Higher Education and Economic Development

in Africa: Herana OneUniversity of Ghana

Chet

May 2012

2

The Project and Context

Different approaches to HE and Economic Development (Chicken problem)

• Impact ◦ Land Grant Universities (understudied)◦ Multiple variable impacts (CHEPS)◦ Counterfactual comparisons (Siegfried, 2007) – University of Beau, Cameroon

(Fongwa)

• Rate of Return ◦ Psacharopoulos (1986) – social returns to HE 10.8%, primary 19%. Private

return to HE 19%, primary 27%, but (2006) trend was reversing HE increasing by 1.7 percentage points, primary education decreasing by 2 percentage points.

• Contribution to GDP ◦ Bloom (2006) In Sub Sahara Africa the addition of 1 year of tertiary education,

GDP increased by 0.25 % points and 0.40% in terms of productivity. African Development Bank reported even greater gains.

3

Higher education and economic development (1)

• Connectivity contexts ◦ University–industry interactions◦ Innovation hubs – California, Boston, Cambridge, Finland Market – State

steering? (Castells & Himanen)◦ Regional development – stimulus to a variety of regional industries, education,

local government and promoting regional urban, equity (OECD, Goddard)

• Knowledge ◦ Basic- applied – strategic – innovation◦ Modes/types of knowledge (Mode 1 & 2)

• Causality ◦ what is the ‘direction’ between HE and Growth?

• Incontrovertible that in the “knowledge economy” the “knowledge institution” is being regarded as a “development driver” – empirically and ideologically

4

Higher education and economic development (2)

5

The relationship between scientific excellence and economic development

JapanGermany

UKItaly

Korea

BrazilArgentina

Egypt

Tunisia

United States

South Africa

India

China

Australia

Mexico

Influence of Scientific Research

Ec

on

om

ic d

ev

elo

pm

en

t

GDP per capita (current US$) Predicted GDP per capita (current US$)

High

Low

Low High

Data source: Thomson Reuters InCitesTM (21 September 2010); The World Bank Group (2010)

(R = 0.714, P = 0.218)(R = 0.961, P = 0.002)*

CountryStage of

development (2009-2010)

Gross tertiary education

enrolment rate (2008)

Quality of education

system ranking (2009-2010)

Overall global competitive

ranking (2010-2011)

Ghana

Stage 1: Factor-driven

6 71 114

Kenya 4 32 106

Mozambiqu

e2 81 131

Tanzania 2 99 113

Uganda 4 72 118

BotswanaTransition from

1 to 2 20 48 76

Mauritius Stage 2:

Efficiency-driven

26 50 55

South

Africa17 (8.5) 130 54

Finland

Stage 3: Innovation-driven

94 6 7

South

Korea98 57 22

United

States82 26 4

Participation rate and development indicators

A substantial body of academic and technical literature provides evidence of the relationship between informationalism, productivity and competitiveness for countries, regions and business firms. But, this relationship only operates under three conditions: information connectedness, organizational change in the form of networking; and enhancement of the quality of human labour, itself dependent on education and quality of life. (Castells and Cloete, 2011)

The structural basis for the growing inequality, in spite of high GDP growth rates in many parts of the world, is the growth of a highly dynamic, knowledge-producing, technologically advanced sector that is connected to other similar sectors in a global network, but it excludes a significant segment of the economy and of the society in its own country. The lack of human development prevents what Manuel Castells calls the ‘virtuous cycle’, which constrains the dynamic economy. (Castells and Cloete, 2011)

Connecting growth to human development – trickle down doesn’t work

Key connectors are education (Higher Education) and ICT7

Economic Growth and Human Development

Gross Domestic Product (GDP) per capita vs Human Development Index (HDI)

CountryGDP per capita (PPP, $US) 2007

GDP rankingHDI Ranking

(2007)

GDP ranking per capita minus HDI

ranking

Botswana 13 604 60 125 -65

Mauritius 11 296 68 81 -13

South Africa 9 757 78 129 -51

Chile 13 880 59 44 +15

Costa Rica 10 842 73 54 +19

Taiwan (China)

