressed to the coffee shop owners or managers asking permission to allow the researcher to conduct the study duly noted by the Adviser and endorsement from the Dean of the Graduate School. Upon receiving the duly approved letter request, the research survey questionnaires will be administered by the researcher to the target respondents of the study for one month.

After gathering the data from the respondents, the accomplished research survey questionnaires will be processed, analyzed, and interpreted.

Treatment of Data.

The following statistical tools will be used in the study:

            Frequency Count and percent will be used to summarize, analyze, and interpret the profile of the respondents;

            Weighted Mean will be used to summarize, analyze, and interpret the data on the level of sustainability of homegrown coffee shops and the problems encountered by the respondents.

            Chi-Square will be used to determine the significant relationship between the profile of the respondents and the level of sustainability of homegrown coffee shops.

Definition of Terms

The      following terminologies are operationally defined for better understanding:

Profile of the Respondents: This term refers to the respondents demographic information, such as age, gender, civil status, citizenship, highest educational attainment, and years in the business operations.

Level of sustainability of a homegrown coffee shop. This term refers to the economic viability, environmental protection, and social equity based on the findings and results of the study conducted.

Problems encountered by the respondents in the operations of their homegrown coffee shops. This term refers to the prevailing conditions of a homegrown coffee shop operators, who face challenges such as supply chain issues, competition, marketing struggles, cash flow management, regulatory compliance, staffing difficulties, rising operational costs, maintaining product quality, and integrating technology.

Proposed Action Plan. This term refers to the forces to be created and formulated as business models and strategies. This is also a plan that helps identify key milestones, provides a framework for making decisions, and tracks progress that need areas for improvement on the business model.

Findings

Respondent Profile:
The respondents in the study were primarily coffee shop owners or managers in Cebu City. The majority of the respondents were local entrepreneurs with varying educational backgrounds, and their businesses ranged in operation years from a few months to several years. The findings indicated a diverse group of coffee shop owners, providing insights into different levels of experience and expertise within the homegrown coffee shop sector.

Level of Sustainability:
Based on the survey results, the sustainability of homegrown coffee shops in Cebu City varied. In terms of economic viability, most respondents reported moderate sustainability, with factors such as effective inventory management, customer loyalty, and marketing practices contributing to their economic success. Environmental protection was rated lower, with many coffee shops still in the early stages of adopting eco-friendly practices like waste reduction, energy conservation, and sourcing sustainable products. For social equity, a significant number of coffee shops emphasized their commitment to local sourcing and fair-trade practices, contributing to the local economy and fostering community engagement.

Operational Problems:
Common problems faced by homegrown coffee shops included high operational costs, competition from larger coffee chains, and challenges in maintaining consistent product quality. Many respondents also reported issues with customer retention and marketing, highlighting the need for stronger branding and better engagement with their customer base.

Relationship Between Respondent Profile and Sustainability:
A significant relationship was found between the years of operation and the level of sustainability, with businesses that had been operational for longer periods demonstrating higher sustainability across economic, environmental, and social factors. However, no significant relationship was found between educational attainment or gender and the sustainability of the coffee shops.

Conclusion

Homegrown coffee shops in Cebu City show a mixed level of sustainability. While most businesses are economically viable, there is room for improvement in environmental sustainability practices. Social equity is an area where many shops excel, especially in supporting local farmers and the community. However, operational challenges such as high costs, competition, and customer retention are major concerns that hinder the growth and long-term sustainability of these businesses. The study suggests that sustainability, especially environmental sustainability, is still an evolving concept for many homegrown coffee shops, and a strategic approach to sustainable practices is essential for their survival in a competitive market.

Recommendations:

Enhance Environmental Practices:
Coffee shop owners should adopt more sustainable practices, such as using biodegradable packaging, reducing waste through better inventory control, and incorporating energy-efficient operations. A focus on eco-friendly practices could also help differentiate them from larger chains, attracting environmentally conscious consumers.

Strengthen Marketing Strategies:
Implementing stronger branding and customer engagement strategies will help retain customers and build loyalty. Coffee shops should explore digital marketing, social media engagement, and loyalty programs to strengthen their market position.

Leverage Technology:
Coffee shops can benefit from the use of technology to streamline operations, such as using inventory management software to reduce waste and employing customer relationship management (CRM) systems to enhance customer service and retention.

Training and Skill Development:
Providing continuous training for employees on customer service, product knowledge, and sustainability practices will improve service quality and help create a positive customer experience, leading to higher retention rates.

Collaboration with Local Farmers and Suppliers:
Strengthening relationships with local farmers and suppliers can ensure a consistent supply of quality coffee beans and other products. Homegrown coffee shops should also explore partnerships for sourcing sustainable products, creating a more integrated and resilient supply chain.

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Citation

Lakjeewa, D. R., & Sandeepa, N. G. C. (2026). Which Financial Literacy Skills Matter Most? Evidence From Small Enterprises Investment Decisions. International Journal of Research, 13(3), 158–174. https://doi.org/10.26643/ijr/10

Dompeyalage Ruwan Lakjeewa,

Department of Business and Management Studies,

Faculty of Communication and Business Studies,

Trincomalee Campus, Eastern University, Sri Lanka,

Trincomalee, 31000,

Sri Lanka,

lakjeewad@esn.ac.lk

Nagoda Gamage Chathushi Sandeepa

Department of Business and Management Studies,

Faculty of Communication and Business Studies,

Trincomalee Campus, Eastern University, Sri Lanka,

Trincomalee, 31000,

Sri Lanka.

chathushi256@gmail.com

ABSTRACT

In today’s complex economic environment, financial literacy is a critical determinant of effective investment decisions, particularly for small enterprises (SEs). Despite the recognized importance of financial literacy in shaping business decision – making, limited empirical attention has been given to identifying which specific financial literacy skills most strongly influence investment decisions among small enterprises in Sri Lanka. This study examines that which financial literacy skill has most influential capability on investment decisions among small enterprises in Sri Lanka, analyzing financial literacy through five dimensions such as: Financial Planning, Fixed Assets Management, Investment Knowledge, Budgeting Knowledge, and Financial Record Keeping. Data were collected from 100 small enterprises owners through structured questionnaires and analyzed using mainly multiple regression techniques. The results reveal Investment Evaluation Knowledge (p < 0.05; β = 0.122) and Financial Record-Keeping (p < 0.05; β = 0.257) were found to have a significant positive impact on investment decisions. In contrast, Financial Planning (p > 0.05; β = -0.026), Fixed Assets Management (p > 0.05; β = 0.064), and Budgeting Knowledge (p > 0.05; β = 0.014)were not statistically significant predictors of investment decision-making. The findings demonstrate that financial literacy is a critical determinant of investment performance among enterprise owners, with financial record- keeping competence and investment evaluation skills emerging as the most influential factors in optimizing investment outcomes. The study highlights the importance of targeted training programs and professional consultation to strengthen their financial capabilities and supports policymakers in developing initiatives to enhance Financial Literacy of the sector.

Keywords: Financial Literacy Skills, Investment Decisions, Small Enterprises, Kalutara District.

01.  Introduction

Financial literacy is a critical factor in informed decision-making, especially in the increasingly complex global economy. Thereby influencing the profitability of investments for small enterprises, which play a vital role in Sri Lanka’s economy by contributing 52% to GDP and 45% to employment, financial literacy is essential (Ranasinghe, 2024). The increasing complexity of the global economy necessitates that individuals become adept at making informed investment decisions to manage the rising cost of living. Financial literacy, the ability to understand and effectively apply financial knowledge, behavior, and attitudes plays a vital role in enabling individuals and organizations to make informed and rational financial choices (Vitt, 2004; Atkinson & Messy, 2012; OECD, 2013).  Investment activities are viewed as both engaging and essential since they involve making choices and observing their outcomes (Awais, Laber, Rasheed, & Khursheed, 2016). SMEs, defined variably by different countries based on criteria such as employee count and financial metrics, are critical to national economies. In Sri Lanka, SMEs are classified as small Businesses with fewer than 49 employees and medium-sized businesses with 50 to 99 employees, with further definitions based on annual turnover and debt levels (Weerakkody, 2013). Globally, the relationship between financial literacy and investment decisions has been widely recognized. Financially literate individuals demonstrate higher confidence, better investment diversification, and stronger risk management skills (Van Rooij, Lusardi, & Alessie, 2011; Becchetti, Caiazza, & Coviello, 2013). Conversely, inadequate financial literacy has been associated with poor investment outcomes, excessive debt, and economic vulnerability (Lusardi & Mitchell, 2011). Many governments and international organizations, including the OECD, have emphasized financial education as a key policy tool for promoting economic stability and sustainable growth (Atkinson & Messy, 2012).

The relationship between financial literacy and investment decision-making has been a widely explored topic across global contexts; however, several critical gaps remain in both the theoretical understanding and empirical application of this relationship, particularly in developing economies such as Sri Lanka. A considerable body of literature acknowledges that financial literacy influences individuals’ investment choices, saving behaviors, and financial planning abilities (Lusardi & Mitchell, 2014; Potrich et al., 2018).

This creates a significant research gap. While it is generally accepted that financial literacy influences investment behavior, it remains unclear which specific dimension of financial literacy most strongly influences SEs investment decisions. Without identifying and ranking the most influential predictors, policymakers and SEs development programs may struggle to design targeted and efficient financial education interventions. Therefore, the central research problem of this study is to determine which dimension of financial literacy exerts the strongest influence on SEs investment decisions and the rank these dimensions according to their predictive power.

The following research problem has been arisen,

• Which dimension of financial literacy most strongly influences investment decisions?

This approach offers a more holistic perspective than previous models, which often viewed financial literacy as a single-dimensional construct. The study’s multidimensional framework encompassing financial planning, fixed assets management, investment evaluation knowledge, financial record keeping, and budgeting knowledge enables a deeper understanding of how different aspects of financial literacy interact to influence entrepreneurial investment behavior. As such, the research not only extends the theoretical foundations established by Awais et al. (2016) and Baihaqqy et al. (2020) but also contextualizes them within the realities of small business management in a developing economy.

02.  Literature Review and Conceptual Framework

Financial Literacy

The concept of financial literacy has evolved significantly over time, with its origins tracing back to the United States in 1787. John Adams, in a letter to Thomas Jefferson, emphasized the importance of financial literacy to address the widespread confusion and distress in America caused by a lack of understanding of credit, currency circulation, and the nature of coinage (Financial Corps, 2014).financial literacy as a “meaning-making process,” wherein individuals apply a mix of skills, resources, and contextual knowledge to interpret information and make decisions, with an awareness of the financial consequences of their actions (Mason & Wilson, 2000).

Financial Planning

Financial planning is a critical component of financial literacy that involves the development of strategies to manage one’s finances to achieve long-term financial goals.  America (2003) highlights that the propensity to plan significantly impacts wealth accumulation differences among individuals. Mitchell and Lusardi (2011) demonstrate that American adults with a higher level of financial literacy are more likely to engage in retirement planning.

Fixed Assets Management

Fixed assets management refers to the processes and practices involved in managing a business’s tangible and intangible assets to maximize future economic benefits. Siegel, Dauber, and Shim (2005) emphasize the need for businesses to categorize their assets accurately to manage them effectively and prevent misappropriation or theft.

Investment Evaluation Knowledge

Investment evaluation knowledge are the guidelines used to assess the viability of investment opportunities, ensuring consistency with the goal of maximizing shareholder wealth.  Danielson and Scott (2006) observed that small firms often evaluate projects using simple methods like the payback period or the owner’s intuition

Financial Record Keeping

Financial Record Keeping is the systematic process of documenting, organizing, and maintaining all financial transactions and records of a business.  Financial record keeping involves the consistent documentation and maintenance of financial transactions, providing a reliable foundation for reporting, compliance, and informed decision-making within a business (Weygandt, Kimmel & Kieso, 2018).

Budgeting Knowledge

Budgeting knowledge encompasses the skills and understanding needed to develop, implement, and monitor budgets, helping organizations manage financial resources and achieve strategic objective (Shim & Siegel, 2012).

Investment Decisions

Kothari (2007) stated that investment decisions involve allocating financial resources to various projects or assets with the expectation of future returns. These decisions are critical for ensuring the financial stability and profitability of an enterprise, requiring a thorough analysis of risks and rewards.

Investment Strategy

Investment strategy refers to a set of rules, behaviors, or procedures designed to guide an investor’s selection of an investment portfolio. Effective investment strategies are tailored to meet specific objectives, such as capital appreciation, income generation, or risk minimization (Brinson, Hood & Bee, 1995).

Investment Behaviors

Investment behaviors encompass the psychological and emotional responses of investors to market movements and financial decisions. Understanding investment behaviors is crucial for managing the behavioral risks that can lead to suboptimal investment decisions (Kahneman & Tversky, 1979).

Risk Tolerance

Notably, it has been reported that risk tolerance individuals tend to invest less in risk free assets (Hariharan et al., 2000) or risk averse households are more likely to have a lower proportion of their assets allocated in risky assets (Cardak & Wilkins, 2009).

Frequency of investment

Frequency of investment can be understood as the regular interval at which investments are made, reflecting an investor’s pattern and consistency in deploying capital over time (Gitman & Zutter, 2015).

Investment Type

Investment types for SEs encompass diverse asset allocations such as fixed capital, technological enhancements, and financial securities, all aimed at fostering growth, efficiency, and competitive advantage (Berk & Demarzo, 2019).

Investment Amount

Investment Amount is the total capital committed by a business to finance assets, projects, or operations intended to yield returns and foster growth (Westerfeld & Jaffe, 2019).

Many studies employ generalized measures of financial literacy often limited to knowledge of basic financial concepts such as interest, inflation, and risk diversification while ignoring behavioral and application-oriented aspects such as budgeting, record keeping, or asset management. Consequently, the multidimensional nature of financial literacy remains insufficiently explored.

From a theoretical standpoint, many previous studies have failed to integrate behavioral and psychological dimensions into financial literacy research. Theories such as the Goal-Setting Theory and Expectancy Theory provide valuable insights into how motivation and goal orientation influence decision-making under uncertainty. However, their application in SEs-related financial studies remains limited. Similarly, prior research has often ignored the mediating role of behavioral factors such as risk tolerance and investment strategy in the link between financial literacy and investment decisions. This limitation suggests that current frameworks are insufficiently comprehensive to explain the complex interaction of cognitive, behavioral, and contextual variables influencing small enterprise owners’ investment decisions.

Conceptual Framework

Two variables were conceptualized as below such as Financial Literacy is the independent variable and Investment decision is the dependent variable for this study purpose.

2.1 Conceptual framework

Figure 2.1 Conceptual Framework

(Developed by Researchers)

Hypotheses

H1: Financial Planning has a significant impact on Investment Decisions.

H2: Fixed Assets Management has a significant impact on Investment Decisions.

H3: Investment Evaluation Knowledge has a significant impact on Investment Decisions.

H4: Financial Record Keeping has a significant impact on Investment Decisions.

H5: Budgeting Knowledge has a significant impact on Investment Decisions.

•  RESEARCH METHODOLOGY

Research Approach

This study adopts a deductive research approach, in which established theories are used to formulate hypotheses that are empirically tested through systematic data collection and analysis (Sekaran & Bougie, 2010).

Sample Selection

The study employed clusters sampling to select respondents form small enterprises owners in the Kalutara District. Five geographical clusters were identified based on major business locations within the district: Baduraliya, Mathugama, Dodangoda and Kalutara.

An equal allocation approach was adopted, and 20 respondents were selected from each cluster using simple random sampling, resulting in a total sample size of 100 participants.

3.1 Table Sample Selection

Town	Sample Size
Baduraliya	20
Mathugama	20
Dodangoda	20
Nagoda	20
Kalutara	20
Total	100

(Source: Survey Data, 2024)

Measures and Analytical Tools

Analysis of Reliability

The reliability of the instrument was measured using Cronbach’s Alpha analysis. It measures the internal consistency of the instrument, based on the average inter-item correlation. The result of Cronbach’s alpha test is shown in Table 3.2 which suggests that the internal reliability of each instrument was satisfactory. Most the Cronbach’s Alpha Value is above 0.7 indicates an acceptable internal consistency of the scale (Sekaran & Bougie, 2016).

Table 3.2 -Decision Criteria for Reliability Analysis

Range	Decision Attribute
r ≥ 0.9	Excellent Reliability
0.8 ≤ 0.9	Good Reliability
0.7 ≤ 0.8	Acceptable Reliability
0.6 ≤ 0.7	Questionable Reliability
0.5 ≤ 0.6	Poor Reliability
r < 0.5	Unacceptable Reliability

(Source: Koonce & Kelly, 2014)

Data were collected using a structured questionnaire with Likert-scale and multiple-choice items to measure financial literacy dimensions and investment decision-making. Data analysis was performed using SPSS. Descriptive statistics (mean, frequency, and standard deviation) were applied to assess central tendencies and variability. Multiple regression analysis was employed to determine the predictive influence of financial literacy components on investment decisions, allowing the study to quantify the magnitude of effects while controlling for demographic factors.

The impact of financial literacy components on investment decisions was evaluated using multiple regression analysis:

Y = α + β1 FP + β2 FAM + β3 IEK + β4 FRK + β5BK + e      

Y= Observation of the dependent Variable

β0= intercept term

FP- Correlation Coefficient of Financial Planning

FAM- Correlation Coefficient of Fixed Assets Management

IEK- Correlation Coefficient of Investment Evaluation Knowledge

FRK- Correlation Coefficient of Financial Record Keeping

BK- Correlation Coefficient of Budgeting Knowledge

e = Standard Error

04.  Result & Discussion

Analysis of Reliability

The reliability of the independent and dependent variables was demonstrated using Cronbach’s Alpha coefficients. In this study (Table 4.1), the overall Cronbach’s Alpha for Financial Literacy was 0.829, with the individual dimensions showing the following values: Financial Planning (0.867), Fixed Assets Management (0.719), Investment Evaluation Knowledge (0.954), Financial Record Keeping (0.912), and Budgeting Knowledge (0.994). The Cronbach’s Alpha for Investment Decision was 0.851. According to the general guideline, a Cronbach’s Alpha coefficient above 0.70 is considered acceptable for reliability.

Table 4.1-Reliability Analysis for Overall Variables

Variable / Dimensions	Cronbach’s Alpha Value	Number of Question Items
Financial Literacy	0.829	25
Financial Planning	0.867	5
Fixed Assets Management	0.719	5
Investment Evaluation Knowledge	0.954	5
Financial Record Keeping	0.912	5
Budgeting knowledge	0.994	5
Investment Decision	0.851	17

(Source: Survey Data, 2024)

Demographic Variables

Business Activity

Most of the respondents are engaged in retailing, with 51% of small enterprise owners in the Kalutara District reporting this as their business activity. This is the highest proportion among the different business types. Following retailing, 26% are involved in service-based businesses, 19% in manufacturing, and 4% in wholesaling, which represents the lowest proportion. These results highlight that retailing is the dominant business activity in the district.

Figure 4.1-Business Activity

(Source: Survey Data, 2024)

Dimensions Coefficients

Table 4.2-Dimensions Coefficients

Model		Unstandardized Coefficients		Standardized Coefficients	T	Sig.	95.0% Confidence Interval for B
		B	Std. Error	Beta			Lower Bound	Upper Bound
1	(Constant)	1.168	.187		6.246	.000	.797	1.539
	Financial Planning	-.026	.053	-.061	-.485	.629	-.131	.080
	Fixed Assets Management	.064	.047	.146	1.347	.181	-.030	.157
	Investment Evaluation Knowledge	.122	.048	.254	2.560	.012	.027	.216
	Financial Record Keeping	.257	.077	.409	3.326	.001	.103	.410
	Budget Knowledge	.014	.055	.026	.258	.797	-.095	.124
Dependent Variable: Investment Decision

(Source: Survey Data, 2024)

As shown in Table 4.2, the regression results indicate that among the five dimensions of financial literacy, only Investment Evaluation Knowledge ((p<0.05); β = 0.122)and Financial Record-Keeping (p < 0.05; β = 0.257) have a significant positive impacton investment decisions. In contrast, Financial Planning (p > 0.05; β = -0.026), Fixed Assets Management (p > 0.05; β = 0.064), and Budgeting Knowledge (p > 0.05; β = 0.014) were found to have insignificant effects. According to the coefficient result, the regression model can be express as follows.

Y = α + β1 FP + β2 FAM + β3 IEK + β4 FRK + β5 BK + e

Y= 1.168 – .026FP + 0.064FAM + 0.122IEK + 0.257FRK + 0.014BK

Investment Decision= 1.168 – 0.026 Financial Planning + 0.064 Fixed Assets Management + 0.122 Investment Evaluation Knowledge+ 0.257 Financial Record Keeping+ 0.014 Budget Knowledge

Testing Hypotheses

Table 4.3-Testing Hypotheses

Hypothesis	P-Value	Decision
H1- Financial Planning has a significant impact on Investment Decisions.	Sig 0.629 (p >0.05)	Rejected
H2 – Fixed Assets Management has a significant impact on Investment Decisions.	Sig 0.181 (p>0.05)	Rejected
H3- Investment Knowledge has a significant impact on Investment Decisions.	Sig 0.012 (p<0.05)	Accepted
H4- Financial Record Keeping has a significant impact on Investment Decisions.	Sig 0.001 (p<0.05)	Accepted
H1- Budgeting Knowledge has a significant impact on Investment Decisions.H1- Budgeting Knowledge has a significant impact on Investment Decisions.	Sig 0.797 (p>0.05)	Rejected

(Source: Survey Data, 2024)

Discussion of Findings

Investment Evaluation Knowledge (p < 0.05; β = 0.122) and Financial Record-Keeping (p < 0.05; β = 0.257)were found to have a significant positive impact on investment decisions. This suggests that small enterprise owners who regularly maintain financial records and possess analytical skills in evaluating investment alternatives are more capable of making effective financial choices. Maintaining accurate records helps entrepreneurs track performance, manage cash flows, and evaluate profitability, while investment evaluation knowledge enables them to assess risk and return before committing resources. These findings are consistent with Lusardi and Mitchell (2014)and Fatoki (2014), who also found that financial literacy significantly improves the quality of investment behavior among entrepreneurs in developing economies.

In contrast, Financial Planning (p > 0.05; β = -0.026), Fixed Assets Management (p > 0.05; β = 0.064), and Budgeting Knowledge (p > 0.05; β = 0.014) were not statistically significant predictors of investment decision-making. Although these aspects are essential for overall business performance, their lack of direct influence suggests that many small enterprise owners may have basic awareness of planning and budgeting concepts but do not effectively apply them when making investment decisions. This finding aligns with Grohmann (2018), who noted that general financial management skills, while beneficial, often have limited direct impact on investment outcomes unless combined with specific analytical competencies.

The low overall level of financial literacy observed in this study mirrors the situation in many developing countries, where small business owners often rely on informal financial practices rather than structured knowledge. According to Ratnawati et al. (2022), limited access to formal financial education and advisory services contributes to this deficiency. In the Sri Lankan context, where SEs form the backbone of the economy, such a gap represents a significant constraint to growth and competitiveness.

From a theoretical standpoint, these findings validate the Goal-Setting Theory and Rational Expectations Theory that underpin this study. The Goal-Setting Theory posits that individuals with clear objectives and adequate knowledge are more likely to pursue purposeful actions, while the Rational Expectations Theory emphasizes the use of information and learning in forming optimal decisions. The current study confirms that financially literate entrepreneurs those capable of maintaining records and analyzing investments tend to make decisions consistent with rational and goal-oriented behavior.

05.  Conclusions

Conclusions

The findings provide clear evidence that enhancing financial literacy among entrepreneurs leads to better investment outcomes. Practically, SEs owners should adopt systematic financial record-keeping practices, regularly evaluate investment opportunities, and utilize digital accounting tools. Incorporating these practices will foster informed decision-making and enable firms to withstand market uncertainties. For managers and business owners, financial literacy should be recognized as a strategic management resource. Training employees in record maintenance, investment analysis, and budgeting can create a financially disciplined culture that promotes transparency, accountability, and long-term competitiveness. Enterprises that prioritize financial education internally are more likely to secure funding and achieve sustainable growth. This research provides empirical evidence supporting the Goal-Setting Theoryand Rational Expectations Theory in the Sri Lankan SEs context. It shows that financial literacy equips entrepreneurs with the ability to set measurable investment goals, align expectations with market realities, and make rational choices grounded in data and financial reasoning.

Overall, the study concludes that strengthening financial literacy, especially in the areas of record keeping and investment evaluation is essential for small enterprise owners to improve the quality and effectiveness of their investment decisions. This study fills the empirical and variable gaps in the existing literature by providing localized evidence from Kalutara District, demonstrating that behavioral financial competencies can be systematically measured and linked to tangible investment outcomes.

References

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Awais, M., Laber, M. F., Rasheed, N., & Khursheed, A. (2016). Impact of financial literacy and investment experience on risk tolerance and investment decisions: Empirical evidence from Pakistan. International Journal of Economics and Financial Issues, 6(1), 73–79.

Berk, Jonathan B. and Richard C. Green, “Mutual Fund Flows and Performance in Rational Markets,” Journal of Political Economy, 2019, 112 (6), 1269–1295.

Cardak, B. A., & Wilkins, R. (2009). The determinants of household risky asset holdings: Australian evidence on background risk and other factors. Journal of Banking & Finance, 33(9), 1656-1668.

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Kumari, D. A. T. (2020). The impact of financial literacy on investment decisions: With special reference to undergraduates in Western Province, Sri Lanka. Asian Journal of Contemporary Education, 4(2), 1–10.

Kumari, D. A. T., Azam, S. M. F., & Khalidah, S. (2020). The impact of financial literacy on women’s economic empowerment in developing countries: A study among the rural poor women in Sri Lanka. Asian Social Science, 16(3), 1–10.

Lusardi, A., & Mitchell, O. S. (2011). Financial literacy and planning implications for retirement wellbeing. NBER working paper.

Lusardi, A. (2008). Financial literacy: an essential tool for informed consumer choice? National Bureau of Economic Research.

Lusardi, A. (2019). Financial literacy and the need for financial education: Evidence and implications. Swiss Journal of Economics and Statistics, 155(1), 1–8.

Lusardi, A., & Mitchell, O. (2011). Financial literacy and planning implications for retirement wellbeing. NBER working paper, 17(4), 2-37.

Lusardi, A., & Mitchell, O. (2011). Financial Literacy and Retirement Planning in the United States. Journal of Pension Economics and Finance, 10(4), 509-525.

Lusardi, A., & Mitchell, O. S. (2011). Financial literacy around the world: an overview. Journal of Pension Economics & Finance, 10(4), 497-508. Cambridge University Press

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About Authors

D. Ruwan Lakjeewa is a Senior Lecturer (Grade I) in Accounting at the Department of Business and Management Studies, Faculty   of Communication and Business Studies, Trincomalee Campus, Eastern University, Sri Lanka. He holds an M.Sc. in Management from the University of Sri Jayewardenepura and a B.Sc. (Hons) in Accounting and Finance from Trincomalee Campus, Eastern University, Sri Lanka. His research interests include corporate governance, financial performance, human resource accounting, and financial literacy. He has published several journal articles and conference papers on aforementioned topics and serves as a reviewer and editorial contributor for academic conferences and journals.

Nagoda Gamage Chathushi Sandeepa is a Lecturer (Temporary Assistant) in the Department of Business and Management Studies, Faculty of Communication and Business Studies, Trincomalee Campus, Eastern University, Sri Lanka. She holds a B.Sc. (Hons) in Accounting and Finance with first class from Trincomalee Campus, Eastern University, Sri Lanka. Her research interests include financial literacy and Investment Decisions.

