Ethiopia - Report of the Strategy Identification Mission and Consultation Process Policy Advisory Document by Alan Penny and Belete Demissie VLIR money is used as a spice (Comment by one interviewee) Version May 2013 Table of contents I. Background 3 II. Country Identification Mission 5 III. Main findings from the mission and consultations 1. Higher Education and research: Status and policy environment 11 11 2. Observations resulting from the interaction with local stakeholders and institutional visits 11 2.1. From discussions with stakeholders in HE sector and local organisations 11 2.2. From Institutional Visits 12 2.3. Collective analysis from the institutional visits 14 3. South Seminar and interviews 17 4. Summary Conclusions 19 4.1. Core issues to emerge which should be taken into account in the Country Strategy 19 4.2. Strategic niche framework (main themes and crosscutting support domains) 20 4.3. Completed Demand/Supply graphic 22 4.4. 23 Other issues 4.5. Alignment with the findings from the Northern Seminar 5. Lessons learnt and SWOT for a Country Strategy with Ethiopia 24 25 26 Annexes 2 I. Background 1.1. VLIR-UOS COUNTRY STRATEGY FORMULATION PROCESS The process of country strategy identification is rolled out by VLIR-UOS in the context of the implementation of the political agreement signed in 2010. This agreement urges VLIR-UOS to formulate a strategy for each of its 20 VLIR-UOS partner countries. Country identification processes are undertaken in a phased manner by country teams comprising two experts (one international and one local expert), a member of the Bureau UOS and the VLIR-UOS country desk officer. A VLIR-UOS strategy represents an informed policy choice that serves as a framework for programming. This framework must be sufficiently broad to ensure that a sufficient number of quality partnerships can be formed and projects formulated on the basis of the VLIR-UOS operating modalities. However, because the means of VLIR-UOS, both in terms of financial and human resources, are limited, a relatively broad strategy may result in a modest programme. VLIR-UOS funds partnerships of willing academics on themes that are developmentally relevant and result from a shared interest. Interventions may be in the form of scholarships or projects at institutional or sub-institutional level. Capacity development aimed at furthering the ability of HE institutions to serve as actors in development is at the centre of the VLIR-UOS programme. Flemish academics offer their time on a voluntary basis. Country strategies are policy documents that guide funding decisions of VLIR-UOS and allow for strategically coherent and contextually relevant impact based programmes. This is reflected in the following diagram where supply and needs (demand) are catered for within a strategic programming niche. STRATEGIC NICHE FOR PROGRAMMING SUPPLY NEEDS 3 After engaging in 5 country strategy identifications in 2011-2012 (Cuba, Ecuador, Tanzania, Uganda and Vietnam) and realising a similar process in DR Congo, now Ethiopia and South Africa are the next countries which are up for country strategy development. 1.2. VLIR-UOS COUNTRY STRATEGY FORMULATION PROCESS In order to arrive at a country strategy, the following methodology was developed, consisting of the following main steps which are further elaborated in the subsequent sections. The methodology includes the collection and analysis of existing data and documents, consultative seminars in North and South as well the fielding of an expert in the framework of an identification mission. Identification missions are conducted by country teams consisting of two experts (one international and one local expert), a member of the Bureau UOS and the VLIR-UOS country desk officer. o Desk study and Fact Sheet compilation (information on HE/PRSP/ICP, former cooperation, consultation with a number of south actors, surveys, mapping of expertise South/North) o External evaluation commissions appointed for guidance of the Country Identification Process. Consultation process (expert briefing, North seminar and interviews, current strategic cooperation framework) o Country Identification mission led by the external evaluation commission • Preparation • Pre-mission country strategy status document as starting point for visits, input for country seminar • Roadmap for visits/interviews • Country Seminar to be organised as input seminar in the beginning or conclusive seminar at the end of the mission; depending on local way of working: to be discussed • o Country identification mission report Country Strategy to be proposed based on the consolidated mission report • Consolidated evaluation mission report leads to draft country strategy paper • Feedback on the draft is received from the Flemish associations as to the strategic options proposed atthe conclusion from the South Needs (Country Identification Mission) 4 II. Country Identification Mission 1. Objectives of the Mission The Ethiopian country strategy identification mission took place between 25th March and 3rd April, 2013 and included visits to three universities (Bahir Dar, Arba Minch and Jimma) during which the programme included meetings with the senior management, research active staff with VLIR links, directors of research and research projects, field visits and tours of the campus. A formal meeting was held with His Excellency Dr Kaba Urgessa, State Minister of Higher Education, with whom the Mission also met on several other occasions. His Excellency Mr Hugues Chantry, Belgian Ambassador to Ethiopia and the African Union, participated in a number of events and throughout provided astute advice and support to the team. In addition, meetings were held with two donors engaged in development work in Ethiopia (USAID and GIZ). The mission culminated in a VLIR - Ethiopian Stakeholder Seminar on 2nd April, 2013, attended by around 50 delegates. Notable was the presence of six university presidents, a number of donor representatives and senior staff from eleven Ethiopian Universities. The opening formalities were performed by His Excellency Mr Hugues Chantry, His Excellency Dr Kaba Urgessa and Professor Patrick Sorgeloos, member of the Bureau UOS. 2. Objectives of the Mission The objectives of the Mission as detailed in the Terms of Reference were as follows: To facilitate the implementation of the country strategy identification process, starting with the preparation of the country identification mission; To formulate recommendations on the basis of findings gathered from the desk study, the North and South consultation processes and mission activities. These will subsequently inform the writing of the country strategy paper for Ethiopia. 3. Methodology The Mission team used various methods over the course of the Identification Mission. In the course of it the scope and depth of the VLIR programme was shared with stakeholders and potential partners. At these meetings the principles framing the VLIR engagement with Ethiopia were shared with persons and groups met who, in turn, presented their research and development priorities to the Mission. This was not an evaluation mission so Mission members engaged in a lot of listening, questioning and observing. Questions and discussions focused around the following areas: The host’s particular context, areas of activity, challenges and ambitions. The host’s expectations of a partnership with Northern Partners and the extent to which expectations and perceived needs match. The capacity and resource challenges being faced and how these are currently being addressed. The kind of collaboration being sought and how it is planned to sustain the transfer of technology and knowledge anticipated. How their institutions hoped to capitalise on the former IUC at Mekelle University and that currently operating at Jimma University. What platforms and networks their institution had developed to forward its research activities and, indeed, how they are being used. The host’s research and development priorities and how they anticipate the Northern Partners could assist in their realisation. What their institutions and they as individuals could offer to Northern institutions. 