AFRICAN DEVELOPMENT BANK GROUP

PROJECT PROPOSAL UNDER JAPANESE BILATERAL TRUST FUND –

“PROMOTION OF KNOWLEDGE EXCHANGE, CREATION AND

SHARING BETWEEN AFRICA AND ASIA IN SUPPORT OF AFRICA’S

SUSTAINABLE DEVELOPMENT

OSHD/GECL DEPARTMENTS

April 2016

TABLE OF CONTENTS

Acronyms and Abbreviations…………………………………………………………….........i

I. INTRODUCTION……………………………………………………………………...1

II. JUSTIFICATION OF THE REQUEST………………………………………………..1

III. GOAL AND OBJECTIVES…………………………………………………………...3

IV. SCOPE OF ACTIVITIES AND OUTCOMES………………………………………...3

V. PROJECT COST ………………….……….………………………………………....5

VI. BENEFICIARIES………………...……………………………………………………5

VII. PROJECT MANAGEMENT INCLUDING PROJECT INSTITUTIONAL AND

IMPLEMENTATION ARRANGEMENTS…….……………………………………..6

VIII. FINANCIAL MANAGEMENT……………………………………………………… 7

IX. CONCLUSION AND RECOMMENDATIONS…………….…..........……………… 7

APPENDIX 1: Provision for Procurement

APPENDIX 2: Full Project Proposal

ANNEX 1: Results-based logical framework

ANNEX 2: Universities and institutions participating in the ESDA Program

ANNEX 3: ESDA Project Implementation Unit (PIU) and Executive Agency (EA)

ANNEX 4: Detailed budget in Excel with line items, unit costs and total costs in Fund’s

currency and UA

ANNEX 5: Procurement Plan

i

ACRONYMS AND ABBREVIATIONS

AfDB : African Development Bank

ESDA : Education for Sustainable Development in Africa

IAS : Institute for the Advanced Study of Sustainability

INRA : Institute for Natural Resources in Africa

MOU : Memorandum of Understanding

NGR : New Generation for Researchers

TICAD : Tokyo International Conference on African Development

UNU : United Nations University

1

FUNDING PROPOSAL FOR

PROMOTION OF KNOWLEDGE EXCHANGE, CREATION, AND SHARING

BETWEEN AFRICA AND ASIA IN SUPPORT OF AFRICA’S SUSTAINABLE

DEVELOPMENT, JAPANEASE BILATERAL TRUST FUND (PHRDG)

I. INTRODUCTION

1.1 The purpose of this request is to seek the Board of Directors’ approval on lapse-of-time

basis for funding from the Government of Japan through its bilateral Trust Fund (PHRDG:

Policy and Human Resources Development Grant) for Promotion of Knowledge Exchange,

Creation and Sharing between Africa and Asia in Support of Africa’s Sustainable Development

through Education for Sustainable Development in Africa (ESDA) program.

1.2 The proposed project was developed partly in response to follow up on the 4th Session

of the Tokyo International Conference on African Development (TICAD IV) in 2008 that

recognized the importance of this issue, and decided on the following as “Actions to be taken

in the next 5 years under the TICAD Process” in the area of post basic education and higher

education/research between Africa and Japan:

- Promote human resource development in support of productive sectors by expanding

institutions for technical and vocational education and training; and

- Strengthen partnership among universities, colleges and research institutes through

joint researches and the exchange of researchers and students to expand research and

knowledge accumulation in science and technology.

1.3 It is in line with the Trust Fund Reform Policy 2006 (ADF/BD/WP/2005/113/Rev.3)

which states that any request for funding of an activity equal to or exceeding US$1.0 million

should be approved by the Board of Directors. The Japanese Bilateral Trust Fund is operational

since 1994 with an agreement between the Bank and the Government of Japan through an

establishment of the Policy and Human Resources Development Grant (PHRDG).

Accordingly, this proposal is being presented to the Board of Directors for approval, as the

budget for the project is estimated at US$1,746,500 for the upcoming 2 years.

1.4 The project has four components – (1) Strengthening of ESDA structure through ESDA

Consortium initiatives, (2) Promotion of knowledge creation to enrich ESDA Master’s

Programs instruction through New Generation Researchers (NGR) research, (3)

Encouragement of communication flow for enhancement of knowledge sharing, and (4)

Production of joint research publications on sustainable development. The existing ESDA

Consortium will establish a Steering Committee for Promoting Africa-Asia Knowledge

Exchange on Sustainable Development to handle over-all management and implementation of

this project, with the support of the ESDA Secretariat

II. JUSTIFICATION OF THE REQUEST

2.1 This project also aims at promoting skills and technology, which is one of the core

priority areas of the Bank’s 2013 – 2022, Ten Years’ Strategy (TYS) as well as promoting the

mainstreaming of gender into the process of Africa’s development with regards to the Bank’s

Human Capital Strategy (HCS). The project is also aligned to the Bank’s High 5 priorities for

Africa, key of which are, 1) integration of Africa, through promotion collaboration of

universities in different countries to build regional human capacities for sustainable

development, 2) industrializing Africa, through research and education on youth

2

entrepreneurship in Africa to develop more industries and to promote private sector

development, and 3) improving quality of life for the people in Africa through skills

development, capacity building and the promotion of community active participation in

education and research initiatives.

2.2 The rationale for this proposal is five-fold. Firstly, since the initiation of TICAD in

1993, the idea of ‘sharing Asia’s development experience with Africa’ has been a key driving

force for this Japan-Africa collaboration. The present proposal is based on this underlying

thinking and promotes Asia-Africa knowledge exchange and sharing in support of Africa’s

sustainable development. Its implementation is envisaged as a contribution to the TICAD

Process, to which this new initiative owes it inspiration.

2.3 Secondly, the UNU-AfDB Memorandum of Understanding (MOU) which was signed

in 2013, mandates the two organizations to promote and foster various kinds of collaborations

in the area of sustainable development in Africa, especially, they seek concrete ways to

promote knowledge exchange between Asia and Africa, through establishment of a “joint

Africa-Asia strategic cooperative plan for the coming 10 years”, and organize an “annual joint

seminar for UNU and the Bank regarding sustainable development”.

2.4 Thirdly, as a UN agency, the mission of the UNU is to contribute, through collaborative

research and education, to efforts to resolve the pressing global problems of human survival,

development and welfare. UNU contributes to capacity building through research and teaching

and has implemented and overseen several projects in Africa. The Bank recognized this and

concluded an MOU with UNU to work together in developing and implementing training and

capacity building projects in Africa.

2.5 Fourthly, the MOU also suggests “exploring the possibility of establishing a joint new

pipe-line for sustainable development projects or activities, including ESDA related project”.

ESDA has just established a Next Generation Researchers (NGR) Group to initiate a long-term

research program to backstop the ESDA Master’s Education Programs through preparation of

policy models, institutional analysis and case studies on critical issues in Africa’s Sustainable

Development. This group envisages collaborative work with corresponding NGR groups in

Asia and other regions. The suggested new project may incorporate the “knowledge incubation

network between Asia and Africa” and “participating in the Asia-Africa Knowledge Transfer

Initiative” which is also mentioned in the MOU. This should constitute an innovational

rationale for the proposal.

2.6 Fifthly, and finally, the long-term nature of the proposed project embraces many still

unforeseen developmental possibilities. The dynamic nature of Africa’s development promises

possible emergence of new challenges and opportunities, which may alter policy priorities and

strategic choices of AfDB, as well. As a partner, UNU should be able to mobilize its constituent

institutes operating in different fields, including the UNU Institute for Natural Resources in

Africa (UNU-INRA), and its wide-spread network of universities both in and out of Africa, in

order to provide collaborative support to AfDB. Joint monitoring and periodic review of the

partnership should ensure that such developmental rationale will become operative. The UNU-

INRA is one of the 15 Research and Training Centres / Programmes (RTC/Ps) of the United

Nations University (UNU). The aim of the Institute is to bridge the gap between science and

natural resources management policies in Africa. UNU-INRA’s mandate is to contribute to the

sustainable development of Africa’s natural resources in a way that maintains the quality of the

natural environment and transforms lives. The institute’s programme areas focus on the

development, management and governance of Africa’s renewable and non-renewable natural

resources as well as green economy promotion. UNU-INRA’s goal is to be a catalyst for

3

knowledge creation and delivery for efficient use of Africa’s natural resources in order to

improve livelihoods. Specifically, UNU-INRA’s objectives include the following:

Assist African countries and other non-African developing countries to better

appreciate and mobilise their natural resources to benefit their people;

Promote the development of natural resources through knowledge generation,

application of scientific knowledge and the development of innovative approaches for

productive work;

Increase the understanding of the socio-economic and other dimensions of natural

resources in the context of self-reliant development;

Contribute to the strengthening of national and other institutions by building research

and consultancy capabilities in Africa and other developing countries with respect to

their natural resource endowments;

Encourage inter-disciplinary research and advanced training in the area of natural

resources management;

Make scientific knowledge available to policy and decision makers.