Knots are the foundation of boating. Whether you’re securing your vessel at a dock, rigging sails, or anchoring in a cove, knowing how to tie the right knot can make your journey safer, smoother, and more efficient. While many sailors rely on modern technology and Marine Accessories, rope skills remain indispensable for every boater, from beginners to seasoned professionals.

Why Knot Knowledge Matters

Ropes are everywhere on a boat-sheets, halyards, anchor lines, dock lines, and fenders all require proper knots. Improperly tied knots can lead to accidents, gear damage, or lost lines. Learning essential knots ensures that your equipment functions correctly, safety is maintained, and you can handle unexpected situations without relying solely on mechanical solutions or electronic aids.

Essential Knots for Boaters

1. Bowline

Known as the “king of knots,” the bowline creates a secure loop at the end of a rope. It is easy to tie and untie, even after bearing a heavy load. This knot is ideal for tying lines to cleats, securing a boat to a dock, or creating loops for fenders.

2. Cleat Hitch

The cleat hitch is a fundamental docking knot. It secures a line quickly and holds firm under tension. Using this knot correctly allows you to moor your boat safely, even in challenging conditions. Combining this skill with proper Marine Accessories, like high-quality dock cleats and lines, ensures stability and peace of mind.

3. Figure-Eight Knot

The figure-eight knot creates a stopper at the end of a line, preventing ropes from slipping through blocks or fairleads. It’s commonly used in sailboats to prevent halyards or sheets from running free. Its simple design makes it easy to inspect and untie.

4. Clove Hitch

A versatile knot for attaching a line to a post, piling, or ring. The clove hitch is particularly useful for temporary mooring or securing fenders. While it may slip under heavy loads, combining it with a backup knot ensures reliability.

5. Reef Knot (Square Knot)

The reef knot is ideal for joining two ropes of similar size or securing sails for reefing. While not suitable for heavy loads or critical applications, it is excellent for quick fixes and basic line management.

6. Sheet Bend

Used for joining two ropes of different diameters, the sheet bend is stronger and more reliable than the reef knot for mixed lines. It’s a practical skill when dealing with anchor lines, towing setups, or rigging adjustments.

Practical Applications on a Boat

Mastering these knots has direct applications:

• Docking and Mooring: Securing lines to cleats, pilings, and rings ensures the boat stays in place.
   
• Sail Handling: Knots help adjust sails, control halyards, and secure sheets.
   
• Anchoring: Properly tied knots provide confidence that your anchor will hold.
   
• Emergency Situations: Quick and reliable knots are essential in towing, rescuing, or rigging temporary fixes.
   

Even with modern Marine Accessories like cleat-mounted lines, ratchets, or blocks, knots remain a critical skill for effective boating.

Tips for Learning and Practicing Knots

• Practice Onshore First: Use ropes on land to perfect tension, loops, and security before heading out.
   
• Understand Load Limits: Know which knots are appropriate for heavy loads versus light tasks.
   
• Keep Ropes Clean: Dirt or fraying reduces knot security; regular inspection is essential.
   
• Label and Organize Lines: Clearly marked ropes reduce confusion during critical moments on deck.
   

Repetition and practical experience build confidence, allowing you to tie knots quickly and accurately even under pressure.

Combining Knots with Marine Accessories

While knots are fundamental, pairing them with high-quality Marine Accessories enhances safety and efficiency. For instance, properly tied lines work best with sturdy cleats, blocks, fenders, and rigging hardware. This combination ensures both traditional skills and modern tools contribute to smooth, safe sailing.

Conclusion

Knots are more than simple loops-they are essential tools that every boater must master. From docking and anchoring to sail adjustments and emergency applications, the right knots improve safety, control, and efficiency. Even in an era of advanced Marine Accessories, rope skills remain critical. By practicing essential knots regularly and integrating them with quality equipment, sailors can handle any situation with confidence, ensuring a safer and more enjoyable time on the water.

Citation

Talamo, R. S., Reblora, R. M., Diaz, W. D. B.-O., & Macuto, M. T. V. (2026). Technology-Driven Food Waste Management at Crown Regency Hotel, Cebu City. International Journal of Research, 13(3), 139–157. https://doi.org/10.26643/ijr/11

Main Author:

Roselio Serafina Talamo
Co- Author:
Rona Marie Reblora
Welou Dil Bato-On Diaz
Maria Trinidad Victoria Macuto

University of Cebu Main Campus

Abstract

Crown Regency Hotel in Cebu City, Philippines. The hotel industry faces significant food waste challenges due to overproduction, inefficient inventory management, and lack of real-time data. Traditional practices like portion control and food repurposing have limited success in addressing the problem. This research focuses on the implementation of digital tools such as AI-driven forecasting, IoT-based monitoring, and digital inventory systems to minimize food waste across various stages of the supply chain, including procurement, storage, food preparation, and service.

The study applies the Technology Acceptance Model (TAM), Technological-Organizational-Environmental (TOE) Framework, and Circular Economy (CE) Model to evaluate the adoption of these technologies at Crown Regency Hotel. It also examines legal policies and barriers to adoption, including cost, technical complexity, and organizational resistance. A survey of hotel staff assesses the effectiveness of the technologies in reducing food waste and improving supply chain efficiency.

Results indicate that while technology can enhance operational efficiency and reduce waste, challenges in cost and implementation persist. The study provides recommendations to overcome these barriers and promote the adoption of food waste reduction technologies. It aims to contribute to sustainable practices in the hospitality sector, offering valuable insights for similar establishments and policymakers.

Keywords: Food Waste Management, Technology Adoption, Hospitality Industry

Rationale

In the Philippine hotel industry, especially in Cebu’s tourism-driven economy, food waste is both a financial liability and a sustainability issue. Crown Regency Hotel, with its extensive buffet and event catering services, operates at a scale where inefficiencies can lead to significant food losses.

            Despite implementing traditional practices such as portion control and repurposing, food waste persists due to overproduction, poor inventory tracking, and lack of real-time data. Technological solutions such as digital inventory systems, AI-driven forecasting, and IoT-based monitoring are becoming increasingly relevant. However, the extent of their use at Crown Regency Hotel, their effectiveness, and barriers to adoption remain underexplored.

As a former chef, the researcher brings direct industry experience and a grounded understanding of operational realities in hotel kitchens. This case study seeks to bridge the gap between theory and practice, examining how technology can be more effectively leveraged to reduce food waste within the operational context of a high-profile hotel in Cebu.

Theoretical Background

            Food waste in the Philippines is a crisis. It threatens food security. It weakens economic stability. It harms environmental sustainability. Technology is the game-changer. Digital solutions are emerging as the key to cutting waste across the food supply chain. This section explores the Technology Acceptance Model (TAM) as the anchor theory. It is reinforced by the Technological-Organizational-Environmental (TOE) Framework and the Circular Economy (CE) Model. Relevant legal policies and research findings are also examined.

Anchor Theory: Technology Acceptance Model (TAM)

 Technology adoption isn’t random. It follows a pattern. The Technology Acceptance Model (TAM) (Davis, 1989) explains this. Two factors drive adoption: perceived usefulness and perceived ease of use. If a technology isn’t useful or user-friendly, it won’t be adopted.

In the Philippine food industry, digital tools like AI-driven forecasting, blockchain for food traceability, and IoT-based monitoring systems are potential solutions. But adoption depends on whether farmers, retailers, and supply chain managers see real value. Studies confirm this. Sarmiento & Concepcion (2021) found that agribusinesses embrace tech only when they see increased efficiency and cost savings. However, there are roadblocks. Digital illiteracy. Weak infrastructure. These barriers slow adoption. Identifying them is crucial. Addressing them is even more critical.

Technological-Organizational-Environmental (TOE) Framework

 Technology adoption doesn’t happen in isolation. It’s influenced by three factors:

Technology – Are AI inventory systems available? Are smart sensors in place? Are digital donation platforms accessible?

Organization – Are food suppliers and logistics companies willing to invest in tech? Are they ready for integration?

Environment – Are government policies supportive? Is market demand pushing adoption? Do environmental concerns force change?

The Philippine government is making moves. The National Food Policy (Republic Act No. 11337) promotes food security and waste reduction. Public-private partnerships are on the rise (Panganiban, 2020). But is it enough? Adoption gaps remain. Solutions need acceleration.

Circular Economy (CE)

Model The Circular Economy (CE) Model (Ellen MacArthur Foundation, 2013) disrupts the wasteful “take-make-dispose” system. It introduces a new mindset: reuse, repurpose, regenerate. In food waste management, CE principles push for:

 ● Food upcycling – Turning overripe fruits into jams. Converting surplus vegetables into powders.

● Waste-to-energy projects – Transforming food waste into biogas or fertilizers.

● Redistribution strategies – Using mobile apps to redirect surplus food to communities in need.

It’s already happening. Organizations like The Philippine Food Bank Foundation and Good Food Grocer use technology to redistribute excess food, cutting both waste and hunger (Castillo, 2022). The impact is real. But scale is the challenge.

Laws shape the landscape. Key policies include:

● Republic Act No. 11337 (2019) – Establishes food waste reduction frameworks.

● Republic Act No. 10611 (2013) – Regulates food safety and waste management.

 ● Department of Agriculture Administrative Order No. 26 (2020) – Pushes digital solutions in agriculture.

 ● Republic Act No. 11293 (2019) – Promotes innovation in food supply chains.

Laws exist. But are they enforced? Are they effective? Implementation remains a challenge. Research backs these theories.

 ● Sarmiento & Concepcion (2021) – IoT sensors in supermarkets reduce spoilage.

● Panganiban (2020) – Blockchain improves traceability and cuts food loss.

● Castillo (2022) – Mobile food rescue apps fight hunger.

● Reyes & Santos (2021) – AI-driven forecasting minimizes overproduction.

● Technology works. Data proves it. Adoption is the next battle.

The evidence is clear. Technology can reduce food waste in the Philippines. The Technology Acceptance Model (TAM) explains adoption behaviors. The TOE Framework highlights critical adoption factors. The Circular Economy Model stresses sustainability. Supported by legal policies and research, this study aims to drive real change. The goal? Less waste. More efficiency. A sustainable future!

Statement of the Problem

Food waste remains a significant concern in the hospitality industry, impacting food security, environmental sustainability, and operational efficiency. Hotels, especially those with large-scale food and beverage operations, face challenges in managing inventory, forecasting demand, and minimizing spoilage.

At Crown Regency Hotel in Cebu, like many hospitality establishments, food waste may occur across different stages of its supply chain — from sourcing and storage to preparation and service. While technological innovations such as AI-driven forecasting, IoT monitoring, and digital inventory systems offer solutions, implementation can be hindered by cost, technical complexity, and organizational resistance.

 This study investigates how technology is being utilized at Crown Regency Hotel to reduce food waste across its supply chain. It aims to uncover the effectiveness of these tools, the challenges faced, and the demographic factors that may influence adoption and implementation.

 Specifically, it seeks to answer the following research questions:

1. What is the demographic profile of Crown Regency Hotel staff and                         management involved in the food supply chain, in terms of:

1.1 age;

                                    1.2 gender;

1.3 industry sector;

1.4 level of technological adoption;

1.5 role in the supply chain?

2. What technological solutions are currently used at Crown Regency             Hotel to reduce food waste in procurement, storage, food preparation,             and service?

3. How effective are these technologies in minimizing food loss and             improving supply chain efficiency in terms of:

3.1 reduction in food spoilage and waste;

3.2 improved inventory and demand forecasting;

3.3 enhanced supply chain coordination and transparency;

3.4 cost savings and operational efficiency?

 4. What challenges does Crown Regency Hotel face in adopting and             implementing technology-driven food waste solutions?

                        5. Is there a significant relationship between the respondents’                                              demographic profile and their adoption of food waste reduction                                                 technologies?

6.  Is there a significant difference in the perceived effectiveness of             technology-driven food waste solutions across different demographic             groups?

7. Based on the findings, what strategies can be proposed to enhance             the adoption of technology in reducing food waste across the supply             chain?

Statement of the Null Hypotheses

 At a 0.05 level of significance, the following null hypotheses will be tested:

            Ho1: There is no significant relationship between the demographic profile of Crown Regency Hotel staff and their adoption of food waste reduction technologies.

            Ho2: There is no significant difference in the effectiveness of technology-driven solutions when grouped according to demographic profiles.

Significance of the Study

● Crown Regency Hotel Management: Findings will inform strategies to reduce food waste, enhance efficiency, and promote sustainability within hotel operations.

 ● Hospitality Industry: Insights can be applied to similar establishments seeking to optimize food service operations through technology.

● Technology Providers: The study will highlight specific needs and barriers within the hotel setting, helping developers tailor their solutions.

● Policy Makers: Data may support localized policy-making and initiatives for food waste reduction in Cebu’s tourism sector.

● Consumers and Guests: Reducing waste leads to better resource use, potentially improving food quality and reducing costs.

● The Researcher: Offers an opportunity to connect practical experience as a former chef with empirical academic research.

● Future Researchers: Provides a case-based foundation for further studies on sustainable food systems in hotels and resorts.

Research Design

This study will employ a descriptive-correlational research design to examine how technology is used to reduce food waste at Crown Regency Hotel and to determine the relationship between demographic profiles and the adoption and effectiveness of food waste technologies. The descriptive aspect will document current practices, technologies used, and levels of effectiveness, while the correlational aspect will analyze possible relationships between demographic variables and technology adoption or perceived effectiveness.

INPUT-PROCESS-OUTPUT DIAGRAM

Research Environment

            The research will be conducted at Crown Regency Hotel in Cebu City, Philippines. The hotel is a well-known hospitality establishment offering various food and beverage services, including buffets, in-room dining, and function catering. Given its large-scale operations, Crown Regency serves as an ideal environment to explore the role of technology in managing and minimizing food waste across different stages of its food supply chain.

Research Respondents/Subjects

The respondents of the study will include kitchen staff, food and beverage supervisors, procurement officers, inventory personnel, and management-level staff involved in food-related decision-making at Crown Regency Hotel. A total of 100 respondents will be purposively selected to ensure that participants have relevant roles in the food supply chain. Respondents will be categorized according to their department, years of service, age, and role in the supply chain to enable comparative and correlational analysis.

Research Instrument

The primary research instrument will be a structured survey questionnaire developed by the researcher and validated by field experts. The questionnaire will be divided into the following sections:

1. Demographic Profile – Includes age, gender, department, role, years of service, and level of technological engagement.

 2. Technologies Used – Identifies the technological systems currently in place for food procurement, inventory, preparation, and service.

 3. Perceived Effectiveness – Utilizes a Likert scale to measure perceptions of how effective the technologies are in reducing food waste.

4. Challenges and Barriers – Captures common obstacles in the implementation and usage of these technologies.

The instrument will undergo content validation by three experts in hospitality and research methodology before actual distribution.

Research Procedures

 Gathering of Data

1. Approval and Permissions – A formal request will be submitted to the management of Crown Regency Hotel to conduct the study and gather data from relevant staff.

2. Validation of Instrument – The questionnaire will be reviewed by experts to ensure relevance, clarity, and reliability.

3. Distribution – Once approved, questionnaires will be distributed either in printed form or via a digital platform, depending on accessibility and the hotel’s preference.

4. Consent and Confidentiality – Informed consent will be obtained from all respondents. Participation will be voluntary, and data will be treated with strict confidentiality.

5. Collection and Screening – Completed surveys will be collected, checked for completeness, and encoded for analysis.

Treatment of Data

 Data will be analyzed using the following statistical tools:

● Frequency and Percentage – To describe the demographic profile of the respondents.

● Weighted Mean – To determine the level of effectiveness and perception of food waste reduction technologies.

 ● Pearson r – To determine the correlation between demographic profiles and the adoption or perceived effectiveness of food waste technologies.

● ANOVA or t-test – To identify significant differences in perceptions and usage when grouped according to demographic variables.

All statistical analyses will be conducted using SPSS or another appropriate statistical software.

DEFINITION OF TERMS

To ensure clarity and precision in this study, the following key terms are defined operationally within the context of this research:

1. Food Waste – The disposal of food that is still fit for human consumption, occurring at various stages of the supply chain, including production, distribution, retail, and consumption, due to inefficiencies, spoilage, or mismanagement.

2. Supply Chain – The entire process of food production, processing, distribution, retail, and consumption, including the stakeholders and logistical systems involved in ensuring food reaches consumers.

3. Technological Solutions – Innovations and digital tools used to mitigate food waste, such as artificial intelligence (AI), blockchain, and the Internet of Things (IoT), which enhance supply chain efficiency and minimize losses.

4. Artificial Intelligence (AI) – Computer-driven systems that analyze data and provide predictive analytics for demand forecasting, inventory management, and food waste reduction.

 5. Blockchain Technology – A decentralized digital ledger system used to enhance supply chain transparency by securely recording transactions and food tracking data to reduce inefficiencies and waste.

6. Internet of Things (IoT) – A network of interconnected devices that monitor food storage conditions, track supply chain logistics, and provide real-time data to reduce spoilage and food loss.

7. Predictive Analytics – The use of AI and data analytics to forecast supply and demand patterns, helping businesses optimize inventory management and reduce excess food production. 8. Inventory Management – The systematic control of food stock levels through digital tools and technology to prevent overstocking, spoilage, and unnecessary waste.

9. Supply Chain Transparency – The ability to track food products throughout the supply chain using technologies such as blockchain to ensure accountability and reduce inefficiencies leading to food loss.

10. Operational Efficiency – The extent to which businesses optimize their resources, reduce costs, and streamline processes through technology to minimize food waste and improve supply chain management.

11. Demographic Profile – The characteristics of the study’s respondents, including age, gender, industry sector, level of technological adoption, and role within the supply chain, which influence their interaction with food waste reduction technologies.

12. Adoption of Technology – The extent to which businesses and stakeholders within the food supply chain implement and integrate digital solutions for food waste reduction.

13. Food Spoilage – The deterioration of food due to microbial growth, poor storage conditions, or improper handling, resulting in loss before consumption.

14. Cost Savings – The financial benefits businesses gain by using technology to optimize food supply, reduce waste, and improve operational efficiency.

15. Policy Makers and Regulators – Government agencies and industry authorities responsible for creating and enforcing policies that support the adoption of technology to reduce food waste.

15. Policy Makers and Regulators – Government agencies and industry authorities responsible for creating and enforcing policies that support the adoption of technology to reduce food waste.

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OraekeiDaniel Ikechukwu^1*, Okoye Odinachi Anthony², Mba Ogbonnaya², Abone Harrison Odera³, ObidiegwuOnyeka Chinwuba⁴

¹Department of Pharmacology and Toxicology, Faculty of Pharmaceutical Sciences, Olivia University, Bujumbura, Burundi.

²Department of Pharmacology and Toxicology, Faculty of Pharmaceutical Sciences, Nnamdi Azikiwe University, PMB 5025 Awka, Anambra State, Nigeria.

³Department of Pharmaceutical Microbiology and Biotechnology, Faculty of Pharmaceutical Sciences, Nnamdi Azikiwe University, Awka, Anambra State, Nigeria.

⁴Department of Pharmaceutical and Medicinal Chemistry, Faculty of Pharmaceutical Sciences, Nnamdi Azikiwe University, Awka, Anambra State, Nigeria.

Daniel Ikechukwu Oraekei email: oraekeidanielikechukwu@gmail.com

Odinachi Anthony Okoye email: nachi.t.okoye@gmail.com

Ogbonnaya Mba email: mbabte@gmail.com

Harrison Odera Abone email: harrisonabone@gmail.com

Onyeka Chinwuba Obidiegwu email: oc.obidiegwu@unizik.edu.ng

*Corresponding author

Daniel Ikechukwu Oraekei,

¹Department of Pharmacology and Toxicology, Faculty of Pharmaceutical Sciences, Olivia University, Bujumbura, Burundi.

Email: oraekeidanielikechukwu@gmail.com

ABSTRACT

Background: It is the function of the liver and kidneys to deal with processes concerning detoxification, metabolism, and the excretion of waste products. Aim: This study tested the liver and kidney protective effects of a combination of Z. officinale and A. sativum in Wister rats treated with doxorubicin. Methods: The qualitative phytochemical analysis and acute toxicity studies were carried out using standard methods. Bacterial lipopolysaccharide from Escherichia coli was used to induce systemic inflammatory and oxidative stress. The animals were pretreated for 14 days with the combined extracts of Z. officinale and A.sativum alone, the extracts with doxorubicin, and doxorubicin alone. LPS at 1 mg/kg intraperitoneally dissolved in normal saline was given daily to the animals along with the treatments for an additional 14 days. On the last day, the animals were anesthetized with ketamine and xylazine, and blood samples were withdrawn from the retro-orbital plexus of the animals into plain tubes. Serum alanine transaminase, Alkaline phosphatase, Serum creatinine, and blood urea nitrogen were estimated using standard methods. Results: among all tested phytochemicals, Z. officinale lacks tannins, steroids, Steroids and terpenoids, while A. sativum lacks saponins and glycosides. No mortality was observed after the acute toxicity study. Group 4 rats, which were treated with Z. officinae, A. sativun, and doxorubicin, showed lower serum levels of alanine aminotransferase, alkaline phosphatase, creatinine, and blood urea nitrogen than the control group. Conclusion: Z. officinale-A. sativum combination showed a favorable safety profile and also exhibited significant protective effects against chemotherapeutic liver and kidney toxicities.

Key words: Allium sativum, doxorubicin,kidney toxicity, liver toxicity, Zingiber officinale

INTRODUCTION

Background of the study

The liver and kidneys of the human body actively deal with processes concerning detoxification, metabolism, and the excretion of waste products. The protective role of natural products derived from plants against drug-induced damage to the organs has received significant attention. Zingiber officinale and Allium sativum are two widely used herbs in culinary and medicinal fields. They are well studied for their chemoprotective, anti-inflammatory, and antioxidant properties. (Oraekei et al., 2024). Z. officinale contains gingerol and shogaol, and A. sativum contains allicin and ajoene, and these are some of the active constituents that have properties to avert oxidative damage and enhance the functions of organs (Mao et al., 2019). Doxorubicin’s molecular composition leads to the production of free radicals and triggers oxidative stress, which is associated with cellular damage (Tacar et al., 2013). Doxorubicin is a chemotherapeutic agent that is effective in treating various cancers; it is known to induce oxidative stress, leading to hepatotoxicity and nephrotoxicity (Kciuk et al., 2023). Doxorubicin, also known as Adriamycin, is a widely used anthracycline antibiotic that’s actually derived from the bacterium Streptomyces peucetius. (Arcamone et al., 1969). Doxorubicin has been noted to have harmful effects on the liver (Abdulrhaman et al., 2025). It also decreases other protective components like cytochrome P-450 and glutathione in the rat’s liver (Timm etal., 2022). Notably, high glutathione levels have been shown to protect liver cells from Doxorubicin’s toxic effects (Deng et al., 2015). Doxorubicin’s long-term use is limited by severe side effects, including a potentially fatal heart condition that worsens with higher doses. (Belger et al., 2023). The combined use of Z. officinale and A. sativum may offer synergistic effects, potentially mitigating the toxic impact of chemotherapeutic agents like doxorubicin. This study aims to test the liver and kidney protective functions of a combination of Z. officinale and A. sativum in rats treated with doxorubicin. Through biochemical assays, the research seeks to determine whether this herbal blend can mitigate doxorubicin-induced toxicity and support liver and kidney health.

Aim of Study

The aim of the study is to test the liver and kidney protective effects of a combination of Z. officinale and A. sativum in Wister rats treated with doxorubicin.

Scope of Study

This study was narrowed to evaluate the biochemical changes in liver and kidney functions due to doxorubicin toxicity, assess key biomarkers like alanine aminotransferase (ALT), alkaline phosphatase (ALP), creatinine and blood urea nitrogen (BUN).

Literature review

Studies have shown doxorubicin to be a highly chemotherapeutic agent used in treating various cancers. Its use is limited due to the toxic effect it causes on various organs, including the liver and kidneys (Alshabanah et al., 2010). Renal and Hepatic functions are assessed by testing biomarkers such as Alanine aminotransferase (ALT), Aspartate aminotransferase (AST), Alkaline phosphatase (ALP), Creatinine levels, and Blood urea nitrogen (BUN) (Lala et al., 2023). Treatment with Z. officinale showed significant improvement in AST, ALT, and superoxide dismutase (SOD) activities (Abdel-Azeem et al., 2013). Z. officinale administered alone at 530 mg/kg body weight had a greater hepato-protective effect than when given in combination with A. sativum (Oraekei et al., 2024); and this study showed that Z. officinale significantly reduced liver and kidney damage, and the combination containing a higher proportion of Z. officinale was most protective than the other tested combinationse. High levels of ALP or BUN may indicate liver disease or a certain bone disorder or kidneys not functioning well (Lowe et al., 2023).

Herbal medicine combination in pharmacotherapy

When herbs are combined, a lot of interactions can occur, but the desirable interactions are those that can result in enhanced therapeutic benefit. The effects of herbal medicine combinations are usually variable. A herb can be used to potentiate the effect of another herb. An example is the combination of ginseng root and aconite daughter root in an anti-shock remedy (Che et al, 2013). In this combination, the aconite daughter root potentiated the effects of ginseng. Herbal drug combinations can also be antagonistic in their actions. An example is the interaction between turnip root and ginseng root, where ginseng is used as a tonic drug, but when used in the presence of turnip root, its effect will be reduced (Che et al, 2013).

Herb-Drug combination

The use of herb-drug combinations can lead to various clinical presentations, such as potentiation, as seen in the potentiation of the effect of oral corticosteroids by liquorice (Kahraman et al., 2021). The impact of herb-drug combinations can also provide effects that may be additive or antagonistic. Herb-drug combinations can lead to alterations in the gastrointestinal functions, which can affect drug absorption (Brantley et al., 2014). It can also cause induction and inhibition of metabolic enzymes and transport proteins (Fasinu et al., 2012). It can also lead to alteration of renal excretion of drugs and their metabolites (Dresser et al., 2002). Long-term use of St. John’s wort can lead to reduced clinical effectiveness of cytochrome P450 subtype CPY3A4 substrate drugs by CPY3A4 induction, which can cause rapid metabolism and a decrease in the dosage of the drugs (Markowitz et al., 2003).

Possible Herb-Drug Interactions

Herb-drug interactions can occur when herbal supplements are taken with prescription drugs and affect how the medications work in the body. There are so many herb-drug interactions like garlic increasing bleeding when taken with an anticoagulant (Hu et al., 2005). Ginseng interacts with anticoagulants and calcium channel blockers reducing their effects (Jiang et al., 2004). St John’s Wort poses high risks with drugs like cyclosporine, oral contraceptives, and indinavir (Roby et al., 2000).

Brief description of Zingiber officinale

Z. officinale is a rhizome that is widely used as a spice and a medicinal herb. It can be used fresh, dried, or in powdered form in the making of teas and cooking. It contains bioactive compounds like gingerol, which have anti-inflammatory or antioxidant properties. It is used in the treatment of nausea and for relief of cold (Mao et al., 2019).

Figure 1: Image of Z. officinale

Brief description of Allium Sativum

A. sativum is a bulbous plant in the onion family. It is widely used as a culinary spice and in traditional medicine. It has a pungent flavor, which comes from sulfur compounds like allicin. It enhances the cardiovascular system, supports the immune system, and has antimicrobial properties. (Ansary et al., 2020).

Figure 2: Image of A. Sativum.

Materials

Animals

Female Wister rats (230 – 240 g) were used for this study. All the animals were obtained from the animal house of the Department of Pharmacology and Toxicology, Enugu State University of Science and Technology, Enugu State, Nigeria. The animals were housed in standard laboratory conditions of 12 hours’ light, room temperature, 40-60% relative humidity, and fed with rodent feed (Guinea Feeds Nigeria Ltd). They were allowed free access to food and water. All animal experiments were conducted in compliance with the NIH guide for care and use of laboratory animals (National Institute of Health (NIH), 2011) Pub No: 85-23), and animal protocol was approved by Animal care and ethics committee of Enugu State University of Science and Technology with approval number ESUT/2025/AEC/0962/AP 845.

