MSI Policy Implementation Plan & Operations Manual

Uganda seeks accelerated economic growth and improved social well-being, and its national development strategy centers on transforming the economy, and becoming a middle-income country as quickly as possible.

Scientific and technological capacity, embodied in knowledge and well-trained human resources, can help transform economies; it can enhance productivity and make social sectors more effective. Some positive evidence suggests that economic transformation is beginning in Uganda. The formal sector of the economy is expanding rapidly, and real investment is rising sharply. However, the scientific and technological capacity needed for Uganda to reach its full economic potential is not yet available. Continued economic progress will require more and better use of knowledge and more and better qualified human resources for science and technology (S&T). The Millennium Science Initiative seeks to address this lack by improving national S&T capacity.

S&T capacity is formed mostly in the national education system. Education coverage in Uganda is expanding tremendously, with close to a quadrupling of enrolment at primary and tertiary levels in less than a decade. However, at the tertiary level, most new students have gone into arts rather than sciences. This is partly because of the weak S&T foundation in the country and the fact that the arts and humanities do not require the same investment in equipment as do the sciences. Tertiary science and engineering students are approximately 10% of total enrolment. This is far below the international average of about 40% enrollment in science and engineering. To be competitive, Uganda seeks to come much closer to international standards for S&T enrollment.

With respect to S&T, the training system has major weaknesses:

· Very few science degree programs exist; enrolment in basic sciences is miniscule. Laboratories are generally scarce, under-equipped and obsolete.

· Very limited funding for capital or recurrent expenses for S&T training exists; almost all research funding comes from external (donor) sources, making it unsustainable and difficult to ensure a national research for development-driven agenda.

· Despite the burgeoning enrolment, very little systematic attention is being given to the development of domestic graduate education. Fewer than 500 professors in the entire country have Ph.D.’s, and fewer than 10 new Ph.D.’s are awarded annually in sciences and engineering.

· Fee policies and lack of adequate S&T infrastructure encourage expansion of arts, humanities
undergraduate programs, resulting in dwindling intake for S&T courses and a general lack of interest
and focus on S&T.

· The universities and the general tertiary system, either public or private, lack strategies to improve
conditions for research.

Uganda has adopted a strategic vision for tertiary education that serves the country’s future aspirations. Current policies, first promoted by the National Council for Higher Education (UNCHE) call for exposure to science for all university students, improved research and technological infrastructure, and strong quality assurance mechanisms. Beginning in 2005/06, seventy percent of the 4000 students sponsored by government have been in the sciences and other disciplines viewed to be critical to national development.

Problems with development of S&T capacity can be found at all levels of education. Secondary-level science education is constrained by lack of laboratories and equipment, obsolete curriculum, and inadequate supply of trained science teachers. These poor conditions, along with disincentives built into the “A” level examinations and university admissions process have led to a widespread “science avoidance” tendency that runs counter to the country’s long term human resource needs.

Development of indigenous capacity in science and technology has become practically imperative for every country, no matter how small. Science provides the innovations that raise living standards and drive economic development and export growth. When local science communities can apply modern research to local challenges, they are better positioned to take significant steps toward addressing their countries’ economic, agricultural, environmental, health, and social needs.

Given the support and participation of Government, the Millennium Science Initiative (MSI) can promote positive economic transformation and improvement in key sectors—education, health, agriculture, energy, water and sanitation—for the Ugandan society. The application of science can stimulate the economy through new innovations in such areas as agricultural production, industry, communications, and health care. Most powerfully, local products and innovations can lead to technological breakthroughs and the birth of vigorous new companies to market them. Thus, the support of projects tailored around the development agenda in the MSI offers the Government of Uganda (GoU) an invaluable opportunity to invest in those science and technology initiatives that are innately relevant to national development.

In the private sector, recent analyses suggest low technology use constrains competitiveness. Firms that manage knowledge and technology best are growing fastest. Analytical and anecdotal evidence points to strong employment growth for engineers and others with technological skills. However, in general the labor market still views tertiary graduates as too theoretical, and lacking in concrete skills required for current business challenges.

