International Science Programme, Uppsala University, Sweden. Strategic Plan

Transcription

1 International Science Programme, Uppsala University, Sweden Strategic Plan

2 Contents Strategic Plan for the International Science Programme Summary Introduction ISP s Vision, Goal and Objectives The ISP Model A Focus on Basic Sciences Results and Impact of ISP Support Collaboration Strategic Plan Operational Strategy Fields of Science Selection of Target Countries Selection of Support Partners Quality Assurance Scientific Coordination and Administrative support Exit Strategy Monitoring, Evaluation, and Reporting Strategy Systematic Approach to Monitoring, Follow- Up, and Evaluation Gender Considerations Financial management Communication Strategy Collaboration Strategy Funding and Extension of the Program Historically and Today New Opportunities An Extended Program... 17

3 Strategic Plan for the International Science Programme The vision of the International Science Programme (ISP) is to efficiently contribute to a significant growth of scientific knowledge in low- income countries, thereby promoting their social and economic wealth, and by developing human resources, in the world as a whole. ISP s vision determines its specific shorter- and longer- term strategies for the period , summarized in the box below. The strategic plan will be reviewed annually, and then for each year, an action plan prepared. For the shorter term, ISP will: Continue to focus on physics, chemistry, and mathematics, and to promote interdisciplinary cooperation, in those countries prioritized by the Swedish government Introduce a more competitive application process at the department level. Contribute to the quality enhancement of MSc- and PhD- programs at the institutional and faculty level at partner universities. Continue to develop scientific coordination on a basis of collegiality, and administrative processes appropriate for a modern university Introduce a certificate of collaboration where support has been phased out, to facilitate the attraction of continued funding from other sources. Introduce a results- based approach to monitoring and evaluation. Increase its focus on gender issues to promote gender equality. Strengthen local ownership and commitment by accepting overhead costs on money transferred for local use. Develop a communication plan to improve knowledge about ISP. Improve communication about ISP to students in supported groups and networks. Seek more discussion about complementarity and synergies with other organizations. Invite collaborating universities in Sweden to financially contribute to the program. Over the longer term, ISP will: Expand support to additional fields of science and to other countries. Introduce a more competitive application process at the country level. Contribute to quality enhancement at the wider faculty and university level. Fully transfer the management of activities to supported groups and networks. Regularly evaluate activities and the quality of results, and initiate alumni tracer studies and impact studies. Elaborate a comprehensive strategy to promote gender equality. Improve financial reporting by accounting for in- kind contributions. Continue to encourage groups and networks to seek additional funding. Invite other organizations than universities to financially contribute to the program. Within Uppsala University, promote the possible application of the ISP methodological model to other disciplines.

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5 1 Summary Uppsala University established the International Science Programme (ISP) in It has earned international recognition for effectively strengthening research and postgraduate education capacity in low- income countries in the basic sciences physics, chemistry, and mathematics. The ISP model commits long- term support to institutionally based research groups and scientific networks. Swedish and other universities contribute to scientist- to- scientist cooperation. The research and education activities shall be demand driven, of obvious significance to the countries and regions concerned, and in agreement with their strategies and plans. ISP s vision is to efficiently contribute to a significant growth of scientific knowledge, so promoting development. The expected outcome is more- well- qualified postgraduates, and an increased production and use of high quality scientific research results. Collaborating universities all gain an expanded global perspective. Support to basic sciences is important for the development of applied sciences, of quality education, and of technology. The nurturing of evidence- based, critical thinking, also impacts on democracy development, economic growth and poverty alleviation. Over the period , each million EUR collectively spent by ISP- supported research groups and networks resulted in twelve PhD degrees, 50 Master s degrees and 200 scientific communications (published papers and conference contributions). There are strong indications that ISP support boosts rates of publication. The 2011 evaluation found the quantity of scientific papers to be satisfactory, the quality somewhat better than world benchmarks, and the citation rate often above. Furthermore, evidence indicated that ISP support does contribute to socioeconomic development and poverty reduction. ISP s success is attributed to its mode of operation, its long- term perspective, and its egalitarian manner of interacting. ISP will continue to focus on physics, chemistry, and mathematics and interdisciplinary cooperation in countries prioritized by the Swedish government Over the longer term, ISP aims to include biology, geosciences and information technology, and to offer support to other countries. To achieve these ends, new financial partners may be invited to contribute. Application by invitation is still relevant where successful competition for grants is unlikely. Transparency of the process will be increased, information and agreement procedures made clearer, and competition for support will be introduced. ISP will contribute to the quality enhancement of MSc- and PhD- programs at the institutional and at the science faculty level. Over the long term, ISP will seek to contribute to quality enhancement throughout the university. Scientific coordination accounts for 11% of ISP s annual expenditures, and administration for 7%, which the 2011 evaluation found reasonable. ISP will continue to work on the basis of collegiality, will continue to develop management routines matched to needs and administrative support based on modern university practices, but always aimed at the transfer of management routines to those responsible locally. ISP management practices are designed to minimize the risk of corruption and misuse of funds, and proper financial accountability is required. ISP phases out its support when a research group or scientific network: a) has reached such a level of excellence that it can be expected to successfully compete for other funding, or b) has failed to develop over a reasonable period of time 1