III. GOAL AND OBJECTIVES

The main aim of the proposed project is to promote knowledge exchange and sharing

between Asia and Africa in support of Africa’s sustainable development. The underlying intent

is to strengthen the on-going partnership between UNU and AfDB since 2009 and especially

after MoU has been signed in 2013 in implementing the Education for Sustainable

Development in African (ESDA) Program by adding a new knowledge component based on

the sustainable development experience of Asian countries. Given this aim, the project has the

following specific objectives:

a) To formulate and implement a strategic cooperative plan of research, education and

training for a long-term knowledge exchange and sharing in the area of sustainable

development between Asia and Africa;

b) To establish and manage a collaborative research network between African and Asian

universities and research institutes for promoting knowledge exchange and sharing in

support of Africa’s sustainable development;

c) To promote joint research by young researchers from African and Asian universities

and research institutes on sustainable development in support of knowledge exchange

and sharing and for backstopping ESDA Master’s programs, and;

d) To produce joint research publications on sustainable development to be used as

instruction materials the ESDA Program delivery.

IV. SCOPE OF ACTIVITIES AND OUTCOMES

4.1 The proposed project consists of four major components with sub-components as

follows:

(1) Establishment of knowledge exchange structure and practice:

a) Organization of annual knowledge exchange meetings between African and Asian universities

and research institutes, to be jointly organized by UNU and AfDB;

4

b) Organization of workshops for the promotion of knowledge exchange practices to promote

collaborative learning between African and Asian universities, especially to enrich the

educational contents of the ESDA Master’s Programs; and

c) Holding of a special meetings for knowledge exchange between Africa and Asia in

support of Africa’s sustainable development, to be jointly organized by UNU and

AfDB.

(2) Promotion of knowledge creation and sharing by next generation researchers:

a) Research capacity building through formation of Africa-Asia ‘Next Generation

Researchers’ network; and

b) Asia-Africa joint field-based research for problem-solving purposes.

(3) Encouragement of communication flow for enhancement of knowledge sharing:

a) Publication of a monthly newsletter;

b) Utilization of visual communication means; and

c) Purposeful use of website for dissemination of the information on the process

and outcome of the Africa-Asia knowledge exchange and sharing.

(4) Production of joint research publications on sustainable development

This component will support the production and utilization of joint research output.

4.2 Project Outcomes:

At the end of the project, it is expected that:

a) Knowledge exchange structure is established and regular practice is observed

including;

The completion and implementation of Strategic Plan that is relevant, coherent, useful and

feasible;

The use of reports in all the ESDA partner universities by end of Year 2;

Positive evaluation, including strong and constructive support for project continuation project;

and

Invitation to contribute the results of project to the TICAD process.

b) NGR research network is formed to promote joint knowledge creation and sharing, and

actual research output in support of ESDA Programs is generated including;

Invitation received from international seminars and symposiums; and

Use of research output in all the ESDA partner universities.

c) Expansion of the communication flow for enhancement of knowledge sharing in Africa

and Asia is achieved including;

Incorporating readers' reactions/ responses/comments in every issue;

Use of audio-visual learning material in all the ESDA partner universities; and

Increasing trend and achieved access at end of Year 2 of 1000/year.

d) Joint Africa-Asia research publications on sustainable development are produced including

10 citations per project; and

1 peer reviewed book per year.

5

V. PROJECT COST

The total project cost, including 5% of contingency, is estimated at USD 1,746,500, net

of taxes and duties. Table 1 and 2 below summarize the project cost by category of expenditure

and by components respectively. Detailed cost tables are presented in APPENDIX 2, ANNEX

4.

Table 1: Project costs by category of expenditure

Table 2: Expenditure by components;

Year 1 Year 2 Total

(1) Establishment of knowledge

exchange structure and

practice

225,000

279,500

504,500

(2) Promotion of knowledge

creation and sharing by next

generation researchers

391,000

391,000

782,000

(3) Encouragement of

communication flow

for enhancement of

knowledge sharing

50,000

50,000

100,000

(4) Production of joint research

publications on sustainable

development

20,000

20,000

40,000

Project management 160,000 160,000 320,000

TOTAL 846,000 900,500 1,746,500

VI. BENEFICIARIES

The proposed project will directly benefit the ESDA (8) African partner universities

(i.e., University of Ghana, Kwame Nkrumah University of Science and Technology, University

for Development Studies, University of Ibadan, Kenyatta University, University of Nairobi,

University of Cape Town and University of Zambia) and other African and Asian universities

(University of Tokyo, Yokohama National University, Kyushu university, and Nagoya

university) participating in the project, including their faculty members and students. Overall

from this project, 115 students per year of the eight universities stand to gain from access to

improved higher education programs. The benefits will also accrue indirectly to organizations

supporting the ESDA Programs and their stakeholders (African Development Bank, UNEP,

UN-HABITAT, UNESCO) as they will gain access to comparative knowledge and experiences

of Africa and Asia in the field of sustainable development. The Bank’s Human Development

Department (OSHD) will be an important beneficiary of the project since it will be able to form

a new institutional network in the area of higher education on sustainable development in

Africa, which will assume a strategic importance in its future work.

PROJECT CATEGORIES USD

SERVICES OTHER THAN CONSULTING SERVICES 70,000

CONSULTING SERVICES 720,000

WORKSHOPS/SEMINARS 636,500

PROJECT MANAGEMENT 122,150

OVERHEAD 197,850

Grand Total (USD) 1,746,500

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VII. PROJECT MANAGEMENT INCLUDING PROJECT INSTITUTIONAL AND

IMPLEMENTATION ARRANGEMENTS

7.1 Implementation Unit:

7.1.1 ESDA Consortium (Annex 3, page vi) will administer and supervise the project. ESDA

Consortium has the necessary experience and expertise to provide this support. It managed past

Bank supported projects including the workshop on internship for professional development at

the University of Ibadan, Nigeria in August 2012 and the Side Event of TICAD V in Tokyo in

June 2013. ESDA Secretariat (UNU-IAS) will provide this support on the basis of the

Memorandum of Understanding (MoU) concluded between the Bank and UNU on 5 June 2013.

The main objective of the MoU is to facilitate collaboration between the parties in matters of

common interest to them, and in particular: (a) support public and private sector capacity

development within Bank’s Regional Member Countries (RMCs); and (b) encourage

knowledge exchanges between the parties on matters of common interest and expand

knowledge sharing activities such as Economic and Sector Works (ESW), partnership

events/training and conferences.

7.1.2 For implementing the project, ESDA Consortium will conclude formal agreements with

the eight African universities participating in the ESDA Program as 'Partner Universities' (i.e.,

University of Ghana, Kwame Nkrumah University of Science and Technology, University for

Development Studies, University of Ibadan, Kenyatta University, University of Nairobi,

University of Cape Town and University of Zambia). This is necessary because the eight

African partner universities are implementers of the ESDA Programs, along with UNU-IAS.

They will be the primary entities to organize 'workshops for the promotion of knowledge

exchange practices and collaborative learning between African and Asia universities' to enrich

the educational contents of the ESDA Master's Programs they are implementing and to promote

knowledge creation and sharing by NGR. UNU will also engage individual contractors for

certain services (e.g., audio-visual learning material production, website improvement).

7.2 Financial Management and Disbursement Arrangements:

7.2.1 The Finance Division of the UNU would be responsible for the accounting and financial

management for the proposed Project. To support this the MOU between AfDB and UNU,

article VIII, states that “each party may give sympathetic consideration to any proposal

advanced by the other party”. UNU will be required to prepare and submit quarterly unaudited

interim financial reports detailing actual usage of funds provided compared to procurement

plan, and incorporating explanations for any significant variations.

7.2.2 Disbursements will be made in accordance with an agreed disbursement plan for the

project over the two years. The Direct payment method will be used for the payment of

significant amounts against project contracts, while the Special Account method or Revolving

Fund will be used for settling project administration activities, recurrent costs and small

contracts. The Special Account, to be managed by the UNU finance division, will be opened

at a bank acceptable to the Bank. UNU will be responsible for making disbursement requests

for all consultancy and other services, as well as the justification and retirement of advances

made to the Special Account. All disbursements are checked and processed in accordance with

UN Financial Regulations and Rules and the opening of the project Special Account will be a

condition precedent to disbursement of the grant for the first year.