In agriculture, national development plans call for higher value-addition, more agro-processing opportunities, and a continued diversification of exports. This puts new and greater demands on research and extension services, which are being reformed to be more responsive to clients’ (farmers) needs. Research and extension services are being reformed. But the long-term success of these reforms will require a growing critical mass of qualified researchers and extension workers contracted to solve problems with the latest and best technological solutions.

The health sector has established a research tradition and reputation for success under difficult conditions based on, inter alia, two decades of complementary research and service provision linked to international funding for HIV/AIDS research. Needs in the field still far outstrip resources available, but the quality of care and its coverage have been positively influenced by the centers of research excellence that have provided intellectual leadership to guide policy under difficult conditions.

Success in S&T policy formulation and implementation has been uneven. The Uganda National Council of Science and Technology (UNCST) had some notable success in establishing review systems and processes for bio-safety and the ethical conduct of research. Overall, however, plans for sector development have not been backed by resources or by a critical mass of organized scientific leadership advocating for change. Progress has tended to be slow and ad hoc, often driven by donor priorities.

In this context, the Government of Uganda (GoU) is seeking to build a strong national science and technology system. In the long run, this will mean replacing disproportionate dependence on external funding with domestic policies and investments that guide knowledge and training institutions, stimulate the production of human resources and research, and insure the constructive use of this output. The creation of a national science system will be a cornerstone of efforts to greatly strengthen the “culture of science” in Uganda.

The Uganda MSI is an important step toward the creation of this stronger national science and technology system. It will provide resources for the expansion of high-quality research and training at both graduate and undergraduate levels; it will emphasize the use of research outputs in the private sector and for social progress; and it will also sponsor activities to strengthen science and technology policy-making and implementation. MSI investments will help the country’s universities and research institutes produce more and better-prepared graduates in S&T, and produce more and high-quality research. It will also help firms make better use of S&T knowledge and skills.

Around the world, competitive funding mechanisms for S&T have proven the best way to: (i) increase the amount and quality of human resources trained at undergraduate through Ph.D levels; (ii) assure quality and relevance of research and training; (iii) create linkages to the needs of the private sector; (iv) strengthen ties to global knowledge through greater North/South and South/South collaboration. In several countries, the World Bank has co-financed such funding mechanisms under the Millennium Science Initiative. Uganda’s MSI project will be co-financed by the World Bank.

The competitive nature of the MSI grants will assure that grants are awarded to the most productive research groups working on the most relevant topics. Other built-in accountability measures provide further incentives for research quality. Grant award criteria also emphasize the importance of linking research to graduate training, so that the output is increased human resources as well as new knowledge. Recipients would use the grants to turn their existing facilities into small, flexible, centers of research excellence for their particular domains.

Effective grant funding mechanisms rely on peer-review selection processes, in which scientific peers judge both the quality of the proposal and its relevance to national needs. Such mechanisms also have the flexibility to spread investment funds to pursue different goals. For example, some grants will be targeted to meet the short- and medium-term goals of providing more engineers and well-trained technicians to the labor market by funding infrastructure and personnel for undergraduate programs in these areas. Other monies will fund longer-term goals of developing a strong, broad science research and training system that can provide Ph.D. training domestically. The MSI will also provide specific funds to strengthen researchers’ collaboration with the private sector.

Uganda’s public resources are limited and its needs are great. It must build its science and technology system in a way that is most cost-effective and owned by the country. The MSI is devised as a competitive and transparent mechanism to fund researchers involved in training to serve as a core around which the long-term policy and investment goals for the sector may be shaped.

The MSI will seek to increase the quantity, quality, and relevance of scientific and technological skills and knowledge available for economic and social purposes. Increases in quantity will help the private sector upgrade its technological capabilities as part of improving its productivity and competitiveness. Improved quantity, quality, and relevance of S&T skills in the private sector will allow firms to be more aware of technology options (both domestic and foreign), enabling more cost-effective selection of technology. Similar advantages will be gained by public sector entities in the production and provision of social services. Mutually-beneficial partnerships between the private sector and research institutions can create a cycle of continuous technological upgrading over the long term.