5 How VLIR-UOS can continue to engage in and promote institutional partnership and policy dialogue. The selection of the universities to be visited was approved by the VLIR Board (Bureau UOS) and was influenced by the following considerations: Ethiopia is a large country with over 30 public universities whilst time available to the mission was limited, so a selection had to be made. Given that the international expert had visited Mekelle University in 2010 during the country evaluation, and also that this IUC programme is now entering the phasing out stage and based on the advice of the relevant coordinators it was decided that it was not necessary to visit the far North. Mekelle, together with all other first and second generation universities, were invited to the South seminar, however. The decision to visit Bahir Dar and Arba Minch universities was based on the fact that they are generally representative of other universities founded just over a decade ago. Priority was also given to visiting universities with a serious track record of cooperation with VLIR, and with proven maturity for building up interesting cooperation in the future. The visit to Jimma University was decided despite an earlier visit, because this IUC is now at the full cooperation stage and can provide advice on the lessons it has learnt. The visit also provided an opportunity to participate in the official launch of phase II, with opportunities to network and to receive input on VLIR’s proposed Country strategy; The visit programmes to the universities of Bahir Dar and Arba Minch followed a similar pattern with both institutions making presentations on their multidisciplinary research activities. This was followed by a sharing of the VLIR-UOS objectives and discussion. Both institutions arranged for a visit to laboratories and other facilities, including the ICT facilities. The afternoon programme included a field visit to at least one research site. These excursions allowed for the further exchange of ideas. Each evening the Mission Team met to reflect on the day’s activities and to identify and record key impressions gained. The visit to Jimma University coincided with the formal signing of the VLIR-IUC Phase Two agreement. The programme included presentations by various researchers and research groups, visits to research facilities and to a school community being supported by the University as part of the University’s community based mission. Discussions with the University leadership primarily focused around the role Jimma University might play as one of the two institutions already benefiting from an IUC. The Mission also raised the possibility of the University fulfilling some of the roles of the recently closed VLIR Country Office in Ethiopia. In the South Seminar, use was made of the World Café methodology to assist Southern delegates to arrive at a list of Research Themes, Intervention Modalities, Cross-cutting (transversal) themes, areas for institutional strengthening and ideas on donor coordination. All inputs have been assessed by team members individually, cross-referenced and core issues arrived at. 6 4. Expected results The Mission anticipated obtaining: 1. An overview of the strategic niche for cooperation, taking into consideration the local needs and the Flemish supply 2. Views from Southern stakeholders on: • potential for transversal support initiatives; • the best possible portfolio (combination of intervention types) for VLIR-UOS cooperation in the country; • generic opportunities and constraints for university cooperation for development with the country. 5. Mission activities These comprised: (i) Visits to Bahir Dar (which included the presence of the president of Gondar University), Arba Minch University and Jimma University. (ii) The holding of a seminar for interested university stakeholders 1. (iii) Meetings with identified Higher Education donor representatives. (iv) Meetings with the State Minister for Higher Education Mission programme Date 25 March 26 March 27 March Location Addis Ababa Bahir Dar Addis Ababa Time AM Arrival, Briefing at the office of country representative PM ET 140 Add-B.Dar, 19.00-20.00 Delay of airplane, arrival at 22H at Blue Nile Hotel AM Visit & discuss with top management of BDU and UoG PM Visit of field site of TEAM Wase Tana project 6 PM: Social drink at beer garden ET 127 B.Dar-Add, 8.45-9.45/ rest at Ghion Hotel AM PM 28 March Arba Minch Activity AM PM ET 135 Add-A.Minch, 14.00-15.05 Team round-up at evening diner at Paradise Lodge Visit & discuss with top management of AMU Visit of ICT room, video conferencing room, soil lab, water lab, hydraulics, chat with Director of Science Visit of field sites TEAM on Lake Chamo Ensete (false banana) field site at Dorzé villages, local preparation of Ensete staple food, local drink Social dinner 1 Institution with number of representatives Mekelle 3, Jimma 3, Bahar Dar 3, Arba Minch 2, Addis Ababa Debre Zeyt 3, Addis Ababa central campus 2 , Ambo 1, Gondar 1, Hawassa 1(works with Wonde Genet on Strongbow), Axum 1 (works with group T), Haramaya (did not come), HESQ (for statistics on HE), HERCA (for quality insurance and accreditation)did not come, University of Peace (UN), ETWG (donor group headed by Finland and USAID), Ethalbel (alumni association), Various Flemish professors from IUC with JU and students and alumni. 7 29 March Between Arba Minch and Jimma 7 AM to 8 PM Drive from Arba Minch to Jimma (via Hosanna-Welkitie), 13 hours driving, including pauses Evening: meeting Thomas Vervisch (briefing) and the Ambassador at hotel Honeyland 30 March Jimma AM Official Launch of IUC JU Phase 2 with official speeches by HE Ambassador, HE State Minister, coordinators IUC-JU and VLIR-UOS, followed by scientific exposés of different projects PM Visit and inauguration of laboratories, poster presentations Afternoon: interview of heads for research Evening: social dinner under the fig tree at Agronomy Faculty Visit of field sites and school project with 6 km charity run Briefing of Thomas about the JSCM (points of attention) Drive Jimma - Addis, 13:00-19:00 or ET132 Jim-Add, 15.40-16.35 Thomas and Prof. Sorgeloos stay in Jimma to attend the JSCM. Preparation of team to visit of minister in Hans’ office Visit of Ministry of HE, dinner at residence of embassy GIZ, ETWG USAID Evening: team meeting together with Thomas and Sorgeloos in order to prepare for the seminar South Seminar, Ghion Hotel (by invitation only), official presentations 31 March Jimma AM PM 1 April Addis Ababa AM PM 2 April Addis Ababa AM PM 3 April Bishoftu AM PM World café, wrap-up and drink Social dinner at Hargesha 2000 (Azmari dancers) Visit to Debre Zeit (AAU & AU) (only Hans, Thomas and Luc) Final debriefing of mission team, concluding remarks Departure of Alan Penny and Prof.Sorgeloos 6. Main conclusions from the Desk Study and North Consultation Process In terms of transversal issues, governance, the political economy, anthropology, gender and diversity, the value of the research methodologies and supporting information systems associated with these areas was discussed, as was the role these disciplines can play in multi-disciplinary research and development projects. The point was made that high quality teaching and learning is dependent on high quality research whilst the converse is equally true, namely that high quality research is dependent on high quality teaching and learning at all levels. The need to upgrade academic staff especially through the mainstreaming of research is regarded as essential to effect quality improvements across the Ethiopian higher education sector. The country looks to outside donors such as VLIR-UOS to provide scientific expertise both at policy (doctoral schools, research based education, research skills, curriculum development) and academic expertise levels. 