6 When support is phased out, ISP will issue a certificate of collaboration to facilitate the attraction of funding from other sources. ISP is initiating a Results Based Management (RBM) approach to monitoring and evaluation. This requires more detailed reporting, for example, tracing the careers of alumni, and of total financing including local in- kind contributions. Social scientists will be invited to take part in impact studies. ISP intends to invite regular external evaluation of supported activities. The strategy needed to guide ISP s promotion of gender equality will be elaborated with experts. To strengthen local ownership and commitment, ISP will start to accept an overhead cost on money transferred for local use. A communication plan will enhance information about ISP within Uppsala University, as well as at other Nordic universities. Information directed to the public will be managed with the help of the university information division. Contacts with other Uppsala- based organizations collaborating with low- income countries will be further developed. Information to local students about how they may benefit from being trained within an ISP- supported group or network will be improved ISP also intends to increase its visibility by communicating more clearly with faculty and university leadership of supported institutions, and intends to seek complementarity and synergies with other actors. ISP strongly encourages supported groups and networks to look for ways of improving their funding. ISP s main funding has always been from the Swedish government, presently through Sida, while Uppsala University, initiator and owner, provides long- term complementary funding. Other temporary contributors have been IAEA, NORAD, and UNESCO. Since 2011, Stockholm University provides significant direct funding to the core program. In kind contributions by collaborating partners have always been recognized, but until now, never accounted for financially. While it is acknowledged that ISP puts taxpayers money to good use, a political decision taken for the best reasons may imply an interruption of a long- term program. If for no other reason, a wider financial base would reassure. The need to diversify the financial sources of the program allows new funding partners opportunities to benefit from ISP s capacity and success. ISP intends to initiate discussion with those who might value the opportunity of sharing ISP s success and so have a long- term impact on development. The ISP model could well be applied to other disciplines. Within Uppsala University, ISP will promote the possible application of its methodological model to other fields. 2

7 2 Introduction Uppsala University established the International Science Programme (ISP) in 1961, initially as an international seminar in physics. It has earned international recognition for effectively strengthening research and postgraduate education capacity in low- income countries in the basic sciences physics, chemistry, and mathematics. Since reformation of the program in the 1980s, ISP provides long- term support to institution- based research groups and scientific networks. There are currently three programs: The International Programme in the Physical Sciences (IPPS), dating back to 1961, The International Programme in the Chemical Sciences (IPICS), from 1970, and The International Programme in the Mathematical Sciences (IPMS), from ISP functions as a common resource facilitating collaboration. The support model is based on collegial scientist- to- scientist collaboration, linking supported groups and networks to cooperating partners at Swedish, Nordic, and European universities, and at universities in other low- income countries. This introduction outlines ISP s vision, goals, and objectives (2.1), describes the ISP fundamental strategy that, as a result of 30 years of refinement, has developed into the current ISP model (2.2), and gives examples of outcomes, the result of the program in its recent 10 years of operation (2.3). 2.1 ISP s Vision, Goal and Objectives ISP contributes to the creation of new knowledge to address development challenges. The ISP vision is to efficiently contribute to a significant growth of scientific knowledge in low- income countries, thereby promoting social and economic wealth in those countries, and, by developing human resources, in the world as a whole. In support of this vision, the overall goal of ISP is to contribute to the strengthening of scientific research and postgraduate education within the basic sciences, and to promote its use to address development challenges. ISP therefore has the general objective to strengthen the domestic capacity for scientific research and postgraduate education, by long- term support to research groups and scientific networks in these fields. The expected outcome for low- income countries is more- well- qualified postgraduates, and the increased production and use of high quality scientific research results, relevant to the fight against poverty. Development of science also promotes critical thinking based on scientific evidence, necessary for democracy development. The expected outcome for collaborating partners is an expanded global perspective, an enhanced awareness and knowledge of the potentials, conditions, and relevant issues of research collaboration with low- income countries, and an increased collaboration with scientists in those countries. To achieve its general objective, ISP defines three specific objectives: 1) Better planning of, and improved conditions for carrying out, scientific research and postgraduate training. 2) Increased production of high quality research results. 3) Increased use by society of research results and of graduates in development. From 2013, ISP will apply a Results Based Management (RBM) approach to monitoring and evaluation of the program and its achievements (see Section 3.2 and Appendix 1). The three specific objectives provide the base for the RBM approach. 3