Ghana 1 334 153 152 1

Kenya 1 542 149 147 2

Mozambique 802 169 172 -3

Uganda 1 059 163 157 6

Tanzania 1 208 157 151 6

Finland 34 256 23 12 11

South Korea 24 801 35 26 9

USA 45 592 9 13 -4

• To use a set of analytical concepts to try and better understand the complex interactions between national economic/education policies and higher education system development

• To learn from some OECD countries who had been successful in linking HE and economic growth

• To use 8 African countries as contexts for the study • To develop an empirical methodology to operationalise the concepts• Do not assert that the primary/only role for higher education is

development

9

Higher Education Research and Advocacy Network Africa

10

HERANA Structure

HERANAHigher Education Research & Advocacy Network

in Africa

RESEARCH ADVOCACY

Higher Education and DevelopmentInvestigating the complex relationships between higher education and economic development, and student democratic attitudes in Africa

The Research-Policy NexusInvestigating the relationship between research evidence and policy-making in selected public policy sectors in South Africa

University World News (Africa)Current news and in-depth investigations into higher education in Africa

The HERANA GatewayAn internet portal to research on higher education in Africa

Nordic Masters in Africa (NOMA)Collaborative research training by the Universities of Oslo, Makerere, Western Cape, and CHET

FUNDERSCarnegie, Ford, Rockefeller, Kresge, DFID, Norad

• Three successful (OECD) systems investigated:◦ Finland (Europe), South Korea (Asia), North Carolina (US)

• Africa◦ Botswana – University of Botswana ◦ Ghana – University of Ghana◦ Kenya – University of Nairobi ◦ Mauritius – University of Mauritius◦ Mozambique – Eduardo Mondlane◦ South Africa – Nelson Mandela Metropolitan University◦ Tanzania – University of Dar es Salaam◦ Uganda – Makerere University

11

The Case Studies

Higher Education Studies – Peter Maassen and Nico Cloete Development Economist – Pundy Pillay (UWC)Sociology of Knowledge – Jo Muller (UCT), Johann Mouton (US)Data analysis - Ian Bunting (DoE), Charles Sheppard (NMMU)Researchers – Tracey Bailey (CHET), Gerald Ouma (Kenya & UWC),

Rumolo Pinhiero (Oslo), Patricia Langa (Mozambique & UCT), Samuel Fongwa (Cameroon, UWC)External Commentators• Manuel Castells (USC, Open University, Barcelona)• John Douglas (CHES, Berkeley)

Ghana contributors• Prof Ben Ahunu (Provost College of Agriculture)• Mr Alfred Quartey (Director Planning)• Dr Joseph Budu (Registrar) • Dr Prof Esi Suthterland-Addey (Institute of African Studies) 12

Project team

Finland, South Korea, North Carolina (USA)• As part of reorganising their ‘mode of production’, they developed a

(pact) around a knowledge economy model (high skills training, research and innovation)

• Close links between economic and education planning• High participation rates with differentiation• Strong ‘state’ steering (different methods)• Higher education linked to regional development• Responsive to the labour market• Strong coordination and networks

Pundy Pillay (2010): Linking higher education to economic development: Implications for Africa from three successful systems. (CHET)

13

Some implications from 3 successful systems

Higher education’s role in / contribution to development is influenced by three inter-related factors:

• The nature of the pact between the university leadership, political authorities, and society at large

• The nature, size and continuity of the academic core• The connectedness and coordination of national and institutional

knowledge policies to the academic core and to development projects is crucial

14

The analytical premises

15

The Pact

A ‘pact’ is defined as a fairly long-term cultural, socio-economic and political understanding and commitment between universities, university leadership, political authorities and society at large of the identity or vision of universities, what is expected of universities, and what the rules and values of the universities are.

Pacts are not only between society and higher education, but also important within the institution.