7.2.3 The project will be required to submit annual financial report, certified by the UNU

Financial Officer (or Director of Administration). The certified financial statements, together

with the applicable management letter, should be submitted to the Bank no later than six

7

months after the end of the year audited. A legal agreement will be signed between the Bank

and UNU for the practical modalities for intervention and management.

7.2.4 For implementing the ESDA Programs –ESDA Consortium will take a lead. The ESDA

Consortium is chaired by the Vice Chancellor of the University of Zambia, Prof. Stephen

Simukanga, and the ESDA Next Generation Researchers Group, which was established by the

Consortium to conduct field-based research in support of the the ESDA Master’s Programs.

7.2.5 The already existing ESDA Consortium will establish a Steering Committee (page vi,

Annex 3), that is composed of UNU and 8 African partner universities, will also support the

overall management and implementation of the project, including monitoring, internal

evaluation and reporting to the Bank (See Annex 3, page vi). The ESDA Secretariat will be in

charge of project activities on a day-to-day basis. The project will be started from the first

quarter of 2016 and end in the first quarter of 2018. Moreover, the project shall follow a

rigorous practice of monitoring and evaluation as shown in the Results-Based Logical

Framework, Annex I (page i, ii, iii, and iv).

7.3 Provisions for Procurement:

All the procurement of goods and consulting services financed by the fund will be in

compliance with the "Rules and Procedures of the Bank for the procurement of goods and

works ", dated May 2008 and revised in July 2012, and "Rules and procedures of the Bank for

the use of consultants", dated May 2008 and revised in July 2012, using the appropriate Bank’s

bidding documents. The Executing Agency will ensure that the Fund's resources will be used

exclusively for the acquisition, in the territories of the participating States or members States,

of goods produced in these territories and services from these territories (the terms "state

participant "and" member State "being defined in Article 1 of the Agreement establishing the

African development Fund and Article 3 of the Agreement establishing the African

Development Bank). For further information, please refer to the attached APPENDIX 1.

VIII. FINANCIAL MANAGEMENT

All disbursements are checked and processed in accordance with UN Financial Regulations

and Rules. Financial transactions will be managed by a UNU administrative staff who is well

versed in the United Nations Financial Rules and Regulations. Financial implementation is

reported to the UNU Council once a year. There is also an annual external UN Audit and this

annual audit report will be transmitted to the Bank for no objection.

IX. CONCLUSION AND RECOMMENDATIONS

9.1 The government of Japan through the Executive Director approved the project proposal

to be funded by its bilateral Trust Fund (PHRDG) on 29 January 2015.

9. 2 The Boards of Directors are invited to approve the proposed grant of USD 1,746,500

from the Japanese Trust Fund for the implementation of the ESDA program.

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APPENDIX 1: Provisions for Procurement

1.1 Brief overview of procurement procedures:

1 DC: Direct Contract 2 IC: Individual Consultant

PROJECT CATEGORIES

Procurement

method

Amount

financed

by the

Fund in

USD

1. SERVICES OTHER THAN CONSULTING SERVICES

1.1 Production of one (1) audio-visual learning material for use in graduate

instruction by 8 ESDA Partner Universities and other African and Asian

universities participating in the project. The audio visual learning material

will be produced by UNU.

Shopping

30,000

1.2 Publication of two (2) Africa-Asia joint research outputs (books) for

use in graduate instruction by 8 ESDA Partner Universities and other

African and Asian universities participating in the project.

Shopping

40,000

Sous-total 1. 70,000

2. CONSULTING SERVICES

2.1 Sixteen (16) university-based NGR research outputs to be generated by

8 ESDA Partner University NGR units over 2 years.

DC1

640,000

2.2 Consultant (individual) to help the project secretariat with website

development IC 2

20,000

2.3 Consultant (individual) to help the project secretariat with media

communication

IC

10,000

2.4 Consultant (individual) to help the project secretariat with program

monitoring and evaluation

IC

50,000

Sub-total 2. 720,000

3. OPERATION

3.1 Workshops/seminars

Two (2) Asia-Africa knowledge exchange meetings 150,000

Sixteen (16) university-based knowledge exchange workshops 160,000

Four (4) NGR research exchange meetings 142,000

One (1) Japan seminar on the role of higher education and industry 57,500

One (1) International symposium on Africa-Asia knowledge exchange 110,000

Two (2) Program monitoring and evaluation reporting seminars 17,000

Sub-total 3.1 636,500

3.2 Project management

Frais d’administration et de personnel 161,900

UNU Administration support costs (electricity, water, communication,

maintenance, office equipment, etc.)

138,495

Contingencies 19,605

Sub-total 3.2 320,000

Sub-total 3. 956,500

Total General (USD) 1,746,500

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1.2 Services other than consulting services:

Procurement of services for the production of audio-visual learning material for use at higher

education of the eight partner universities of the ESDA project and other African and Asian

universities participating in the project ($ 30,000) and the publication of two joint research

results Africa-Asia (books) for use in higher education of the eight partner universities of the

ESDA project and other African and Asian universities participating in the project ($ 40,000)

will be done through consultation of providers.

1.3 Consulting Services:

Production of sixteen research results ($ 640,000) will be done through direct negotiation with

the units of the New Generation of Researchers of the following eight partner universities:

University of Ghana, Kwame Nkrumah University of Science and Technology, University for

development studies, University of Ibadan, Kenyatta University, Nairobi University,

University of Cape Town, and University of Zambia).

These eight African universities have been identified for this activity because they have already

participated in the ESDA program as "partner universities" and therefore have the specific

expertise for this area of research. These universities will be responsible for the organization

of workshops to promote knowledge exchange and collaborative learning between universities

in Africa and Asia to enrich the educational content of the Masters programs of the ESDA they

implement and promote the development of knowledge and sharing by the NGR. An agreement

will be signed between UNU and each university.

The procurement of individual consultants will be done on the basis of short lists for the

following services: development of a web site ($ 20,000), communications and media ($

10,000) and monitoring and evaluation of the program ($ 50,000).

1.4 Management fees:

The organization of workshops and seminars ($ 636,500) including the purchase of air tickets,

accommodation, hall rental, photocopying, coffee breaks, etc. will be done in accordance with

the provisions of the Manual of Procedures of UNU and acceptable to the Bank. Payment of

project management fees ($ 320,000) will be done on the basis of an agreement between UNU

and the Bank.

1.5 General Procurement Notice:

The text of a General Procurement Notice (GPN) will be agreed on with the Project

Implementing Unit (PIU) and will be published on "UNDB online" and on the Bank website,

following the approval by the Board of Directors of the financing proposal.

1.6 Procurement Plan:

The Bank will review the measures taken by the PIU for procurement included in the

procurement plan prepared by the PIU, to ensure their compliance with the agreement of the

Fund and the Rules and Procedures of the Bank. The procurement plan covering the first 18

months is presented in Appendix 6. PIU will update the said plan annually or as required, but

always over the following 18 months of the duration of project implementation. Any proposal

to revise the procurement plan will be submitted to the Bank for prior approval.

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1.7 Procedure for prior review by the Bank:

The following contracts will be subject to prior review of the Bank: (i) the first contract for

services other than consulting services, (ii) the first consultancy contract and (iii) all contracts

by direct negotiation. To this end, the following documents will be submitted for review and

approval by the Bank before promulgation: General Procurement Notice, Requests for

Proposals to consultants, tender documents to suppliers, bid evaluation report including

recommendations for the award of contracts (other than services of consultants) or evaluation

report of consultant qualifications (individuals), draft contracts other than consultants if they

are modified and different from draft contracts contained in the tender documents, minutes of

negotiations and initialed draft contract.

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APPENDIX 2: Full Project Proposal

AFRICAN DEVELOPMENT BANK GROUP

Request for Trust Fund

Promotion of Knowledge Exchange, Creation and Sharing between Africa and Asia in

Support of Africa’s Sustainable Development

Human Development Department

Education & Science Technology Division (OSHD2)

January 29, 2015

Approved by the government of Japan through the Executive Director

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Contents

1. Banckground

2. Justification of the Request

3. Goal and Objectives

4. Scope of Activities, Beneficiaries and Expected Output and Outcomes

5. Project Management Including Project Institutional and Implementation

Arrangements

6. Monitoring and Evaluation of Outcomes/Results and Reporting………………...….26

7. Project Costs

8. ANNEXES:

ANNEX 1

ANNEX 2

ANNEX 3

ANNEX 4

ANNEX 5

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1. BANCKGROUND

Africa’s higher education institutions are in a deep crisis today. Their education is suffering

because of inability to cope with the ‘massification’ of enrollment; their research is

underperforming because of lack of incentives and consequent brain drain; and their service to

surrounding communities is limited both in scope and scale because of minimal social contacts.