8 2.2 The ISP Model A Focus on Basic Sciences ISP s fundamental strategy is to provide support for the development of active and sustainable research in the basic sciences physics, chemistry, and mathematics in low- income countries. The support is collaborative and long- term, and is managed on a collegial scientist- to- scientist level with a strong local ownership. Support not only to research groups but also to scientific networks is strategically important because it facilitates cooperation and sharing of resources. The basic sciences are important for the development of applied science of high quality, for education at all levels, and for technology development. Scientific training develops critical thinking, important for promoting democracy; it contributes to innovation, stimulating entrepreneurship and improving public service; it increases international competitiveness and facilitates international collaboration. Increased domestic capacity for research and higher education in basic sciences leads to an increasingly knowledge- based society, which has long- term impact on economic growth and poverty alleviation. ISP s fundamental strategy since the 1980 s is to provide support for the development of active and sustainable research in the basic sciences physics, chemistry, and from 2002 mathematics in low- income countries. The support is directed to academic, institution- based scientific research groups and to regional scientific networks. The support is collaborative and long- term, and is managed on a collegial scientist- to- scientist basis with a strong ownership of activities at the receiving side. The research and education activities need to be demand driven, of obvious significance to the countries and regions concerned, and in agreement with their strategies and plans. The support is characterized by high quality and efficiency. Funding for research and training in basic sciences is scarce in most low- income countries. Regional cooperation generates scientific cooperation and complementary activities, gives access to advanced equipment, and contributes the human capital needed for good postgraduate education. Therefore, ISP support not only to research groups but also to regional scientific networks is strategically important. The basic sciences mathematics, physics, chemistry, and biology provide a fundamental understanding of natural phenomena and the processes by which natural resources are transformed and utilized. Interdisciplinary and applied research is important in addressing a number of development challenges. However, without a strong fundament of basic sciences it is difficult to sustain applied science of high quality. The basic sciences need to be strong for three main reasons: 1) Their importance in education, at all levels, 2) Their contribution in applied sciences, and 3) Their role in technological development. Additional important results of scientific training include: 4) Developing scientific, critical thinking based on reproducible evidence promoting rational governance, democracy, and human rights, 5) Developing knowledge for innovation and engineering, stimulating entrepreneurship and improving public service, and so contributing to poverty amelioration, 6) Increasing productivity and international competitiveness, and the ability to take part in and benefit from international collaboration. 4

9 2.3 Results and Impact of ISP Support Collaboration Twelve PhD degrees, 50 Master s degrees, and 200 scientific communications result from each million EUR collectively spent by ISP- supported groups and networks. ISP support has a significant impact on publication rates, particularly in African countries south of the Sahara. The 2011 evaluation found the quantitative output of scientific papers to be satisfactory and the quality better than satisfactory. Furthermore, ISP was found to contribute to socioeconomic development and poverty reduction. It has been shown that ISP s success is achieved through its mode of operation, its long- term support model, and its egalitarian way of interacting with collaborators. An important starting point of the strategy is the achievements to date. In the nine- year period 2003 to 2011, the average quantitative outcome per million EUR spent by supported research groups and network was: 12 PhD graduations, plus 50 MSc graduations, plus 87 scientific journal publications, plus 113 conference contributions (40% of which were international), plus 21 meetings organized (workshops, conferences, summer schools, etc.), plus development of technical resources within research groups and networks, as well as increased collaboration with scientists at e.g. Swedish universities and in the regions. A similar quantitative outcome was observed in a study of ISP reports 1 covering periods dating back to It is expected that with the further development of the program these parameters will increase. The 2011 evaluation of ISP 2 notes that in relation to publication numbers, ISP reports an average of 192 published research papers per year over the period 2003 to 2010, from an average of approximately 42 research groups. Given that a research group generally comprises only 1-2 leading researchers together with their research students, this quantity of output per person is satisfactory. A comparison of the number of peer- reviewed, international publications by ISP- supported research groups and scientific networks with the data reported by UNESCO 3 for the years 2002 and 2008, indicates a considerable impact on publication rates. This is especially the case in African countries south of the Sahara, and most notably in 2008 in mathematics, where 65% of the publications were by activities receiving ISP support. A less pronounced impact in Asia may reflect the shift in countries enjoying support between the years considered. In Latin America most support was phased out by With regard to quality, the 2011 evaluation reported inspection of citation rates for a sample of publications supported by ISP reveals much high- satisfactory research work. The evaluation also observed that the rates of citation for several ISP- supported papers were above world benchmarks. Furthermore, the evaluation states that there is anecdotal evidence that ISP programmes are contributing to socioeconomic development and poverty reduction, but the rich case studies that demonstrate this are not being systematically collected. A Master degree thesis focusing on ISP s collaboration with research groups in Bangladesh (Kuhn, 2011) found that: 4 1 Sundin, P., Abrahamsson, L. & van Groningen, E., The International Science Programme at Uppsala University: 50 years experience of capacity building in basic sciences in developing countries. SANORD International Symposium, Aarhus University, Aarhus, DENMARK, 6-7 June UNESCO Science Report 2010;