16

Defining the ‘Pact’

17

Conceptual Framework: Government – Institutions -- Market

Government departments: Education; Science and Technology; Treasury; Industrial Development; Research Councils

Notions and policies

Coordination mechanisms

Government

Students

Business

CommunityFunders -

Govt

External Groupings

Leadership/planning

Faculties

Academics

University

Pact Academic

CoreConnectedne

ss

1. Narrative, intent and structures for the Role of HE in development

2. Visions and plans, i.e. Development Visions (2025-2035)

3. Policies – development, science and technology, higher education

4. Methods and structures for co-ordination

18

The pact: National-level indicators

19

Mauritius and Ghana: Role for knowledge in development

Indicators 3 Strong 2 Weak 1 Absent

1. The concept of a knowledge economy features in the national development plan

Appears in a number of policies

Only mentioned occasionally

2. A role for higher education in development in national policies and plans

Prevalent

Clearly mentioned in development policies

Weak

Only mentioned in higher education policy / plan

Not stated directly

3. Concept of KE features in institutional polices and plans

Systematic Policy Framework

Formal structures

Headed by senior minister

Sporadic

Clusters / forums

Hardly mentioned

4. Link between universities and national authorities

Some formal structures but no meaningful co-ordination

Political rather than professional networks

5. Co-ordination and consensus building of government agencies involved in higher education

Intermittent interaction with ineffective forums

Higher education issues limited mainly to one ministry or directorate

Mauritius Ghana

Key:

20

Coordination of knowledge policies

INDICATORS Max. score

Botswana

Ghana Kenya Mauritius Moz.South Africa

Tanzania Uganda

NATIONAL LEVEL 9 3 3 6 7 4 6 4 3

Economic development and higher education planning are linked

3 1 1 2 3 1 2 1 1

Coordination and consensus building of government agencies involved in higher education

3 1 1 2 2 1 2 1 1

Link between universities and national authorities

3 1 1 2 2 2 2 2 1

21

Notions of the role of higher education in development

Connectedness

University not part of national

development model/strategy

University part of national

development model/strategy

Knowledge

No or marginal role for new knowledge

in development model

Luxury Instrument

Central role for new knowledge

in development model

Self-governance Engine

1. Higher education is an ancillary: Assumes that there is no need for an (active or direct) role for the university in national development.

2. Higher education as self-governing institutions: University is important in national development, but there is no need for a direct role in national development – academics must decide who is trained and with what skills.

3. Higher education as instrument for development agendas: University important for national development by providing expertise to reduce poverty, improve agriculture and assist business, particularly SMEs.

4. Higher education is the engine for development: The university is a core institution in national development; it can provide an adequate foundation for the complexities of the emerging knowledge economy in terms of relevant skills, competencies, research and innovation. 22

Four notions of the role of the university

23

The university and knowledge in development

University not part of development strategy

University part of development strategy

No or marginal role for new knowledge

in development strategy

Central role for new knowledge in development

strategy

AncillarySelf-

governing

Instrument Engine

24

National and institutional notions of the role of the university in development

ANCILLARYSELF-

GOVERNINGINSTRUMENT ENGINE

COUNTRY Gov Uni Gov Uni Gov Uni Gov Uni

Botswana ● ●

Ghana ● ● ●

Kenya ● ●

Mauritius ● ●

Mozambique ● ● ●

South Africa ●

Tanzania ● ●

Uganda ● ● ●

= Strong = Present ● = Absent

1. At both national and Intuitional levels only sporadic mention of knowledge economy

2. No broad agreement (pact) about a development model

3. No general agreement that, and by implication higher education, is key to development (as is case in across the continent, HE is mainly for mobility and a job

4. Regarding notions of the role of university in development, at national level considerable ambiguity, at institutional, strong leaning towards self governance (traditional teaching, research ‘outreach’ model)

5. Surprisingly low support (mention) for knowledge economy (engine of development)

25

The Pact in Ghana

26

The Academic Core

• Burton Clarke refers to the ‘academic heartland’ and a ‘stronger steering core’

• The universities in the HERANA sample are public and ‘flagship’ universities which claim in mission statements that they:◦ have high academic ratings, ◦ are centres of academic excellence engaged in high quality

research and teaching◦ and contribute to development

• These are the key “knowledge institutions” in these countries

• Assumption: For a university to contribute to development it needs a strong academic core

27

The academic core

1. Increased enrolments in science, engineering and technology (SET) – AU regards SET as a development driver

2. Increased postgraduate (PG) enrolments – knowledge economy requires increasing numbers of workers with PG qualifications

3. Favourable academic staff to student ratio – workload should allow for research and PhD supervision

4. High proportion of academic staff with PhDs – high correlation (0.82 in South Africa) between doctorates and research output