MSI will help increase the pool of highly qualified persons to serve as professors, lecturers, instructors, and technicians for public and private institutions. Uganda’s university-age population is expanding rapidly: total population is expected to double over the next two decades with only a small percentage of this cohort specializing in S&T. At the same time, tertiary enrollment as a percentage of the relevant age group is increasing markedly; it is now four times larger than it was a little more than a decade ago. In short, a higher percentage of an expanding age group will seek tertiary education. As a group, these students will need to gain a balanced mixture of arts, social sciences (including business and management), natural sciences, engineering, and other technological skills. The MSI project seeks to increase both the number of qualified graduates who go directly into private sector employment, and the number of those who become science educators (at all levels) to train this expanding cohort of young Ugandans.

While the majority of the MSI investments will be aimed at the tertiary education system and its interface with the productive sector, several outreach activities will be aimed at improving public understanding of and appreciation for science. The MSI project will harness the intellectual resources of the country’s practicing researchers and university professors to promote a positive image for science, which is a necessary condition for improved science at any educational level.

1.2 Basic Project Description

The Millennium Science Initiative consists of two project components, each with various subcomponents and activities. The MSI is administered by the UNCST.

1.2.1 Component One

The MSI Funding Facility provides competitively-awarded grants through three different windows, each dedicated to a specific purpose.

Window A funds research groups led by senior researchers or emerging investigators to conduct relevant, high-quality scientific and technological research closely connected to graduate training.

Window B funds the creation of undergraduate programs in basic science and engineering at licensed public and private institutions and/or the rehabilitation and upgrading of existing degree programs in basic science and engineering. For both Windows A and B, grants are of a sufficient size to allow researchers to acquire the equipment and other inputs needed to conduct training and research at the highest levels of quality.

Window C will support private sector cooperation. It will support: (i) grants for “Technology Platforms” through which firms and researchers define collaborative agendas for solving problems of direct interest to industry, and then pursue solutions collaboratively; and (ii) formal firm-based internships for students in science, engineering, and business administration, allowing interns the opportunity to gain exposure to the “real life problems” facing the private sector. activities

1.2.2 Component Two

Component two will support an Outreach Program, plus institutional strengthening, monitoring and evaluation, and policy studies.

The Outreach Program is designed to change negative perceptions that keep Ugandans from pursuing careers in science. A program of school visits by top scientists and researchers, including those associated with the MSI, will seek to provide more positive and accurate information on science to students who are getting ready to make career decisions. Also, a “National Science Week” will focus attention in the classroom, the media, national laboratories, industry, and civil society on the importance, the value, and the promise implicit in a strong national science and technology system.

Component Two will also strengthen S&T institutions, especially the UNCST and the Uganda Industrial Research Institute (UIRI). UNCST has the overall responsibility for MSI coordination and implementation, as well as for science policy nationally. The new challenges for S&T require a strong and capable institution. Similarly, for the UIRI to be a demand-led institute based on a critical mass of qualified staff and state-of-the-art facilities, it needs considerable strengthening as well. Institutional strengthening at UIRI will focus upon articulating links to industry, rehabilitating pilot plants and analytical laboratory facilities.

Monitoring and evaluation of both the MSI’s specific goals, and overall progress in the S&T sector, will also be a part of Component Two. As more reliable data becomes available, Component Two will sponsor studies in key areas of policy. UNCST will implement the project. UNCST permanent employees will support the management and administration of the Project.

1.3 Vision and Mission of the Uganda MSI Project

The Vision underlying the MSI is of a vibrant, prosperous and S&T-led Uganda. The Mission is to build capacity in and mobilize the population to embrace S&T so as to enhance economic transformation, prosperity, and human development by 2015.