8 To achieve these quality goals the consensus is that the development of Informatics, ICT and Library (Information awareness) are fundamental, but it is also recognised that developing an ICT backbone and providing basic infrastructure and a national e-learning platform, together with the infrastructure for libraries and ICT departments, is extremely costly and, that, because of the scale of what is needed, this can only be provided by the Government of Ethiopia. Capacity development, training in software development and management, the provision of books and, where appropriate, support in the development of distance and open learning, are areas in which development partners can consider providing assistance. The sustainability of VLIR’s interventions is contingent upon continued, coherent, clearly targeted and appropriately funded Informatics and ICT development. Persons interviewed expressed the view that the Government of Ethiopia should be encouraged to take to scale VLIR programmes, It is further acknowledged that the utilisation of research findings can be enhanced through basic and applied research offered in the areas of anthropology, socio-economics and the political economy. It is believed that engaging NGO’s and other social sector stakeholders from the design stage onwards in relevant applied research areas will enhance the quality of projects and increase the potential for sustainability. Incorporating the social sciences and study of cultural dynamics and change processes as cross cutting dimensions would facilitate further a better understanding and uptake of research and development outcomes. From past experience, VLIR-UOS has learnt that in developing its Ethiopia Strategy document it will be necessary to be cautious over the extent of its engagement in transversal issues because of the costs involved and especially as it is often difficult to identify academics who are willing to act as project leaders. A further outcome of discussions at the seminar and during the interviews is the strongly held view that a mix of VLIR-UOS interventions using all existing VLIR-UOS intervention types is the best way forward. These intervention types are still considered to be highly relevant and effective in the Ethiopian context. However, it is also argued that building upon these interventions should be conceived within a wider strategy of developing platforms and networks as doing so will facilitate the development of outreach and other modalities within host institutions and across regional communities and other universities. Consequently, geographical zones of interventions should be considered in which existing projects could be brought together with the obvious incentive of benefiting from exchanges between them in a more structured way than before. Views on developing the programme architecture generally reflected the success of the present and well-functioning IUCs, with the smaller TEAM and SI projects being brought to scale through a platform/network modality. The role of an IUC to trigger regional cooperation was strongly supported in discussions, especially as such cooperation is research focused and its strategic coherence is aligned to the Government of Ethiopia’s national development goal and the National Higher Education strategic policy. Whether bringing existing projects, including the IUC into other forms of cooperation such as in Networks and Platforms will add value remains to be seen, but it is most certainly worth exploring. It is clear that lifting VLIR-UOS cooperation to a higher level of integration with improved alignment to national policies (bottom-up academic cooperation and institutional strengthening meeting top-down national policies and donor dialogue) should become the main outcome of the strategy. The Ethiopian University Rectors’ Conference could conceivably play a significant role in this integration process. How greater integration might be achieved could be discussed in the context of the various donor coordination platforms in Addis where all actors in HE are represented. One area where the Rectors’ Conference could play an important role could be in examining institutional policies and incentives aimed at reducing the brain drain and encouraging staff retention. The level of intellectual skill flight is of concern. 9 Interviewees and seminar participants expressed a strong interest in the wide range of topics listed in the current strategic framework of cooperation with Ethiopia. In addition to the classic (and important) themes of food security & agriculture (including soil and water management), environment (terrestrial and aquatic ecology, land degradation, impact of dams, alternative energies), research in health and socio-economic development present a number of new thematic research opportunities, as do such areas as the political economy, governance, economics and the creation of sustainable value chains, gender and diversity, livestock production and technological development (engineering sciences). To deliver these programmes, the concept of research platforms around which relevant interest areas could cluster was identified and will be further investigated. The University College Group T (association KU Leuven) is already cooperating on capacity building in engineering with relatively smaller universities such as Axum and Dire Dawa. 10 III. Main findings from the mission and consultations 1. Higher Education and research: Status and policy environment i) The Government of Ethiopia’s Higher Education strategy is framed by its Growth and Transformation Plan 2014/15. Following a phase of rapid expansion in the number of universities from under 10 to 35 fully fledged universities, with a rise in student numbers from around 20000 to around 500000 students the priority is to ensure quality and relevance. The policy over the next five years is to increase the HE participation rate from the current 5.3% to 15% and to increase enrolment in graduate and post-graduate programmes similarly. Further, the policy is to increase female admissions from 13.8% to 30%. To this end, the management and administration of universities is being strengthened and universities are being encouraged to raise external funding. In addition, Government policy is to increase the ratio of Master’s degree holder university teaching staff to 75% and PhD degree holders to 25%. Currently (2012) a mere 2.7% of all staff in Ethiopian Universities are PhD holders, of whom only 4% are women, whilst 36% are Master’s degree holders with under 7% women. ii) The major challenges faced by the MoE in the HE sector arise primarily out of the rapid expansion of the sector and the tension between meeting access demands and quality demands. Expansion has created pressure on facilities and a demand for an increased number of academic staff across a range of subject areas. Where possible, expatriates have been recruited to fill vacancies but the quality of these persons, is known to be variable. Faced with large student numbers involved the quality of teaching and learning is questionable. The flow of PhD and Master’s graduates is inevitably slow because of the time it takes for scholars to complete the requirements necessary. Reports indicate that the provision of ICT and other teaching and learning resources has been relatively good although it takes time for information systems and management to develop and for students to bridge the gap between schooling academic demands and those of higher education. iii) Donor support to Ethiopia across all sectors is considerable, although in education only the Norwegians are significant providers of PhD level support besides VLIR, although the model of support is very different, and in the view of some, not necessarily as research orientated. VLIR’s, high quality PhD