Against the backdrop of global focus on the formidable challenges facing Africa, such as

reduction of poverty and hunger, climate change adaptation, health and nutrition improvement,

and employment creation, the African university sector as a whole has been questioned about

its relevance and utility to the society. While the world has, since 1990, busied itself with the

promotion of basic education under the banner of ‘Education for All’, especially in Africa, the

higher education sector has clearly been neglected in the education policy of African

governments, as well as in international education cooperation by donor countries.

The 4th Session of the Tokyo International Conference on African Development (TICAD IV)

recognized the importance of this issue, and decided on the following as “Actions to be taken

in the next 5 years under the TICAD Process” in the area of ‘post basic education and higher

education/research’:

- Promote human resource development in support of productive sectors by expanding

institutions for technical and vocational education and training.

- Strengthen partnership among universities, colleges and research institutes through

joint researches and the exchange of researchers and students to expand research and

knowledge accumulation in science and technology.

It is partly in response to follow up on this TICAD IV outcome, and partly also to contribute

to the Decade of Education for Sustainable Development 2005~2014, that UNU has initiated

its work, jointly with a group of leading African universities, to develop a postgraduate

program to shape a new generation of professionals to face the challenges of Africa’s

sustainable development. This development work, seed-funded by the Japanese Government,

is now complete, and the African partner universities are launching, starting in 2014, three

Master’s programs – namely, ‘Sustainable Integrated Rural Development Program’,

‘Sustainable Urban Development Program’ and ‘Mining and Mineral Resources Program’-

enveloped together as ‘Education for Sustainable Development in Africa (ESDA)’.

These programs not only combine the curricular and didactic strengths of the participating

universities for synergy effect but also promote interactions with all the relevant stakeholders

of the development process, including community, industry and government through adoption

of field-based, problem-solving approaches ‘on site’. As such, the ESDA Programs can offer a

unique and innovative opportunity for professional development to mid-career development

agents needing upgrading of specific skills as well as first degree finishers aspiring to pursue a

career in sustainable development. When fully established and running, the programs will serve

as a vehicle for capacity generation to sustain the structural transformation of African countries,

including building up of the private sector and strengthening of governance mechanisms.

AfDB has been exploring with UNU since 2010 possibilities for collaborative work in the area

of higher education based on the shared recognition that African higher education institutions

are failing to engage significantly in Africa’s development process, leading to questioning of

their institutional utility and societal relevance. UNU-initiated ESDA Program has emerged as

a concrete and promising opportunity for a partnership undertaking. To ‘test’ its practicability,

in August 2012 UNU and AfDB co-organized, with the cooperation of the University of

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Ibadan, a workshop on internship for professional development in Ibadan Nigeria. For UNU

the workshop provided an opportunity to address the curricular weakness of lecture-oriented

instruction in African universities. For AfDB, it enabled an examination of potential

contribution of universities to its youth and employment work, especially for tackling the

problem of unemployed or underemployed university graduates. The workshop resulted in the

formulation of an ‘ESDA Internship Program’, which is now being considered for financial

support by AfDB.

In June 2013, UNU and AfDB co-organized, with the cooperation of the University of Tokyo,

a Higher Education Seminar as a Side Event of the 5th Session of the Tokyo International

Conference on African Development (TICAD V) as well as ESDA-related meetings, including

a lecture by AfDB President, Dr. Donald Kaberuka. On 5 June 2013 UNU and AfDB signed a

Memorandum of Understanding in support of public and private sector capacity development

in Africa, and for encouragement of knowledge exchanges and expansion of knowledge-

sharing between the two organizations. The conclusion of this MOU marks the culmination of

their joint exploration for effective ways to engage African universities especially for

sustainable development in Africa. The present proposal is for operationalizing this agreement.

It is submitted from the ESDA Secretariat, Institute for Sustainability and Peace, United

Nations University, for a possible financial support from the Japan Trust Fund in AfDB.

2. JUSTIFICATION OF THE REQUEST

The project is aligned to the Bank’s High 5 priorities for Africa, key of which are, 1) integration

of Africa, through promotion collaboration of universities in different countries to build

regional human capacities for sustainable development, 2) industrializing Africa, through

research and education on youth entrepreneurship in Africa to develop more industries promote

private sector development, and 3) improving quality of life for the people in Africa through

skills development, capacity building and the promotion of community active participation in

education and research initiatives. This project also aims at promoting skills and technology,

which is one of the core priority areas of the Bank’s 2013 - 2022 Ten Years’ Strategy (TYS)

as well as promoting the mainstreaming of gender into the process of Africa’s development

with regards to the Bank’s Human Capital Strategy (HCS).

The rationale for this proposal is four-fold. Firstly, since the initiation of TICAD in 1993, the

idea of ‘sharing Asia’s development experience with Africa’ has been a key driving force for

this Japan-Africa collaboration. The present proposal is based on this underlying thinking and

promotes Asia-Africa knowledge exchange and sharing in support of Africa’s sustainable

development. Its implementation is envisaged as a contribution to the TICAD Process, to which

this new initiative owes it inspiration.

Secondly, the UNU-AfDB MOU just concluded, mandates the two organizations to seek

concrete ways to promote knowledge exchange between Asia and Africa, through

establishment of a “joint Africa-Asia strategic cooperative plan for the coming 10 years”, and

organize an “annual joint seminar for UNU and the Bank regarding sustainable development”.

Combined, these stipulations form a strong practical and organizational rationale for the

proposal.

Thirdly, the MOU also suggests “exploring the possibility of establishing a joint new pipe-line

for sustainable development projects or activities, including ESDA related project”. ESDA has

just established a ‘Next Generation Researchers (NGR) Group to initiate a long-term research

program to backstop the ESDA Master’s Education Programs through preparation of policy

- 3 -

models, institutional analysis and case studies on critical issues in Africa’s sustainable

development. This group envisages collaborative work with corresponding NGR groups in

Asia and other regions. The suggested ‘new pipe-line’ may incorporate the “knowledge

incubation network between Asia and Africa” and “participating in the Asia-Africa Knowledge

Transfer Initiative” which is also mentioned in the MOU. This should constitute an

innovational rationale for the proposal.

Fourthly, and finally, the long-term nature of the proposed collaboration between UNU and

AfDB embraces many still unforeseen developmental possibilities. The dynamic nature of

Africa’s development promises possible emergence of new challenges and opportunities,

which may alter policy priorities and strategic choices of AfDB, as well. As a partner, UNU

should be able to mobilize its constituent institutes operating in different fields, including the

UNU Institute for Natural Resources in Africa (UNU INRA), and its wide-spread network of

universities both in and out of Africa, in order to provide collaborative support to AfDB. Joint

monitoring and periodic review of the partnership should ensure that such developmental

rationale will become operative.

3. GOAL AND OBJECTIVES

The main aim of the proposed project is to promote knowledge exchange and sharing between

Asia and Africa in support of Africa’s sustainable development. The underlying intent is to

strengthen the on-going partnership between UNU and AfDB in implementing the Education

for Sustainable Development in African (ESDA) Program by adding a new knowledge

component based on the sustainable development experience of Asian countries.

Given this aim, the project has the following specific objectives:

a) To formulate and implement a strategic cooperative plan of research, education and training for

a long-term knowledge exchange and sharing in the area of sustainable development between

Asia and Africa;

b) To establish and manage a collaborative research network between African and Asian

universities and research institutes for promoting knowledge exchange and sharing in support

of Africa’s sustainable development;

c) To promote joint research by young researchers from African and Asian universities and

research institutes on sustainable development in support of knowledge exchange and sharing

and for backstopping ESDA Master’s programs, and

d) To produce joint research publications on sustainable development to be used as instruction

materials the ESDA Program delivery.

4. SCOPE OF ACTIVITIES, BENEFICIARIES AND EXPECTED OUTPUT AND

OUTCOMES

The scope of activities of this project will consist of the following four components: (a)

Establishment of knowledge exchange structure and practice, (b) Promotion of knowledge

creation and sharing by next generation researchers, and (c) Encouragement of communication

flow for enhancement of knowledge sharing, and (d) Production of joint research publications

on sustainable development.