5. Adequate research funding per academic – and from multiple sources

28

Input indicators

1. High graduation rates in SET fields – not only must enrolments increase, but also graduate output

2. Increased knowledge production (doctoral graduates) – for reproduction of academic core, to produce academics for other universities and for demand in other fields

3. Increased knowledge production – research publications in ISI peer-reviewed journals

29

Output indicators

30

Academic core indicators (standardised data): Four selected universities

-2.00

-1.50

-1.00

-0.50

0.00

0.50

1.00

1.50

2.00

2.50

3.00

Me

an

Cape Town

Mauritius

Ghana

Dar es Salaam

 

INPUT INDICATORS OUTPUT INDICATORS

Averages for 2005 to 20072007 only

2007 research funding

Averages for 2005 to 2007

% SET majors% Masters + doctorates

Staff-student ratio

% academics with doctorates

Research income per permanent academic

ppp$

SETgraduation

rate

Doctoral graduates as % of permanent

academic

Research publications per

academic

University of Cape Town 41% 19% 13 58% 47 700 21% 15.00 0.95

Dar es Salaam University 40% 9% 14 50% 6 400 19% 2.18% 0.08

University of Ghana 19% 7% 22 47% 3 400 16% 0.17% 0.11

University of Mauritius 48% 13% 17 45% 3 000 26% 2.80% 0.13

Indicator 4: Qualification level of permanent academic staff members

50%

25%

25%

UDSM, Highest qualification level of permanent academic staff members

(2007)

DoctorateMastersOther

31%

52%

17%

Makerere, Highest qualification level of permanent academic staff members

(2007)

DoctorateMastersOther

58%30%

12%

UCT, Highest qualification level of permanent

academic staff members (2007)

DoctorateMastersOther

47%

42%

11%

Ghana, Highest qualification level of per-manent

academic staff members (2007)

Doctorate

Masters

Other

Indicator 5: Research Funding

Research funding resources (in US$) available in 2007 to the academic staff members of each university.

UDSM Makerere Ghana UCT

US$ thousands 3.3 3.1 1.4 29.7

2.5

7.5

12.5

17.5

22.5

27.5

32.5

3.3 3.11.4

29.7

Research income in 2007 per permanent academic staff member

• None of the universities (except Cape Town) seem to have moved from their traditional undergraduate teaching role

• Considerable diversity amongst input indicators, with postgraduate enrolments and inadequate research funds the weakest

• The strongest input indicators are manageable student-staff ratios (Except Ghana) and staff with doctorates

• On the output side, SET graduation rates are positive, but all institutions (except Cape Town) have low knowledge production

• From the weak knowledge production output indicators it seems the academic cores are not strong enough to make a sustainable contribution to development

33

Findings: Academic core (1)

• Despite dramatic increases in masters enrolments and graduations, PhD enrolment is growing very slowly (Nairobi – masters grew 3900 to 6100; doctorates decreased 190-62)

• Some institutions like Makerere have doubled PhD graduates and research output, but from a low base

• Incentive structure (double and triple teaching, consultancies) may not reward knowledge production

• Urgent need to improve data definition, systematic institution-wide capturing and processing, and strengthen evidence-based strategic planning and leadership

34

Findings: Academic core (2)

35

Connectedness

‘Connectedness’ operationalised along two dimensions:

1. ‘Articulation’:◦ Extent to which aims and objectives articulate with national

development priorities and the university’s strategic objectives◦ Linkages with government and external stakeholders◦ Number of funding sources and financial sustainability◦ Link to implementation agency

2. ‘Strengthening the academic core’ – development activities:◦ Feed into teaching, curriculum development and the formal

training of students◦ Generate new knowledge◦ Result in academic publications◦ Link to international academic networks

36

Connectedness: Development activities and the academic core (1)