partnership programmes are fully aligned with the Country’s strategic aims. 2. Observations resulting from the interaction with local stakeholders and institutional visits 2.1. From discussions with stakeholders in HE sector and local organisations Because of the fact that Ethiopia is not a partner of the Belgian bilateral cooperation, the Belgian Technical Cooperation (BTC) is absent. Also, only few Belgian non-governmental organisations are active in Ethiopia (absence of VVOB, Broederlijk Delen, Vredeseilanden etc…). Many ‘4th pilar’ Belgian organisations or small charities (vzw) are active in the field of hygiene, water access and children, but their working shows relatively little common with the Higher Education 11 interventions, as has been seen at the North seminar. Nevertheless, interactions and knowledge transfer between these development actors and the academic world should at all times be encouraged at a more informal and grassroot level. The Belgian ambassador was throughout the several occasions of meeting very supportive and assured its full support for the future, with special emphasis to promote the alumni working (Ethalbel data base) and its potential in private, public-private partnerships, and university cooperation. Some Belgian private companies were invited to the seminar, but with low interest from their part until now, as no direct benefits could be mapped in the short term. The Netherlands are much more present with private companies, especially in the area of horticulture. Other important players in Addis Ababa are the EU represented at the AU, the AU itself and its work on the establishment of pan African universities, but this is not of direct relevance for the future VLIR strategy for Ethiopia as such, except for reference to the wider international framework, where e.g. the past EUA workshop on the EU project “Access to Success” and its resulting white paper, is fitting (with cooperation of VLIR) well. Important donors in the field of primary and secondary education are DFID and USAID, but with no direct link to HE. In the sector HE, The Netherlands (NUFFIC) and some Scandinavian countries (SIDA, NORAD, DANIDA) occasionally launch HE programmes during several years, but never in the time frame of an IUC programme, which these organisations are really admiring. USAID has the intention to be more active in the field of HE by promoting links between Ethiopian and US universities. These programmes (e.g. NICHE now finished based on leadership and management; STRONGBOW based on Dutch and Belgian supervision of PhD students) are very welcome at the MoE, and it is to the benefit of all actors to keep each other informed about the programmes and their modalities, both between the donor agencies in the North and between the operational units in Ethiopia. Last but not least, the GIZ (former GTZ) is working since several years together with the DAAD (German academic exchange) and the KfB (financing institute) to support the engineering faculties at the Ethiopian universities. The initial idea to install German academics at top positions in Ethiopian universities in order to boost their development towards higher standards has proven to be ill conceived and underperforming. Now GIZ plans a new programme through the MoE which will launch a tender to supervise through donor agencies the supervision of local PhDs in 3 clusters of each 3 Institutes of Technology (basqed within universities). VLIR has been explicitly mentioned to be a privileged option for exploring possibilities of cooperation in that respect. 2.2. From Institutional Visits i) University of Bahir Dar (BDU) Lake Tana frames the focus of all research and development at the University. Its mission is to become a Research University by 2025 by focusing on Human Resource/Capacity Development and allied infrastructure development. Its research lin ks with state research institutions in the areas of water management, health, agriculture and education are growing and the university has developed an agriculture research hub with the seven universities in the Amhara Region. Its VLIR research project at present is the TEAM project: the WASE-TANA project, based on a number of contributory multidisciplinary research projects ranging from watershed management, siltation analysis and human 12 demographic research to health. The university is also developing a dynamic data base. Capacity building, especially the building of a sound research focused PhD staff cadre, is a priority. Institutional management architecture is in place although the Mission was unable to assess how VLIR funded partnerships would impact upon it. Observation: The current VLIR portfolio of support could prove invaluable to the University and act as a catalyst within the institution. The ambition of the university is high and the leadership is impressive. An aside: During the field visit to one of the Lake Tana inflow water monitoring sites, the minimally educated villager responsible for collecting water samples made the following moving observation: In the night as I watch the sediment sinking to the bottom of the bottles I have collected that day, I realise ‘how much of my land is flowing away due to erosion, Here I am studying my land to save you’. ii) Arba Minch University (AMU) As with the University of Bahir Dar, Arba Minch University is in the process of rapid expansion. The extensive Lakes Abaya and Chamo and the Nechisar National Park are the primary focus of its research activities. The Advanced Water Technology Institute (AWTI) forms the main institutional base for water research, an area in which the university aims to become a leader. It sees its research thrust strongly related to local social and commercial development by having adopted a multi-disciplinary research strategy involving agriculture, health, tourism and sustainable natural resource management. The rapid growth of Arba Minch prompted the development of the Resource Orientated Sanitation project (ROSA) in 2006 with funding from the European Commission (EC) involving three Ethiopian and three East African partners. Its successor has been CLARA (Capacity Linked Water Supply and Sanitation Improvement of Africa Peri-Urban and Rural Areas project (2011 – 2014)}. Given its location near to Chencha, the home of the Dorze people, opportunities exist for social, cultural and language research. Of significance to the Mission is the University’s link in this research with the Strongbow project (Sustainable Tourism based on Natural Resource Management with gender balance towards Women) and the manner in which research resources have been shared. The Mission was also privileged to receive a presentation on ICT developments from Ato Yoseph, who had various opportunities for sharing his experience of working with VLIR ICT projects across Ethiopia. Observation: As with Bahir Dar University, the current VLIR portfolio of support could prove invaluable to the University and act as a catalyst within the institution. Here too, the ambition of the university is high and the leadership is impressive. With its relatively small budget VLIR support can add value recognising that on the basis of what has been achieved at the University of Jimma and Mekelle University the partnership 13 established under the VLIR programmes outcomes will have exponential impact. In that context, one participant compared the VLIR money as the “spice” on their work (see quote front page). iii) Jimma University (JU) The Mission was privileged to be included in the events celebrating the signing of the VLIRIUC phase 2 agreement. Of importance to the consultants was the opportunity provided for discussions with stakeholders on the proposed strategic plan, for them to reflect on lessons learned and in what ways VLIR’s strategic focus might change. Advice was also sought on how the functions of the VLIR Country Office might be addressed with its closure. All felt that partnerships