4.1. Establishment of knowledge exchange structure and practice

One primary objective of the proposed project is to formulate and implement a strategic

- 4 -

cooperative plan of research, education and training for a long-term knowledge exchange and

sharing in the area of sustainable development between Asia and Africa. In order to achieve

this objective, it is necessary, first, to establish a workable structure for such knowledge

exchange, and then to ensure that the structure leads to effective knowledge exchange practice.

The ESDA Program already has a functioning mechanism that may serve as a basis for these

activities, as follows:

(1) Organization of annual knowledge exchange meetings between African and Asian

universities and research institutes, to be jointly organized by UNU and AfDB.

- ESDA Consortium, consisting of the representative of the African partner universities

and UNU, meets once a year for taking decisions concerning all aspects of ESDA

Program management. The scope of this meeting may be expanded to incorporate the

knowledge exchange between African and Asian universities in support of Africa’s

sustainable development. Universities from 2 - 3 Francophone Africa countries will be

invited to send their representatives. Representatives of selected Asian universities and

research institutes may also be invited.

- The Asian universities to be invited will include not only the Japanese universities

which have been cooperating with UNU for ESDA (i.e., the University of Tokyo,

Yokohama National University, Nagoya University and Kyusyu University) but also

the Asian universities with which these Japanese universities have been collaborating.

The University of Tokyo will play a particularly important mediating role since it has

a close partnership relations through the Global Leadership Initiative project of its

Graduate Program in Sustainability Science with universities in China, India,

Indonesia, Korea, Malaysia, Singapore, Thailand and Viet Nam.

(2) Organization of workshops for the promotion of knowledge exchange practices to promote

collaborative learning between African and Asian universities, especially to enrich the

educational contents of the ESDA Master’s Programs

- These workshops may be organized as an ‘additional’ learning unit in ESDA’s

Master’s Programs for the benefit of students as well as faculty and with the

participation of Asian experts with relevant knowledge, experience and expertise.

- They may also take place as learning opportunities involving non-university

stakeholders, such as experts from industrial firms, development consultants and

NGOs.

(3) Holding of a special meetings for knowledge exchange between Africa and Asia in support

of Africa’s sustainable development, to be jointly organized by UNU and AfDB

- In Year 1, a ‘Japan Seminar’ on the role of higher education and industry for

sustainable development will be organized in Tokyo, with the aim of sharing the

Japanese experiences in this area.

- A the end of Year 2, an International Symposium on Africa-Asia knowledge

exchange, sharing and creation will be organized. The symposium will bring together

African and Asian policy makers, industrial and civil society leaders, as well as

researchers, in order to exchange knowledge and experiences on critical issues for

sustainable development – such as integrated rural development, sustainable urban

development and mining and mineral resource management.

- 5 -

- As a follow-up to TICAD V, Japanese university faculty members and students will

be encouraged to actively participate in the activities of this project.

- On the basis of all these activities, a “10-year joint Africa – Asia knowledge exchange

strategic plan” will be formulated for the cooperation between UNU and AfDB

centering on the ESDA Programs.

4.2. Promotion of knowledge creation and sharing by next generation researchers

In 2011, the ESDA Program established the NGR Group to undertake the field based

component of the ESDA Program. The NGR Group is a group of young faculty members who

are expected to assume a key role in implementing and supporting field-based and problem-

solving oriented research. The purpose of the NGR Group is to take decisions and carry out

necessary actions in elaborating common and emerging research agendas and implementing

joint research. The core members are from the ESDA partner universities in anglophone

African countries, but researchers from francophone African universities will also be invited.

The Group’s immediate objective is two-fold. One is to strengthen the research capacity of its

members, individually and as a group, through exposure to wider research references and

experiences. The other is to generate research output grounded in the actual development

context of developing countries which can be used in sustainable development of education in

African universities, starting with the ESDA partner universities. In the medium- and long-

term, the NGR Group’s operational objective should evolve to include more developmental

functions, including conducting of policy research for sustainable development in support of

governmental departments and provision of practical solutions to the concrete problems faced

by the local industries and communities.

In this project, the goal of the NGR Group will be to promote capacity building and knowledge

sharing between Africa and Asia through joint research activities that will include research

meetings, workshops, conferences, and publications. This will be achieved through; 1)

encouraging knowledge exchanges among partner institutions on matters of common interest

and expanding knowledge sharing activities through the next generation research, 2) promoting

and fostering various kinds of research collaborations for sustainable development in Africa,

3) organizing joint research activities –workshops, seminars and conferences between UNU

and AfDB in support of sustainable development, which would include the presentation of

current research activities and knowledge sharing, 4) exploring the possibility of establishing

a joint research pipeline for sustainable development, and 5) promoting the Asia and Africa

knowledge transfer initiative through research on sustainable development. The following

activities are proposed to achieve these purposes:

(1) Research capacity building through formation of Africa-Asia ‘Next Generation Researchers

network

- In order to promote the Asia-Africa knowledge transfer initiative, it is necessary to

establish joint research pipeline for sustainable development through research capacity

building on sustainable development in Africa. This will be done by forming a ‘Next

Generation Researchers’ network. ESDA’s NGR Group (NGR Africa) will take an

initiative to invite Asian universities to form ‘NGR Asia’ for engaging in joint research

activities.

- Joint workshops will be organized to encourage new perspectives for producing,

structuring, and mobilizing knowledge on sustainable development topics, including

those that transcend the capacity of any one scholar, region or discipline.

- 6 -

(2) Asia-Africa joint field-based research for problem-solving purposes

- To improve the existing research practice relating to sustainable development, it is

important to expose the next generation researchers to models of field-based and

problem-solving oriented research. This research should have a keen focus on youth

and employment and entrepreneurship as a target outcome for support of Africa’s

higher education institutions and to uphold a long-term research strategy to pursue

sustainable environmental education, and inclusive, green and sustainable growth

for Africa. In addition, this research should be aligned to Future Earth international

research initiative that aims at developing the knowledge for responding effectively to

the risks and opportunities of global environmental change and for supporting

transformation towards global sustainability in the coming decades. This should

promote the strengthening of the capacity of the next generation researchers in Asia and

Africa to writing research proposals, doing collaborative research and research

publication on sustainable development.

4.3. Encouragement of communication flow for enhancement of knowledge sharing

In order to promote effective knowledge sharing between Asia and Africa in support of Africa’s

sustainable development, it is necessary to expand communication flow with relevant

knowledge and information inputs. For these purposes, the following activities are proposed:

(1) Publication of a monthly newsletter

-The ESDA Program issues an on-line monthly newsletter for distribution to the

program’s stakeholders. Its contents may be enlarged, for example once in every quarter,

to incorporate an Asia-Africa knowledge sharing component, and its circulation may

include a much wider audience.

(2) Utilization of visual communication means

-Use of visual communication for knowledge sharing constitutes a priority activity in

the ESDA program. Its scope should be extended to cover the knowledge sharing

between Asia and Africa through creation of audio-visual learning materials (e.g., video

clip) to depict African and Asian research and educational concerns for sustainable

development showing the actual field settings and development activities by people,

including the role of universities.

(3) Purposeful use of website for dissemination of the information on the process and outcome

of the Africa-Asia knowledge exchange and sharing.

4.4. Production of joint research publications on sustainable development

As a way of documenting knowledge creation, exchange and sharing on sustainable

development in Africa and Asia, it is necessary to publish joint research work. The ESDA

Program identifies end-user oriented practical research as an important component in

strengthening problem-solving capacities and inter-personal work skills of both faculty

members and graduate students. The knowledge created will be published in peer reviewed

journals and related publications to promote exchange and sharing of best practices in Africa

and Asia. These publications on sustainable development:

(1) Will provide a general analytical framework which should be carried out for

integrating the different thematically oriented ESD concerns and providing an over-all

framework for the ESDA Program;

- 7 -

(2) Will address issues that should require special considerations at the regional, sub-

regional and national levels in both Africa and Asia as well as globally; and

(3) May eventually serve as standard course delivery materials for the ESDA Program

and other related higher education programs on sustainable development in Africa.

4.5. Beneficiaries, Expected Output and Outcome

Beneficiaries:

These activities will directly benefit the ESDA partner universities (i.e., University of Ghana,

Kwame Nkrumah University of Science and Technology, University for Development Studies,

University of Ibadan, Kenyatta University, University of Nairobi, University of Cape Town

and University of Zambia) and other African and Asian universities participating (University of

Tokyo, Yokohama National University, Kyushu university, and Nagoya university) in the

project, including their faculty members and students. Overall from this project, 115 students per

year of the eight universities stand to gain from access to improved higher education programs.