10 ISP s success is achieved through its mode of operation, its long- term support and its egalitarian way of interacting with Southern collaborators. The enormous impact that ISP- related scientists in Bangladesh have on their own country seems to be wide- reaching and sustainable because it involves the establishment of a firm basis in enabling sciences which can solve health- related, environmental, technological etc. problems, the training of future teachers and the strengthening of human resources in many societal areas. 6

11 3 Strategic Plan ISP s fundamental strategy (see Section 2.2) has over the years developed into a general model of operation. Where successful, the model the manner and approach has been confirmed as valid and economic, where less successful, the model has been changed. In recent years, new needs have been identified requiring further development of the ISP model. This is described in the current section, along with a number of shorter term (1 2 years) and longer term (2 5 years) strategies to guide the planned development. The operational strategy (Section 3.1) accounts for the planned development with respect to the fields of science subject to support (3.1.1), the selection of target countries (3.1.2) and support partners (3.1.3), measures to increase the quality of supported activities (3.1.4), improvements of scientific coordination and administrative support (3.1.5), and the termination of support (3.1.6). The monitoring, evaluation and reporting strategy (Section 3.2) introduces a refined system for monitoring, follow- up and evaluation (3.2.1), proposes ways to improve the gender balance in supported activities (3.2.2), and presents considerations with regard to financial accountability and ownership (3.2.3). Section 3.3 describes how ISP s communication and outreach will be improved, in Section 3.4 how collaboration with other programs will be enhanced, and in Section 3.5 how the funding of an extended program intends to be developed. 3.1 Operational Strategy In the short term, ISP will continue to focus on physics, chemistry, and mathematics in countries prioritized by the Swedish government, and promote interdisciplinary cooperation. Over the longer term, ISP aims to expand support to biology, geosciences and information technology, and offer its support to other countries. Other financial partners may be invited to contribute. ISP will also identify synergies and complementarities with other actors. Application by invitation is relevant because support can be initiated where possibilities are limited to successfully compete for grants. The transparency of this process will be increased and more competition introduced, in the short term within institutions, and over the longer term between universities in a country. In the short term, ISP will contribute to the quality enhancement of MSc- and PhD- programs at the institutional and faculty level. Over the longer term, ISP will stimulate and contribute to quality enhancement at the wider faculty and university level. ISP will continue to develop scientific coordination on the basis of collegiality, and administrative support appropriate for modern universities. The long- term ambition is that groups and networks should manage activities and grants themselves. ISP normally phases out its support when a group or network has reached such a level of excellence that continued development may be funded from other sources. In the short term, ISP will introduce a certificate of collaboration where support has been phased out, to facilitate the attraction of funding from other sources Fields of Science The 1994 evaluation of ISP 5 recommended that biology and geosciences be included. The 2005 workshop Capacity Building in Developing Countries with focus on Basic 5 Edqvist, O., Abegaz, B., Sing, L. & Noller, B. (1994) The International Science Programs of Uppsala University. An Evaluation Report. SAREC Documentation Evaluations 1994:2. 7