evolve over time, especially as southern institutions mature and capacity levels rise. The shift of ‘power’ to southern institutions is seen as timely and a sign of that maturity, but that this did not mean that the strong professional links between researchers would weaken. On the contrary, it was felt they would strengthen with growing academic and professional trust and confidence. Furthermore this could result in win-win partnerships between universities in Ethiopia and Flanders ensuring sustainability beyond VLIR-UOS funding (double/joint degrees, joint publications and IP, links with industry local and in Flanders. Some areas where the thematic areas might expand were mentioned and included the need to address capacity building and research in the following areas: Information and systems management and maintenance, Informatics (ICT in teaching, learning an assessment), statistics (as an off-shoot from bio-statistics), governance and institutional management, population health. It was also argued that Master’s programmes ought no longer to be offered under the VLIR programme because of the costs involved, but that the development of joint N-S PhDs, where possible with joint supervision, should be an area of expansion. VLIR’s inability to allow funds to be carried forward from one financial year to the next was a recurring issue as it had been during the Country Evaluation of 2010. The primary strategic messages to arise out of these discussions related to: The development of Hubs and how to use Jimma as one. The development of doctoral schools and post-doctoral fellowships. Joint degrees and joint supervision. Joint capacity building driven from the bottom up. Strengthening and deepening cross-cutting areas. 2.3. Collective analysis from the institutional visits Four VLIR-UOS Institutional Fact Sheets (Annex 3) were returned; Mekelle, Gondar, Bahir Dar and Ambo universities. In analysing them the following findings are pertinent: 14 i) All four have links with Belgian Universities; links ranging from the IUC that Mekelle has to professional academic links that Ambo University has with KU Leuven. ii) All signal that they are playing a significant role in National Development, with each citing health sciences, agriculture and environmental sciences, engineering and water as major areas of development. All but Mekelle cite research capacity as a major weakness, but clearly the problems faced by all institutions have much to do with the limited extent to which an institutional culture of research has been created. The need for a positive facilitative research environment is clearly recognised in the responses. iii) It is known that Mekelle University has pockets of success, but it was still disappointing to read the following from Mekelle: “ … insufficient research centres and institutions, weak research orientation and policy, poor research networking, insufficient linkage with domestic and international teaching and research institutions, limited research budget, poor research output and dissemination, inadequate laboratories, lack of timely and proper maintenance of laboratory equipment, poor access to research database, poor teaching material production, poor staff participation in intellectual forums, poor library service, inadequate transparency and facilitation of management, shortage of qualified and experienced staff, absence of follow-up, shortage of offices, supplies and equipment, inefficient utilisation of resources, not enough recognition for outstanding performance”. iv) Bahir Dar has 5 PhD programmes in the natural sciences and 2 in the social sciences, Gondar has 1 PhD programme in the health sciences, Ambo has none whilst the Mekelle return is incomplete. v) The following table lists the institutional strategic needs and priorities stated in the returns: Institution Strategic Thematic and Disciplinary Opportunities Modalitie s Potential Belgian Partners Ambo University Institutional capacity Themes: Economic Centre for Excellence Operate through KU Leuven Public CEPAD Managemen and EAPAD t Institute (Gert building; teaching, and social development for Public Administratio research. . n and Development Strategic priority – matching supply demand. and Micro finance Food Security Agribusiness (CEPAD) Ethiopian Association of Public Align with MOE’s ESDP Administratio n and (iv) – close alignment of Development (EAPAD ) PhD research themes with national development priorities. 15 Broukaert). Bahir Dar Institutional capacity Water Own building, Initiative (TEAM) research, PhD programmes, Water/Lak ICT Library and Scientific e Tana Strategic position on Themes joint Writing. Renewable Energy Biotechnolog y Pedagogy/ education Lake Tana Cluster leader (water) Prefers multidisci plinary research programm 6 es universities Amhara Region. Gondar Capacity building Themes: Medicine Health/ infectious diseases Agriculture Vet science Natural sciences Engineering Business, finance and economics. Governance and human rights. 16 One MSc graduate in from the Dept. of Epidemiolog y and Biostatistics from University of Hasselt Location Establishi ng multidisci plinary PhD schools. Ghent. 3. South Seminar and interviews i) The Seminar was regarded as a great success. It provided the opportunity for the Ambassador of Belgium to stress how important capacity building in HE in Ethiopia is for Belgium , and for the MoE, through the opening address by the State Minister of Higher Education, to articulate the Government’s HE priorities and for him to comment on the significant role of the VLIR-UOS programme. The programme has, he said, become his country’s ‘flag-ship’ model of international HE development. He sees the main challenge facing HE as capacity development and in particular creating a sufficiently large well qualified scientific cadre to provide policy and strategic advice to government and as staff for the ‘new’ universities. He mentioned the concept of ‘hubs’; groups of universities clustered around and linked to ‘centres of excellence’ which he saw as driving high quality research and teaching. The high personal involvement and openness in the discussions of the invited presidents, vice presidents and other academics of the respective universities was impressive and very much appreciated. ii) Four working groups2 were established to identify: a. Research themes b. Modalities of intervention c. Cross-cutting themes and Institutional Strengthening d. Policy and donor coordination. iii) Conclusions, new issues and themes that came up a. Research Themes All current research themes are contextually relevant and must remain so. The development of high quality research and capacity is a priority. Institutional reform in support of research should continue with incentives and further opportunities found to encourage young researchers to build centres of excellence in their institutions Partnerships with Northern Institutions are the bedrock of VLIR-UOS’s current engagement. The on-going commitment and level of engagement of Northern partners is much appreciated. Health sciences, agriculture, environmental sciences, engineering and water and business and financing are seen as major areas of development. b. Modalities of intervention Current modalities of intervention are meeting Southern needs and expectations. Over time it is anticipated that increasingly co- N/S-supervision will become common with shared teaching and joint degrees becoming the norm. The development of research platforms based on the MoEs emerging cluster and hub model are seen as the way forward. Developing Centres of Research Excellence is the end goal with these centres setting National Quality Standards in their specific cognate areas c. Cross-cutting themes and Institutional Strengthening Multi-disciplinary research in Centres of Excellence with scholars from a range of disciplines working on national research priorities is believed to be the model for the future. 