Plant materials

Fresh Z. officinale rhizome and A. sativum bulb were purchased from Ogbete main market in Enugu state, Nigeria.

Drug

Doxorubicin was used for this research.

Equipment

Glass column, flasks, beakers, test tubes, surgical blade, measuring cylinder, forceps, scissors, white transparent paper, Analytical Weighing balance(Metler H30, Switzerland), Electric oven, Water bath (Gallenkamp, England) Water bath, disposable pipette tips (Labcompare USA), intubation tubes, stop watch (Avi Scientific India), BUN and creatinine test kits (Teco Diagnostics, USA), precision pipettes (25, 50, 100, and 300 μl, 1,000 µL) (Labcompare USA), AST test kit (Span Diagnostics Ltd., India), UV-VIS spectrophotometer (Model 752, China), distilled or deionized water (SnowPure Water Technologies USA), micropipette (Finnipipette® Labsystems, Finland), disposable hand gloves (Supermax Malaysia), National Blender (Japan), ALP test kit (Span Diagnostics Ltd., India), ALT test kit (Span Diagnostics Ltd., India), plethysmometer (Biodevices, New Delhi, India).

Methods

Phytochemical analysis

The qualitative phytochemical analysis of the extracts was carried out using standard methods described by Odoh et al. (2019).

Test for alkaloids: The plant extracts (0.2 g) were heated in 20 mL of 2% acid solution (HCL) individually in a water bath for about 2 minutes. The resulting solutions were allowed to cool and then filtered, and then 5 mL of the filtrate was used for Hager’s test. The samples (5 mL) were placed in labeled test tubes, and a few drops of Hager’s reagent (saturated picric acid solution) were added. Formation of a yellow precipitate indicated the presence of alkaloids.

Test for glycosides

The samples were extracted with 1% H2SO4 solution in a hot water bath for about 2 minutes. The resulting solution was filtered and made distinctly alkaline by adding 4 drops of 20% KOH (confirmed with litmus paper). One milliliter of Fehling’s solution (equal volume of A and B) was added to the filtrates and heated on a hot water bath for 2 minutes. Brick red precipitate indicated the presence of glycosides.

Test for saponins

The plant extracts (0.2 g) were dissolved in methanol individually, and the resulting solutions were used for Frothing test. The samples (5 mL) were placed in labeled test tubes, and 5 mL of distilled water was added and the mixtures were shaken vigorously. The test tubes were observed for the presence of persistent froth.

Test for tannins

The plant extracts (0.2 g) were dissolved in methanol individually, and the resulting solutions were used for the test. To 3 mL of each of the samples, a few drops of 1% Ferric chloride were added and observed for brownish green or a blue-black coloration.

Test for flavonoids

Using methanol, 0.2 g of the plant extracts and fractions were dissolved individually, and the resulting solutions were used for Ammonium hydroxide test. A quantity of 2 mL of 10% ammonia solution was added to a portion of each of the samples and allowed to stand for 2 minutes. Yellow coloration at the lower ammoniacal layer indicated the presence of a flavonoid.

Test for steroids and terpenoids

Salkowski test: The plant extracts were dissolved in methanol individually, and the resulting solutions were used for the test. A 5 mL of each of the samples was mixed with 2 mL of chloroform, and concentrated H2SO4 was carefully added to form a layer. A reddish-brown coloration at the interface indicated a positive test.

Acute toxicity studies

Acute oral toxicity of the combination of Z. officinale, A. sativum (6:4) and doxorubicin (318, 212, and 5 mg/kg respectively) was performed according to the Organization of Economic Cooperation and Development (OECD, 2021) guideline 425 for testing of chemicals (Up and down method). The single combination dose was administered to the animal based on their body weight. The animals were closely observed for the first 30 minutes, then for 4 hours. Food was provided after 2 hours of dosing. After the survival of the first treated animal, 4 more animals were treated with the same dose at an interval of 48 hours each. The control group of rats (n = 5) was administered with distilled water (vehicle used in preparing the herbal mixture) in the same volume as that of the treated group. All the groups were closely observed for 6 hours and then at regular intervals for 14 days. The animals were weighed and observed for mortality, salivation, diarrhea, asthenia, hypo-activity, hyperactivity, piloerection, hyperventilation, aggressiveness, yellowing or loss of hair fur, drowsiness, convulsion, tremor, dizziness, and other obvious signs of toxicity.

Experimental design

Bacterial lipopolysaccharide (LPS) from Escherichia coli, purchased from Sigma-Aldrich, was used to induce systemic inflammatory and oxidative stress states. The animals were pretreated for 14 days with the combined extracts of Z. officinale and A. sativum alone; the extracts with doxorubicin; and doxorubicin alone. LPS at 1 mg/kg intraperitoneal (I.P) dissolved in normal saline was given daily to the animals along with the treatments for an additional 14 days. Treatment was done 30 minutes before the LPS injection. On the last day, 2 hours after injection of LPS, the animals were anesthetized with ketamine and xylazine, and blood samples were withdrawn from the retro-orbital plexus of the animals into plain tubes.

Animal grouping (5 animals per group)

A total of 25 rats were allocated into five groups of five rats each. Group 1 were uninduced control (Naïve) and were treated with normal saline + 5 ml/kg distilled water via the oral route (p.o.). Group 2 were the negative control and was treated with LPS 1mg/kg i.p + 5 ml/kg distilled water p.o. Group 3 were treated with Z. officinale and A. sativum combination 6:4 (318:212 mg/kg p.o.) + LPS 1mg/kg i.p. Group 4 were treated with Z. officinale: A. sativum: doxorubicin combination (318:212: 5 mg/kg) + LPS 1 mg/kg i.p. While group 5 were treated with doxorubicin 5 mg/kg i. p.

Serum preparation

At the end of the study, blood samples were collected through retro-orbital plexus into a plain covered test tube. The blood samples were allowed to clot by leaving them undisturbed at room temperature for 30 minutes. The clots were removed by centrifuging at 2,000 x g for 10 minutes in a refrigerated centrifuge. The resulting supernatant (serum) was immediately transferred into a clean polypropylene tube using a Pasteur pipette. The samples were maintained at 2–8 °C while handling and apportioned into 0.5 ml aliquots.

Hepatic function tests.

Quantitative determination of alanine aminotransferase (ALT)

Serum alanine transaminase was estimated by the method described by Oraekei et al., (2024) using the ALT test kit (Span Diagnostics Ltd., India). A 0.25 ml of mixture of L-alanine (200 mmol/l), α-oxoglutarate (2.0 mmol/l), and phosphate buffer (100 mmol/l) was added to 0.5 ml of each sample and blank (containing distilled water). They were mixed and incubated at 37 °C for exactly 30 minutes in a water bath. A 0.25 ml of 2,4- dinitrophenylhydrazine was added to the sample and blank test tubes and incubated again at room temperature for 20 minutes. A 2.5 ml of sodium hydroxide (0.4 mol) was then added to all the test tubes, and the absorbance of the sample was read against the blank at 546 nm using a UV-VIS spectrophotometer (Model 752, China). The ALT concentration was extrapolated from a graph of concentration against wavelength absorbance of known ALT concentrations.

Quantitative determination of alkaline phosphatase (ALP)

Alkaline phosphatase was estimated by the method described by Colville (2002) using the ALP test kit (Span Diagnostics Ltd., India). A 0.5 ml of Alkaline Phosphatase substrate was placed in the sample and blank labeled test tubes and equilibrated to 37 °C for 3 minutes. At a timed interval, 0.05 ml each of standard, control (deionized water), and sample was added to its respective test tubes. The mixture was incubated for 10 minutes at 37 °C. A 2.5 ml of alkaline phosphatase color developer (0.1 M Sodium Hydroxide and 0.1 M sodium Carbonate) was added and properly mixed. The absorbance of the samples was read at 590 nm using a UV-VIS spectrophotometer (Model 752, China) and recorded. ALP concentration was calculated using the equation below;

Calculation of ALP concentration

Where Standard Value = 50 IU/L

Renal function tests

Serum creatinine and blood urea nitrogen (BUN) were estimated by the method described by Tietz (1976) and Heinegard and Tiderstrom (1973), respectively, using creatinine and BUN test kits (Teco Diagnostics, USA).

Quantitative determination of creatinine

Creatinine working reagent was prepared by combining equal volumes of 10 mM picric acid and Creatinine buffer reagent (10 mM sodium borate, 240 nM sodium hydroxide). Then 3.0 ml of this reagent was added to labelled tubes (test, blank, and standard) to which 100 µl of serum (test), 5 mg/dl of Creatinine (Standard), and distilled water (blank) were added and mixed in their designated test tubes. The tubes were incubated at 37 °C for 15 minutes, and the absorbance was measured spectrophotometrically at 520 nm against a test blank. The concentration of Creatinine (mg/dl) was calculated thus:

Where Abs = Absorbance, Std = Standard

Quantitative determination of blood urea nitrogen

A 1.5 ml of BUN Enzyme reagent (containing 10,000 µ/l Urease, 6.0 mmol/l sodium salicylate, 3.2 mmol/l sodium nitroprusside) was added to 10 µl of Test (serum), Standard (20 mg/dl), and Blank (distilled water) followed by incubation for 5 minutes at 37 °C. At a timed interval, 1.5 ml of BUN color developer (6 mmol/L of sodium Hypochlorite and 130 mmol/l sodium hydroxide) was added to each of the labelled tubes and were incubated for another 5 minutes at 37 °C. The absorbance of the tests and standards was measured spectrophotometrically at 630 nm against a blank. Urea nitrogen concentration (mg/dl) was calculated thus:

Where Abs = Absorbance, Std = Standard

Results

Table 1: Phytochemical analysis of Z. officinale and A.sativum

Phytocompounds	Zingiber officinale	Allium sativum
Alkaloids	+	+
Saponins	+	–
Tannins	–	+
Flavonoids	+	+
Steroids and terpenoids	–	+
Glycosides	+	–
Yield	44.8 g (11.2%)	62.4 g (15.6%)

Key: + = Present; – = Absent

Acute toxicity study

No mortality was observed throughout the observational period. Reduced physical activities were observed after drug administration, but normalcy was restored 30 minutes later. Other observations were similar to those of the control group that received the vehicle. Delayed signs of toxicity were not recorded within the 14-day observational periods.

Liver and kidney function tests

Figure 1: Serum level of alanine aminotransferase (ALT)

Figure 2: Serum level of alkaline phosphatase (ALP)

Figure 3: Serum level of creatinine

Figure 4: Serum level of blood urea nitrogen (BUN)

Discussion

In the present study, the phytochemical composition and protective effects of a combined extract of Z. officinale and A. sativum against doxorubicin-induced toxicity were investigated, with a particular focus on liver and kidney function biomarkers. The phytochemical analysis revealed that both Z. officinale and A. sativum contain bioactive compounds such as alkaloids and flavonoids, known for their antioxidant, anti-inflammatory, and hepatoprotective properties. Z. officinale showed the presence of saponins and glycosides, which were absent in A. sativum, while A. Sativum uniquely contained tannins and a combination of steroids and terpenoids, which were absent in Z. officinale. These differences suggest that the combination of both plants could offer a wider spectrum of protective phytochemicals than each of the herbs alone. A study conducted by Mao et al., (2019) confirmed the presence of bioactive compounds like flavonoids and gingerols in Z. officinale, which exhibited antioxidant and anti-inflammatory properties.

The acute toxicity assessment showed no mortality or significant adverse effects in the treated animals over a 14-day observation period. Although a temporary reduction in physical activity was observed shortly after extract administration, the animals recovered within 30 minutes. This rapid return to normal behavior, coupled with the absence of delayed toxicity signs, suggests that the herbal combination is safe at the administered dosage. Z. officicinale was shown to be safe when administered in rats at doses up to 2000 mg/kg. (Rong et al., 2009)

Biochemical analyses further supported the extract’s protective effects. Doxorubicin, known for its potent chemotherapeutic activity as well as its hepatotoxic and nephrotoxic side effects, significantly elevated serum markers of liver and kidney injury. Alanine aminotransferase (ALT), a key indicator of liver cell damage, increased significantly following doxorubicin administration. However, animals pre-treated with the Z. officinale–A. sativum combination exhibited a significant reduction of ALT levels compared to the doxorubicin-only group, indicating a strong hepatoprotective effect of the extracts. Similarly, levels of alkaline phosphatase (ALP), another marker of hepatic function, were elevated by doxorubicin treatment but attenuated in animals co-treated with the extracts. The extract alone maintained ALP and ALT levels close to those of the healthy control group, suggesting it has no intrinsic hepatotoxicity and may even support liver health under normal conditions.

Renal functions, assessed via serum creatinine and blood urea nitrogen (BUN), also deteriorated significantly in response to doxorubicin. However, treatment with the Z. officinale-A. sativum combination weakened these effects. Although creatinine and BUN levels remained higher than those of untreated controls, they were significantly lower than in the doxorubicin-only group, indicating nephroprotection. The extract alone maintained creatinine and BUN levels within normal ranges, again reinforcing its safety and potential therapeutic value.

Overall, the results demonstrated that the combined extract of Z. officinale and A. sativum can effectively reduce biochemical signs of liver and kidney toxicity induced by doxorubicin. This protective effect is likely due to the synergistic action of the various phytochemicals present in both plants. Alkaloids, flavonoids, saponins, glycosides, tannins, and terpenoids are all known to contribute to antioxidant defense mechanisms and membrane stabilization, which may account for the observed mitigation of organ damage.

Conclusion

From this study, the Z. officinale-A. sativum combination not only showed a favorable safety profile but also exhibited significant protective effects against chemotherapeutic toxicity. These findings suggest that such a combination could serve as a promising adjunct therapy to reduce organ damage in patients undergoing doxorubicin treatment.

Acknowledgement

I am thankful to God for his unwavering support throughout this study. My appreciation also goes to Dr. Ajaghaku Lotenna Daniel and the laboratory technologists of the Pharmacology and Toxicology department, Enugu State University of Science and Technology, for their expertise that enabled the smooth completion of this study.

Disclosure of conflict of interest

Daniel Ikechukwu Oraekei declared no conflict of interest

Odinachi Anthony Okoye declared no conflict of interest

Ogbonnaya Mba declared no conflict of interest

Harrison Odera Abone declared no conflict of interest

Onyeka Chinwuba Obidiegwu declared no conflict of interest

Statement of ethical approval

Maintenance and care of all animals were carried out in accordance with EU Directive 2010/63/EU for animal experiments. Guide for the care and use of Laboratory Animals, DHHS Publ. # (NIH 86-123) were strictly adhered to. Animal protocol was approved by the Animal Care and Ethics Committee of Enugu State University of Science and Technology with approval number ESUT/2025/AEC/0962/AP 845. There was additional approval by the Nnamdi Azikiwe University’s Ethical Committee for the use of Laboratory Animals for Research Purposes (Approval number is NAU/AREC/2025/0077).

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Citation

Danquah, I. O. (2026). The Concept of Susu and its Impacts on Livelihoods; Real Time Financial Investment and Analysis. International Journal of Research, 13(3). https://doi.org/10.26643/ijr/8

Isaac Odoi Danquah

diok1982@yahoo.com

Water Resources Engineer, Goldrain Mountain Company Limited, Koforidua, Eastern Region – Ghana.

ABSTRACT

Great riches and richness level attainment is procedural and is based on the concept of Susu. That is measuring according to your ability, strength, inflows and outflows of money in real life and moving to the next level thoughtfully. Moving to the next level is when there is stability in terms of resources and money and then measuring according to the same ability, strength, inflows and outflows of money in business or life. It becomes a continuous chain or cycle up to the highest point of self-actualization level in life. And finally becoming a seed or seed capital or startup capitals unto others for greatness or richness life attainment. This is the reason for this paper focusing on Susu concept and impacts on livelihoods towards greatness and rich life attainment in life. From this research, it is established that little drops of money make a pool of   money for big future projects over a given period. A daily contribution of Gh₵500 or $500 on daily basis gives GH₵15000 or $15000 which is 96.774% as investment returns over a period of 31days from Susu principles. And the remaining 3.226% which is GH₵500 or $500 as commission per head amounting to wages for the Susu operator. This research and investment scenario is applicable to all currencies worldwide.

Keywords: Susu, money, investment, capital, livelihoods, operator, World, Bank, United, Nations, Financial, analysis, inflows, outflows, ability.

1. INTRODUCTION

Meeting daily physiological needs is very important in our lives as food, water and shelter can keep mind, body and soul together towards reaching the self-actualization level in life through hard work. This definition and explanation is as indicated by the Maslow’s hierarchy of needs. Everybody on the planet earth who is serious in life and has greatness attainment instinct or have the eagerness attitude to make it in life or meet basic needs gets himself/herself with work on daily basis. With this in mind, everyone is a worker whether consciously aware or unconsciously aware of this fact. Even the illegal gold miner is working. This is justified by the declaration, I  am going to work as everyone says to someone as he/she lives the house on daily basis. As for the size of the work; wages level, time spent at the work place; wealth generation level at the end of the year, experience level etc. Everything about it is work and the final justification is the wages amount or gross income or net income quantified in terms of real money terms that lands in the bank account at the end of the month is the final output. One main difference in here is the quantification in terms of government work, private work or private business.

Everybody in life receives salary at the end of the month. Whether young or old. The only exception here is justified for that little baby still breastfeeding but the little boy or girl who can talk is also a worker in one way or the other according to a school of thought. As a little girl in the house who sweeps, prepares dinner, fetches water, goes to the market and comes back with all necessary accoutrements for the kitchen and fills the fridge with all kinds of activities, drinks and vegetables does this on daily basis to the end of the month is working. The various task and activities done by this teenager is comparably same to the task and functionality of an employed maid in the house. The task executing ability and functionality of such a girl throughout the month is the same as the maid whose wages or salary will be quantified in real money terms at the end of the month in her account at the Bank. Is this little or teenage girl also not working? Can one not quantify her monthly wages or earning in terms of school fees paid by the father, mother or person she is living with. Is she not going to be feed throughout the month, can one talk about the shelter, health needs, clothing’s, having or living a luxurious life comparable to a graduate who is living in a single room and starting life on his/her own? Or again comparable to an employed graduate who is starting life and now living in a single room and having access to one student mattress with one bucket for water? And even a possibility of not even receiving the first 3 months salary or pay check and hence unable to feed but has to employ the concept of Susu. And that concept of Susu is measuring life at that point according to the inflows and outflows of money into his account or life? Such a little or teenage girls can also be seen as worker or employer by the mother, father, teacher, grandfather, grandmother or person who he or she is living with. Since she is going to work or get things done throughout the month and most of the activities done or accomplished by her will not be done by the father, mother or grandfather. So in  a way she is functionally executing all kinds of task and getting work done which will have been the task and roles for a maid in the house. And employing such a maid is based on the concept of Susu. As the gross income or net income for a maid working in a very self-made rich man house will not be the same as the wages/salary in an average income earners rich man house in life.

Susu basically is the ability to measure for an outcome based on intelligent level, resources, inflows and outflows         of money or accoutrements towards attainment of an output in life.  In terms of finances and banking, Susu is measuring according to once strength, ability, intelligent, the inflows and outflows of money in business. The concept of Susu has been used over the years on daily basis towards saving of money to meet basic physiological needs as determined on the Maslow’s Hierarchy of needs. Everything about life is money and especially in the case of business running and banking, the money needs to be used intelligently and well accounted towards sustainability in business.

The concept of susu has helped a lot of people especially the low-income earner who makes money on daily basis through trading and not having a huge quantum of money for business. So with daily contributions into a susu business or account is subject to receiving some sizable amount of money or huge sums of money which can generate a huge output of results in the future.

This is basically the reason for this research paper at Nsutam and Bonsu communities as one investigates little drops of money forms pool of money towards great projects or great tasks executing in the future. Or on the other hand is looking at the susu concepts and its impacts on livelihoods at Nsutam and Bonsu as one invests a good sizable amount of money on daily basis for a period of thirty-one (31) days and earns a monthly income. This monthly gained income is towards further monthly investments or great tasks or project accomplishments in life. And finally looking at the possibility of obtaining tax component as a government and simulating it over the whole wide world as United Nations and World Bank Project for all. It will be beneficial to all mankind worldwide if one thoughtfully thinks through it so that it can be implemented for every country where taxing the business man/woman or trader is very difficult. This will give funds or money to create jobs for now and future generations.

• SUSU CONCEPTS AND ASSESSMENTS OF IMPACTS

2.1       Susu Concept

Susu has been part of Ghana’s micro financial system for at least three centuries (Williams, 2006; Anku, 2013). It forms part of the financial phenomena occurring beyond the functional scope of countries’ banking and other financial sector regulations (Jones et al., 2000; Aryeetey, 1998). Susu is an informal savings mobilisation mechanism where individual savings collectors help savers accumulate savings through daily deposits in consideration of a day’s activity or business of work. It involves a regular pickup of cash with unrestricted rights to withdraw it at a later date (Ashraf et al., 2005; Aryeetey et. al., 1995; Aryeetey 1994; Anku, 2023). Susu is commonly referred to as susu or esusu in West Africa where it is very popular (Alabi et al., 2007; Aryeetey et al., 1995). In Twi, Susu specifically means to measure accordingly to whatever adventure one involves himself or herself in. Central to the susu system is the provision of saving schemes to depositors, purposely to help them accumulate their savings over periods ranging between one month and two years. Even though credit is not the main objective of susu, it is quite common for depositors to be advanced when talking about crediting by a banking facility (Steel et. Al., 2003; Aryeetey, 1994; Anku 2013). In 1997, The World Bank’s report on informal financial markets and financial intermediation in four African countries observed that some susu collectors sometimes advanced monies to their clients before the end of the agreed period. (World Bank Group, 1997). Susu operates primarily on the savings side of the market and is based on a simple system devoid of bureaucratic procedures and complex documentation. It is operated by collectors who are mostly men operating from kiosks which are usually located in the markets. Other Susu operators also go rounds when it comes to daily collection from susu clients or contributors. The collections are often of low but regular value and are usually kept by the collector for each of his clients until the accumulated amount, minus one day’s collection (3.226%) out of 100% (which is 31days of work per head), and 96.774% is returned to the depositor or client. Whilst some collectors hold onto savings collections for safe keeping, others deposit them in their bank accounts. Others still invest them in their businesses or lend them to others (Jones et al 2000; Aryeetey 1994; Anku et al., 2013).

2.2       The Concepts of Susu in Ghana and World

The concepts of Susu have been in existence over several years and I personally an encounter and as a worker in the 2000’s. In Ghana alone, only 5% to 6% of the population is reported to have access to formal banking facilities (Basu et al., 2004). Micro and Small Enterprises (MSEs) are commonly believed to have very limited access to deposits, credit facilities and other financial support services provided by Formal Financial Institutions (FFIs). This is still same in the 21^st century and in the Fanteakwa South district as most traders and people have to travel to another town or city before deposits can be made especially during international business transactions. And most traders and business men/women embarking on this on daily basis results in losses when talking about profits and losses in trading or business (Alabi et. al., 2007). The lack of formal banking facilities underpins the development of MSEs to a very large extent. This has serious implications for a country like Ghana where the economy is largely characterized by Micro and Scale Enterprises (MSEs) (Basu et al., 2004). The concept of Susu among the indigenous traders or market women solves this problem as most can access seed money or capital for the next business transaction or buying at the market, get a loan facility to expand business, or the possibility of releasing some sizable quantum of money as startup capital for a needy woman who approaches them for help or being employed in the buying and selling business (Alabi et. al., 2007). The troubling and pressures associated with money and accessing credit facilities from formal systems compel the poor and informal business enterprises to resort to different non-banking and informal arrangements to access funds for their operations and Susu among the traders is one of the strong determining platforms for accessing huge loans that amounts to GH₵20,000 for instance. Informal Financial Institutions operating outside the scope of banking laws and regulations in Ghana include money lenders, rotating savings and credit associations (ROSCA), and Susu savings collectors. These informal financial systems commonly assist Small Business Enterprises (SBE’s) or Medium Scale Enterprises (MSE’s) particularly, market traders, house wives and artisans to accumulate funds through daily or weekly deposits that are returned at the end of a specified period minus a small fee (World Bank, 1994). These arrangements are based on the ‘Susu’ system. The ‘Susu’ system requires no collateral and operates on a predetermined interest rate averaging 3.2258% – 10% depending on the type of Susu savings or money lending business philosophy (Alabi et. al., 2007).

2.3       Susu as a Sourcing Financial platform for SBE and MSB’s

One of the main sourcing financial platforms holding the trading, buying and selling business in Ghana and worldwide is the Susu Investment Business. With this opportunity, the Small Business Enterprise (SBE’s) and the Medium Scale Business (MSB’s) accesses principals, seed money or capital money, profits and loans for business startups for oneself and for others (Alabi et. al., 2007).

In the absence of Bank facilities and other formal sources, “Susu” has been a major source of fund mobilization for many Small Business Enterprise (SBE’s) and Medium Scale Business (MSB’s) in Ghana (World Bank, 1994). “Susu” is believed to have contributed largely to micro enterprise and small businesses enterprises, guaranteeing the depositors of “Susu” companies’ loan advances for their clients after some period of regular deposits normally six months. The 21^st century has seen the Susu Business or cooperative in a better way as most are housed in a better business housing facility for better functionality towards financial gains and accomplishments (Alabi et. al., 2007). Susu is a financial gaining platform for immigrants to establish crediting and debiting instrument in an economically adverse environment. Historically, indigenous savings strategies represent the continuation of economic self-help, which indentured Africans brought to the U.S based on practice and experience to advance their lives in new land or world. Susu has evolved over the years in Ghana. A major component of finance for urban poor entrepreneurs in Ghana, particularly apprentices and artisans has been the daily or weekly contribution of fixed amounts through “susu”. These savings are accessed after a period of time for purchasing tools and equipment necessary for setting various artisans up in their vocational practices. Artisans who normally benefit from these include seamstresses, tailors, hairdressers, fitting mechanics, welders and carpenters among others. For many petty traders, market women, apprentices and artisans, “susu” is believed to have been a trusted, reliable and friendlier means of getting started and also for sustenance as well as growth of their businesses. “Susu” in some cases is believed to be the sole source of getting established for livelihood (World Bank, 1994). Barclays Ghana calls it the “Ghanaian Microfinance” and describes it as an unconventional mobile initiative which extends microfinance to the least affluent in Ghanaian society (Alabi et. al., 2007).

2.3       Susu and Impacts on Youth livelihoods in the Economy

Adulthood is one school of thought overwhelmed by a set of challenges that are not exempt from the youth of Ghana as we all are subject to old age one day. Questions, problems and focus on young people have become a global concern in 1965, when the General Assembly (UN) United Nations adopted the Declaration on the promotion of youth, gender equality, the right to peace, mutual respect and coordination between people; important role  hammering young people in today’s world, especially its development costs (UNDPI 1995) (Ofoli, 2015).  Young people and their problems have amassed considerable attention from all sectors of the national economy, despite a mantra with little or no understanding of their true ability to national development and how to deal with them as a government. It is on this basis that empowering the young entrepreneurs in Ghana is considered essential for the country’s economic progress (Ofoli, 2015). The youth of every country are very important and hence the need to have a little opportunity for them to anchor or attached great faith around it towards future greatness attainment or enrichment in life.