The benefits will also accrue indirectly to organizations supporting the ESDA Programs and their

stakeholders (African Development Bank, UNEP, UN-HABITAT, UNESCO) as they will gain

access to comparative knowledge and experiences of Africa and Asia in the field of sustainable

development. The AfDB Secretariat, will be an important beneficiary of the project since it will

be able to form a new institutional network in the area of higher education on sustainable

development in Africa, which will assume a strategic importance in its future work.

Expected outcomes:

At the end of the project, it is expected that:

(i) Knowledge exchange structure is established and regular practice, such as use of the

results for the exchange in the graduate instruction, is observed.

(ii) NGR research network is formed to promote joint knowledge creation and sharing, and

actual research output in support of ESDA Programs is generated.

(iii) Expansion of the communication flow for enhancement of knowledge sharing in Africa

and Asia is achieved.

(iv) Joint Africa-Asia research publications on sustainable development are produced.

A summary profile of the project’s beneficiaries and expected outputs and outcomes is provided

in the table below (see Annex 1 for a more detailed ‘results-based Logical Framework’):

Beneficiaries Expected output

Indicators Expected outcome

indicators Main Other

4.1

Establishment of knowledge

exchange structure and

practice

ESDA African partner

universities

AfDB/OSHD2

Other participating African

(e.g., Franco-phone) & Asian universities

ESDA supporting

organizations

16 Reports of exchange meetings and 2 workshops

Report on AfDB-UNU Joint Strategic Plan

Use of workshop and

seminar reports in graduate education instruction in

ESDA partner universities

External recognition of

project achievement

4.2

Promotion of knowledge

creation and sharing by next

generation researchers

Next Generation

Researchers from Africa and

Asia

ESDA African partner universities

Other participating African (e.g., Francophone) &

Asian universities

AfDB/OSHD2

6 Report of NGR networking meetings

6 Progress report of NGR research networking and

knowledge creation

activities

External recognition of Africa-Asia NGR network

Strengthened research capacity of NGR researchers

Use of NGR research output

in graduate education instruction

- 8 -

4.3

Encouragement of

communication flow for enhancement of knowledge

sharing

ESDA African partner

universities

Other participating African

& Asian universities

AfDB/OSHD2

ESDA supporting organizations & their

stakeholders

AfDB stakeholders in the

area of higher education

24 Publication of newsletter

covering Africa-Asia

knowledge exchange on

sustainable development

2 Production of audio-visual

learning material on Africa-

Asia knowledge exchange

1 Development of website

for dissemination of information about Africa-

Asia knowledge exchange

Expanded use of newsletter, audio-visual material and

website as effective

communication and dissemination tool

4.4

Production of joint research

publications on sustainable

development

ESDA African partner

universities

Other participating African

& Asian universities

AfDB/OSHD2

ESDA supporting

organizations & their

stakeholders

AfDB stakeholders in the

area of higher education

2 Publications based on

symposium & workshop

output (ref: 4.1)

2 Publications based on joint

NGR research (ref. 4.2)

International recognition of

NGR research output

Use of published studies in

graduate education instruction in ESDA partner

universities

Overall Impact

ESDA African partner

universities

Other participating African

& Asian universities

AfDB/OSHD2

ESDA supporting organizations & their

stakeholders

AfDB stakeholders in the

area of higher education

Improvement in graduate

education instruction in

ESDA partner Universities

Enhanced research capacity

of NGR Africa

External recognition of the

project achievement

5. PROJECT MANAGEMENT INCLUDING PROJECT INSTITUTIONAL AND

IMPLEMENTATION ARRANGEMENTS

Executing Agency:

ESDA Consortium (page vi, Annex 3) will administer and supervise the project. ESDA

Consortium directed by UNU will provide this support on the basis of the Memorandum of

Understanding concluded between the Bank and UNU on 5 June 2013 and in accordance with

the Bank’s procurement rules.

ESDA Consortium is chaired by the Vice Chancellor of the University of Zambia, Prof.

Stephen Simukanga, and the ESDA Next Generation Researchers Group, which was

established by the Consortium to conduct field-based research in support of the ESDA Master’s

Programs.

Project Organization

The ESDA Consortium will establish a Steering Committee that is composed of UNU and 8

African partner universities and will also support the overall management and implementation

of the project, including monitoring, internal evaluation and reporting to the Bank. The ESDA

Secretariat will be in charge of project activities on a day-to-day basis.

- 9 -

More specifically, the Steering Committee will assume the oversight role in implementing the

project. The ESDA Steering Committee will be mainly responsible for implementing the

establishment of knowledge exchange structure and practice, encouragement of

communication flow for enhancement of knowledge sharing, promotion of knowledge creation

and sharing by next generation researchers and production of joint research publications on

sustainable development. The elaborated responsibility of each partner institution is presented

in the table below:

Institution Role

African Development Bank - provide support in administering and supervising the project as a

part of ESDA Steering Committee

UNU-IAS -project execution - administer and supervise the project

-overall management of the project

-In charge of project activities on a day-to-day basis

UNU-INRA -support overall management and implementation of the project

-human and institutional network of UNU-INRA for implementing

this project.

ESDA Consortium/Steering

Committee

-oversight role in implementing the project

NGR Group -implementation of the project

- 10 -

Timeline

Activities 2016 2017 2018

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1

1. ESDA Program management

and NGR research on

sustainable development

concerns in Africa and Asia,

case study selection

x x

2. Japan Seminar on the Role of

Higher Education and

Industry for Sustainable

Development in Africa and

Asia

x

3. Program monitoring,

evaluation and reporting

x

4. NGR Research Program and

Africa-Asia NGR Exchange

x x x x x x x

5. International Symposium (in

Japan) on Africa-Asia

Knowledge Exchange on

Sustainable Development

x

6. Production of joint research

publications on sustainable

development

x x x x

7. Evaluation and reporting of

project results, its

sustainability and

identification of possibilities

of scaling-up to include other

universities in Africa and

Asia

x x x

6. MONITORING AND EVALUATION OF OUTCOMES/ RESULTS AND

REPORTING

Monitoring: The ESDA Program considers that monitoring and evaluation is a key instrument

for demonstrating improvement of the program’s quality and the adequacy of the academic and

research efforts involved and for continuous improvement of the program contents, mode of

delivery and research focus following ‘Kaizen’ approach. As such, the evaluation and

monitoring function is not set out as an independent activity involving external agents, but,

rather, as an integral part of the principal project activity of knowledge sharing in which all the

program participants take part. This participatory and reflective evaluation approach will

ensure the sound governance of the project throughout its duration.

Evaluation: The project shall incorporate an evaluation component to; a) keep track of the on-

going project activities for sharing information among the all partners, b) assess the progress in

knowledge exchange and sharing, promoted through joint research on sustainable development

by young researchers from Africa and Asia, c) review and report, on a yearly basis, outcomes,

achievements, shortfalls and lessons learned for improving the implementation of the project,

- 11 -

and d) review the establishment and implementation of a 10-year joint Africa – Asia strategic

plan as well as Asia-Africa knowledge sharing platform through next generation research on

sustainable development. Based on the results of this evaluation, UNU will report to the

African Development Bank.

Reporting: Reporting should serve as the output of the project for the assessment of the project

as well as a vehicle for providing a feedback on the work/project progress of all stakeholders

involved to demonstrate accountability. These reports will show the progress made by the

project in meeting the objectives of the project’s promotion of knowledge exchange and sharing

between Asia and Africa in support of Africa’s sustainable development.

7. PROJECT COSTS

The proposed total budget for implementation of the ESDA program management and the

next generation research for the 2 years will be 1,746,500 USD.

- 12 -

8. ANNEXES:

1. Results-based logical framework

2. Universities and institutions participating in the ESDA Programs

3. ESDA Project Implementation Unit (PIU) and Executive Agency (EA)

4. Detailed budget in Excel with line items, unit costs and total costs in Fund’s currency and UA.

5. Procurement Plan

- 13 -

ANNEX I: RESULTS-BASED LOGICAL FRAMEWORK

Title of the Proposal: Promotion of Knowledge Exchange, Creation and Sharing between Africa and Asia in Support of Africa’s Sustainable Development

Project Goal: To implement AfDB-UNU MOU mandating the two organizations to seek concrete

ways to promote knowledge exchange between Asia and Africa, through establishment of a “joint Africa-Asia strategic cooperative plan for the coming 10 years”

Task Manager: Keiko Takei Recipient/Country/Department: Kenya, South Africa, Zambia, Ghana, Nigeria

Amount Requested: 1,746,500 USD

Planned Duration: 2 years

Alignment with

CSP: Y/N Sector: Y/N

Date of Submission: 13 March 2014

RESULTS CHAIN

PERFORMANCE INDICATORS

MEANS OF VERIFICATION RISKS/MITIGATION MEASURES Indicator

(including CSI) Baseline Target

IMP

AC

T

Impact: To promote knowledge exchange and sharing between Asia and Africa in support of

Africa’s sustainable development

(1) Improvement in graduate

education instruction in ESDA partner universities

(2) Enhanced research capacity of NGR Africa

(3) External recognition of the project achievement

As described below,

there is as yet no effective mechanism

for Asia-Africa

knowledge exchange and sharing in the area

of sustainable

development.