2 Details can be found in the detailed notes prepared by Mr. Belete Demissie and Dr Thomas Vervisch. 17 d. To this end, groupings of researchers involving appropriate cognate areas will work on specific areas with support from anthropologists, economists, development specialist, governance specialists, management and financial specialists and ICT and Informatics specialists. Managing such inter-disciplinary research and development will require institutional strengthening at the institutional planning, financial management and human resources level. Policy and donor coordination. VLIR-UOS policy is firmly aligned with the MoE’s and GoE’s policy priorities and should remain so. The role of the MoE in ensuring donor coordination was stressed. 18 4. Summary Conclusions 4.1. Core issues to emerge which should be taken into account in the Country Strategy i) The need for high level policy and strategic planning development support. The Ministry of Education is developing an enabling Higher Education policy environment. The MoE is a significant across the sector and it acknowledges the crucial role to be played by research in informing national policy and strategy. A clear road map and a comprehensive strategy is much expected from the respective universities. Together, enabling and facilitating in-Ethiopia partnerships, the sharing of resources and mentoring of one institution by another in specific research areas are positively perceived, even if not specifically articulated, in a Higher Education Policy and Strategic Plan. Government also believes strongly that capacity building and the maturing of partnerships will result in the growth of win-win situations. To achieve these outcomes it sees the VLIR-UOS model as central to achieving its HE aims. The proposed VLIR country strategic plan will need to reflect this and show how this can be achieved by continuing to emphasise the development of capacities in science and technology. It will also need to address the severe shortage of women accessing PhD level programmes. ii) Meeting the demand for increased research capacity and output from Ethiopian HEIs is a national priority. Concerning raising research capacity, the Mission was constantly reminded of the capacity building ambition of the country, the higher education sector and the Ministry of Education. Increasing the country’s research capacity and increasing the numbers of PhD holders is a government priority, especially with regards enabling it better to inform policy and development strategy. The government gives some general guidelines and earmarked funds to tackle certain development issues, but at the same time leaves enough academic autonomy to the individual universities to handle the cooperation with various academic donors and partners. For example, siltation of the country’s rivers and dams is a serious problem. The management of run-off areas is another. Both require high quality research to inform actions necessary to manage this national challenge. Research in this area in the institutions visited reflected the multidisciplinary nature of the challenges faced and the importance of partnerships and development of ownership. In the University Sector 2.7% (2012) of all staff in Ethiopian Universities are PhD holders. Of these only 4% are women. The MoE regards the VLIR partnership as a model in its efforts to address the national need to produce high quality PhD graduates and research. The MoE especially likes the ‘sandwich’ modality and has declared it to be its preferred strategic option. There is also enthusiasm for the present practice of assigning local academic staff members to Flemish PhD supervisors as well as for the proposal to institute joint supervision based on joint PhD research and joint degrees. Setting up a strong post-doctoral framework for PhD scholars is seen as a means of retaining scholars in the university research sector. The so-called ‘brain-drain’ of well qualified personnel is considered to be one of the most serious challenges facing the sector and the country. Current projects already benefit from diverse co-funding modalities in the sense that the host universities provide infrastructure, ICT facilities, laboratory furniture, accommodation for 19 students, field transportation, etc. within the framework of the VLIR projects. A better visibility and valorisation of this contribution is warranted. iii) The need to raise the quality of teaching and learning. The Government appreciates that access to higher education and quality higher education are different ends of a continuum. Achieving a balance is very difficult but it is known that quality research often comes from quality teaching, whilst quality teaching occurs out of quality research. A catalytic, virtuous circle exists. The Mission acknowledges this too and believes the forthcoming strategic plan should take this into account by acknowledging it in its proposals and by also pointing to the use of ICT in teaching and learning. 4.2. Strategic niche framework (main themes and crosscutting support domains) i) Intervention types The present VLIR portfolio of intervention types is generally and widely supported. In calling for ‘more of the same’ it is evident that potential southern partners assume that the quality of professional planning, attention to detail, honesty and integrity which characterise Ethiopia’s current VLIR programmes come as part of the ‘package’. These characteristics can be captured in the Strategic Plan in a clear statement of strategic intent and also in the technical management and reporting processes required of partners. In this way institutional gains can be anticipated too. It is already evident that this has occurred in Jimma. When tied to serious individual and institutional ambition and combined with relevant applied research outcomes, a ‘win-win’ situation can be anticipated with benefits at the national, community and personal levels. On the other hand, consideration might be given to making more explicit the links between research activities and institutional strengthening so as to facilitate and create a sustainable enabling environment. For example, this could be achieved through further support for the development of management information systems and capacity building of information management systems personnel. Injecting a research and development culture into partner institutions in Ethiopia whilst focusing strongly on quality will concentrate the minds of both present and future partners. ii) Anticipating an eventual shift of locus to the South through the development of platforms, hubs and networks. Over the course of the proposed twelve year Strategic Plan it can be anticipated that activities will increasingly be driven by the south. A shift to increased southern leadership is already happening with the added benefits of in-Ethiopia collaboration and sharing of resources. The proposed strategic plan will need to embody this whilst also building on areas of existing success and capitalising on the intellectual capital already being developed. An increasing shift to the south of planning and management activities will have important implications for the present management of the VLIR programme and should be foreseen in the proposed Strategic Plan. Network opportunities could promote the South South cooperation and hence strengthen south management of research funds, division of mandates, sharing of resources. iii) The development and support of new modalities within Ethiopia The development of a range of South-South regional thematic platforms and ‘hubs’ could be signalled in the plan together with the development of PhD Schools which have already begun. Both will increase opportunities for new and perhaps different kinds of links with northern scholars and institutions. A ‘platform’ is considered to be different to a research network in that it is driven by a common research agenda and is focused on a