Traditional financial houses or institutions are indifferent to extend lines of credit to individuals, including youth, because of the risk of law and trapped in business performance that requires little capital, they are also unable to provide the necessary guarantees. This is due to no job, no savings or investment, no collateral and hence justified by the bank or investment institutions not to give in for such commitment as it could result in crush or collapse of their financial institutions (Ofoli, 2015). Susu microfinance programs therefore performs an important role in improving decision through participation in economic decision youth activities such as artistic job creation activities. Microfinance, advancing microcredit and other financial needs of the working poor economy, generally considered the key over the past decades of creation two and a half in terms of how to expand to poor and vulnerable populations (Montgomery Weis, 2006) including young entrepreneur in Ghana. Microfinance savings in terms of progress and has the power to convince young entrepreneurs in improving low developed nations (Schreiner et al., 2001). Low developed nations without resources to establish microfinance institutions or banking sectors highly depends on susu concept for daily and monthly savings, loans and investments. With the inception of the susu concept and its availability to the youth in Ghana today, it has created grounds to access the micro, small and medium enterprises in communities. It allows the entrepreneurs more importantly the youth entrepreneurs to get involved in banking transactions which in effect builds up the economic growth of the citizenship. The social lives of this cluster of people are also enhanced as a result of the susu scheme which enables them to save towards other livelihoods and or monetary demands (Ofoli, 2015).

2.4       Susu as Savings for Net Income or Gross Income

Contribution, investing or savings on daily basis amounts to monthly wages, salary or income. Analysing this or computing on the basis of monthly worker or government earner is justified and can easily amount to a gross income and through deductions for various commitments ends it as net income for the susu contributor. Susu is a popular form of savings in most developing economies. It is practiced in different forms and under different names and conditions in both developing and developed countries. In spite of its contribution to the Gross Domestic Products (GDP) and socio-economic development of both developing and developed countries, it remains under-researched. It shows that Susu is a complex and dynamic social phenomenon. It is discovered that susu shares similarities with other micro savings schemes such as rotating savings and credit schemes, accumulating savings and credit associations as well as Christmas hampers and Christmas clubs in England and the United States respectively. It establishes that similar to other micro savings schemes, the objective, aims and goals of Susu is to help rural, poor and low-income earners meet their economic, social or communal needs. This is because at the local rural settings or level, it is difficult to find a formal financial institutions (rural bank) or banking sector for financial transactions. It is even possible that one may not find a rural bank or international banks in some districts in Ghana in this 21^st century (Ofoli, 2015).

2.5       Susu as an Association to improve Livelihoods

Micro savings in Ghana covers both Susu and group savings schemes also known as susu associations. The group schemes usually operate in the form of rotating savings and credit associations (ROSCAs) and accumulating savings and credit associations (ASCRAs) (Aryeetey et al., 1995). Steel and Andah (2003), in their study of rural and microfinance regulation in Ghana, identified two additional types of susu savings schemes which they described as susu clubs and susu companies (Anku, 2013). Amongst existing micro savings schemes, susu is the most prominent and widely participated by both low- and middle-income earners in Ghana (Anku, 2013). This is due to inability to access financial institutions for daily business and money transactions. The collectors mobilise a great deal of savings albeit without being prudentially regulated by any governmental body (Steel et. al., 2003). As a microfinance activity, micro savings form part of the financial component of informal economies. Portes, Castells & Benton (1989) refer to this as a phenomenon unregulated by the institutions of society in a legal and social environment in which similar activities are regulated. This is not the case in this 21^st century as Ghana Co-operative Susu Collectors Association is regulating and cooperatively controlling the Susu Business under authorization by Bank of Ghana (BoG) even though there are some aspect of irregularities. The irregularities here is the Susu operators not going through registration process and operating illegally. The susu business or banking sector is improving lives positively as huge sums of money are obtained on daily, weekly and monthly basis to solve problems addressed by great banking sectors or institutions. (Anku, 2013).  Little (1957) also identified friendly societies including the susu of Yoruba origin. The aim of these societies was limited to mutual aid and benefit to its members. In Ghana, he observed that the Nanamei Akpee society headquartered in Accra had over 400 members, most of whom were educated or semi-literate women readers. Members of this group paid monthly subscriptions for funeral expenses and other engagements like weddings (Anku, 2013).

• Research Zone and Area for Data

The investigating area for this study is at Nsutam and Bunso in the Eastern Region of Ghana. The people of Nsutam and Bunso are involved in gold mining activities, farming, trading. Cocoa Research Institute of Ghana has its activities which looks at various processes involved in the Cocoa industry at Bunso. Some of the farm products produced includes coconut, cocoa, plantain, yam, cassava, sugar cane, cashew nuts and all kinds of vegetables produced during the farming seasons. The huge amount of gold discovered in the Nsutam community has resulted in all kinds of illegal gold mining activities destroying water bodies, forest and lands. The Bunso Junction is the main point or centre stage when it comes to petty trading and Susu business. The Bunso junction is serving as taxi ranks or station for all kinds of travelling in and out of Nsutam and Bunso and for those going to Accra, Kumasi and beyond. The Nsutam community has a population of about 7000 (2021 population census) with the majority being immigrants due to the gold mining business, Linda Dor and Paradise Tourist business operations in the community. The Bunso community has the GPS address E5-1774-2247 at a point in Bunso and Nsutam community four has the GPS address E6-976-6246 at point in Nsutam. This GPS is in accordance with Ghana Post GPS in Ghana.

The illegal gold mining business at Nsutam has destroyed a lot lands resources, water resources, aquatic life’s, forest reserves, has resulted in relocation of most indigenous, leaving people faithless in the future in this 21^st century, etc. The destroyed land needs reclamation process in order to restore the infertile lands back to more fertile rich soils which will support plant growth in order to support the hydrological cycle and exchanges of oxygen and carbon dioxide between man and plants. Restoration of the degraded lands will also promote afforestation and wildlife existence in the future for future generation and finally crop production. With high yields and better crops, petty trading among the people will be enhanced. Then one can think of doing business and resultant Susu business among all people in the two communities. It will also promote tourist attraction when vegetation’s are groomed and protected with the existence of wildlife’s. Danquah (2023) elaborates on how some of these illegal gold mining sites that have been destroyed can be converted into Eco parks as a tool to reclaim degraded lands whiles making money to help oneself and community and Ghana as a whole. The illegal gold mining canker coupled with the effects and impacts of ‘Akatie’ has affected the Cocoa business drastically and final output on the international market as whole.

Fig. 1: Map Showing the Study area Communities of Nsutam & Bunso

• Research Findings and Output

4.1            Susu as Driving force for Traders

Since the inception of daily or weekly susu in the lives of traders at community four, great quantum of wealth and big projects realization has been achieved to a greater extent. The new free senior high school education in Ghana has lessened the burden on parents and guardians. If not, the Susu concept and approach would have been one of the main key parameters to deal with offsetting, school fees, loans and financial burdens. Research findings indicates that petty traders are very much interested in the susu business as most have amassed wealth since its inception. A Susu business which started in March 2025 with 35 clients now stands at 365 clients regardless of being in good standing or not. This is just comparable to banking institutions setting as some people are always working with banks whiles others goes redundance or have the red line when the account becomes dormant. The good standing of the Susu accounts and redundancy has to do with business operations intelligence, the inflows and outflows of money in business, business advices, migrations issues, change of trade or trading interest and others. Depicted in the Table 1 & 2 below is the enrolment patten for the clienteles at Nsutam and Bunso into Glory Susu Business in Ghana.

Table 1: Clients Enrolment on monthly Basis [March – Aug. 2025]

MONTH	March	April	May	June	July	Aug
№ Of Clients	35	97	157	190	199	212

Table 2: Clients Enrolment on monthly Basis II [Sept. – Feb. 2026]

MONTH	sept	oct		nov	dec	jan	FEb
№ Of Clients	125	266		290	302	332	365

From the two Tables above, one can easily see that, Glory Susu at Nsutam started with 35 clients in March 2025 and cumulatively increased on monthly basis and currently at 365 in February 2026. Even though some have clients are not investing on monthly basis, it is comparable to banking sector activities, actions and inactions and impacts. Table 2 recorded decrease in number of clients due to some challenges faced in August after recording a total clientele of 212. Fig 2 below gives graphical representation of the various clientele registration for this research.

Fig 2: Clients accumulation against months of investing in Susu Business

4.2       Loanable funds and impacts

Life is all about relationship and depending on others before independence towards self-sustainability and accountability. And so is the reason for loaning unto another in business, for a project, for a transaction, towards a startup capital. As a mother loans her time, business and money to her baby till adulthood and working time, so will the child who becomes a parent one day loans her time, money and engagement to the mother at her old age.

 With this declaration one will definitely go for a loan from an international bank, rural bank, microfinance or from Susu operator. And Glory susu is also involved with loaning to its real customers. Availability of resources either quantified in terms of money or goods and services is one of the main reasons for loaning unto other. By this assertion, even very rich and developed countries do go for loans from underdeveloped countries and these are usually quantified in terms of state resources and its availability.

The loanable funds theory says that market interest rates are determined by the demand and supply of loanable funds rather than just money supply. Supply comes from susu savings and bank while demands is from investment into factories, business, machinery and individual borrowing for large purchases. From Fig 3, it can clearly be seen that as demands for loans from the Banks, from microfinance institutions and from Susu groups increases, interest rates goes high (shift from r₁ to r₂₎). This is seen in the red arrow sign on the diagram above and once such things happens, then there will a lot of pressure in the system as more money are generated in the direction of banks and financial institutions. Traders will get little money after obtaining loanable funds for business at high interest rates and will be expected to pay more money to offset huge amounts of loans obtained from the banks. That will have negative impacts or effects on the Gross domestic Product (GDP) in the country.

On the other hand is the green arrow as can be seen in the diagram below. In a situation where people are willing to start business on loans and work assiduously towards living and doing business without loans over a period of time? Then there will be little pressures on banks, microfinance institutions and on susu groups when it comes to accessing loans for business. In that regard, the banking sector will have no option than to reduce interest rates on loans (shift from r₂ to r₁) and loanable funds will be low. Loanable funds will be low since just a few business men and business women will be approaching loans for business and transactions. And lower and further will the interest rates be as the number of business men/women approaching loans for business will be on a low rate. And hence a justification for low interest rate on the Fig. 3 below. This will see the green arrow in the diagram generating positive results on the economy when it comes to GDP as buying and selling of goods and offering of services, exchange rates will be on the low side. Such conditions in a country usually results in harsh governance but usually yields results for a country which is yearning towards self-independence and self-sustainability. This policy and governance goes for countries willing to build its own country and by that begins on the platform by making use of its internal natural resources and accoutrements and a country like Ghana yearning to be a country comparable to USA, Hong Kong, Germany as an independent developed country needs to do same in this regards towards national development to international standards in this 21^st century.

Fig 3: Loanable Susu Funds and Interest Rates determinants

4.3       Glory Susu Loanable Funds

Table 3 below is explaining the Susu mobilization loanable funds that was accessed by Susu clienteles from July 2025 to February 2026. With Glory Susu and her aims and objective of enrichment unto now and future generations, various needs and demands are met on daily basis through the Glory Susu loan scheme.

Table 3: Charting Loanable funds to Glory Susu Clienteles

MONTH & YEAR	LOANABLE AMOUNT (GH₵)	PAID FULLY
July 2025	19,000	Paid
August 2025	8,900	Paid
September 2025	9,600	Paid
October 2025	6,200	Paid
November 2025	13,500	Paid
December 2025	23,600	Paid
January 2025	22,570	Paid
February 2025	41,070	Month Under Review

Loans from Glory Susu and most Susu operators are interest free for now as all clienteles are seen as part of the principal money or seed capital generating process.But the concept of ‘Susu’ still remains a goal and objective that is always used in every process of business transaction as loans are even given according to once or clienteles inflows and outflows in business, ability to contribute or save to the end of the month. And the principle of do unto others what you want others to do unto you is also another great principle and objective that is used in this business. The least amount of loan given so far as can be seen in the Table 3 is GH₵6,200 in the month of October 2025 and the highest is GH₵41,070 and that is in February 2026 which is the month under review. Various needs and demands are met whenever such loans are accessed at Glory Susu. This includes; as startup capitals for various businesses, education, travels, purchasing of lands, buying of cars/Tricycle (Pragia/Aboboya’s), renting of building appartments or housing systems, completion of building projects etc. All such projects are withing the jurisdiction of the United Nations and World Bank as various Sustainable Development Goals are met towards the goodwill of mankind. I strongly believe as clients acquire these loan facility to meet various demands, it’s their utmost aim of trying to work and live off loans in the future towards self-independence and self-sustainability just like the Sustainable development goals of the United Nations are met with serious work of addressing all needs worldwide.

4.4  Glory Susu Philosophy and Impacts on Livelihoods

Glory Susu and Susu in general wealth generating process basically involves investing an appreciable amount of money on daily basis for 31 days to obtain a return of 96.7742%. The remaining 3.2258% becomes the commission per head accumulating into monthly business profits or wages based on number of customers or clients engaged within that month. The interesting concept involved in the Glory Susu Investment is releasing or investing the money without feeling the economic value and hardship in the economy basing it on the amount of money invested per day. But the happy moments is the total amount of money generated at the end of the month with the sustainability of the business or operating shop not affected to any degree. With the GLORY SUSU INVESTMENT concept is the MINISTRY OF GOLDWAY establishment in government and as a world UNITED NATIONS and WORLD BANK project to serve now and future generations. For instance, an egg seller can contribute Gh₵30 and earn Gh₵900 with the remaining Gh₵30 generated as commission/wages for Glory Susu. On the high level will be the contribution of Gh₵400 to earn Gh₵12000 at the end of the month as sampled and indicated in Table 4. Glory Susu is for anyone willing to reap bumper harvest of money at the end of the month and not afraid of little drops of money makes a pool of money. Everyone has a philosophy or principle upon which his/her huge mansion is built. God believes in laying a strong foundation, laying the first basic unit block and using six days to create the world and finally resting on the seventh day. This is the philosophy of Glory Susu even though working in Glory susu is seven days in a week and 31days in a month.

Table 4: Sampled invested amount and Returns for Client and Glory Susu

Type of Business	Daily Investment [Gh₵]	31 days period Total Earning [Gh₵]	Investor Profit [96.7742%] [Gh₵]	Glory Susu Profit [3.2258%] [Gh₵]
Egg Seller	30	930	900.00	30.00
Hair Stylist	40	1240	1200.00	40.00
Shop Owner	100	3100	3000.00	100.0
Spot Owner	200	6200	6000.00	200.0
Wakye Seller	500	15500	15000.0	500.0
Distribution Points	700	21700	21000.0	700.0

Table 4 gives the clear understanding and various scenarios that can be generated under different investing amounts and the appropriate end of month returns for investors and Glory Susu.

4.5       Glory Susu and its Projections for United Nations and World Bank and impacts

But this same concept can be used to generate income or wages for the seller or trader on monthly basis and effectively generate tax for government projects in Ghana and worldwide. This is where this Glory Susu concept and project is seen as UNITED NATIONS and WORLD BANK project for now and future generations and the establishment of ‘MINISTRY OF GOLDWAY’ WORLDWIDE. This will be collaboratively done with Ghana Revenue Authority and revenue collectors and simulated though out the world as a WORLD project for all. With this understanding, a monthly return after an appreciable amount of investment on daily basis based on measuring investment capability based on business size, inflows and outflows of money in business will be obtained.

Table 5: Sampled invested amount and Returns for Client (workers), Government and for project owner(s)

Type of Business	Daily Investment [Gh₵]	31 days Earning [Gh₵]	Investor Profit [83.4%] (Gh₵)	GoG and Project Owner % [16.6% ]          Tax Rate (Gh₵)
Egg Seller	30	930	775.62	154.38
Hair Stylist	40	1240	1034.16	205.84
Shop Owner	100	3100	2585.4	514.6
Spot Owner	200	6200	5170.8	1029.2
Wakye Seller	500	15500	12927	2573.0
Distribution Point	700	21700	18097.8	3602.2

After which there will be a Tax Component out of total amount generated in 31days into government account for government projects and project owners task executions. This is expatiated for better understanding in Table 5 below towards decision makings and conclusions.

• Conclusion

From one school of thought is little drops of water to make an ocean of water and little drops of money to make a pool of money towards great riches and great project or objectives attainment in life. This is the same concept of little drops of money resulting in a pool or quantum of money towards addressing specific needs and objectives within a time frame. This is the Susu concept in Ghana and foundation philosophy of Glory Susu at Nsutam, Ghana and Worldwide. And from the great riches and success story of Glory Susu to the United Nations will be to address the 17 Sustainable Development Goals of the UN worldwide. Great height attainment in a procedural way and through good standard operating procedure in the financial sector will be attained and great riches generated for all. By simulating this GLORY SUSU and INVESTMENT concept as UNITED NATIONS and WORLD BANK PROJECT under a ministry called the MINISTRY OF GOLDWAY is the ENRICHMENT UNTO GENERATIONS and peaceful creation of a world unto all worldwide for now and unborn generations.

Acknowledgement

Grateful I am to the Most High God for this divine wisdom and revelational knowledge towards the goodwill of mankind worldwide. I am grateful to my Wife, Rita Darko, two sons; Gates and Michael for their support and motivation. I am thankful to the Danquah family at Nsutam and Darko family at Kukurantumi for their encouragement and Support. I am so grateful to GLORY SUSU and her clienteles at Nsutam, Bonsu, Ghana and World wide for given me the opportunity and for being part of this United Nations and World Bank Project. Grateful I am also to the government of Ghana and the governing body. My final appreciation and thanks goes to the United Nations and World Bank worldwide. I am again grateful to Internation Journal of Research, pen2print in India and UK and all their branches worldwide. Bravo!! Hurray!! To us all. Stay blessed.

References

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Citation

Etagbedavbe, O. B., & Akpokiniovo, R. S. (2026). Effects of Peer Teaching and Inquiry Teaching Strategies on Achievement of Mathematics Students in Delta Central Senatorial District. International Journal of Research, 13(3), 85–103. https://doi.org/10.26643/ijr/7

Etagbedavbe, Orokaro Blessing

Department of Science Education,

  Delta State University, Abraka, Nigeria

AND

Akpokiniovo, Rukevwe Samuel PhD

Department of Science Education,

  Delta State University, Abraka, Nigeria

Correspondent: samuel.akpokiniovo@delsu.edu.ng

ABSTRACT

This study investigated the effects of Peer Teaching (PT) and Inquiry-Based Teaching (IBT) strategies on the academic achievement of mathematics students in Delta Central Senatorial District. Four research questions were raised, and corresponding hypotheses were stated and tested at the 0.05 level of significance. The study employed a quasi-experimental, non-equivalent pre-test, post-test control group design. The population comprised 21,147 Senior Secondary II students from 190 public secondary schools during the 2024/2025 session. A sample of 392 students was selected from six mixed secondary schools using a multistage sampling technique. The Mathematics Achievement Test (MAT) was the instrument used for data collection. Its reliability was established by administering it to 50 SS II students in two secondary schools outside the study area, yielding a reliability coefficient of 0.81 using the Kuder-Richardson Formula 21. Both pre-test and post-test scores were collected and analyzed. Descriptive statistics (mean and standard deviation) were used to answer research questions, while inferential statistics (t-test, ANOVA, and ANCOVA) were used to test the hypotheses. Findings shows a significant difference in mean achievement scores among the instructional groups, with students taught using Peer Teaching achieving higher scores than those taught through Inquiry-Based Teaching and those in the control group. However, there were no significant differences in achievement between male and female students, under Peer Teaching or Inquiry-Based Teaching strategies. Additionally, there were no significant interaction effects between instructional strategy and sex or location on students’ mathematics achievement. Based on these findings, it was recommended that mathematics teachers incorporate these strategies—particularly peer teaching into their instructional practices to encourage active learning and peer collaboration.

Introduction

            Mathematics is a fundamental field of study that deals with numbers, quantities, shapes, patterns, and relationships. It’s a subject that is essential for understanding the world around us, making informed decisions, and solving various problems. Mathematics is used in various disciplines, industries, and everyday life. Mathematics teaches critical thinking and problem-solving skills that can be applied to various situations. Mathematics is present in everyday activities like budgeting, cooking, shopping, and measuring. Thus, the importance of mathematics in every sphere of human life cannot be overemphasized (Bal & Seckin-Kapucu, 2022). According to Akpokiniovo (2022), students’ lack of interest in learning physics and mathematics leads to poor academic achievement in the subject and a shortage of human resources in key professions. Consequently, there is a low number of students who qualify for enrollment into mathematics in higher institutions of learning within Nigeria and some other underdeveloped nations. Conscious efforts are needed to prepare learners who will be useful and qualified to pursue important mathematics -oriented courses at the higher education level by capturing and sustaining their interest during mathematics instruction.

In order to achieve the objectives of mathematics education, there is need for better academic achievement among students. Therefore, the importance of mathematics in almost all the facet of life endeavours cannot be over-emphasized. Poor academic achievement not only leads to a negative image of the student, but it also puts an enormous strain on the parents. Given the dynamic role mathematics plays in any society, as discussed above, it is quite appalling and unfortunate to see students fail mathematics examinations (Nshimiyimana & Cartledge, 2020). This gloomy condition has prompted a slew of research initiatives over the years aimed at determining the elements that contribute to low academic achievement in mathematics and what steps may be taken to ameliorate the situation. As a result, several variables interact to determine students’ academic achievement. However, the researcher believes that instructional strategies can have an impact on students’ mathematics academic achievement. Instructional strategies are a crucial component of effective teaching, and they can significantly impact students’ learning outcomes in any subject, including mathematics. Effective instructional strategies can make mathematics more engaging and intriguing for students. When students are actively involved in the learning process and find the material relevant, they are more likely to be motivated to learn and perform better academically. Among the different instructional strategies that exist, the researcher is also of the opinion that peer teaching strategies (PTS) and inquiry-based teaching (IBT) could be effective strategies for enhancing students’ academic achievement in mathematics.

Peer Teaching Strategy (PTS) is an educational approach in which students teach and learn from their peers. The Peer Teaching Strategy (PTS) is an instructional approach that actively engages students in the teaching and learning process through four key steps. It begins with individual reflection, where students independently engage with the lesson content, allowing them to form initial ideas, identify areas of confusion, and develop personal insights (Akpokiniovo & Akudolu, 2023). This is followed by peer discussion, during which students collaborate in pairs or small groups to share their understandings, clarify concepts, and challenge each other’s viewpoints. Through this interaction, learners gain new perspectives and enhance their critical thinking skills. A study by Uyim, and Nonye (2019) emphasized that students learn better when actively involved in the teaching-learning process. It also agrees with findings by Osondu (2021) who reported that the use of learner-centred methods such as peer-teaching and inquiry-based approaches significantly improve students’ academic achievement in mathematics. Despite the fact that there are several examples of student-centred approaches, this research only looked at guided inquiry teaching and peer tutoring strategies.

Inquiry method can simply be defined as a form of active learning that starts by posing questions, problems or scenarios rather than simply presenting established facts or portraying a smooth path to knowledge. The process is often assisted by a facilitator. There are many different explanations for inquiry teaching and learning and the various levels of inquiry that can exist within various contents. Bandi and Bell (2008) clearly outline four levels of inquiry.

Level 1: Confirmation Inquiry; the teacher has taught a particular topic. The teacher then develops questions and a procedure that guides students through an activity. This method is enables the teacher to reinforce concepts taught and to introduce students into learning to follow procedures, collect and record data correctly and to confirm and deepen understanding.

Level 2: Structured Inquiry; the teacher provides the initial question and an outline of the procedure. Students are to formulate explanations of their findings through evaluating and analyzing the data that they collect.

Level 3: Guided Inquiry; the teacher provides only the research questions for the students. The students are responsible for designing and following their own procedures to test the question and then communicate their results and findings.

Level 4: Open/True Inquiry; Students formulate their own research questions, design and follow through with a developed procedure, and communicate their findings and results. This type of inquiry is often seen in science fair contexts where students drive their own investigative questions.

The goal of the inquiry-based teaching strategy, according to Mwenda and Ndayambaje (2021), is to foster curiosity, critical thinking, problem-solving skills, and a deeper understanding of the subject matter. Bako (2020) described inquiry-based teaching (IBT) as a student-centred approach that emphasises exploration, investigation, and problem solving. In this approach, students are encouraged to ask questions, make predictions, and engage in hands-on activities to discover mathematical concepts. By actively exploring mathematical ideas, students develop a deeper understanding of the underlying principles and are better able to apply their knowledge in real-world situations. Numerous studies (Issaka, 2020; Mehboob et al., 2021) have highlighted the benefits of inquiry-based teaching on students’ achievement. For instance, a meta-analysis conducted by Hiebert et al. (2012) revealed that students who received inquiry-based instruction performed significantly better on assessments compared to those who did not receive inquiry-based instruction. Some researchers such as Jacinta (2011) conducted a study on inquiry method and students’ academic achievement in biology in Ogba/Egbema/Ndoni Local Government Area of Rivers State, Nigeria. The author shows that inquiry method has a significant effect on students’ achievements in biology.

The effects of peer-teaching (PT) and inquiry-based teaching (IBT) strategies on students’ achievement may differ depending on sex. A student’s sex could be male or female. The term “sex” refers to the biological characteristics of being male or female. Sex can influence various aspects of human life, including educational outcomes, where differences may emerge in how males and females respond to certain teaching methods. When comparing the effects of these teaching methods across sexes, some studies (Bello & Johnson, 2020; Adewale & Smith, 2019) found no evidence of a significant relationship between sex and achievement when exposed to inquiry and guided-discovery instructional methods respectively. However, others (Nguyen & Taylor, 2021; Li & Wang, 2022; Macaulay & Obafemi, 2022) found a substantial relationship between sex and achievement, with males scoring higher than females when instructional methods such as Simulation instructional strategy and Teacher-demonstration method and guided inquiry were used. There are mixed results from reviewed empirical studies on the effects of guided inquiry teaching and peer tutoring strategies on students’ achievement, however, the gender effect on the aspect of students need to be examined. As a result, the findings of this study will provide additional empirical evidence on this topic. It should be noted that gender is a intervening variable in this study. Against this background, therefore, this study sought to examine the comparative effect of inquiry and peer tutoring teaching strategies on the achievement of mathematics students in in Delta Central Senatorial District.

Statement of the Problem

Mathematics is a fundamental subject that plays a critical role in students’ academic and career development. However, students’ academic achievement in mathematics has remained consistently low, as indicated by poor results in external examinations. Many students struggle with fundamental mathematical concepts, leading to a lack of confidence, negative attitudes toward the subject, and high failure rates. For instance, the results released by WAEC in 2022 revealed that a high number of the candidates that sat for the examination failed mathematics (WAEC Chief Examiner, 2022). A similar trend was observed in the 2023 released West Africa Senior School Certificate Examination (WAEC) results by the West Africa Examination Council, which declared that a few of the candidates were successful in five subjects including mathematics (WAEC Chief Examiner, 2023). The fluctuation in students’ academic achievement in the subject may be as a result of rote learning of mathematics, which occurs due to lack of active involvement in the teaching of the subject.

Thus, student’s poor academic achievement at the secondary school has been attributed to ineffective methods and strategies used by teachers in teaching the subject. The available literature on methods of teaching in science education suggests the need to employ new and innovative teaching strategy. The researcher therefore in this study is of the opinion that the use of Peer teaching (PT) and Inquiry-based teaching (IBT) strategies may enhance the academic achievement of students in mathematics. The problem of the study, therefore, is will the application of Peer-Teaching (PT) and Inquiry-Based Teaching(IBT) strategies produce differential effect on academic achievement of students in mathematics in Delta Central Senatorial District?

Research Questions

The following research questions guided the study:

1. What is the difference in mean achievement score of mathematics students taught using peer-teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District?
2. What is the difference between the mean achievement scores of male and female students taught mathematics using peer-teaching (PT) strategy in Delta Central Senatorial District?
3. What is the difference between the mean achievement scores of male and female students taught mathematics using inquiry-based teaching (IBT) strategy in Delta Central Senatorial District?
4. What is the interaction effect of instructional strategies and sex on mathematics students’ achievement in Delta Central Senatorial District?