1.4 Objectives of the Uganda MSI Project

The project’s Development Objective is for Ugandan universities and research institutes to produce more and better qualified science and engineering graduates, and higher quality and more relevant research, and for firms to utilize these outputs to improve productivity for the sake of enhancing S&T-led growth.

Increases to the amount of human resources trained through the MSI will be measured by increases in: (i) the number of university science and engineering programs, (ii) enrollment in these programs, (iii) graduates in science and engineering, and (iv) labor market utilization of these graduates. Improvements in quality will be measured through independent review panels and growth in total publications and publication citation impact analysis as well as increased collaboration with advanced regional and international research partners and firms. Improved relevance shall be indicated by increased labor market utilization of S&T skills and greater use of technology and skills to improve commercial product- and process-improvements, and similar improvements in PEAP priority areas of public concern (i.e. health, agriculture, infrastructure, energy, etc).

The project will:

a. build experience within the GoU for managing a national science funding facility according to international best practice.

b. help make it possible for Uganda to achieve, within 10 years time, the targets of the National Council for Higher Education of one-third of tertiary enrollment in S&T disciplines, with all tertiary students getting exposure to some science.¹

c. train an increasing percentage of the national S&T workforce domestically in programs that produce qualified Bachelors, Masters, and Ph.D.’s in areas of relevance.

d. increase the private sector absorption of both people and knowledge, creating greater competitiveness and new areas of comparative advantage.

e. support strengthening of institutions and policies for the continuous development and deepening of S&T capacity in Uganda.

The one-third figure applies to all tertiary enrollments, whether public or private, fee paying or sponsored. The 70% of scholarships to be devoted to key economic areas, including S&T, applies only to students on Government-sponsored scholarships. These objectives will be accomplished by conducting high quality research in S&T, training young scientists, forging regional and international collaborative research linkages, creating a culture of mutually-beneficial interaction between scientists, engineers, and technologists with firms, fortifying critical institutions for S&T growth (e.g., UNCST and UIRI), and disseminating new scientific knowledge through programs of education and outreach.

1.5 Project Operating Principles

The MSI Funding Facility will be implemented according to international best-practice rules for competitive allocation of research resources. Its design has been guided by, and its implementation will adhere to the following principles:

a. Transparency and rule–bound operating procedures. Project rules and procedures will be widely and readily disseminated, and information on the MSI will routinely be made available publicly in a timely manner.

b. Merit-based selection. Grants will be chosen according to clearly defined criteria, disseminated ex-ante to all potential grant proponents. Selection will rely on the use of qualified scientific peers for grant proposal review. Substantive feedback on proposals will be provided to all proponents.

c. Human capital formation closely connected to research. Funded research must involve training, especially in ways that promote the long-term development of high quality domestic graduate and undergraduate science and technology degree programs.

d. Relevance to national needs. Relevance to national needs, including for improved fundamental science, shall be a principle selection criteria.

e. Avoidance of Conflict-of-Interest. Members of the Technical Committee and other decision-makers will not decide on issues in which they have a material interest in the outcome. Members of the UNCST Executive Committee, the Technical Committee, and the UNCST Secretariat are not eligible to compete for or participate in MSI Funding Facility grant activities.

f. Safe and Ethical Research. Funded research teams and other participants will adhere to appropriate project-specific and national guidelines on safe and ethical conduct of research.

g. Accountability. All sponsored MSI participants will be accountable for scientific and technological results, progress toward activity objectives, and use of resources. Regular reporting following the pre-determined formats described in this manual is mandatory for all MSI participants.

h. Confidentiality. All those involved in the review and/or administration of the MSI will respect appropriate guidelines for confidentiality of proposals and related information.

i. Promotion of Public Understanding of Science and Technology. The MSI will promote widespread understanding of and appreciation for the potential for science and technology to contribute significantly to national and individual development.

j. Strengthening of Institutions and Sustainability. The MSI will seek to strengthen the institutions involved in its implementation in preparation for an eventual transition from a collaboratively funded project to a nationally-funded science system.