well-defined 20 theme. It will be inhabited by experienced researchers from different universities and research institutes in the partner country. A platform might be led by a coordinating ‘host’ university which has a reasonably well-developed research track record in Ethiopia (Mekelle and Jimma, in the first instance). It will take responsibility for organising platform activities (planning and monitoring meetings and establishing a virtual platform host). As such, the platform will focus less on institutional capacity building and more on capacity strengthening and on crossinstitutional interactions of various kinds. It will have links with existing platforms in South and North. The Hub can be seen as a more mature university supporting younger universities in the geographical region. Both Mekelle and Jimma universities have the capacity to act as hubs and consideration should be given in the proposed strategic plan to providing seed funding to enable this development. iv) The development of new and alternative ways of accrediting institutions Given the success of the VLIR programme to date in Ethiopia, an opportunity presents itself for the development of double degree/ joint N-S Master’s and PhDs programmes and supervision through the accreditation of units, departments and/or universities. The proposed strategic plan could make this opportunity a reality, especially with regards the departments housing VLIR projects at Mekelle and Jimma universities. Arising out of this it is also understood that various Ethiopian HE funding options are being explored in order to stimulate high level research. One of these is for additional MoE funding being made available to departments or units as an incentive for quality research, innovation and successful implementation. This appears to be similar to the UK Research Assessment Exercise (RAE) scheme where additional research funding is made available on the basis of an assessment of publications in international peer reviewed journals, books and inventions/patents. The proposed strategic plan might consider piloting a similar strategy or adhering to these current process to encourage research and reward publication. v) Identifying core transversal areas for Capacity Building is likely to remain a MoE and VLIR priority over the course of the proposed Plan. ICT development (software and infrastructure) is being satisfactorily addressed by the Ministry of Education. However, capacity building in informatics (skills), e-learning and ICT is challenging the MoE. Technical support in these areas is likely to remain a priority for the MoE and VLIR should consider including this in the new Strategic Plan, especially support for programmes aimed at building the capacity of information managers and in the areas of e-learning and informatics. A successful capacity model has been developed in the area of bio-statistics and opportunity for others to follow should be reflected in the proposed Strategic Plan. vi) Gender Equity. At present, based on figures for 2012, 2.7% of all staff in Ethiopian Universities are PhD holders but only 4% of these are women. Within the Sciences this is known to be much lower. Various strategic options have been adopted in other country programmes such as through creating financial incentives for women and the adoption of quotas. The view of the author is that caution should be exercised and only proposals fully owned and supported by the MoE should be considered, if only to ensure greater sustainability. 21 4.3. Completed Demand/Supply graphic Reference is being made to the grid that was elaborated before the mission on the basis of present cooperation in Ethiopia (annex). In the following table (table 1) an overview is given of the subjects that were given priority by stakeholders in Ethiopia and in Flanders during the identification process. Overview of interests and mutual offer of expertise in Ethiopia and in Flanders3 VLIR-UOS Sub-Theme/areas (not exhaustive) Food security apple trees beekeeping farm technology, crop production and irrigation soil and water, land degradation, geo-hydrology Environment land use cover / land use change forest coffee Gilbe Gibe dam aquatic ecology and biodiversity alternative energies, hydroenergy Gender, human resource, PRA Economic and social development, cultural issues marketing, extension good governance socio-economy epidemiology, modelling, malaria Health zoonotic and animal disease child health and nutrition trypanosomiasis dissemination, education and communication epidemiology Human health evidence based nursing 3 Non exhaustive list, on the basis of current reactions 22 Water irrigation, integrated water basin management, pollution, water supply, sanitation, decision support systems Institutional strengthening Information and management, ICT 4.4. Service/support based institutional themes PhD programme, school Research policy Biostatistics capacity building: short training, MSc, PhD, etc. Library ICT skills software migration strategy, data centre Other issues Role of the Belgian Embassy/Closing of the VLIR office Through the present Ambassador, VLIR is receiving considerable visibility apart from the interest that is shown by the incumbent in VLIR activities. There is uncertainty over whether this can continue at the present level as the delegation is staffed by two diplomats only. ii) It is beyond the scope of the Mission to comment on the closing of the VLIR office, but it should be noted that its presence in the Ministry has been significant, including through the policy and strategic advice it has been able to provide. The relationship between the incumbent and the State Minister for Higher Education has been excellent with the latter never failing to inform the consultant of the value of it. iii) Details of the role it has played were extracted in order to consider whether any of the functions the office served could be undertaken by Jimma University. Discussions with relevant officers led to no firm suggestions. The donor group presently has strict rules of membership, excluding donor representation by local institutions in order to avoid conflicts of interests. Developments in donor governance in other East African countries such as Kenya, Rwanda, Tanzania and Uganda have led to an increase in local institution representation as well as the inclusion of Government/MoE and NGO membership in order to enhance aid harmonisation on the one hand and Government accountability on the other. It can be expected that a similar model will evolve over time in Ethiopia.. iv) The decision to use short-term consultancies on a needs basis only to cover the administrative work the office formerly did will need to be reviewed, but it should be pointed out that the Ethiopian Programme is regarded as the Ministry’s flagship higher education project, that it has delivered very high quality outcomes as well as value for money in terms of the total investment made. As for the policy and strategic advice that has been provided, it is regretted that this is an area which is unlikely to be effectively serviced on a part-time basis. i) Reporting 23 i) VLIR’s visibility in Ethiopia can be enhanced if a strategy is developed for doing so, especially now with the closing of the VLIR office. The institutions visited all have a good story to tell, especially from a local perspective where local community relevance of the research encountered is high. Use of the alumni organisation appears not to have been very successful and the advice of the Belgian Ambassador and the former VLIR country officer is for VLIR not to expect too much from that organisation. 4.5. Alignment with the findings from the Northern Seminar . 