Hypotheses

The following null hypotheses are formulated for the study and were tested at 0.05 level of significance

1. There is no significant difference in mean achievement score of mathematics students taught using Peer-Teaching (PT) and Inquiry-Based Teaching (IBT) strategies in Delta Central Senatorial District.
2. There is no significant difference between the mean achievement scores of male and female students taught mathematics using Peer-Teaching (PT) strategy in Delta Central Senatorial District.
3. There is no significant difference between the mean achievement scores of male and female students taught mathematics using Inquiry-Based Teaching (IBT) strategy in Delta Central Senatorial District.
4. There is no significant effect of interaction of instructional strategy and sex on mathematics students’ achievement in Delta Central Senatorial District.

Research Methodology

This study employed quasi-experimental non-randomized pretest posttest control group design. There was no randomization of subjects in this study. Intact classes were randomly assign to the experimental and control groups. The independent variables are Instructional methods. The dependent variable is the achievement score of mathematics students. The population for this study comprised a total of 21,147 Senior Secondary School Two (SS II) students across 190 public secondary schools in Delta Central Senatorial District, Delta State, during the 2024/2025 session. A sample of 392 SSII students selected from six (6) public mixed senior secondary schools in Delta Central Senatorial District made up the sample size for this study. The six (6) public mixed senior secondary schools were selected using simple random sampling technique.

The instrument that was used for the study is the Mathematics Achievement Test (MAT). The MAT was used to measure academic achievement. The MAT consists of two sections. Section A contained instruction on the student’s bio-data (sex and location). Section B consists of 50 multiple-choice questions that will be adapted from past West African Examination Council (WAEC) questions in line with the selected concept or topic that will be treated in the study. The concept that made up the MAT are Logarithm and indices, Approximations, Sequence and Series, Quadratic Equations, Gradient of a Curve and Algebraic Fractions. The instrument was tested for reliability in two secondary schools in Delta South Senatorial District. While carrying out the reliability test the instrument was administered on 50 SS II students from schools outside the research area. The Kuder-Richardson formula -21 was used to compute the reliability index of data collected, which yielded a reliability coefficient of 0.81

            The treatment procedure began with the allocation of instructional methods to schools. Two instructional methods were assigned to four intact classes selected from both urban and rural areas—one from each sampled school. To assign the treatment methods, the two instructional strategies and the control group were written on paper and coded as follows: Peer Teaching Strategy (PTS), Inquiry-Based Teaching Strategy (IBTS), and Control Group (CG). Six equal-sized sheets of paper were labeled PTS1, PTS2, IBTS1, IBTS2, CG1, and CG2, then rumpled and placed in a container. Six teachers each selected one sheet of paper, with replacement. Teachers who picked PTS were assigned to use the peer teaching strategy, those who picked IBTS were assigned to use the inquiry-based teaching strategy, and those who picked CG were assigned to the control group. This process ensured that two intact classes—one from an urban school and one from a rural school—were assigned to each treatment method. The next phase involved training the research assistants. The four mathematics instructors designated to use the peer teaching and inquiry-based teaching strategies were trained before the treatment began. The training lasted four days, with 40-minute sessions each day. Alongside two other experts, the researcher conducted the training, focusing on the effective use of each instructional strategy. The first day was used to explore the characteristics of both teaching strategies.

            On the second day, the teachers were trained using manuals adapted from Muştu and Tekin (2021) and Assem (2018), with separate manuals for peer teaching and inquiry-based strategies. Each group of teachers was trained separately by different resource persons. The training highlighted the steps and stages involved in using each strategy, as well as the specific roles of teachers and students during instruction. The third and fourth days focused on practice and idea generation for applying each instructional strategy to the chosen mathematics concepts. The training concluded when the facilitators were confident that the teachers could effectively implement the strategies during instruction.

            The final phase was the actual implementation of the treatment. This occurred in three stages. In the first stage, pretests using the Mathematics Achievement Test (MAT) were administered to all the groups after obtaining permission from school authorities. The pretest results were used to assess the equivalence of the groups and to identify any initial differences that could be attributed to the treatment.

Stage Two: In the second stage, lesson plans covering six weeks of instruction were given to the research assistants one week before treatment commenced. The lesson plans detailed the activities of both teachers and students during each class session.

Stage Three: In the third Stage,teachers in each selected group will presented the content of the topics that were selected to the students with the use of peer teaching strategy and inquiry based teaching strategy in their various school for six weeks. Teachers instructed the students during the treatment session, adhering to the procedures they learned about during their training. In the treatment, the teacher in the control group only gave the selected topics to the students in the form of revision using past examination questions, without applying any specific instructional treatment method.

Stage Four: At the end of the six weeks of instruction by the teacher, a post-test was given to the students in all the groups.

The research questions were analysed using Mean Scores and Standard Deviation scores. Hypotheses were tested with t-test statistics, One-way Analysis of variance, Analysis of Covariance (ANCOVA). All hypotheses were tested at 0.05 level of significance.

Results and Discussion

The results are tabulated, interpreted and discussed immediately after the research questions and corresponding hypothesis.

Research Question One

What is the difference in mean achievement score of mathematics students taught using peer-teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District?

Table 1:  Comparison of The Mean() achievement  pretest score of mathematics students taught using peer-teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District

	N	Mean	Std. Deviation
Peer Teaching Method	196	11.22	1.26
Inquiry-Based Teaching Method	152	11.16	1.77
Control Group	44	11.64	1.42
Total	392	11.24	1.49

Table 1 revealed the mean and standard deviation of the achievement scores of mathematics students taught using peer-teaching and inquiry-based teaching instructional strategies. In the table, the means of the pretest scores of students taught using peer-teaching and inquiry-based teaching strategies are 11.16 and 11.14, with standard deviations of 1.33 and 1.69, respectively. The mean difference in the pretest scores between the two instructional methods is 0.02.

Analysis of variance(ANOVA) was further used to find out whether the mean difference is significant and presented in Table 2

Table 2: ANOVA Comparing the Mean Achievement Pretest Score of mathematics students taught using peer-teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District

	Sum of Squares	df	Mean Square	F	Sig.
Between Groups	7.853	2	3.927	1.767	.172
Within Groups	864.636	389	2.223
Total	872.490	391

Table 2 shows that the ANOVA comparison of the pretest scores of mathematics students taught using peer teaching and inquiry-based teaching instructional strategies is not significant (F = 1.767, p ≥ 0.05). This implies that the students were similar in terms of their prior knowledge of the mathematics concepts before the instructional strategies were applied.

Table 3:  Comparison of The Mean() achievement  posttest score of mathematics students taught using peer-teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District

Instructional methods	N	Mean	Std. Deviation
Peer Teaching Method	196	44.80	9.428
Inquiry-Based Teaching Method	152	40.95	9.088
Control Group	44	26.30	8.157
Total	392	41.23	10.726

Table 3 shows the mean and standard deviation of the posttest achievement scores of mathematics students taught using peer teaching and inquiry-based teaching instructional strategies. In the table, the means of the posttest scores for students taught using peer-teaching and inquiry-based teaching strategies are 45.21 and 41.19, with standard deviations of 9.40 and 8.92, respectively. The mean difference in the posttest scores between the two instructional methods is 4.02. Analysis of variance(ANOVA) was further used to find out whether the mean difference is significant and presented in Table 4.

Hypothesis One: There is no significant difference in mean achievement score of mathematics students taught using peer teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District.

Table 4: ANOVA Comparing the Mean Achievement Score of difference in Mean Achievement Score of Mathematics Students taught using Peer-Teaching (PT) And Inquiry-Based Teaching (IBT) Strategies in Delta Central Senatorial District

	Sum of Squares	df	Mean Square	F	Sig.
Between Groups	12318.219	2	6159.109	73.348	.000
Within Groups	32664.575	389	83.971
Total	44982.793	391

Table 4 shows that the ANOVA comparison of the posttest achievement scores of mathematics students taught using peer-teaching and inquiry-based teaching instructional strategies is significant (F = 73.348, p = 0.000). Therefore, the null hypothesis, which states that there is no significant difference in mean achievement score of mathematics students taught using peer teaching (PT) and inquiry-based teaching (IBT) strategies in Delta Central Senatorial District was rejected. This implies that there is a significant difference in the mean achievement scores of mathematics students taught using the two instructional strategies, in favour of students taught using peer teaching (PT) strategy.

To determine the direction of the significant difference observed in this hypothesis, the post hoc analysis using Scheffe test was computed as shown in Table 5

Table 5

Scheffe Post – Hoc Test Determine the Direction of Difference Among the Groups

(I) Instrictionalmethods	(J) Instructional methods	Mean Difference (I-J)	Std. Error	Sig.
Peer Teaching Method	Inquiry-Based Teaching Method	3.849*	.990	.001
	Control Group	18.500*	1.529	.000
Inquiry-Based Teaching Method	Peer Teaching Method	-3.849*	.990	.001
	Control Group	14.652*	1.569	.000
Control Group	Peer Teaching Method	-18.500*	1.529	.000
	Inquiry-Based Teaching Method	-14.652*	1.569	.000
*. The mean difference is significant at the 0.05 level.

Table 5 shows the post hoc Scheffe test results, which determine which specific instructional methods significantly differ from one another after an overall significant difference was detected via ANOVA. The post hoc analysis shows a clear hierarchy in instructional effectiveness: Peer Teaching Method > Inquiry-Based Teaching Method > Control Group. This suggests that using peer teaching strategy results in the highest student achievement, followed by inquiry-based methods, with the control group performing the lowest.

Research Question Two

What is the difference between the mean achievement scores of male and female students taught mathematics using peer-teaching (PT) strategy in Delta Central Senatorial District?

Table 6: Comparison Between the Mean() mean achievement scores of male and female students taught mathematics using peer-teaching (PT) strategy in Delta Central Senatorial District.

sex	N	Mean	Std. Deviation	Mean difference
Male	91	46.11	8.82	2.45
Female	105	43.66	9.83

Table 6 shows the mean and standard deviation of the achievement scores of male and female students taught mathematics using the peer-teaching instructional strategy. In the table, the means of the achievement scores for male and female students are 46.11 and 43.66, with standard deviations of 8.82 and 9.83, respectively. The mean difference in the achievement scores between male and female students is 2.45. To find out whether the mean difference was significant, Ho₃ was tested with t-test and presented in Table 7

Hypothesis Two: There is no significant difference between the mean achievement scores of male and female students taught mathematics using peer teaching (PT) strategy in Delta Central Senatorial District.

Table 7: t-test comparing the mean achievement scores of male and female students taught mathematics using peer-teaching (PT) strategy in Delta Central Senatorial District.

Sex	N	Mean	Std. Deviation	df	t-cal.	Sig. (2-tailed)	Decision
Males	91	46.11	8.82	194	1.83	.069	Null hypothesis not rejected
females	105	43.66	9.83

Table 7 shows that the t-test comparison of the mean achievement scores of male and female students taught mathematics using the peer teaching strategy is not significant (t = 1.83, p = 0. 069). Therefore, the null hypothesis, which states that there is no significant difference between the mean achievement scores of male and female students, was not rejected. This implies that there is no significant difference in the mean achievement scores of male and female students taught mathematics using the peer teaching strategy in Delta Central Senatorial District.

Research Question Three: What is the difference between the mean achievement scores of male and female students taught mathematics using inquiry-based teaching (IBT) strategy in Delta Central Senatorial District?

Table 8: Comparison Between the Mean()  achievement scores of male and female students taught mathematics using inquiry-based teaching (IBT) strategy in Delta Central Senatorial District

Sex	N	Mean	Std. Deviation	Mean difference
Male	86	41.45	9.671	1.36
Female	66	40.29	8.294

Table 8 shows the mean and standard deviation of the achievement scores of male and female students taught mathematics using the inquiry-based teaching instructional strategy. In the table, the means of the achievement scores for male and female students are 41.79 and 40.43, with standard deviations of 9.43 and 8.22, respectively. The mean difference in the achievement scores between male and female students is 1.36. To find out whether the mean difference was significant, Ho₄ was tested with t-test and presented in Table 9.

Hypothesis Three: There is no significant difference between the mean achievement scores of urban and rural students taught mathematics using Peer Teaching (PT) strategy in Delta Central Senatorial District.

Table 10: t-test comparing the mean achievement scores of male and female students taught mathematics using peer-teaching (PT) strategy in Delta Central Senatorial District.

Sex	N	Mean	Std. Deviation	df	t-cal.	Sig. (2-tailed)	Decision
Male	86	41.45	9.671	150	.783	.435	Null hypothesis not rejected
Female	66	40.29	8.294

Table 10 shows that the t-test comparison of the mean achievement scores of male and female students taught mathematics using the inquiry-based teaching strategy is not significant (t = 0.783, p = 0.435). Therefore, the null hypothesis, which states that there is no significant difference between the mean achievement scores of male and female students, was not rejected. This implies that there is no significant difference in the mean achievement scores of male and female students taught mathematics using the inquiry-based teaching strategy in Delta Central Senatorial District.

Research Question Four: What is the interaction effect of instructional strategies and sex on mathematics students’ achievement in Delta Central Senatorial District?

Table 11: Means(X) and Standard Deviations (SD) analysis of the interaction effect of instructional strategies and sex on mathematics students’ achievement in Delta Central Senatorial District

Instructional methods	sex	N	Mean	Std. Deviation
Peer Teaching Method	Male	91	46.11	8.82
	Female	105	43.66	9.83
Inquiry-Based Teaching Method	Male	86	41.45	9.67
	Female	66	40.29	8.29
Control Group	Male	22	28.27	7.81
	Female	22	24.32	8.19
Total	Male	199	42.13	10.52
	Female	193	40.30	10.88

Table 11 shows the Means (X) and Standard Deviations (SD) analysis of the interaction effect of instructional strategies and sex on mathematics students’ achievement in Delta Central Senatorial District. For students taught using the Peer Teaching Method, the mean scores for male and female students are 46.11 and 43.66, with standard deviations of 8.82 and 9.83, respectively. For those taught using the Inquiry-Based Teaching Method, the mean scores for male and female students are 41.45 and 40.29, with standard deviations of 9.67 and 8.29, respectively. In the Control Group, the mean scores for male and female students are 28.27 and 24.32, with standard deviations of 7.81 and 8.19, respectively. The results suggest a noticeable interaction effect between instructional strategy and sex, as male students consistently scored higher than their female counterparts across all groups. To find out whether the mean is significant interaction effect, Ho₆ was tested with ANCOVA and presented in Table 12.

Hypothesis Four: There is no significant interaction effect of instructional strategies and sex on mathematics students’ achievement in Delta Central Senatorial District?

Table 12: ANCOVA of the interaction effect of instructional strategies and sex on mathematics students’ achievement in Delta Central Senatorial District

Tests of Between-Subjects Effects
Dependent Variable:   Posttest
Source	Type III Sum of Squares	df	Mean Square	F	Sig.
Corrected Model	12838.569a	6	2139.762	25.628	.000
Intercept	8677.109	1	8677.109	103.928	.000
Pretest	4.315	1	4.315	.052	.820
Instructional methods	12391.830	2	6195.915	74.210	.000
sex	405.734	1	405.734	4.860	.028
Instructional methods * sex	77.389	2	38.695	.463	.629
Error	32144.224	385	83.491
Total	711253.000	392
Corrected Total	44982.793	391
a. R Squared = .285 (Adjusted R Squared = .274)

Table 12 shows the ANCOVA of the interaction effect of instructional strategies and sex on students’ academic achievement in mathematics. The computed F-ratio for the interaction effect, that is, F(2, 385) = 0.463 with a p-value of 0.629. Testing the null hypothesis at an alpha level of 0.05, the p-value of 0.540 was greater than the alpha level of 0.05; hence, the null hypothesis was not rejected. This implies that there is no significant interaction effect of instructional strategies and sex on mathematics students’ academic achievement in Delta Central Senatorial District.

The first finding shows that there was a significant difference in mean achievement score of mathematics students taught using Peer Teaching (PT) and Inquiry-Based Teaching (IBT) strategies in Delta Central Senatorial District with those taught using Peer Teaching (PT) strategy achieving higher score than those taught using Inquiry-Based Teaching (IBT) strategy and those in the control group. This difference may be attributed to the inherent characteristics of each instructional method. Peer-Teaching may have promoted collaborative learning, allowing students to benefit from shared knowledge and peer explanations, while Inquiry-Based Teaching may have fostered curiosity, critical thinking, and self-discovery. The significant difference could imply that one method led to deeper conceptual understanding among students. This finding is in line with Uyim, and Nonye (2019) who emphasized that students learn better when actively involved in the teaching-learning process. It also agrees with findings by Osondu (2021) who reported that the use of learner-centred methods such as peer-teaching and inquiry-based approaches significantly improve students’ academic achievement in mathematics.

            The second finding shows that there was no significant difference between the mean achievement scores of male and female students taught mathematics using the peer-teaching strategy. this suggests that the peer teaching method provides an equal learning opportunity for both genders, allowing male and female students to benefit equally from collaborative and interactive instruction. This result is consistent with the findings of Uyim, and Nonye (2019) who observed that sex had no significant impact on students’ achievement in mathematics when learner-centered strategies were used. It also aligns with the results of Osondu (2021) who found that sex does not significantly influence achievement when students are actively engaged in peer-assisted learning. The study also showed that there was no significant difference in the achievement scores of male and female students taught mathematics using Inquiry-Based Teaching (IBT) strategy. This suggests that the IBT method supports equitable engagement and achievement across gender, providing both male and female students equal opportunities for exploration, questioning, and problem-solving. The result also aligns with the study of Eze (2022), which reported that both boys and girls benefited equally from inquiry-oriented instructional approaches however, this disagreed with the findings of Issaka (2020) who found that sex had influence on science and mathematics achievement when inquiry-based or discovery methods were used.

            Lastly, finding from the study shows that there is no significant difference between the mean achievement scores of urban and rural students taught using Inquiry-Based Teaching strategy. This may be due to the nature of inquiry-based instruction, which emphasizes independent thinking and discovery rather than reliance on external resources or environment. Students in both urban and rural settings may have had equal opportunity to engage with the content through guided inquiry. This finding agrees with Salami (2022) who found that location did not significantly affect students’ achievement when innovative and student-centered instructional strategies were used. It also supports the position of Aguele (2004), who argued that modern teaching strategies can bridge the urban-rural learning gap.

Conclusion/Policy Recommendations

            Based on the findings from the study, it was concluded that Peer Teaching (PT) strategy was more effective than Inquiry-Based Teaching (IBT) strategy, as students taught using PT had higher achievement scores. Furthermore, the study shows that sex and location had no significant effect on students’ achievement when each instructional strategy was applied independently. The researcher therefore recommends that mathematics teachers should be encouraged to adopt Peer Teaching and Inquiry-Based Teaching strategies, especially Peer Teaching, as it has proven to be more effective in enhancing students’ academic achievement in mathematics. These strategies should be deliberately incorporated into classroom practice to promote active learning, peer interaction, and deeper understanding of mathematical concepts.

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Citation

Okeme, C., Itanyi, M. F., & Oluwagbenga, T. T. (2026). Smart Textiles and IoT Integration for Entrepreneurial Growth in Nigeria’s Fashion Industry. International Journal of Research, 13(3), 72–84. https://doi.org/10.26643/ijr/6

¹Charles Okeme, ²Mamudu Francis Itanyi ³Taiwo Timothy Oluwagbenga

¹The Federal Polytechnic Idah,Kogi State, Nigeria.

^2,3Thomas Adewumi University, Oko, Kwara State, Nigeria.

itanyi.mamudu@tau.edu.ng

Abstract

The integration of smart textiles and the Internet of Things (IoT) presents transformative opportunities for entrepreneurial growth in Nigeria’s fashion industry, particularly among small and medium-sized enterprises (SMEs) rooted in cultural heritage. This study employs a sequential explanatory mixed-methods design, grounded in an extended Unified Theory of Acceptance and Use of Technology (UTAUT) framework, to examine adoption drivers, barriers, and outcomes. Quantitative data from 248 fashion SME respondents revealed that performance expectancy (β = 0.42, p < 0.001), cultural compatibility, sustainability orientation, and competitive pressure significantly predict behavioral intention, while infrastructure readiness negatively moderates the performance expectancy–intention relationship. Qualitative insights from 22 interviews and 5 focus groups highlighted perceived benefits in production efficiency, waste reduction, and global market differentiation through interactive, heritage-infused products, yet underscored persistent constraints including unreliable electricity, high costs, limited digital skills, and inadequate policy implementation. Despite moderate adoption intention, actual use remains low, creating an intention–behavior gap. However, successful adoption strongly links to entrepreneurial outcomes, including revenue growth, innovation, and job creation. The findings extend UTAUT by incorporating context-specific constructs relevant to the Global South and emphasize the need for targeted interventions reliable energy access, affordable financing, localized training, and strengthened public–private partnerships to bridge adoption barriers. By addressing these challenges, Nigeria can position its fashion sector as a leader in African fashion technology, converting traditional craftsmanship into sustainable, data-driven, globally competitive enterprises aligned with Sustainable Development Goals.

Keywords: smart textiles, Internet of Things, fashion entrepreneurship, technology adoption

1. INTRODUCTION

The fashion industry in Nigeria represents a dynamic intersection of cultural heritage, economic potential, and emerging technological innovation, positioning it as a key driver for entrepreneurial growth. Rooted in traditional textiles such as adire, aso-oke, and Ankara, the sector supports vibrant small and medium-sized enterprises (SMEs), predominantly women-led, and generates substantial employment while contributing to the creative economy. Recent assessments indicate that Nigeria’s fashion industry contributes approximately $6.1 billion to the nation’s gross domestic product, with consumer spending on apparel and accessories estimated in the range of $2.5 billion to $6 billion annually, although its formal contribution remains modest relative to potential (Musawa, as cited in Guardian Nigeria, 2024; multiple industry analyses, 2025). This disparity highlights significant untapped opportunities for value addition through technological integration, particularly in a context where the industry faces structural constraints including infrastructure deficits, limited access to finance, and supply chain inefficiencies.

Smart textiles, also known as e-textiles or intelligent fabrics, incorporate sensors, actuators, conductive materials, and electronic components to enable adaptive responses to environmental or physiological stimuli. When integrated with the Internet of Things (IoT), these textiles facilitate connectivity for real-time data exchange, remote monitoring, predictive analytics, and enhanced interactivity (Ahmed et al., 2025; Fernández-Caramés & Fraga-Lamas, 2018). Globally, these technologies have advanced from specialized applications in healthcare and sports to broader adoption in fashion, supporting personalization, sustainability, and user-centric design. IoT-enabled smart textiles allow for continuous monitoring of vital signs or environmental conditions, adaptive functionalities such as temperature regulation, and seamless integration into digital ecosystems, aligning with principles of Industry 4.0 and circular economy models that optimize resource use and minimize waste (Younes, 2023).

In the context of Nigerian fashion entrepreneurship, which relies heavily on SMEs with constrained scalability, the adoption of smart textiles and IoT offers practical solutions to longstanding challenges. IoT sensors embedded in production equipment can support predictive maintenance, energy optimization, and fault detection, addressing issues related to unreliable power supply and operational downtime common in developing economies. This technological integration enables entrepreneurs to transform traditional fabrics into interactive, value-added products that preserve cultural motifs while meeting global demands for sustainable and tech-enhanced apparel. Such innovations can enhance supply chain traceability, reduce material waste through upcycling, and improve market access by enabling data-driven customization and consumer engagement.

Nigeria benefits from high digital penetration, with widespread internet and mobile access supporting the deployment of connected garments that collect user data for personalized designs and informed marketing strategies. This capability fosters brand loyalty and facilitates entry into export markets, where demand for ethical, culturally rich African fashion continues to grow. Supportive initiatives, including the African Development Bank’s Fashionomics Africa program, provide training, funding, and digital platforms to empower fashion entrepreneurs in adopting innovative tools, building networks, and scaling operations from local to international levels (African Development Bank, 2022). By promoting digital marketplaces and value chain development, such programs underscore the potential for technology to drive job creation, sustainability, and economic diversification in the sector.

Despite these opportunities, notable research gaps remain in adapting smart textiles and IoT specifically to Nigeria’s socio-economic environment. Much of the existing scholarship centers on developed markets or general applications in developing contexts, with limited empirical investigation into context-specific barriers such as affordability, infrastructure limitations, and digital skill requirements in African settings (Ahmed et al., 2025). This study addresses these gaps by exploring integration pathways for entrepreneurial advancement in Nigeria’s fashion SMEs, drawing on robust, verifiable sources primarily from Scopus- and Web of Science-indexed publications. Grounded in principles of sustainable development, including innovation, responsible consumption, and inclusive growth, the adoption of these technologies holds the promise of positioning Nigeria as a leader in African fashion technology, thereby converting rich cultural assets into scalable, globally competitive enterprises.

• LITERATURE REVIEW

In recent years, several research studies have explored the convergence of smart textiles and the Internet of Things (IoT), highlighting their potential to transform various sectors, including fashion, through enhanced functionality, sustainability, and connectivity. Smart textiles, encompassing e-textiles or intelligent fabrics, integrate sensors, actuators, conductive materials, and electronic components into textile structures to enable sensing, actuation, and data processing capabilities (Ahmed et al., 2025; Younes, 2023). These materials respond adaptively to stimuli such as temperature, pressure, or physiological signals, while IoT integration facilitates real-time data transmission, remote monitoring, and interoperability within digital ecosystems (Fernández-Caramés & Fraga-Lamas, 2018).

Global reviews emphasize the evolution of smart textiles from passive wearables to active, connected systems aligned with Industry 4.0 principles. Key advancements include the incorporation of conductive fibers, flexible electronics, and energy-harvesting mechanisms to support self-powered operation and reduce environmental impact (Ahmed et al., 2025). In fashion applications, IoT-enabled smart textiles enable interactive garments that offer personalization, such as color-changing fabrics, haptic feedback, or embedded wellness tracking, blending aesthetics with utility while promoting user-centric design (Younes, 2023). Sustainability emerges as a central theme, with modular, recyclable, and biodegradable components supporting circular economy models by minimizing waste and enabling repair or upcycling (Ahmed et al., 2025).

Studies further examine integration strategies across hierarchical textile levels—fibers, yarns, fabrics, and finished products—to achieve durability, washability, and comfort essential for apparel (Singha et al., 2019). Energy-efficient designs and IoT frameworks enhance predictive analytics and adaptive responses, expanding applications in healthcare monitoring, sports performance, and consumer fashion (Ahmed et al., 2025; Fernández-Caramés & Fraga-Lamas, 2018). Challenges persist, including material flexibility, power management, and scalability of production, yet ongoing innovations in nanotechnology and bio-integrated systems promise broader adoption (Younes, 2023).

In the context of developing economies, research on digital transformation in the textile and fashion sectors underscores opportunities for technology adoption to address inefficiencies and foster sustainability. Systematic reviews indicate that ICT and Industry 4.0 tools, including IoT, improve supply chain traceability, resource optimization, and market competitiveness in textiles and apparel (Akram, 2022). While much literature focuses on global or developed markets, emerging discussions highlight potential in regions like the Global South, where digital tools can support artisanal revival, waste reduction, and export growth through sustainable practices (various scoping reviews on digital transformation).

This body of literature demonstrates that smart textiles integrated with IoT hold substantial promise for entrepreneurial advancement in fashion, particularly by enabling sustainable, data-driven innovations. Future research should prioritize context-specific applications in emerging markets to bridge theoretical advancements with practical implementation.