37

Plotting the development activities

0 1 2 3 4 5 6

0

1

2

3

4

5

6

7

8

9

10

11

12

Business Clinic 0, 8Botswana

Medical Research 5, 9Ghana

SME Gatsby Clubs 1, 10Dar es Salaam

Poverty Alleviation Strategies 2, 5Mauritius

Earth System Science 5, 8Nairobi

Auto Components 5, 11Nelson Mandela Metropolitan

Community-based Edn & Service 3, 6Makerere

Energy, Environment, Climate Change Research 5, 7

Eduardo Mondlane

Direct articulation

Indirect articulation

Weakening academic

core

Strengthening academic core

• Noguchi Memorial Institute for Medical Research

• West African Centre for International Parasite Control (WACIPAC)

•  Gates Institute Partnership Projects for Population, Family and Reproductive Health, School of Public Health

•  West Africa Centre for Crop Improvement (WACCI), Faculty of Agriculture

•  Enhancing child nutrition through animal source food management Food Science

•  Institute of Statistical Social & Economic Research (ISSER) 

38

University Ghana Projects

Six selected development projects/activities:

39

Ghana Development Projects

0 1 2 3 4 5 6

0

1

2

3

4

5

6

7

8

9

10

11

12

GIP 5, 6

NMIMR 5, 9

WACCI 3, 8 WACIPAC 5, 8 ENAM 5, 8

ISSER 5, 9

Direct articulation

Indirect articulation

Weakening academic core

Strengthening academic core

• In none of the countries is there a coordinated effort between government, external stakeholders and the university to systematically strengthen the contribution the university can make to development.

• At each of the universities there are exemplary development projects that connect strongly to external stakeholders and strengthen the academic core – the challenge is to increase the number and scale of these projects.

40

Finding: Connectedness

41

Implications

• University leadership seminars are bound to continue to disappoint as long as there is not more agreement about the role of higher education in development, and relevant government officials and key members of higher education governance structures are not part of the discussion and capacity building

• It is important to clarify the roles and functions of higher education commissions/councils, and to consider how they can play a role in promoting greater agreement (pact formation) and coordination

42

Some Implications: Pact formation

• A focus should be to strengthen the academic cores of the ‘flagship’ universities

• Key areas to improve are:◦ masters throughput to PhDs◦ doctoral enrolments and graduation, with scholarships and post docs◦ research funding and the conditionality's around research funding

• Examine incentives and address perverse incentives

• Consider an Africa Research Fund with some of the features of the European Research Fund

• Funders and governments must build conditions into consultancies that strengthen rather than weaken the academic core

43

Implications: Academic core

• There is a clearly identified need to improve and strengthen the definition of performance indicators, as well as the systematic, institution-wide capturing and processing (institutionalisation) of key indicators

• Capacity needs to be built about the analysis of data at planning, management and leadership levels, and linking these analyses to planned reforms – at institutional and national levels

• Revitalising African higher education is, amongst other things, going to require more comparative, evidence-based approaches than declarative missions and intentions

44

Implications: Evidence-based improvements

Books and reports1. Linking Higher Education and Economic Development: Implications for Africa

from three successful systems (Pillay)2. Universities and Economic Development in Africa: Pact, academic core and

coordination (Cloete, Bailey, Maassen)3. Universities and Economic Development in Africa: Key findings

(Cloete, Bailey, Bunting & Maassen)4. Country and University Case Studies: Botswana (Bailey, Cloete, Pillay)5. Country and University Case Studies: Ghana (Bailey, Cloete, Pillay)6. Country and University Case Studies: Kenya (Bailey, Cloete, Pillay)7. Country and University Case Studies: Mauritius (Bailey, Cloete, Pillay)8. Country and University Case Studies: Mozambique (Bailey, Cloete, Pillay)

9. Country and University Case Studies: South Africa (Bailey, Cloete, Pillay)

10. Country and University Case Studies: Tanzania (Bailey, Cloete, Pillay)11. Country and University Case Studies: Uganda (Bailey, Cloete, Pillay)

HERANA Publications HE and Economic Development

HERANA Phase 2> There is a clearly identified need to improve

and strengthen the definition of performance indicators, as well as the systematic, institution wide capturing and processing (institutionalisation) of key indicators

> Capacity needs to be built about the analysis of data at both planning, management and leadership levels, and linking these analyses to planned reforms – at institutional and national levels

> Revitalising African higher education is amongst other things going to require more comparative, evidence based approaches than declarative missions and intentions

> Important role of National Commissions

> Role of Incentives in Knowledge Production46