1. A review of both sets of findings reveals a high correlation. Both sets of findings: i) Prioritise high quality research through N-S, S-N and N-S-S partnerships. ii) Emphasise the importance of research which is relevant to local needs. iii) Acknowledge the potential of the social sciences and that all types of research can be informed and enhanced through the application of basic and applied research in the areas of anthropology, governance, socio-economics, psychology and the political economy. iv) Appreciate the progress made in developing the teaching and learning of bio-statistics and the development of national standards in the area. v) Stress the importance of ICT, information management, e-learning and informatics in improving the dissemination of high quality information and the quality of teaching and learning. Reference is made to PERI programme of INASP. vi) Acknowledge opportunities for research and development partnerships in the areas of institutional development, management and quality assurance. 2. i) ii) iii) iv) v) Thematic Areas The proposed Northern thematic areas (Food security and Agriculture, Environment and Resources Management, Water, Economic and Social Development and Cultural Issues, Health, Technology, Institutional Strengthening, Information and Management and ICT) match those that emerged from the Southern Strategy Identification Mission. Capacity building (human resource development) is the overarching goal whilst basic and applied research is the overarching means for delivering the goal. Whilst cognate areas for partnership were identified as a relatively good mirror of what is already existing, technology and engineering are clearly a national priority and an area in which other donors, especially the GIZ, are heavily engaged. If VLIR decides to add value in this area, then it would be wise to consult with the MoE and GIZ over this. Water remains a significant thematic area (with even increasing importance) as visits to the three universities attest. It is evident from discussions that for sustainable impact to be assured, VLIR interventions need to aim more explicitly at institutional development and strengthening through research projects. This could be more formalised in project proposals, with proposers showing how their projects will influence the development of institutional management, planning and financial systems and quality assurance systemsOn the basis of the Institutional Fact Sheet submitted by Mekelle University cited above it would appear that embedding the VLIR-IUC in the institutional culture and practice appears to leave some room for improvements. The mix of modalities will be determined largely by the budget available with a new IUC ruled out for the time being. Building on earlier interventions should be conceived within a wider strategy of developing platforms and networks within the Sector’s own emerging system of institutional clusters. 24 5. Lessons learnt and SWOT for a Country Strategy with Ethiopia i) There is little doubt that the VLIR-UOS Country Strategy Identification Process has provided both Southern and Northern partners with an opportunity to articulate their priorities within the framework of multidisciplinary research partnerships. This should ensure enough ownership on both sides. There is an obvious capacity deficit in the South and the needs of the Southern partners create an imbalance in their relationship with the North. There is little one can do about this except to take seriously the issues raised by the Southern partners and to prioritise areas of intervention. This, the process has already enabled VLIR to do and it will be realised in the Country Strategic Plan. ii) Southern priorities are clearly related to capacity building and staff retention but also to the provision of infrastructure and equipment, an area in which VLIR cannot engage. On-going dialogue with the MoE is needed, therefore. What VLIR can also do is to ensure that the association with Northern partners is as equal as it is possible, and for Northern partners to continue to show the commitment and enthusiasm for the Ethiopian work that is presently shown. This may require maintaining the visibility of VLIR’s activities within Belgium. iii) There is a strong need to create mechanisms for maintaining post – doctoral links, whether this is through post-doctoral fellowships or something else. It is evident that identification with Belgian scholarship carries with it considerable status within the HE sector in Ethiopia. The ambition of the sector is high and this is partly a consequence of the VLIR’s engagement. However, neither VLIR nor any other development agency can meet all the demands and expectations, so a smart ’phasing out’ strategy should be developed which maintains and develops the contacts established but which ultimately shifts the power of the relationship to the South in a sustainable way. iv) Institutionalising VLIR’s engagement is a major challenge because of the relative smallness of the investment and the size of the demand. Developing a 12 year Country Strategy signals strongly VLIR’s (Belgium’s) commitment to Ethiopia v) Risk Analysis of the potential of VLIR interventions in supporting the capacity of HE in Ethiopia as a function of the input to the strategy identification mission Strengths Weaknesses Strong national vision on Science and Technology and the importance of good higher education for the future of the country. Ability to react promptly to a changing and dynamic HE landscape. Ability to engage in nationwide self evaluation processes. Easy access to the MoE and total support by the Belgian Embassy Very good personal network with Mekelle and Jimma universities Relatively low academic level at many Ethiopian universities, absence of research culture. Few academic staff holding PhD titles. Huge expansion of access versus quality hinging back On the Belgian side: few academics interested in cross-cutting issues, with the exception of statistics, which entails a strong research component; economic crisis, especially in EU might strongly mitigate VLIR actions; political discussions about transfer of VLIR to region might equally change the potential. Opportunities Threats Considerable government support for Science & Technology and ICT. Government and universities express need for Very ambitious national objectives can lead to overstretching human resources. Many staff members will be engaged in post- 25 support for research capacity and staff upgrading at PhD levels. Good match between expressed need in thematic areas and Flemish potential offer. Previous and on-going positive experiences with IUC and OI/TEAM on which can be capitalised. Existence of national fora on e.g. biostatistics or ICT Strong support of research institutes and excellence centers in the key universities Strong expansion of the main universities graduate training which leaves limited capacity at universities for core business, let alone extra activities in the form of VLIR projects. Threat of brain drain. Technocratical and centralised plan approach could threaten other concerns such as the protection of the environment versus industrial and agricultural expansion, and the role of civil society and grass root organisations in the overall development process. Annexes 1. Mission programme 2. Ethiopia Strategy Summary Status Report 3. Completed institutional fact sheets (not all were received, available on demand at level of VLIRUOS) 4. Local seminar report with annexes (participants, programme etc.) 5. Pre-mission grid 6. Final strategy framework (grid) – based on input South and North Documents consulted Government of Ethiopia (i) Growth and Transformation Plan (GTP) (2010/11 – 2014/15). (ii) Education Sector Development Programme IV (2010/11 – 2014/15) (iii) HIGHER EDUCATION PROCLAMATION No…../2008 (iv) Innovation, ‘.Jimma University (March, 2013). VLIR (i) (ii) (iii) Country Evaluation, Ethiopia (September, 2010) Country Sheet, Ethiopia, (May 2011). List of VLIR-UOS projects in Ethiopia. European Union (i) Joint Cooperation Strategy for Ethiopia. (January, 2013). (ii) Ethiopia: Roadmap 2013 – 15 and Action Plan 2013. (January, 2013) 26