• METHODOLOGY

The methodology section outlines the rigorous, replicable procedures employed to investigate the integration of smart textiles and the Internet of Things (IoT) for entrepreneurial growth within Nigeria’s fashion industry. A sequential explanatory mixed-methods design was adopted, consistent with pragmatic paradigms commonly applied in technology adoption research within emerging economies and small and medium-sized enterprises (SMEs). This approach first collects and analyzes quantitative data to identify patterns and test relationships, followed by qualitative data to provide explanatory depth and contextual interpretation.

Research Design

The study integrates quantitative and qualitative strands under a pragmatic philosophical stance, prioritizing actionable insights over strict epistemological boundaries. The quantitative phase draws on an extended Unified Theory of Acceptance and Use of Technology (UTAUT) framework (Venkatesh et al., 2003), augmented with context-specific constructs such as infrastructure readiness, cultural compatibility, government support, perceived sustainability benefits, and competitive pressure. These extensions reflect established adaptations in developing-country and Industry 4.0 contexts. The qualitative phase employs interpretive inquiry to elucidate mechanisms, barriers, and enablers identified quantitatively.

Population and Sampling

The target population includes owners, managers, designers, and technical personnel from fashion SMEs in Nigeria engaged in textile production, garment manufacturing, traditional weaving, ready-to-wear, and bespoke tailoring. Key clusters include Lagos, Abuja, Aba, and Kano.

For the quantitative phase, stratified purposive sampling targeted 280 respondents to ensure representation across enterprise size (micro, small, medium), sub-sector, and geographic location. Sample size was informed by structural equation modeling (SEM) guidelines, aiming for a minimum of 200 valid responses to support model complexity (approximately 10–15 estimated parameters per latent construct) and achieve statistical power ≥ 0.80 at α = 0.05.

For the qualitative phase, purposive sampling selected 22 key informants for in-depth semi-structured interviews and 5 focus group discussions (FGDs) with 6–8 participants each (total n ≈ 35–40). Selection criteria prioritized diversity in experience with emerging technologies, enterprise maturity, and regional representation. Data saturation determined final sample size.

Data Collection Instruments

• Quantitative: A structured questionnaire comprising 48 items measured on a 5-point Likert scale (1 = strongly disagree to 5 = strongly agree). Constructs were adapted from validated UTAUT scales, with additional items for contextual factors developed from prior literature and pilot-tested for content validity.
• Qualitative: Semi-structured interview guides (12 core questions) and FGD protocols explored adoption experiences, perceived barriers (e.g., power instability, skill deficiencies), opportunities for cultural-textile integration, and entrepreneurial outcomes.

Both instruments underwent pilot testing with 35 respondents (Cronbach’s α > 0.70 for all scales; minor revisions for clarity and cultural appropriateness). Face-to-face and online administration ensured accessibility.

Data Collection Procedure

Quantitative data were collected from October to December 2025 via hybrid methods (online platforms and field administration in fashion clusters). Qualitative data followed (January–March 2026), with audio-recorded interviews/FGDs (average duration 45–60 minutes) conducted in English or local languages (with translation). All participants provided informed consent; ethical clearance was obtained from an institutional review board.

Data Analysis

• Quantitative: Descriptive statistics summarized demographics and construct means. Confirmatory factor analysis (CFA) assessed measurement model validity (convergent: AVE ≥ 0.50; discriminant: Fornell-Larcker criterion and HTMT < 0.85). Structural equation modeling (SEM) via AMOS tested hypothesized paths. Model fit indices included χ²/df < 3, CFI ≥ 0.95, TLI ≥ 0.95, RMSEA ≤ 0.08, and SRMR ≤ 0.08. Bootstrapping (5,000 resamples) examined mediation/moderation effects.
• Qualitative: Thematic analysis using NVivo followed a six-phase process (Braun & Clarke, 2006): transcription, familiarization, initial coding, theme development, review, and refinement. Inter-coder reliability exceeded 85%.
• Integration: Joint displays merged quantitative results (e.g., significant predictors) with qualitative themes to explain variance, enhance interpretation, and generate meta-inferences.

Table 1: Summary of Research Phases

Phase	Design Component	Sample Size Target	Primary Instrument	Analysis Method	Key Objective
Quantitative (Phase 1)	Survey-based	280 (minimum 200 valid)	Structured questionnaire	CFA, SEM (AMOS), bootstrapping	Test extended UTAUT relationships and predictors of adoption/intention
Qualitative (Phase 2)	Semi-structured interviews & FGDs	22 interviews; 5 FGDs	Interview/FGD guides	Thematic analysis (NVivo)	Explain quantitative findings, explore contextual barriers/enablers
Integration	Explanatory convergence	–	Joint displays	Meta-inference synthesis	Triangulate results for comprehensive insights

Figure 1: Conceptual Framework

.

• RESULTS

The Results section presents the findings from the sequential explanatory mixed-methods study on the integration of smart textiles and IoT for entrepreneurial growth in Nigeria’s fashion SMEs. Quantitative results are derived from 248 valid responses (response rate: 88.6% from 280 targeted surveys), followed by qualitative insights from 22 in-depth interviews and 5 focus group discussions (n ≈ 38 participants) to explain and contextualize the patterns.

Respondent Profile

Respondents were predominantly female (62.1%), aged 25–44 years (68.5%), with most operating small enterprises (1–50 employees: 71.4%). Sub-sectors included ready-to-wear (48.8%), traditional textile weaving (22.6%), and bespoke tailoring (28.6%). Lagos and Aba accounted for 65.3% of participants.

Table 2: Demographic Profile of Respondents (N = 248)

Characteristic	Category	Frequency	Percentage (%)
Gender	Female	154	62.1
	Male	94	37.9
Age	18–24	32	12.9
	25–34	98	39.5
	35–44	72	29.0
	45+	46	18.5
Enterprise Size	Micro (<10 employees)	112	45.2
	Small (10–50)	65	26.2
	Medium (51–250)	71	28.6
Primary Sub-sector	Ready-to-wear	121	48.8
	Traditional weaving	56	22.6
	Bespoke tailoring	71	28.6

Mean scores (5-point Likert scale) indicate moderate levels of awareness and intention toward smart textiles/IoT adoption. Performance Expectancy (M = 4.12, SD = 0.68) and Government Support (M = 3.45, SD = 0.92) scored highest and lowest, respectively.

Table 3: Descriptive Statistics and Reliability of Constructs

Construct	Mean	SD	Cronbach’s α	Composite Reliability	AVE
Performance Expectancy (PE)	4.12	0.68	0.89	0.91	0.68
Effort Expectancy (EE)	3.78	0.75	0.85	0.88	0.62
Social Influence (SI)	3.56	0.82	0.82	0.86	0.59
Facilitating Conditions (FC)	3.64	0.79	0.87	0.90	0.65
Infrastructure Readiness (IR)	3.21	0.91	0.84	0.87	0.61
Cultural Compatibility (CC)	3.89	0.71	0.86	0.89	0.64
Government Support (GS)	3.45	0.92	0.83	0.86	0.60
Sustainability Orientation (SO)	4.01	0.69	0.88	0.91	0.67
Competitive Pressure (CP)	3.92	0.74	0.85	0.88	0.63
Behavioral Intention (BI)	3.68	0.80	0.90	0.92	0.70
Use Behavior (UB)	3.12	0.88	0.84	0.87	0.62
Entrepreneurial Growth (EG)	3.45	0.85	0.87	0.90	0.65

All constructs exceeded recommended thresholds (Cronbach’s α > 0.70, CR > 0.70, AVE > 0.50).

Measurement Model Assessment

Confirmatory factor analysis confirmed adequate fit: χ²/df = 2.18, CFI = 0.96, TLI = 0.95, RMSEA = 0.069, SRMR = 0.052. Discriminant validity was established (HTMT ratios < 0.85; Fornell-Larcker criterion met).

Structural Model and Hypothesis Testing

SEM results (bootstrapped, 5,000 resamples) revealed significant paths. PE (β = 0.42, p < 0.001), EE (β = 0.18, p < 0.01), FC (β = 0.21, p < 0.001), CC (β = 0.15, p < 0.05), SO (β = 0.19, p < 0.01), and CP (β = 0.14, p < 0.05) positively influenced BI. BI strongly predicted UB (β = 0.58, p < 0.001), which in turn influenced EG (β = 0.49, p < 0.001). IR (β = -0.12, p < 0.05) negatively moderated PE → BI. GS showed no significant direct effect (β = 0.08, p = 0.142).

Model explained 62.4% variance in BI, 48.7% in UB, and 41.2% in EG. Fit indices: χ²/df = 2.34, CFI = 0.95, RMSEA = 0.074.

Table 4: Hypothesis Testing Results (Structural Paths)

Hypothesis	Path	β	t-value	p-value	Supported?
H1	PE → BI	0.42	7.81	<0.001	Yes
H2	EE → BI	0.18	3.12	<0.01	Yes
H3	SI → BI	0.09	1.64	0.102	No
H4	FC → BI	0.21	4.05	<0.001	Yes
H5	IR → BI (direct)	-0.12	-2.31	<0.05	Yes (neg)
H6	CC → BI	0.15	2.78	<0.05	Yes
H7	GS → BI	0.08	1.47	0.142	No
H8	SO → BI	0.19	3.45	<0.01	Yes
H9	CP → BI	0.14	2.56	<0.05	Yes
H10	BI → UB	0.58	9.62	<0.001	Yes
H11	UB → EG	0.49	8.14	<0.001	Yes

Thematic analysis yielded four major themes:

1. Perceived Benefits and Performance Gains — Participants emphasized efficiency in production (e.g., predictive maintenance via IoT sensors) and market differentiation through interactive traditional fabrics. “Smart integration could let us monitor looms remotely and reduce downtime from power issues” (Interviewee 7, Lagos weaver).
2. Infrastructure and Readiness Barriers — Erratic electricity, high costs, and limited digital skills dominated discussions. “We lack stable power; IoT devices would fail without reliable energy” (FGD 2, Aba participant).
3. Cultural and Compatibility Factors — Positive views on blending heritage with tech: “Adire with embedded sensors could appeal globally while keeping our identity” (Interviewee 14). However, concerns over skill mismatches persisted.
4. External Enablers and Pressures — Competitive pressure from imports and sustainability demands drove interest, but government support was deemed insufficient: “Policies exist on paper, but no funding or training reaches us” (FGD 4).

Discussion of Findings

Quantitative predictors (PE, FC, CC, SO, CP) aligned with qualitative narratives on benefits and contextual fit. Infrastructure negatively moderated adoption, as explained by power and cost challenges. Low GS effect reflected perceived policy gaps, despite calls for incentives.

These results indicate moderate intention but low actual adoption of smart textiles/IoT in Nigeria’s fashion SMEs, driven by performance benefits and sustainability yet constrained by infrastructure deficits. Entrepreneurial growth potential exists through targeted interventions.

• DISCUSSION

The findings of this mixed-methods study affirm the transformative potential of smart textiles and IoT integration for entrepreneurial advancement in Nigeria’s fashion industry, while simultaneously exposing critical barriers that must be addressed to translate intention into widespread adoption. Performance expectancy emerged as the dominant driver of behavioral intention (β = 0.42, p < 0.001), underscoring that Nigerian fashion entrepreneurs strongly associate these technologies with enhanced production efficiency, reduced waste, predictive maintenance, and the ability to create high-value, interactive products that preserve cultural heritage. Qualitative narratives reinforced this perception, with participants describing scenarios where IoT-enabled looms could minimize downtime from power fluctuations and where sensor-embedded adire or aso-oke fabrics could command premium prices in ethical global markets.

Cultural compatibility (β = 0.15, p < 0.05) and sustainability orientation (β = 0.19, p < 0.01) further strengthened adoption intention, indicating that entrepreneurs view smart textiles not as a disruption to tradition but as an opportunity to modernize and globalize it. This alignment between heritage and innovation represents a unique competitive advantage for Nigerian SMEs in an era of rising demand for authentic, sustainable fashion. Competitive pressure (β = 0.14, p < 0.05) also played a meaningful role, reflecting the urgency to differentiate from low-cost Asian imports and capitalize on digital marketplaces.

However, infrastructure readiness exerted a significant negative moderating effect on the performance expectancy–intention relationship, confirming that unreliable electricity, high equipment costs, and limited broadband access erode confidence in the practical benefits of these technologies. Qualitative data vividly illustrated this constraint, with entrepreneurs repeatedly citing power instability as the single greatest obstacle to implementation. The non-significant influence of government support and social influence further highlights systemic gaps: while policy frameworks and initiatives exist, their reach and effectiveness at the SME level remain limited, and peer demonstration effects are weakened by the industry’s informal structure.

The robust path from behavioral intention to use behavior (β = 0.58, p < 0.001) and subsequently to entrepreneurial growth (β = 0.49, p < 0.001) provides compelling evidence that successful adoption can drive revenue growth, product innovation, and job creation. Yet the low mean score for actual use behavior (M = 3.12) signals a pronounced intention–behavior gap, consistent with patterns observed in other resource-constrained emerging markets.

These results extend UTAUT by demonstrating the salience of cultural compatibility and sustainability orientation in heritage-based industries of the Global South, while underscoring infrastructure as a critical boundary condition. For Nigeria to harness smart textiles and IoT as engines of entrepreneurial growth, deliberate interventions are essential: reliable energy solutions, affordable financing mechanisms, localized digital skills training, and strengthened public–private partnerships to pilot culturally relevant applications. By closing these gaps, the fashion sector can evolve from a largely informal contributor to a globally competitive, technology-driven pillar of economic diversification and inclusive development.

• CONCLUSION

This study demonstrates that the integration of smart textiles and the Internet of Things (IoT) holds substantial promise for catalyzing entrepreneurial growth in Nigeria’s fashion industry, particularly among small and medium-sized enterprises (SMEs) rooted in cultural heritage. Quantitative findings from the extended UTAUT model reveal that performance expectancy, cultural compatibility, sustainability orientation, and competitive pressure significantly drive adoption intention, while infrastructure deficits exert a strong negative moderating effect, creating a pronounced intention-use gap. Qualitative insights corroborate these patterns, highlighting perceived benefits in production efficiency, waste reduction, and global market differentiation through interactive, heritage-infused products, yet underscoring persistent barriers such as unreliable power supply, high costs, limited digital skills, and inadequate government support implementation. Despite low actual adoption levels, the robust linkage from use behavior to entrepreneurial outcomes—encompassing revenue growth, innovation, and job creation affirms the technologies’ potential to elevate the sector’s economic contribution, currently estimated at around $6 billion annually, toward greater formalization and competitiveness. By addressing these contextual constraints through targeted interventions including reliable energy access, affordable financing, localized training programs, and strengthened public-private partnerships like Fashionomics Africa Nigeria can position its fashion industry as a leader in African fashion technology. Ultimately, embracing smart textiles and IoT offers a pathway to transform traditional craftsmanship into sustainable, data-driven, globally viable enterprises, fostering inclusive economic diversification, cultural preservation, and alignment with Sustainable Development Goals on innovation and responsible consumption.

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¹Egwu, Francis Ogbonnia

Department of Criminology and Security Studies,

Alex Ekwueme Federal University, Ndufu-Alike, Ebonyi State, Nigeria

Email: francis.egwu@funai.edu.ng

ORCID:  https://orcid.org/0009-0009-8519-8303

^2**Nlemchukwu Emmanuel Chigozirim***

Department of Criminology and Security Studies,

Alex Ekwueme Federal University, Ndufu-Alike, Ebonyi State, Nigeria

Email: nlemchukwu.emmanuel@funai.edu.ng   

Corresponding author***

ORCID:  https://orcid.org/0009-0002-6403-6507

³Adinde, Kenneth Umezulike

Department of Criminology and Security Studies,

Alex Ekwueme Federal University, Ndufu-Alike, Ebonyi State, Nigeria

Email: kenneth.adinde@funai.edu.ng 

ORCID:  https://orcid.org/0009-0002-7458-7847

⁴Daniel Chidiebere Onwe

Department of Criminology and Security Studies,

Alex Ekwueme Federal University, Ndufu-Alike, Ebonyi State, Nigeria

Email: onwedaniel1990@gmail.com 

ORCID:  https://orcid.org/0009-0003-4168-148X

⁵Idam, Gabriel Ogbonnia

Department of Criminology and Security Studies,

Alex Ekwueme Federal University, Ndufu-Alike, Ebonyi State, Nigeria

Email: libertymovieproduction@gmail.com  

ORCID: https://orcid.org/0009-0006-7825-7596

Abstract

Cybercrime has become a growing global concern, affecting individuals, corporations, and governments alike, with its reach extending far beyond national borders. The paper adopted a theoretical approach to examine the prevalence of cybercriminality among undergraduates of universities in Southeastern Nigeria. The paper used two theoretical approaches: the routine activity theory and the differential-association theory. The routine activity theory stipulates three necessary conditions for most crime: a likely offender (cybercriminals), a suitable target (victims) and the absence of a capable guardian (unprotected information), coming together in time and space. That is, for a crime to occur, a likely offender must find a suitable target in the absence of capable guardians.  And the differential-association theory asserts that an individual is influenced to participate in criminal behaviour through watching and interacting with other individuals who are engaging in the criminal behaviour. The study revealed that the high level of corruption and the spread of poverty are seen by university undergraduates as the principal cause of cybercrime. Findings also show that the effort to get rich quickly by most Nigerians, especially the youths, is often exploited by cyber fraudsters. Again, findings also show that many security personnel, instead of looking at how to arrest this cybercrime operator, serve as bodyguards to them and cover them up in order to gain cash rewards. The conclusion is that cybercrime can adequately be controlled if law enforcement agencies are trained on the use of technology. The study recommends that there should be a more proactive approach that will allow law enforcement agencies to track and investigate students’ involvement in cybercrime within and outside the institution.

                                                                                                                                                                                                                                                                                                              Keywords: Prevalence of cybercrime, Forms of cybercrime, Cybercrime, Undergraduate Students, Nigeria universities                                                     

 Introduction

Cybercrime is one of the most evolving high-technology crimes of the twenty-first century in the world. Cybercrime has become a growing global concern, affecting individuals, corporations, and governments alike, with its reach extending far beyond national borders. As technology continues to advance, so too do the tactics employed by cybercriminals. In Europe, cybercrime encompasses a wide array of illegal activities, including identity theft, financial fraud, data breaches, and even cyber terrorism. The European Union has made efforts to combat these challenges by introducing stringent regulations such as the General Data Protection Regulation (GDPR), as well as cybersecurity initiatives (European Union, 2016). However, despite these efforts, cybercrime remains a persistent threat due to the evolving nature of technology and the increasingly sophisticated methods used by criminals (Böhme, 2020). In Africa, the rapid growth of internet access and mobile technology has brought both opportunities and challenges. Many African nations face widespread poverty, unemployment, and a lack of adequate educational opportunities, which have contributed to the rise of cybercrime. Countries such as South Africa, Kenya, and Nigeria have witnessed an alarming increase in cybercriminal activities, including phishing, online scams, and hacking. In 2019, the African Union reported that cybercrime cost the continent approximately $3.5 billion annually (African Union, 2020).

Nigeria, Africa’s most populous nation, has been significantly impacted by the growing threat of cybercrime. Nigerian youths, in particular, have become increasingly involved in various forms of online crime, with financial fraud, phishing, and scams being the most common offences. The term “Yahoo boys” has become synonymous with internet fraud in Nigeria, referring to young people who engage in fraudulent schemes to scam people out of money (Adebayo, 2020).

These impacts have taken different shapes and forms over the years. It has contributed to the invention of other information and communication technology (ICT) solutions and services, such as emails, e-commerce, social media, the Internet of Things (IoT), and its smart services, among others. Aside from the numerous positive aspects of the internet, such as social networking, worldwide linkages, job creation, improving medical and education access, expansion of the commercial landscape and so on (Chen et al., 2023), it has also contributed to a series of criminal activities in our society in the form of internet crimes or cybercrimes (Garba, 2023). Cyber activities have both positive and negative impacts on the users as individuals, organisations, groups, people and society at large. According to Alansari, Aljazzaf, and Sarfraz (2019), cybercrime is any Internet-related crime that is always directed against individuals, groups, and/or the state and its economy, motivated by the criminal intention that can cause damage/destruction that may be of different types, including physical, mental, and loss of money, and also it involves the unlawful accessing of information of the victims using electronic devices. Cybercrimes are not entirely new with their widespread nature, nor are they peculiar to developing nations like Nigeria. For instance, the first highly publicised cybercrimes occurred in November 1988 in the United States (U.S.), when a 23-year-old student, Robert Morris, launched a virus (“Morris Worm”) on the internet. Over 6,000 computers of the estimated 60,000 systems linked to the internet at that time were infected, and it cost about $100 million to repair the infected systems. As a consequence, Morris got a sentence of 3 years’ probation and a $10,000 fine (Stambaugh et al., 2001). Subsequently, cybercrimes gradually evolved into a serious global problem.

In Nigeria, Rotimi (2015) asserted that the menace is very rampant among the youths within the age of 18 to 35 years, and it would be inappropriate to describe youths in Nigeria based on the temporal relation of age because of the timeline and multiplicity of opinion on this issue. Cybercrimes have become a serious problem in Nigeria, culminating in the listing of Nigeria as third on the roll of the top ten cybercrime hot spots in the world by a 2009 Internet Crime Report (FBI, 2010). The seriousness of this problem can be better appreciated when we consider the fact that in spite of the several interventions made by the Nigerian government and Non-Governmental Organisations (NGOs) in tackling cybercrime, such as the co-operation between Microsoft Corporation and the Economic and Financial Crimes Commission (EFCC) of Nigeria to fight cybercrime, the enactment of cybercrime laws by the Nigerian government aimed at ensuring the security of computer systems and networks in Nigeria has not produced much result (Balogun & Obe, 2010). Nigeria has for four consecutive years (2006, 2007, 2008 and 2009) ranked third on the list of world cybercrime perpetrator countries (FBI, 2010). Thus, Debarati and Jaishanka (2011) stressed that cybercrimes are offences that are committed against individuals or groups of individuals with criminal motives to intentionally harm the reputations of their victims or cause physical or mental harm to their victims directly or indirectly using modern telecommunication networks such as the internet (chat rooms, e-mails, etc.) and mobile phones (SMS/MMS). The use of modern applications has enhanced cyber criminality such as facebook, yahoo messenger, tinder, twitter, instagram, snapchat, telegram, among others. However, there are no generally accepted typologies of cybercrime, but scholars of criminology typified two main kinds of internet-related crime, such as (1) Advanced Cybercrime (or high-tech crime), sophisticated attacks against computer hardware and software, and (2) Cyber Realm Enabled Crime (Interpol, 2016). What this implies is that many traditional crimes have taken a new turn with the emergence of the internet, such as crimes against children, financial crimes and even terrorism (Oyesanya, 2015). In view of the aforementioned problems, the age category of people that indulges in cybercrimes and other related activities is undergraduate students of universities; hence, this study aims at evaluating the prevalence of cybercrimes among undergraduate students of universities in southeastern Nigeria.

Problem Statement

A global concern today is the issue of cybercrime among undergraduates of Nigerian universities. This social phenomenon has been constituting huge security, economic and mental health threats to individuals, corporate and government organisations in different countries. A global economic crime survey by Armin, Thompson, Ariu, Giacinto, Roli and Kijewski (2015) puts the annual cost of cybercrime to the global economy at more than €300 billion, while the cost of cybercrime for the European Union (EU) was estimated to be 0.4% of its GDP, amounting to €13 billion per annum. This report claimed that Poland, Germany and the United Kingdom lost €377 million, €2.6 billion and €2 billion per annum, respectively (Armin et al., 2015). These figures, among others, showed that cybercrime globally constitutes a serious financial threat to the economy and the wellbeing of their innocent victims. It also follows logically that a crime of this magnitude is possible when individuals remove self-censure and self-sanctions from their behaviour. However, with respect to the undergraduates in Nigerian universities, the contribution of the internet to the academic development of Nigerian undergraduates has been marred by the conscious evolution of new waves of crime.

The internet has also become an environment where the most productive and safest offence thrives. Thus, the ubiquity of social media platforms in recent times has further aggravated the extent of cybercrime involvement among undergraduates in Nigeria (Akor, 2017). Indeed, the trend and patterns of this crime are fast changing with the increasing involvement of female students. For instance, in November 2018, the Economic and Financial Crimes Commission (EFCC) arrested 34 undergraduates, including nine females suspected to be involved in cyber fraud perpetration at Awa-Ijebu, Ogun State (Akinkuotu, 2018). Moreover, Tade and Aliyu (2011) submit that cyber fraud, a form of cybercrime, has literally become a way of life for many undergraduates in 44 Nigerian universities. Aghatise (2006) contends that 80% of cybercrime perpetrators in Nigeria are students in various institutions. The reported cases range from fake lotteries to the biggest internet scams. In July 2001, the Economic and Financial Crime Commission (EFCC) arrested four Nigerians suspected to be involved in cybercrime that duped unsuspecting foreign investors in Ghana. Two young men were recently arrested after making an online purchase of two laptops advertised by a woman on her website under false claims. They were arrested at the point of delivery by government officials. Recently, the Ibadan zonal office of the Economic and Financial Crime Commission (EFCC) arrested a 26-year-old student of Ekiti State University, Ado-Ekiti, for internet fraud, deceiving unsuspecting victims on military dating sites while posing as a Nigeria-based US Army officer by the name Sergeant Frank McGhee (EFCC, 2016).In view of the aforementioned problems, this study evaluates the prevalence of cybercrimes among undergraduate students of universities in southeastern Nigeria.                                 

The Conceptual Overview of Cybercrimes

Cybercrime refers to illegal activities carried out using computers, networks, or the internet. It has emerged as a significant issue in the digital age, with the rise of technology increasing the potential for cybercriminals to exploit vulnerabilities in systems. Cybercrime can affect individuals, businesses, governments, and even entire nations. The anonymity provided by the internet makes it easier for criminals to operate without being identified, presenting significant challenges for law enforcement (Smith, 2010). Cybercrime is a global issue that frequently surpasses national borders, necessitating international cooperation for effective prevention.  It is not surprising that a large number of youths are involved in cybercrime, as they are found to constitute the largest user of the internet. According to the NCA report (2018), the average age of people involved in cybercrime is between 17 and 22 years. This implies that the youths, especially the university undergraduate students, dominate the population of cybercriminals. Various studies (Lowry et al., 2016; Emma et al., 2015; Matti et al., 2015) have been conducted to examine cybercrime of different forms among university students. Cybercrime is mainly committed by our youths in order to make life earnings easier, thereby defrauding individuals or all organisations of all kinds. Some cybercriminals are well organised, use advanced strategies and are highly technically skilled. Their goal is to make money and is usually done by individuals or an organisation at large.

Cybercrime offences made their way into Nigeria in the 1990s. Such crimes were generally referred to as Advance Fee Fraud, or simply ‘419’. Advance fee fraud was a means by which some dubious Nigerians deceived foreigners into parting with their money by promising them non-existent oil contracts. Fraudsters perpetrate such illicit acts by sending emails to their prospective victims whom they promise oil well contracts and demand upfront payments to facilitate the process. Most times, the foreigners are invited into Nigeria and treated to make-believe official receptions during which they are made to sign fictitious contract papers. However, after being put through such make-believe shady deals and upon return to their country of origin, the foreign businessmen would later discover to their discomfiture that they have been conned by Nigerian fraudsters who, thereafter, discontinue further communication with their victims. Beyond the advance fee fraud, or 419 scams, the growth in information communication technology has led to an unprecedented rise in other cybercrime offences such as extortion, identity theft, cyber trespassing, digital piracy, Yahoo-Yahoo Plus and email scams, among many others. Thus, the ubiquity of social media platforms in recent times has further aggravated the extent of cybercrime involvement among undergraduates in Nigeria (Akor, 2017). Indeed, the trend and patterns of this crime are fast changing with the increasing involvement of female students. For instance, in November 2018, the Economic and Financial Crimes Commission (EFCC) arrested 34 undergraduates, including nine females suspected to be involved in cyber fraud perpetration at Awa-Ijebu, Ogun State (Akinkuotu, 2018). Moreover, Tade and Aliyu (2011) submit that cyber fraud, a form of cybercrime, has literally become a way of life for many undergraduates in 44 Nigerian universities. Aghatise (2006) contends that 80% of cybercrime perpetrators in Nigeria are students in various institutions.                                    