(1)Reflection of

project's output/outcome in

implemented

curricular programs of all ESDA partner

universities

(2) Doubling of the number of research

projects and of

participating researchers from

Africa

(3)Contribution of project's outcome as

input to AU

Sustainable Development

Programmes and to TICAD process

External evaluation (end of Year 2)

Assumption statement: Increasing

global focus on sustainable development will stimulate the interest

of African and Asian governments,

corporations and universities in learning from each other’s knowledge

and experiences.

Mitigation strategy : Engage representatives of different sectors

from both Africa and Asia in

knowledge exchange activities

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OU

TC

OM

ES

Outcome 1: Establishment of knowledge exchange

structure and practice

(1) State of elaboration of

Joint AfDB-UNU Strategic Plan

(2) Use of workshop and seminar reports in

graduate education

instruction in ESDA partner universities

(3) Reflective evaluation, of symposium participants

(4) External recognition of

project achievement

ESDA serves as a platform for

knowledge exchange

and sharing between African and Japanese

universities (limited

scope and limited Asian participation)

(1)Completion and

implementation of Strategic Plan that is

relevant, coherent,

useful and feasible (2)Use of reports in

all the ESDA partner

universities by end of Year 2

(3)Positive

evaluation, including strong and

constructive support

for continued project (4)Invitation to

contribute the results

of project to the TICAD process

Internal monitoring

External evaluation on (end of Year

2)

Assumption statement: Significant number of Asian universities will

make commitment to engage in

continued knowledge exchange with their African counterparts.

Mitigation strategy: Enlist the support of the Knowledge Sharing Center of

ADB for engaging Asian universities.

Outcome 2: Promotion of knowledge creation and

sharing by next generation researchers

(1) External recognition of

Africa-Asia NGR network

(2) Use of research output in

graduate education

instruction

University of Tokyo,

an ESDA supporting university, hosted in

January 2014 a

symposium that brought young

sustainability

researchers from Africa and Asia

(1) 4 Invitation

received from international seminars

and symposiums

(2) Use of research

output in all the

ESDA partner universities

External evaluation on (end of Year

2)

Assumption statement: Young

researchers are provided with adequate

time and space to conduct the planned research.

Mitigation strategy: Secure

institutional backing from the participating universities for the young

faculty researchers concerned.

Outcome 3: Encouragement of communication flow

for enhancement of knowledge sharing

Use of newsletter, audio-visual

material and website as effective communication and

dissemination tool

Univ. of Ibadan hosts

an African network of

researchers on sustainable

development in

Africa, but no link to Asian universities and

researchers.

(1)Readers' reaction/

response/comments in

every issue (2) Use of audio-

visual learning

material in all the ESDA partner

universities

(3) 2000 No. of access: Increasing

trend and achieved

access at end of Year 2 of 1000/year

Internal monitoring

Assumption statement: Uneven

development of ICT infrastructure

between countries and regions, especially on the African side, will not

hamper increased communication

flow. Mitigation strategy: ESDA is placing

top priority on improvement of ICT

readiness of the African partner universities.

Outcome 4: Production of joint research publications

on sustainable development

(1) International recognition of

quality of research output

(2) Use of published studies in

graduate education

instruction

Special issue of Univ.

of Ibadan’s Journal of

Sustainable Development

containing papers on

sustainable development prepared

by ESDA partner

universities

(1) 10 no. of citations

per project

(2) 1 Book reviewed

in academic journals

External evaluation on (end of Year 2)

Assumption statement: The quality of

research output generated will be of

adequate quality in terms of social relevance and practical utility.

Mitigation strategy : The research

output peer review mechanism will be established with the participation of

internationally recognized scholars

- 15 -

OU

TP

UT

S

Component 1: Knowledge exchange structure and

practice Output 1.1: Knowledge exchange, creation and

sharing platform on sustainable development

(1) Report on Joint AfDB-

UNU Strategic Plan

(2) Report of knowledge

exchange workshops on

'lessons from Japan/Asia'

(3) Report of Japan Seminar

on 'case studies' of

university-industry

collaboration for

sustainable development in

Japan

(4) Active participation from

universities and other

organizations directly

involved in the exchange

MOU between UNU

and 8 African partner universities of ESDA

Univ. of Tokyo’s MOU with Univ. of

Cape Town and with

Univ. of Ibadan

(1)Final Report (end

of Year 2) (2)Synthesis report

(end of Year 2) based

on workshop reports from partner

universities

(3)Document containing case

studies of university-

industry collaboration in Japan

(4) No. of key

participants: 20 African univ.:

15 Japanese univ.:

15 Asian univ.: 10 International org.:

20 Enterprises:

20 NGOs:

Internal monitoring

Component 2: Next generation researchers knowledge creation and sharing

Output 2.1: Development of research programs for

sustainable development in Africa and Asia

(1) Report of NGR networking

meetings

(2) Progress report of NGR

research activities

Workshops organized by UNU and Univ. of

Tokyo for young

African and Asian

researchers

6 no. of NGR meetings:

20 no. of universities

involved:

30 no. of researchers

involved:

3 no. of joint projects: 15 no. of working

papers:

Internal monitoring

Component 3: Communication flow for

enhancement of knowledge sharing Output 3.1 : Development of a framework for

communication flow in support of knowledge

sharing

(1) Publication of 'expanded'

ESDA Monthly

Newsletters

(2) Production of audio-visual

learning materials

(3) Development of website

for project information

dissemination

ESDA Monthly

Newsletter linking African partner

universities and

supporting organizations

(1)Newsletters :

12 no. of issues per year

300 no. sent per

issue: (2)DVD

2 no. of DVD: (15

minutes each)

(3)Website

Well-developed

website

Internal monitoring

- 16 -

Component 4: Joint research publications

Output 4.1: Production of joint research publications on sustainable development

(1) Publication of papers and

books by NGR members

(2) Publication of ESDA

papers outside NGR

Limited joint research

activity between African and Asian

researchers on

sustainable development

(1) 10 no. of NGR

papers in

internationally

recognized

journals

(2) 5 no. of other

papers

published

Internal monitoring

KE

Y A

CT

IVIT

IES

ACTIVITIES INPUTS

Component 1 : Establishment of knowledge exchange structure and practice -Africa-Asia knowledge exchange meetings

-Knowledge exchange workshops

-Japan seminar on the role of higher education and industry for sustainable development in Africa and Asia

Component 2 : Promotion of knowledge creation and sharing by next generation researchers

-Joint undertaking of sustainability research by NGR Africa and Asia -Holding of NGR meetings

Component 3 : Encouragement of communication flow for enhancement of knowledge sharing -Issuing of monthly newsletters

-Production and distribution of audio-visual learning materials on sustainable development

-Website development and utilization for information dissemination

Component 4 : Production of joint research publications on sustainable development

-Production and utilization of joint research output

Components 1 - 4: University research teams

UNU ESDA program administration team

UNU-IAS project coordination team AfDB project coordination

- 17 -

ANNEX 2: Universities and institutions participating in the ESDA Programs

Program African universities

Japanese and other

universities

International

organizations

Program on:

Sustainable Integrated

Rural Development

(SIRDA)

Ghana:

Univ. of Ghana

KN U. of Science &

Technology

Univ. for Development

Studies

Nigeria:

Univ. of Ibadan

Japan:

Nagoya Univ.

Sweden:

Karlstad Univ.

Norway:

Agder Univ.

UNU-INRA

UNU-IAS

Program on:

Sustainable Urban

Development

(SUD)

Kenya:

Kenyatta Univ.

Univ. of Nairobi

Japan :

Univ. of Tokyo

Yokohama National

Univ.

Sweden:

Karlstad Univ.

Norway:

Agder Univ.

UNU-IAS

UNEP

UN-HABITAT

UNESCO/Nairobi

Program on:

Management of Mineral

Resources

(MMR)

South Africa:

Univ. of Cape Town

Zambia:

Univ. of Zambia

Japan:

Kyushu Univ.