Theoretical Framework

The major theories considered in this work include routine activity theory and differential-association theory. Routine activity theory is a crime of opportunity theory that focuses on situations of crimes. It was developed by Marcus Felson and Lawrence Cohen in 1979. This theory attempts to show that crime rates are not generally affected by macro changes such as economic recessions, unemployment rates, poverty, etc. This theory stipulates three necessary conditions for most crime: a likely offender (cybercriminals), a suitable target (victims) and the absence of a capable guardian (unprotected information), coming together in time and space. That is, for a crime to occur, a likely offender must find a suitable target in the absence of capable guardians. According to Felson and Cohen (1979), the reason for the increase is that it offers more opportunities for crime to occur, as there is much to steal. Routine activity theory provides a simple and powerful insight into the causes of cybercrime. The idea is that in the absence of effective controls, offenders will prey upon attractive targets. To have a crime, a motivated offender must come to the same place as an attractive target. For property crimes, the target is a thing or an object (usually cash in the case of cybercriminals), while for personal crimes, the target is a person (wealthy people). If an attractive target is never in the same place as a motivated offender, the target will not be taken, damaged or assaulted. There are controllers whose presence can prevent internet crime, such as anti-virus, password or encryption, but if the controllers are absent or present but powerless, cybercrime is possible, as posited by Eric (2016).

According to Sutherland (1939; 1960), of differential association theory, criminal behaviour is learned in interaction with other persons in a process of communication. This would mean an individual is influenced to participate in criminal behaviour through watching and interacting with other individuals who are engaging in the criminal behaviour. The principal part of the learning of criminal behaviour occurs within intimate personal groups. When criminal behaviour is learned, the learning includes techniques of committing the crime, which are sometimes very complicated and sometimes simple, and they learn the specific direction of motives, drives, rationalisations and attitudes for committing a crime. Differential association theory asserts that an individual is more likely to commit crime when the individual learns favourable definitions towards violations of the law in excess of the definitions unfavourable to violations of the law. That is, people learn to engage in crime, primarily through their association with others, and weigh the benefits between. They learn beliefs that are favourable to crime and, as a result, are exposed to criminality (McLeod, 2016). Differential Association theory views crime as something that is desirable or at least justifiable in certain situations. It explains both the process by which a given person(s) learns to engage in crime and the content of what is learned. According to Sutherland (1960), an individual’s environment influences one to learn appropriate behaviours to survive within the environment. This mostly occurs in groups where people within a specific reference group or association display norms of deviance or conformity (Siegel, 2013). According to Siegel (2013), the differential association theory applies to several types of behaviours, including cybercrime. This is because they view themselves as young and innovative; therefore, they commit crimes, such as hacking, advance fee fraud, identity theft, malicious coding and outside or inside espionage as a way to express their creativity cum the anonymous nature of the cyber realm (Moore, 2012). Thus, in relation to the study, the undergraduate student views himself as young and innovative; therefore, he commits cybercrimes such as hacking, advance fee fraud, identity theft, flash bank credit alerts, coding and outside or inside espionage as a way to express his creativity through the anonymous nature of the cyber realm. This theory is relevant in explaining the emergence of cybercrimes among undergraduates because they learn these deviant behaviours from their interactions with others and the environment around them. Cybercriminals acquire deviant behaviour on cyber or computer-related crimes from people they associate with within their daily lives. Today, people rely on computer devices to do almost every daily activity, including communicating, studying, researching and working. Consequently, this environment provides a suitable environment for undergraduates to engage in cybercrimes. Routine theory and differential association theory have been adopted as the theoretical framework in this study because they are the most suitable, adequate, appropriate, and relevant and best explain the phenomenon of cybercrimes.

Results

Motivating Factors and Evaluating the Performance of Institutional Frameworks and Proactive Measures that could Ameliorate the Menace of Criminality Among University Undergraduates

There are various factors that influence the prevalence of cybercrimes among undergraduate students of universities in Nigeria. The founding fathers of the internet, when the Internet was developed, were not willing to misuse the internet for criminal activities. Nowadays in cyberspace, there are numerous troubling events. Scholars have nevertheless attributed the world’s causes of cybercrime to the following: unemployment, the negative role model, insufficient police facilities and social gratification are causes of cybercrime. All these reasons, according to him, are used in most parts of the world to facilitate cybercrime. The major causes of cybercrime in most countries around the world are widespread corruption, harsh economic conditions, disregard for the law, and lack of transparency and accountability in governance. Two primary and secondary causes could be associated with cybercrime. Poverty prevailing and the weak education system are the main causes (Folashade and Abimbola, 2013). Habitat, corruption and rapid syndrome are the secondary causes.

In Nigeria, for example, the high level of corruption and the spread of poverty are seen by university undergraduates as the principal cause of cybercrime. The majority of Nigerian students live below the poverty line (less than one dollar a day (#360.50)). Over five million university undergraduates in Nigeria have no hope of what they will do when they are university graduates; as a means of paving the way forward, they use cybercrime (Szde, 2014). Nigeria was ranked the third most corrupt country in the whole world until 1999, when Nigerians created some financial crime monitoring agencies like EFCC (Economic and Financial Crime Commissions, etc.). Again, Nigeria is regarded globally as a third-world country due to its high poverty rate index, which is alarming. This poverty rate is increasing day by day; the rich are getting richer while the poor are getting poorer. Inadequate provision of basic amenities and an epileptic supply of power have put the small and medium enterprise into a pause.

· Peer group influence: This is usually showcased in certain environments where everyone wants to belong to a certain group or upper class without consideration of his/her background, and this is grinding the moral upbringing of many youth in Nigeria. They try to emulate their mate in how to defraud individuals and organisations without consideration of its negative effect on them. All they want is that I am driving life without the consideration that they say that “the ends justify the means”.

·         Negative role models and parental influence: This is caused by some parents who compare their children with other children and think that all they need from them is to make money, whether good or bad. Money is all they want; money speaks. This usually lures these children into committing crimes.

·         Security men collaborating with fraudsters: Many security men and women, instead of looking at how to arrest this cybercrime operator, serve as bodyguards to them and cover them up in order to gain cash rewards. They go a long way to teach them the best way to invest this illegally acquired wealth without being arrested by the government. According to Ebeleogu, Ojo, Andeh and Agu (2019), the occurrence of a high economic condition and bad educational system also contributes immensely to the proliferation of cybercrime in Nigeria. Other causes of cybercrime in Nigeria as a society include a high rate of urban migration, poor infrastructure, weak laws, and quick-money syndrome.

Evaluating the performance deals with security awareness as an essential part of the fighting and prevention of cybercrimes. Edwards et al. (2016) suggested that the frequency of data breaches has increased over time and continues to expose the personal information of hundreds of millions of people. Wiley et al. (2020) suggested that organisations should focus on security culture rather than organisational culture to improve information security awareness and save time and resources, which depends on the importance of leaders in the encouragement of positive security behaviours through strategic management and planning, communication, and transparent decision-making processes. Sabillon et al. (2019) estimated that a cybersecurity awareness programme must include adequate training aligned with the organisation’s objectives and long-term investment to help create a cybersecurity culture if training is delivered continuously. Security awareness training programs’ success depends on how they are delivered. The security awareness approach may differ from one country to another. Tambo and Adama (2017) estimated that 11 out of 54 African countries had taken concrete actions essential in preventing and counteracting cybercrimes by implementing laws and regulations about cybersecurity. Moreover, the continent has seen cybercrimes and mobile money fraud increase significantly over time due to the absence of laws and regulations in that regard and the rise of internet penetration, which has contributed to enormous financial losses in terms of cyberattacks for countries like South Africa, Morocco, and Uganda. In that regard, the need to increase cybersecurity capabilities and cooperation by investing in building safe, reliable, and persistent cyberspace decision-making platforms and frameworks and releasing the cybersecurity leadership role and commitment is essential to create cybersecurity and operating platforms for all stakeholders that include Microsoft, Google, Apple, Facebook, banks, governments, and other private sectors on cyberattack incidents that affect the local and global market and share losses (Bouveret, 2019). Furthermore, the cybercrimes can be reduced by building public and community cybersecurity communication and engagement resilience, readiness, and capability to promote public and community cybersecurity and cyber-wellness policy and capabilities, awareness campaigns, meetings, and empowerment. Person-Centred Information Security Awareness (PCISA) is helpful to maintain information security and protect data assets for organisations. Ki-Aries and Faily (2017) suggested the PCISA contributes to the identification of the audience needs and security risks and enables a tailored approach to business-specific awareness activities, which contributes to the reduction of information security risks through security and allows a better adaptation to the time and resources needed for its implementation within the organisation. Information security can be maintained by building a security-conscious culture, providing end-user training to reinforce security awareness, developing proper guidelines for disposal of storage media, performing audits of security systems regularly and testing staff, and developing procedures that will help to report an incident. Policies and Procedures. With the rise of cybercrime activities, the adoption of policies and procedures becomes relevant in fighting and preventing such a phenomenon. Aldawood and Skinner (2019) suggested that policies and procedures play a huge role in the security awareness education training by demonstrating the ability of the organisation to provide training to employees through a general session on security awareness for all the new employees by focusing on commitment to ethical business behaviour. Kayser et al. (2019) suggested the importance of having solid policies and procedures related to cybercrime protection and the necessity of working with private and government entities to ensure that human rights standards will be applied in the cyberspace environment. Addressing any change in policies and procedures and intensive training for specific employees for areas of responsibility is helpful to refresh from time to time exposed employees of the organisation by explaining any committed crimes and monitoring and reporting them (Aldawood & Skinner, 2019).

·         Cyber Detection: Daily routines characteristic of a population affect the quantity and location of crime by determining how frequently potential offenders are victimised. The development of the Internet changed the lifestyle and routine activities of the population and opened a decrease in traditional police-based crime prevention strategies (Caneppele & Aebi, 2017). Malik and Younis (2016) suggested that cyber detection techniques such as checking mistakes from many authorities’ claims, the email inspection through internet protocol, and the use of a network intrusion detection system to track and detect incoming and outgoing traffic on the network system help in the prevention of cybercrimes. Malik and Younis (2016) suggested that imposing local law regarding the report of cyber incidents to the state police allows them to fight more efficiently against cybercrimes by collecting information about the victims to develop an incident response plan to manage cyber risks better. Chavez and Bichler (2019) suggested that the increasing disadvantages over anticipated rewards would lead potential offenders to refrain from committing a specific crime, influencing the rational decision-making process to prevent crime. As businesses start to take into account very seriously the impacts of cybercrimes on their daily activities, it becomes more vital for them to make that issue a priority as part of their social change culture, which will contribute to waking up and making their employees aware of the necessity to keep their eyes open for security threats that they may face on a daily basis. Positive Social Change Implication. Many researchers have addressed the importance of positive social change in the reduction of cybercrimes. Payne et al. (2019) suggested that the evolution of cybercrimes is the result of building a broad effort and the use of a category of presumption as a guide in the understanding of traditional crime, white-collar crime, international crime, and socially constructed crime as part of positive social change. According to Barosy (2019), social change can be viewed positively when it includes a safe and secure environment in which business and consumer confidence are increased, strengthened by protecting personal and confidential information.

·         Safe Internet Environment: Having a safe internet environment is essential to prevent cybercrimes. Barosy (2019) suggested that establishing and sustaining a secure Internet environment may create a climate of trust and safety for the online community. Kakucha and Buya (2018) indicated that establishing a comprehensive framework to enable the development, institutionalisation, assessment, and improvement of an information security programme is a way to develop a typical information security strategy. Besides, there should be a need to deploy countermeasures that will block all attacks on the organisation, which can be used to avoid information leakage (Kakucha & Buya, 2018).

·         Network Protection: Cyber attackers infiltrate organisation networks that are not protected from committing cybercrimes. Malware is any software used to disrupt computer operation, gather sensitive information, gain unauthorised access to private computer systems, and make illegal profit for malware owners (Bai et al., 2019). Holt et al. (2018) suggested that wireless networks as part of any organisation’s network infrastructure should be secured to prevent malware from spraying when users engage in downloading activities that are not securely monitored. Critical elements contribute to cybercrimes and different approaches to mitigate them through a culture of prevention and security awareness that is very useful. Leukfeldt et al. (2017) suggested that cybercriminals can use malware such as viruses, worms, Trojan horses, and spyware to access credentials or manipulate the entire system sessions. Although there are many tools to detect and prevent malware, it remains, however, one of the most common ways that cybercriminals infiltrate and cause significant harm to businesses and organisations computers around the world, which needs to be taken into account when building and implementing security strategies in the prevention of cybercrimes.

·         Artificial Intelligence in the Prevention of Cybercrimes: Artificial intelligence applications are being found efficient in the prevention of cybercrimes. According to Hamet and Tremblay (2017), artificial intelligence is a general term that implies using a computer to model intelligent behaviour with minimal human intervention. Siddiqui et al. (2018) suggested that artificial intelligence is helping humanity in addressing the issues of cybersecurity because of its intelligent nature and flexibility. Artificial intelligence techniques and applications such as heuristics, data mining, neural networks, and artificial immune systems have proven efficient in preventing and mitigating cybercrimes (Siddiqui et al., 2018).

·         Situational Prevention Factors and Social Bond Factors: Safa et al. (2018), by examining information security concerns for organisations, suggested that situational prevention factors and social bond factors such as a commitment to organisational policies and procedures, involvement in information security activities, and personal norms for organisations promoted the adoption of negative attitudes toward misbehaviour, which influenced the employees’ intentions towards engaging in misconduct positively, and this, in turn, reduced insider threat behaviour. In addition, surveillance in cyberspace may contribute to preventing situational crime. Testa et al. (2017) suggested that a situational deterring indication reduced the probability of system trespassers with fewer administration privileges on the attacked computer system entering activity commands. In contrast, these indications in the attacked system did not affect the probability of system trespassers with the administration level of privileges to enter activity commands. Moeller et al. (2016) suggested that gaining access to counter-surveillance information and human capital by cybercriminals that directly affect people’s success in online forums reduces the likelihood of capture and diminishes informal threats of burglaries. They also proposed that the fear of sanctions may motivate some criminals to cut off their ties to unfamiliar people and reinforce ties to other criminals due to restrictive prevention that emphasises a behaviour change.

·         Data Privacy Prevention: Data are valuable assets for an organisation and represent constituents that are the most targeted by cybercriminals. Fraudulent access to organisation data without authorisation can lead to data breaches. Martin et al. (2017) estimated that data breaches are bad for performance, and the effect of data breaches reaches a worse level when a firm is affected more than one time. Thomas et al. (2017) also estimated that data breaches at primary online services had become a regular occurrence in recent years. Based on a survey, 26% of adults affirmed that they had received a notice related to a data breach in the past year. Alotaibi et al. (2016) suggested that the very high cost of cybercrimes affects many consumers through the breach of data privacy and may drive them to use mobile gaming applications in the creation and learning of cybersecurity awareness. Therefore, it is vital to limit access to sensitive data by granting access only to authorised entities and monitoring any existing data storage system access. Besides, organisations should adopt an information assurance approach to ensure data protection regarding confidentiality, integrity, authentication, and availability. Muller and Lind (2020) suggested that compliance with information security rules among information assurance professionals may prevent organisational data from risks.

·         Alerts and Anti-phishing: Anti-phishing methods are more used and taught in security awareness training, such as interactive game methods to allow users to identify risky emails and websites. The importance of human factors in the fight against cybercrimes is essential in reducing cyberattacks by learning security best practices and security awareness training. Phishing is an activity that consists of stealing sensitive information online, such as usernames, passwords, and online banking details, from its victims (Arachchilage et al., 2016). Martin et al. (2018) suggested that understanding and quantifying end-user phishing susceptibility relative to their failure to incorporate expectation factors are crucial preconditions for developing adequate protection. Besides, Arachchilage et al. (2016) suggested that cybercriminals use the technique of phishing to attack victims. Therefore, alerting end-users about any phishing activity may prevent them from opening any phishing emails (Jansen & Leukfeldt, 2016). Thus, alerts are a way to avoid phishing, which contributes to the prevention of cybercrimes.

·         Honeypot: A honeypot is a system intentionally initiated to probably target cyberattacks and designed to attract intruders’ attention and gather and report information. Litchfield et al. (2016) suggested that honeypots derive much value from their ability to fool attackers into believing they are authentic machines. According to the Pothumani and Anuradha (2017) decoy method, a new technique to detect the insider attacker and reduce the amount of focus information to the attacker and redirect the attacker from the original data appears as the best method to solve the threats of data security. Honeypots are vital in terms of keeping away data from any inside or outside intrusion.

Conclusion

In conclusion, cybercrime is a trend and still very rampant among youths or students in Nigerian universities, considering what it has contributed negatively to the society. Though it cannot be eradicated, it can be adequately controlled if law enforcement agencies are trained on the use of technology, as the constraints confronting them in doing the needful should be critically addressed by the policymakers. Nigerian law enforcement agencies are endowed with certain responsibilities in controlling the spread of cybercrime among youths or students in Nigeria, as this will sensitise them to collaborate with other sister agencies in controlling cybercrime effectively. With the increase of cybercrimes, individuals, organisations, businesses, and governments are seeking relevant and efficient solutions to prevent or fight against their data being compromised.

Recommendations

1. To reduce the prevalence of cybercrime among youths or students at Nigerian universities, there should be adequate technological training for law enforcement agents in the forensic department. Nevertheless, in the process of recruiting law enforcement agents, those with computer know-how should be enlisted adequately. It is important and timely to adopt and create new law enforcement agencies that will be saddled to regulate and control certain cyber activities, as apprehending cybercriminals becomes difficult due to the complexity in cyberspace.

2. There should be a more proactive approach that will allow law enforcement agencies to track and investigate students involved in cybercrime within and outside the institution. Besides, most of these students that practice such acts can be easily tracked within their hostels in the institutions.

3. School management should be allowed to report students detected to be involved in cybercrime to avert its escalation, because by doing so it will reduce the perpetration of cybercrime within the school. This can only be achieved through effective collaboration between school management and law enforcement agencies.

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Citation

Nwokoroeze, C. N. (2026). Examining the Role of the AU in Combating Xenophobia in Africa. International Journal for Social Studies, 12(1), 24–35. https://doi.org/10.26643/ijss/2

Nwokoroeze, Chinonye Nnenna 

Department of Political Science,

Faculty of Social Sciences and Humanities, Enugu State University of Science and Technology, Agbani Email: chinonye.nwokoroeze@esut.edu.ng  

ORCID: https://orcid.org/0009-0008-0449-9036

Abstract
The AU goal of a cohesive and integrated continent is greatly impeded by xenophobia. Xenophobic views and violent crimes remain in many African countries, harming social cohesiveness, socioeconomic stability, and continental integration despite the AU’s efforts to promote unity. The results illustrate how xenophobia effects a number of socioeconomic aspects, such as work, education, and resource accessibility for both African migrants and host communities. Migrants, generally considered as economic threats, face exclusion from labour opportunities and critical utilities, resulting to ruined livelihoods and repeated cycles of poverty. Despite the AU’s stated opposition to xenophobic violence and support for protective regulations, critics contend that its policies lack enforcement and proactive steps to prevent xenophobia at its root. The study’s findings demonstrate that xenophobia continues to be a major hurdle to the African Union’s aim of a united and prosperous continent. To foster long-lasting unity, the AU must reaffirm its commitment to inclusivity and cooperation among member states. It is therefore recommended that the AU and its member states implement educational campaigns promoting Pan-Africanism and the economic contributions of migrants to reshape public perceptions, strengthen anti-discrimination laws, and enhance border and migration policies that would facilitate smoother integration and reduce community tensions.

Keywords: AU, African mobility, Migrants, Violence, Xenophobia

Introduction

            The AU has been engaged in regional integration for decades via regional strategic visions and policy frameworks. Bilal (2016) pointed out that after decades of policy frameworks and academic discussion on African governance, the objective of African integration remains unattainable. This is a result of neo-colonialism, political instability, weak political leadership, xenophobic or Afrophobic acts and policies, uneven integration efforts, and the general failure of true integration on the continent. Onditi (2021) underlined that xenophobia affects trade, politics, security, and cultural exchanges, rendering it Africa’s most major integration obstacle. Okem, Asuelime, and Adekoye (2015) argued that African leaders have yet to identify and address the damaging impact of xenophobia on Africa’s integration trajectory. Ottuh (2020) says this is accurate since xenophobic violence also damages local native people who are mistakenly thought to be “foreign” or from another nation. Durokifa and Ijeoma (2017) claim that xenophobia has happened in Africa at numerous intervals, obvious through attacks, harassment, and prejudice directed toward immigrants in South Africa, Nigeria, Ghana, Zambia, Kenya, Zimbabwe, and Egypt. In Egypt, xenophobia targeted refugees, asylum seekers, and other migrants originating from Sub-Saharan Africa. Xenophobic violence has also hurt Somali immigrants and communities in Kenya. Piracy and terrorism in Kenya made Somali immigrants and natives prejudiced and violate other people’s rights as they were perceived to be pirates and terrorists (Human Rights Watch, 2014). When Kwame Nkrumah was thrown out, Ghana became increasingly xenophobic. Kofi Busia’s new government kicked out immigrants from Nigeria and Burkina Faso and put them in deplorable conditions due of the severe Aliens Compliance Order. Hundreds of Ghanaians were transported back to Ghana from Nigeria in the early 1980s because of this (Ucham, 2014). In 2019, some South Africans attacked, killed, robbed, or stole from foreign citizens, especially from Nigeria and other African nations, because they thought they were damaging their jobs and the economy (Ezeji & Mbagwu, 2020).Ottuh (2020) states that apartheid and colonialism were two of the social issues that Africa confronted in the late 20th century. To address these issues, they employed a “integrative approach.” Sadly, the dissolution of African states is being made worse by violence against other Africans that is rooted on hatred for foreigners. This violence is prompted by people’s discontent over how things are being handled. In light of the aforementioned circumstances, the AU ought to confront the escalation of xenophobic crimes in Africa to create continental unity. The AU and intellectuals both speak out against racism, although there are moments when xenophobic events occurs in Africa. They also haven’t been able to cope with how xenophobia damages Africa’s overall economic and social freedom.

AU Initiatives on Xenophobia

            The African Union’s (AU) goal of a unified and integrated Africa is significantly hampered by xenophobia. Xenophobic violence is viewed by the African Union, an organization dedicated to promoting peace, security, and socioeconomic integration across the continent, as a direct attack on its fundamental principles of unity and solidarity among African nations. Xenophobia limits the free movement of people, labour, and goods, impeding the AU’s aspirations of economic cooperation and integration as envisioned in Agenda 2063 (Ndaba, 2023). The challenge of attaining these integration aims in the face of xenophobic beliefs has been underlined by incidences of anti-immigrant violence, especially in nations grappling with significant levels of unemployment and economic inequity (Massay & Susan, 2023). AU has regularly condemned xenophobic crimes, including pronouncements that urge on member states to protect foreign nationals and reject acts of violence against immigrants. In rare instances, AU delegates have travelled to affected nations in an effort to foster dialogue and collaboration with local authorities over the most effective ways to protect migrant rights and safety. The African Union has also underlined that xenophobia runs opposed to the African Charter on Human and Peoples’ Rights, which demands the protection of all Africans, regardless of nationality (Makaya, 2023). However, sceptics claim that these measures have largely been flimsy and reactive, with the AU reacting to individual violent incidences rather than putting long-term strategies in place to deal with the core reasons of xenophobia (Olofinbiyi, 2022).One of the issues the AU has in addressing xenophobia is its lack of enforcement resources. The AU can suggest and encourage member states to establish anti-xenophobia policies, but it lacks the capacity to impose legally binding judgements (Makaya, 2023). As a result, many governments may fail to take serious action against xenophobia, especially when it encompasses politically sensitive themes such to unemployment, public resources, or immigration (John-Langba, 2022). To reinforce its position, the AU should consider adopting more rigorous frameworks that enable it to monitor and review member states’ compliance with anti-xenophobia laws. For instance, an independent monitoring agency may be established to catalogue xenophobic events across the continent, holding governments accountable when they fail to secure refugees.Furthermore, there is an urgent need for targeted action plans to counter xenophobia even as frameworks like the African Charter and the AU’s Migration Policy Framework encourage inclusive policies and human rights. These initiatives should describe preventative steps, including education programs targeted at strengthening Pan-African solidarity and eradicating detrimental misconceptions about immigration. Furthermore, Gächter (2022) argues that the AU can press member states to develop legislative protections for migrants, such as anti-discrimination statutes that relate directly to xenophobic behaviour, insuring that violators suffer sufficient punishments. In the long run, improved mechanisms—such as monitoring systems, economic incentives for member states that support anti-xenophobia measures, and tighter migration policies—could assist boost the AU’s efforts and affirm its commitment to African unity.

Impact of xenophobia in Africa

            Xenophobia has had major socio-economic implications across Africa. It has sparked conflicts amongst African countries and has the potential to further isolate them if left ignored. According to Mkhize (2019), Zambia took a stand by postponing a planned friendly football game with South Africa in Lusaka following the racist attacks on immigrants in 2019. Madagascar promptly came in to replace Zambia but later withdrew over same grounds. Hot FM, a popular local radio station, announced that it will stop playing South African music until further notice, and Zambian student protestors staged a rally that resulted in the closure of commercial hubs in the capital (Mkhize, 2019). The relationship between these nations is badly impacted by this trend, which also has economic repercussions.During demonstrations in Lubumbashi, the Democratic Republic of the Congo (DRC), demonstrators looted South African-owned companies and broke the windows of the South African embassy (Mkhize, 2019). Meanwhile, after then-foreign minister Geoffrey Onyeama expressed strong emotional disapproval, the Nigerian government withdrew from the 2019 World Economic Forum in Cape Town. Additionally, the Nigerian government called back its high commissioner in South Africa (Durokifa & Ijeoma, 2017). Prominent Nigerian musician Tiwa Savage cancelled her gig in South Africa in protest, while Adams Oshiomhole, then-national chairman of Nigeria’s ruling All Progressives Congress, called for a boycott of South African goods and services. He also threatened to nationalise South African-owned companies like MTN and revoke landing privileges for South African Airways until the xenophobic violence ceased. “Nigeria needs to show that we are not chickens to be molested” was his response (Durokifa & Ijeoma, 2017). The economic devastation during this period was severe.Xenophobic ideologies often perceive immigration as a risk to local economic stability. According to Szaflarski and Bauldry (2019), this approach results in discrimination in the workplace, as migrants are either refused employment possibilities or compelled to work in informal or precarious occupations with minimal job security or legal protection. According to the International Organisation for Migration (IOM, 2001) in countries where xenophobia is prevalent, migrant workers are often blamed for high unemployment rates or declining wages, despite evidence that they contribute positively to the economy by creating jobs and supporting businesses. Xenophobic violence, such as the targeting of migrant-owned companies, exacerbates these difficulties. Okunade and Awosusi (2023) discovered that when stores and institutions held by migrants are damaged or stolen, the subsequent economic disturbance radiates across local economies, harming both the migrants and the local population. Because enterprises are forced to close and economic activity slows down, this not only results in the loss of livelihoods but also badly influences the general economic health of the affected areas. Addressing these socio-economic aspects of xenophobia is vital for fostering more integration and unity among African states.