UNU-IAS

- 18 -

ANNEX 3: ESDA Project Implementation Unit (PIU)

(Note) (a) The PIU will submit an updated activity plan every 6 months to AfDB, (b) The PIU will submit an audit report annually for AfDB’s no

objection, (c) Financial implementation is reported to the PIU once a year. There is also an annual external UN Audit and this annual audit report will be

transmitted to the Bank for no objection, (d) UNU will be required to prepare and submit quarterly unaudited interim financial reports detailing actual

usage of funds provided, compared to procurement plan, and incorporating explanations for any significant variations to AfDB, (e) The PIU will update the

Procurement Plan every year or when need be, still covering the following 18-months of the project implementation period. Any review proposal of

Procurement Plan will be submitted to the Bank for approval.

ESDA Consortium

Sustainable Integrated Rural

Development

African Partners

U. of Ghana

Kwame Nkrumah U of S & T

U. for Development Studies

U. of Ibadan (Nigeria)

Japanese Partners

Nagoya U

UNU-IAS & UNU-INRA

Management of Mineral Resources

African Partners

U. of Cape Town

U. of Zambia

Japanese Partners

Kyushu U

UNU-IAS

Sustainable Urban Development

African Partners

Kenyatta University U. of Nairobi (Kenya)

UNEP / UN-HABITAT /UNESCO

Japanese Partners

U. of Tokyo

Yokohama National U

UNU-ISP & UNU-IAS

ESDA Secretariat

UNU-IAS & UNU-INRA

Supporting Organizations

African and non-African Universities,

International Organisations: AfDB,

UNEP, UN-HABITAT, UNESCO Advisory Committee Vice Chancellors, ESDA VCs/Presidents of

partner universities

Rector, United Nations University

Project Steering Committee

- 19 -

ANNEX 4: DETAILED BUDGET in Excel with line items, unit costs and total costs in Fund’s currency and UA.

Year Program activity Program cost calculation Amount

(USD)

Year

1

Africa-Asia Knowledge

Exchange Meeting (in

Africa/3 days)

Travel for researchers/fellows: From Africa: 2,500 X 15 persons 37,500

From Japan: 3,500 X 2 persons 7,000

Resource persons: 3,500 X 5 persons 17,500

Secretariat: 3,500 X 3 persons 10,500

Conference cost (incl. field visits, guest lectures) 15,000

Sub-Total

87,500

Knowledge Exchange

Workshops to enrich ESDA

education programs (at the

initiative of African partner

universities)

Workshop budget for ESDA: 10,000*X 8 universities 80,000

*Per university budget (standard/approximation):

Travel by guest lecturers:

Africa: 2,500 X 2 persons = 5,000

From Japan: 3,500 X 1 persons = 3,500

Workshop cost (incl. field visit) 1,500

Sub-Total

80,000

Japan Seminar on the Role

of Higher Education and

Industry for Sustainable

Development in Africa and

Asia

Travel for researchers/fellows: From Africa: 2,500 X 5 persons 12,500

Resource persons: 3,500 X 5 persons 17,500

From Japan 500 X 15 persons 7,500

Conference cost (incl. field visits, guest lectures) 20,000

Sub-Total

57,500

Support of NGR Research

Program and Africa-Asia

NGR Exchange

NGR research budget: 40,000* X 8 universities 320,000

*Per university budget (standard/approximation):

- 20 -

Field research work 15,000

Research seminars 10,000

Research administration 15,000

NGR exchange meetings

Travel: From Africa: 2,000 X 10 persons * 2 times 40,000

From Japan: 3,500 X 2 persons 7,000

Secretariat 3,500 X 2 persons * 2 times 14,000

Conference cost 10,000

Sub-Total

391,000

Support for enhancement of

Africa-Asia knowledge

sharing

Website support for Africa-Asia knowledge exchange

Hiring of website expert (part-time) 10,000

Production and distribution of audio-visual learning material on Africa-Asia knowledge exchange

with the cooperation of ESDA partner universities

Hiring of media communication expert (part-time) 10,000

Audio-visual material production cost (incl. travel) 30,000

Publication and distribution of Africa-Asia joint research outcome on sustainable development (one

book) 20,000

Sub-Total

70,000

Program monitoring,

evaluation and reporting

Program monitoring of by an outside expert

Hiring of an African evaluation expert (incl. travel to ESDA partner universities and AfDB Hq,) 25,000

Reporting Seminar at AfDB Hq.

Travel: By ESDA Chair 2,500

By ESDA partner university 2,500

By Secretariat 3,500

Sub-Total

33,500

- 21 -

Program Management Personnel cost 61,075

Sub-Total 61,075

Overhead Overhead cost 98,925

Sub-Total 98,925

TOTAL: Year 1 879,500

Year

2

Africa-Asia Knowledge

Exchange Meeting (in

Africa/3 days)

Travel for researchers/fellows: From Africa: 2,500 X 10 persons 25,000

From Japan: 3,500 X 2 persons 7,000

Resource persons: 3,500 X 2 persons 7,000

Secretariat: 3,500 X 2 persons 7,000

Conference cost (incl. field visits, guest lectures) 16,500

Sub-Total 62,500

Knowledge Exchange

Workshops to enrich ESDA

education programs (at the

initiative of African partner

universities)

Workshop budget for ESDA: 10,000*X 8 universities 80,000

*Per university budget (standard/approximation):

Travel by guest lecturers:

Africa: 2,500 X 2 persons = 5,000

From Japan: 3,500 X 1 persons = 3,500

Workshop cost (incl. field visit) 1,500

Sub-Total 80,000

International Symposium (in

Japan) on Africa-Asia

Travel for researchers/fellows: From Africa: 3,500 X 15 persons = 52,500 52,500

- 22 -

Knowledge Exchange on

Sustainable Development Resource persons: 3,500 X 5 persons = 17,500 17,500

From Japan 500 X 20 persons= 10,000 10,000

Conference cost (incl. field visits, guest lectures) 30,000 30,000

Sub-Total 110,000

Support of NGR Research

Program and Africa-Asia

NGR Exchange

NGR research budget: 40,000* X 8 universities 320,000

*Per university budget (standard/approximation):

Field research work 15,000

Research seminars 10,000

Research administration 15,000

NGR exchange meetings

Travel: From Africa: 2,000 X 10 persons X 2 times 40,000

From Japan: 3,500 X 2 persons 7,000

Secretariat 3,500 X 2 persons X 2 times 14,000

Conference cost 10,000

Sub-Total 391,000

Support for enhancement of

Africa-Asia knowledge

sharing

Website support for Africa-Asia knowledge exchange

Hiring of website expert (part-time): 10,000

Publication and distribution of Africa-Asia joint research outcome on sustainable development (one

book) 20,000

Sub-Total 30,000

Program monitoring,

evaluation and reporting

Program monitoring of by an outside expert

Hiring of an African evaluation expert (incl. travel to ESDA partner

universities and AfDB Hq,) 25,000

- 23 -

Reporting Seminar at AfDB Hq.

Travel: By ESDA Chair 2,500

By ESDA partner university 2,500

By Secretariat 3,500

Sub-Total 33,500

Program Management Personnel cost 61,075

Sub-Total 61,075

Overhead Overhead cost 98,925

Sub-Total 98,925

TOTAL: Year 2 867,000

GRAND TOTAL: Year 1 + Year 2 1,746,500

- 24 -

ANNEX 5 Procurement Plan

Note : DC = Direct Contract, IC = Individuel Consultant

Consulting Services: Selection Method and Time schedule for 18 Months

DescriptionSelection

Method

Lump sum or

Time-Based

Estimated

Amount in

UA (000)

Prior/Post

Review

EOI Publication

Date

Contract Start

DateComments

Production of Sixteen (16) university-based NGR

research outputsDC Lump sum 640 Prior review june 2016

Project website development IC Lump sum 20 Post review march 2016 April 2016

Media communication IC Lump sum 10 Post review June 2016 July 2016

Program monitoring and evaluation IC Lump sum 50 Prior review January 2016 February 2016

Total Cost 720,00

PROCUREMENT PLAN CONSULTANTS

Procurement Packages Methods and Time Schedule for 18 months

Package description Lot

Number Lot

Description

Estimated Amount in USD (000)

Procurement Method

Pre-or Post- Qualification

Dom. or Regional

Preference

Prior or Post Review

SPN Publication

Date

Contract Start Date

Comments

Production of audio-visual learning material for use in graduate instruction

1 30 Shopping NA NA Prior Review September 2016 October 2016

Publication of Africa-Asia joint research outputs (books)

1 40 Shopping NA NA Post Review February 2017 March 2017

Total Cost 70,00

SERVICES OTHER THAN CONSULTANCY SERVICES PROCUREMENT PLAN