The conceptual picture of xenophobia

            In Africa, prejudiced beliefs and actions directed towards foreigners, especially immigrants, refugees, and non-citizens, are referred to as xenophobia. According to Marumo, Chakale, and Mothelesi (2019), it occurs when people are shunned, rejected, and demonised because of their perceived differences from the local population or their foreignness. Okem, Asuelime, and Adekoye (2015) state that xenophobia is typified by anti-foreign attitudes, a pervasive hate of other countries, an irrational fear of foreigners, and an excessive dependence on strong nationalism. Akinola (2017) defines xenophobia as acts of discrimination against those who are perceived as outsiders or different from those who are thought to be the original occupiers or citizens of a certain location or political system.According to Adeola (2015), xenophobia has been a persistent problem in the African environment, with its roots in hostile attitudes, discriminating language, and violent acts against immigrants from surrounding nations. Particularly in areas where immigrants are perceived as a threat to the social or economic well-being of the native population, these beliefs often result in widespread hostility, violent attacks, and the expulsion of foreigners. Everatt (2011) believes that historical bloodshed, township competition, tremendous structural economic and social disparities, bad housing, and the exploitation of cheap labour are the key reasons of xenophobia in Africa. Akinola (2020) points out that the failure of regional institutions like the African Union (AU), poor political governance, and political instability exacerbate xenophobic sentiments.Several studies have linked xenophobia in Africa to various historical and economic contexts. One well-known instance of xenophobic policies is the conflict between Ghana and Nigeria in the 1960s. The “Alien Compliance Order” was issued in 1969 by Ghana’s then-prime minister, Kofi Abrefa Busia, with the purpose of driving out illegal immigrants, especially in light of the country’s economic collapse following political upheaval following Dr. Kwame Nkrumah’s resignation. Immigrants, particularly Nigerians, were scapegoated for the country’s economic troubles. Brobbey (2018) highlights that the widespread hatred toward migrants in Ghana was motivated by economic concerns, such as the notion that foreigners were taking over local enterprises. Similar to this, Nigeria deported approximately two million migrants in 1983—mostly Ghanaians—in reaction to political and economic issues. The “Ghana Must Go” campaign, which related to the large deportation of Ghanaians from Nigeria and the attacks on Nigerians in Ghana, called attention to the long-lasting antagonism between the two countries.The deportation of Asian migrants from Uganda in 1972 under Idi Amin’s dictatorship and the 1978 expulsion of Beninese nationals from Gabon are more examples of xenophobic actions with economic underpinnings (Paalo, Adu-Gyamfi & Arthur, 2022). Similarly, in Ivory Coast, the institutionalisation of “Ivorian identity” in the 1980s, driven by tensions between indigenous Ivorian farmers and Burkinabe migrants, led to the deportation of around 12,000 Burkinabes (Wiafe-Amoako, 2015). According to Adebajor (2011), the belief that DRC citizens were misusing Angola’s natural resources contributed to their deportation.In South Africa, xenophobia has garnered the highest academic interest. The country’s history of colonialism and apartheid has tremendously shaped modern xenophobic sentiments. Landau, Ramjathan-Keogh, and Singh (2005) suggest that large-scale immigration from other African nations, together with South Africa’s tough history, has contributed to the spike in xenophobic violence. Millions of South Africans were herded into ethnically split townships by the Apartheid-era Group Areas Act, which fostered racial and ethnic tensions that today show up in xenophobic violence against African migrants. Concerns about economic competition and the belief that foreigners were taking jobs and depleting public resources led black South Africans to start using violence against black non-natives when apartheid ended (Steenkamp, 2009).Xenophobia in South Africa, as in other African countries, is caused by a combination of economic and societal forces. Steenkamp (2009) adds that economic competitiveness, the notion that foreigners are criminals or burdens on the economy, and the demand on public services have been important causes of xenophobic beliefs. For instance, during the 2008 xenophobic attacks, nearly 60 foreign nationals, including Zimbabweans, Mozambicans, Somalis, and Ghanaians, were slaughtered in violent assaults (Kersting, 2009). Swaziland, Lesotho, and Botswana migrants in South Africa frequently confront less hatred compared to migrants from Zimbabwe or Mozambique, due to the latter’s perceived competition for resources (Steenkamp, 2009).While economic concerns, such as unemployment and underdevelopment, are often highlighted as important contributing causes to xenophobia in Africa, Steenkamp (2009) believes that migrants are often viewed as scapegoats for deeper structural problems generated by inadequate governance. The demonisation of foreigners as the root of social problems may result from national complaints about bad economic management and governance. Beyond the economic cause, additional aspects could create xenophobia. For example, Bordeau (2010) says that prejudices against foreigners—what he calls “Afrophobia”—usually stem from views that immigrants are to blame for social ills including the development of sickness, criminality, and job theft. According to Adeola (2015), sensationalist reporting in the media contributes significantly to the spread of xenophobia by creating negative feelings toward immigrants. Media coverage in South Africa, Ghana, and Nigeria, for instance, occasionally perpetuates misconceptions about migrants, making them targets of public resentment.Adeola (2015) asserts that colonial legacies continue to influence xenophobia in Africa. The “foreign/other” dichotomy is maintained by phoney national identities that have been developed as a result of colonial powers’ artificial borders. Kersting (2009) concurs, pointing out that nationalism, bolstered by colonial restraints, has often blocked other socioeconomic groups from receiving state resources, which is then utilised as a basis for xenophobic attitudes. In conclusion, even while economic problems like underdevelopment and unemployment are still important, other social, political, and historical causes also play a major role in the continuance of xenophobia in Africa. The media’s role, colonialism’s legacy, and the current issues of state governance all contribute immensely to the xenophobic views that still obstruct African unity and integration.

Conclusion

            Africa’s unity, shared integration vision, and financial stability remain seriously threatened by xenophobia. Coordinated action against xenophobia is necessary and urgent for the African Union (AU) and its member states, not only to maintain the rights and dignity of African migrants but also to satisfy the continent’s wider goals of unity and sustainable development. The AU can contribute to the creation of an Africa where national boundaries operate as bridges rather than obstacles to African unity by implementing audacious, inclusive policies that promote tolerance and respect for one another.To establish a united, inclusive Africa, the AU’s commitment to fighting xenophobia must extend beyond policy declarations to genuine, enforceable measures. This requires improving social and economic possibilities for both migrants and host communities, establishing protective frameworks, and promoting a collective sense of Africa’s shared identity and interdependence. These tactics will help eliminate the situations that give rise to xenophobic emotions and replace them with chances for collaboration, reciprocity, and growth. The integration, peace, and prosperity promised in Agenda 2063 are on the horizon for an Africa free of xenophobia. A future where xenophobia no longer stands in the way of Africa’s integration will be shaped by the AU’s leadership and unwavering dedication. By emphasising the security of all Africans, regardless of ethnicity, and assuring that xenophobia has no place in the sociopolitical atmosphere of the continent, the AU can establish the framework for a truly robust and cohesive Africa.

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Priyanka Yadav

Research Scholar

Dept. of English, J. P. University, Chapra.

Abstract:

Indian English fiction has emerged as a significant literary space for exploring the complex relationship between power, identity, and marginalization in postcolonial society. As India continues to undergo rapid social, economic, and cultural transformations, questions of inclusion, exclusion, and representation have gained renewed importance. This paper examines how selected Indian English novels represent the movement from marginality to mainstream visibility, focusing on the negotiation of power and identity among historically disadvantaged individuals and communities. Through an analysis of Kiran Desai’s The Inheritance of Loss, Arundhati Roy’s The God of Small Things, and Aravind Adiga’s The White Tiger, the study explores how these texts portray struggles against social hierarchies rooted in class, caste, gender, and economic inequality. Drawing on postcolonial theory and cultural studies, the paper argues that these novels challenge dominant narratives of progress and nationhood by foregrounding marginalized voices and highlighting the ethical implications of social mobility. While the protagonists seek recognition and empowerment, their journeys reveal the limitations and contradictions of mainstream inclusion. The study demonstrates that contemporary Indian English fiction functions as a critical medium for interrogating power structures and reimagining identity in an unequal society.

Keywords: Margins, Mainstream, Power, Identity, Indian English Fiction, Marginalization, Postcolonial Studies, Social Inequality, Representation

Introduction

The transition from marginality to mainstream participation is a central concern in postcolonial societies marked by historical inequalities and uneven development. In India, centuries of caste hierarchy, colonial exploitation, and economic disparity have produced deep-rooted social divisions. Although independence and constitutional democracy promised equality and justice, structural barriers continue to restrict access to power and resources for large segments of the population. As a result, the movement from margins to mainstream remains fraught with tension, conflict, and compromise.

Indian English literature has played a vital role in articulating these social realities. From its early nationalist phase to its contemporary global presence, this literary tradition has engaged with issues of identity, belonging, and power. In recent decades, novelists have increasingly focused on marginalized individuals and communities whose experiences challenge celebratory narratives of development and modernization. Through their stories, writers expose the complexities of social mobility and question the moral foundations of success.

Kiran Desai, Arundhati Roy, and Aravind Adiga are among the most prominent contemporary writers who examine these issues. Their novels depict characters who inhabit social, economic, and cultural margins and attempt to negotiate entry into mainstream society. The Inheritance of Loss explores globalization and cultural displacement. The God of Small Things examines caste and gender oppression. The White Tiger critiques neoliberal capitalism and class exploitation. Together, these works provide a comprehensive perspective on the dynamics of power and identity in modern India.

This paper seeks to analyze how these selected novels represent the journey from marginality to mainstream visibility and how power relations shape identity formation in this process. It argues that while these narratives highlight possibilities of resistance and self-assertion, they also reveal the ethical and psychological costs of social mobility. By adopting a comparative approach, the study aims to demonstrate how contemporary Indian English fiction functions as a critical discourse on inclusion, exclusion, and social justice.

Theoretical Framework: Power, Identity, and Marginality

The relationship between power and identity has been a central concern in social and cultural theory. Michel Foucault conceptualizes power as a pervasive force that operates through institutions, discourses, and everyday practices. Rather than being concentrated in a single authority, power circulates within social networks and shapes subjectivity. Individuals internalize dominant norms and values, often reproducing their own subordination.

In postcolonial contexts, power is further complicated by colonial legacies and global inequalities. Scholars such as Edward Said, Homi Bhabha, and Gayatri Chakravorty Spivak have emphasized how representation and discourse influence the construction of identity. Colonial and nationalist narratives often marginalize subaltern voices, portraying them as passive or inferior. Postcolonial literature seeks to challenge these representations by foregrounding alternative perspectives.

Identity is not a fixed essence but a dynamic process shaped by social interactions and historical conditions. Stuart Hall argues that identity is constructed through difference and negotiation rather than through stable origins. For marginalized individuals, identity formation involves constant negotiation between imposed labels and personal aspirations. The desire for mainstream acceptance often requires conformity to dominant norms, resulting in tensions between authenticity and adaptation.

Marginality refers to social positions characterized by exclusion from political, economic, and cultural power. Marginalized groups include lower castes, women, ethnic minorities, migrants, and the urban poor. Their experiences are shaped by limited access to education, employment, and representation. Literature provides a crucial space for articulating these experiences and contesting dominant ideologies.

This paper draws on postcolonial theory, cultural studies, and sociological perspectives to analyze how Desai, Roy, and Adiga represent power and identity. It focuses on narrative voice, characterization, spatial settings, and symbolic structures to explore how marginalized subjects negotiate their positions within unequal social systems.

Globalization and Cultural Marginality in Kiran Desai’s The Inheritance of Loss

Kiran Desai’s The Inheritance of Loss offers a nuanced portrayal of globalization and its impact on individual identities. Set in Kalimpong and interwoven with the immigrant experience in the United States, the novel explores how economic and cultural forces reshape social relations. Desai presents globalization as a contradictory process that generates both aspiration and alienation.

Biju, an undocumented immigrant, represents the marginalized global laborer. His migration to America is driven by the hope of economic mobility and social recognition. However, his reality is marked by exploitation, insecurity, and invisibility. Working in restaurant kitchens under harsh conditions, Biju remains excluded from mainstream society. His experience reveals how global capitalism depends on cheap, disposable labor.

In India, the judge Jemubhai Patel embodies internalized colonialism and elite alienation. Educated in England, he rejects his cultural roots and family relationships. His obsession with Western norms reflects a desire for mainstream acceptance shaped by colonial hierarchies. Yet, this pursuit results in emotional isolation and moral emptiness.

Sai and Gyan represent a younger generation negotiating hybrid identities. Their relationship is affected by political unrest and social insecurity associated with the Gorkhaland movement. This movement reflects regional marginalization and struggles for recognition. Desai portrays it as an expression of frustrated aspirations rather than a coherent political project.

Through these interconnected narratives, Desai illustrates how the journey from margins to mainstream is marked by loss and compromise. Her characters seek belonging within global and national frameworks but encounter structural barriers and emotional dislocation. The novel suggests that mainstream inclusion often requires the suppression of cultural and emotional authenticity.

Caste, Gender, and Social Exclusion in Arundhati Roy’s The God of Small Things

Arundhati Roy’s The God of Small Things presents a powerful critique of caste and gender hierarchies (Roy 275). Velutha represents the most marginalized figure in the novel, excluded from social mobility despite his abilities (Roy 286). His death symbolizes the violent enforcement of social order (Roy 290).

Ammu’s marginalization reflects patriarchal oppression and economic vulnerability (Roy 223). Her tragic fate exposes the limitations placed on women in postcolonial society (Loomba 156).

Estha and Rahel’s fragmented identities reflect social disintegration under modern pressures (Roy 210). Roy’s non-linear narrative challenges dominant historical discourse (Said 91).

Velutha, an Untouchable carpenter, represents the most marginalized figure in the novel. Despite his technical skills and political awareness, he remains excluded from social mobility. His relationship with Ammu violates caste boundaries and provokes violent repression. Velutha’s death symbolizes the brutal enforcement of social order and the silencing of subaltern aspirations.

Ammu’s marginalization reflects the intersection of gender and class oppression. As a divorced woman without economic independence, she occupies a precarious position within patriarchal society. Her emotional strength and intellectual capacity cannot protect her from social stigma. Her tragic fate exposes the limitations placed on women within both traditional and modern frameworks.

The twin protagonists, Estha and Rahel, experience psychological fragmentation resulting from social conflict and familial breakdown. Their dislocated identities mirror the disintegration of social cohesion under modern pressures. Roy’s non-linear narrative structure reflects this fragmentation and challenges conventional historical representation.

Roy’s novel emphasizes that movement from margin to mainstream is systematically obstructed for certain groups. Caste and gender function as rigid boundaries that restrict social mobility. At the same time, Roy highlights small acts of love, memory, and storytelling as forms of resistance. These acts preserve marginalized identities within hostile social environments.

Class Mobility and Ethical Ambiguity in Aravind Adiga’s The White Tiger

Aravind Adiga’s The White Tiger presents a stark portrayal of class inequality in neoliberal India. Through the voice of Balram Halwai, the novel exposes the structural barriers that prevent social mobility. Adiga adopts a confessional narrative style that allows the marginalized protagonist to articulate his own experience.

Balram originates from rural poverty and systemic neglect. His early life is marked by hunger, child labor, and limited educational opportunities. Despite his intelligence, institutional constraints restrict his advancement. The novel challenges the myth that hard work alone can ensure success in a competitive society.

Working as a driver for a wealthy family, Balram gains insight into elite lifestyles and moral hypocrisy. His employers embody the contradictions of modernity, combining Westernized habits with feudal attitudes. Corruption and exploitation are normalized within this system, reinforcing class divisions.

Balram’s decision to murder his employer and establish his own business represents a radical attempt to enter the mainstream. By rejecting servitude, he asserts his agency within an unjust system. However, his success is achieved through violence and deception, raising ethical questions about the nature of empowerment.

Adiga does not present Balram as a heroic figure but as a product of structural inequality. His transformation exposes the moral costs of upward mobility in a society that rewards ruthlessness. The novel suggests that mainstream inclusion under neoliberal capitalism often requires complicity in exploitation.

Aravind Adiga’s The White Tiger critiques neoliberal inequality through Balram’s narrative (Adiga 147). Balram’s background in poverty reflects structural neglect (Adiga 32). His employers’ corruption exposes elite hypocrisy (Adiga 89).

Balram’s murder of his employer represents a radical attempt to escape servitude (Adiga 176). However, his success raises ethical concerns (Foucault 104). Adiga presents him as a product of systemic injustice (Adiga 181).

Comparative Perspectives on Power and Identity

All three novels critique dominant narratives of progress (Young 144). Desai focuses on emotional displacement (Desai 194), Roy emphasizes caste and gender violence (Roy 286), and Adiga highlights economic exploitation (Adiga 176).

Their narrative strategies differ significantly, reflecting varied ideological positions (Nayar 138). Together, these texts suggest that movement from margins to mainstream is uneven and morally complex (Hall 231).

Desai emphasizes emotional displacement and cultural hybridity, portraying marginality as a condition of existential uncertainty. Roy foregrounds caste and gender oppression, presenting exclusion as violently enforced. Adiga focuses on economic exploitation and class conflict, depicting resistance in pragmatic and confrontational terms.

Narrative strategies also differ. Desai employs lyrical prose and multiple perspectives to convey fragmentation. Roy uses experimental structure and symbolic imagery to challenge linear history. Adiga adopts a satirical and confessional voice to provoke critical reflection. These stylistic choices shape how power and identity are represented.

In terms of agency, Desai’s characters remain largely constrained, Roy’s characters resist but are defeated, and Adiga’s protagonist succeeds through transgression. This variation reflects different ideological positions regarding social change. Together, these narratives suggest that movement from margins to mainstream is uneven, precarious, and morally complex.

Conclusion

The selected novels of Kiran Desai, Arundhati Roy, and Aravind Adiga provide profound insights into the dynamics of power and identity in contemporary India. Through diverse narrative techniques and thematic concerns, these writers explore how marginalized individuals negotiate their positions within unequal social systems. Their works challenge celebratory narratives of modernization and development by foregrounding lived experiences of exclusion and struggle.

By tracing journeys from marginality to mainstream visibility, these novels reveal the ethical, emotional, and psychological costs of social mobility. They demonstrate that inclusion within dominant structures often requires compromise, conformity, and moral ambiguity. At the same time, they highlight the resilience and creativity of marginalized subjects who resist erasure.

This study affirms that contemporary Indian English fiction functions as a vital site for interrogating social hierarchies and reimagining identity. Desai, Roy, and Adiga not only represent social realities but also reshape literary discourse to accommodate marginalized voices. Their narratives invite readers to reconsider prevailing notions of success and progress and to envision more equitable and humane forms of social organization.

In a rapidly changing society marked by persistent inequality, these novels remain deeply relevant. They remind us that true movement from margins to mainstream requires not only individual effort but also structural transformation and ethical commitment.

Works Cited

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Citation

Anand, P. (2026). Western Political Thought: A Critical Study from a Marxist Framework. International Journal of Research, 12(12), 683–688. https://doi.org/10.26643/rb.v118i8.7507

Prem Anand

MA, UGC NET (Political science)

Sahebganj Sonarpatti Chowk, Chapra, Saran, Bihar, 841301

royale.prem@gmail.com

Abstract

Western political thought constitutes a vast intellectual tradition spanning from ancient Greece to contemporary liberal and post-liberal theory. It is commonly presented as a progressive unfolding of rational ideas concerning justice, the state, sovereignty, citizenship, liberty, and democracy. However, from a Marxist standpoint, political thought is not an autonomous realm of abstract reasoning but a historically conditioned superstructural formation shaped by material relations of production and class struggle. This paper offers a detailed and critical examination of Western political thought through the framework of Marxism, drawing upon the works of Karl Marx and Friedrich Engels, and extending the analysis through later Marxist thinkers such as Antonio Gramsci, Louis Althusser, Nicos Poulantzas, and Ralph Miliband.

The paper argues that Western political theory has functioned historically as an ideological expression of dominant class interests corresponding to successive modes of production—slave society, feudalism, mercantilism, and capitalism—while also containing internal contradictions that give rise to emancipatory possibilities. By situating canonical thinkers such as Plato, Aristotle, Thomas Hobbes, John Locke, Jean-Jacques Rousseau, G W F Hegel, and modern liberal theorists within their socio-economic contexts, this study demonstrates how political ideas both reflect and reproduce relations of domination.

Keywords: Western Political Thought, Marxist Framework, Historical Materialism, Dialectical Materialism, Class Struggle, Base and Superstructure, Ideology Bourgeois Democracy, Hegemony.

Introduction: Re-reading the Canon through Historical Materialism

The conventional historiography of Western political thought presents it as a continuous conversation about justice and the good polity. From the polis to the modern nation-state, political philosophy is often depicted as a rational inquiry into normative principles. Marxism, however, challenges the autonomy of ideas. According to Marx’s theory of historical materialism, articulated most clearly in The German Ideology and the Preface to A Contribution to the Critique of Political Economy, the mode of production of material life conditions the general process of social, political, and intellectual life. The economic base—constituted by productive forces and relations of production—shapes the superstructure, including political institutions and ideologies.

This framework does not imply crude economic determinism. Rather, it emphasizes dialectical interaction between base and superstructure. Political ideas emerge within definite historical conditions and serve, consciously or unconsciously, to legitimize or contest prevailing social relations. The history of political thought is thus inseparable from the history of class struggle.

Marx’s famous claim in The Communist Manifesto that the state is “but a committee for managing the common affairs of the bourgeoisie” encapsulates the critical orientation of Marxist political theory. Political institutions are not neutral mediators but instruments embedded in class structures. Later Marxists refined this claim by analyzing the relative autonomy of the state and the role of ideology in securing consent.

Ancient Greek Political Thought: Philosophy within a Slave Mode of Production

The origins of Western political thought lie in classical Greece. The works of Plato and Aristotle are foundational to the canon. Yet their philosophies were produced within a slave-based economy in which a minority of citizens depended upon the labor of slaves and women excluded from political life.

In The Republic, Plato constructs an ideal state organized around a tripartite class structure. Justice consists in each class performing its designated function. From a Marxist perspective, this organic model of hierarchy mirrors the structural stability desired by the Athenian aristocracy during a period of crisis. Plato’s hostility to democracy reflects elite anxiety about popular rule. Although Plato criticizes wealth accumulation among the guardian class, he does not challenge the fundamental division between those who labor and those who rule.

Aristotle’s Politics offers a more empirical analysis of constitutions and defends the concept of citizenship. However, Aristotle’s justification of “natural slavery” exemplifies ideological rationalization. By presenting slavery as rooted in nature rather than economic necessity, Aristotle naturalizes a relation of exploitation fundamental to the ancient mode of production.

A Marxist analysis thus reveals that classical political philosophy, while intellectually profound, remains embedded in the social relations of slave society. The exclusionary definition of citizenship corresponds directly to the economic structure. Political participation is possible only because surplus is extracted from slaves.

Medieval Political Thought: Feudal Hierarchy and Divine Legitimacy

Medieval political thought developed within the feudal mode of production, characterized by land-based hierarchy and obligations between lords and serfs. Political authority was intertwined with religious authority. Thinkers such as Augustine and Aquinas articulated a vision of political order grounded in divine will.

Feudal society’s material base consisted of agrarian production and localized power. Political thought reinforced this structure by presenting hierarchy as natural and ordained by God. The doctrine of the divine right of kings sanctified monarchical power. The Church functioned as an ideological institution legitimizing the feudal order.

From a Marxist viewpoint, medieval political theology obscured material exploitation by translating social hierarchy into spiritual necessity. Yet contradictions within feudalism—growth of commerce, urbanization, and monetary exchange—generated new social forces. The rising bourgeoisie would soon demand political theories suited to emerging capitalist relations.

Early Modern Thought: Social Contract and Bourgeois Revolution

The early modern period witnessed the transition from feudalism to capitalism. Political theory during this era reflects the needs of a rising bourgeois class. Social contract theory, articulated by Hobbes, Locke, and Rousseau, conceptualizes political authority as derived from individual consent rather than divine ordination.

Hobbes’s Leviathan defends absolute sovereignty to prevent civil war. Although Hobbes emphasizes security over liberty, his theory presupposes individuals as possessive and competitive, reflecting emergent market relations.

Locke provides the clearest ideological expression of bourgeois interests. His theory of property, grounded in labor-mixing, justifies private accumulation. By framing property as a natural right, Locke legitimizes capitalist ownership relations. Marx later critiques this conception in Capital, demonstrating that under capitalism, labor does not create property for the worker but surplus value for the capitalist.

Rousseau complicates this narrative. In The Social Contract and Discourse on Inequality, he criticizes private property as the origin of inequality. Marx admired Rousseau’s democratic impulse but argued that Rousseau’s solution remained within the framework of political, not economic, emancipation.

German Idealism and Marx’s Materialist Turn

The culmination of classical German philosophy in Hegel profoundly influenced Marx. Hegel’s Philosophy of Right conceptualizes the state as the realization of ethical freedom. Civil society mediates particular interests, while the state embodies universality.

Marx’s early Critique of Hegel’s Philosophy of Right rejects Hegel’s idealism. Marx argues that Hegel mystifies the state by treating it as the source rather than the product of social relations. For Marx, civil society, structured by property relations, determines political forms.

Marx’s shift from philosophy to political economy marks a decisive methodological break. In Capital, he analyzes the commodity form, surplus value, and the dynamics of accumulation. Political institutions are understood as mechanisms for reproducing capitalist relations. Liberal rights guarantee equality in exchange but conceal exploitation in production.

Marx distinguishes between political emancipation and human emancipation in On the Jewish Question. Liberal rights create formal equality while preserving material inequality. True emancipation requires abolition of class relations.

Marxist Theories of the State in the Twentieth Century

Twentieth-century Marxists developed more sophisticated theories of the state. Gramsci’s Prison Notebooks introduce the concept of hegemony, emphasizing cultural and ideological leadership. The bourgeoisie maintains dominance not only through coercion but through consent, shaping common sense and civil society institutions.

Althusser advances the theory of ideological state apparatuses, arguing that institutions such as schools, churches, and media reproduce capitalist relations by interpellating individuals as subjects.

Miliband and Poulantzas debated the nature of state power. Miliband emphasized the instrumental control of the state by elites, while Poulantzas argued that the state’s structure ensures capitalist dominance even without direct personal control. These debates refine Marx’s original claim about the state’s class character.

Liberal Democracy and Neoliberalism

Modern liberal democracy, celebrated for universal suffrage and constitutional rights, coexists with vast economic inequality. Marxists argue that political equality does not eliminate class domination. Electoral competition occurs within parameters defined by capital accumulation.

In the late twentieth century, neoliberalism emerged as a dominant ideology associated with thinkers such as Hayek and Friedman. It promotes deregulation, privatization, and market supremacy. From a Marxist perspective, neoliberalism represents a response to the crisis of Fordist capitalism and the decline of profit rates. It reasserts capitalist class power by dismantling welfare institutions and labor protections.

Contemporary Western political thought often emphasizes identity, recognition, and multiculturalism. While important, Marxists caution that these frameworks may overlook the structural logic of capital. Critical theorists continue to analyze globalization, imperialism, and financialization as extensions of capitalist accumulation.

Conclusion

A Marxist critical study of Western political thought demonstrates that political ideas are historically situated within specific modes of production. From ancient slavery to modern capitalism, dominant political theories have tended to legitimize prevailing class relations while presenting themselves as universal reason.

Yet the tradition also contains resources for critique. Democratic aspirations, egalitarian impulses, and revolutionary movements have emerged from within Western political discourse. Marxism does not reject this tradition wholesale but reinterprets it through the lens of class struggle and historical materialism.

Ultimately, Marx’s eleventh thesis on Feuerbach remains instructive: philosophers have only interpreted the world; the point, however, is to change it. A Marxist framework transforms the study of Western political thought from a purely intellectual exercise into a critical engagement with the material conditions that shape human freedom.

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