12 Sciences 6 concurred. The ISP Strategy Plan argued for expansion to basic biology. The 2011 evaluation recommended that Sida and ISP discuss expansion beyond mathematics, physics and chemistry. An inclusion of university- based biology, geosciences, and information technology would better match a modern science faculty. This would facilitate multidisciplinary approaches to relevant problems, and increase the potential to enter into research in nanotechnology and bioinformatics. Promoting interdisciplinary and multidisciplinary research is part of the ISP strategy. Much of the research supported is applied and has multidisciplinary elements. ISP will continue to promote cooperation including researchers from other academic fields. Researchers from for example social and political sciences may contribute to a better understanding of how science efficiently can promote technological development and benefit society. ISP has long experience of handling collaboration within biology, geosciences and information technology from its engagement in Sida bilateral programs. However, an expansion of the program itself to biology and other scientific fields requires additional funding. Such expansion can be realized only if funding is long- term: initiating any new program requires thorough preparation and, once initiated, long- term commitment. The short- term strategy is therefore limited to stimulating increased interdisciplinary cooperation within supported activities with scientists of other fields or faculties. Over the long term, ISP may explore possibilities to open support to other fields within natural sciences and technology. This, however requires additional funding, for example. by new financial partners Selection of Target Countries ISP for many years focused on least- developed countries (using the World Bank definition). This is, according to the Strategy Plan , because of the priority determined by Sida/SAREC. The Swedish government policy change in 2007 implied a shift to long- term development collaboration with twelve prioritized countries. 7 This shift has guided ISP activities as outlined in the ISP Working Strategy ISP support beyond the twelve focus countries requires complementary funding. Such funding has, since 2011, been provided by Stockholm University. This allows continued support to the National University of Laos; a country not prioritized by the Swedish government. ISP collaboration in Laos started around 2005, and since long- term engagement is required for a sustainable impact, continued support is justified. To determine whether expansion of ISP support to other countries than the twelve is justified, a needs assessment is to be made in each case. Such an assessment must range from the government level to the institutional level. The assessment must identify the relevant national and institutional policies and strategies, account for the academic profile in the fields concerned, investigate what funding and time is already available for research, as well as the feasibility and likely impact of ISP support. The short- term strategy is to continue to establish and develop collaboration in physics, chemistry and mathematics in priority countries. Over the longer term, ISP aims to develop support to research groups in other countries together with new financial partners. ISP will identify synergies and complementarities with other bodies providing development support, and will also consider to what extent new undertakings may complement existing support, e.g. by strengthening regional networks. 6 May 26-27, 2005, arranged by Sida/SAREC, The Royal Swedish Academy of Sciences, KVA and UNESCO

13 3.1.3 Selection of Support Partners ISP is practicing application by invitation. This is still relevant in those many academic environments that otherwise have only limited possibilities to successfully compete for grants. In addition, limited funding of ISP in combination with the necessary long- term approach implies a low turn over of granting possibilities. This has the consequence that only a limited if any number of support opportunities are open every year. Open calls would attract far more applications than could be supported, and those in most need would be disadvantaged. The transparency of this approach needs to be increased. Therefore, besides the department of interest, initial contacts must include the appropriate level of university governance, where the possibility of ISP support is presented. The mutual prospects, implications, and expectations of collaboration need to be discussed. If agreement is reached the department is invited to apply for ISP funding. Several competing applications may be submitted. From the beginning it is stressed that funding, even if focused on one or a few research areas, is intended as a common good for the development of the department as a whole. Synergies and complementarities with existing support programs at the university are important. In the short term, this strategy will be applied in the continued development of reinforcement of physics, chemistry, and mathematics in the twelve focus countries. In the long term, the introduction of competition for grants beyond a single institution will be considered, for example by allowing several universities in a country to compete Quality Assurance Quality assurance and enhancement based on established values part of the academic quality culture should be integrated activities at modern universities. Producing PhD s on a sandwich basis through ISP s program contributes to increasing high- quality scientific activities at the supported universities, including in- house PhD- training. High- quality science depends on a well- developed research culture, with the tools and environment for sustainable MSc and PhD programs. This includes supervision by trained PhD advisors, and systematic use of study plans with regular monitoring and follow- up. Other necessities are adequate equipment, time available to carry out research, and appropriate administrative support. Basic mechanisms for controlling the quality of research and education supported by ISP are the close contacts with repeated site visits by the program directors, and the peer review evaluation work by ISP s scientific reference groups. According to their Terms of Reference 9 they are to provide professional, impartial assistance in the evaluation of applications and the performance of supported groups and networks, while bearing in mind the conditions under which the activities are to be developed. In the short term, ISP will contribute to the quality enhancement of MSc and PhD programs at the institutional and science faculty levels, for example by facilitating contacts between units of quality assurance at Swedish universities and at partner universities. Over the long term, ISP will stimulate and contribute to quality enhancement also at the wider faculty and university level, where this is feasible Scientific Coordination and Administrative support In the period the management cost including scientific coordination was on average 18% of the total annual expenditure; administration 7%, scientific coordination 11%. The 2011 evaluation found this acceptable compared to other programs. The level of service required differs depending on the conditions under which a supported 9 9

14 activity is carried out. The ultimate ambition is that groups and networks should entirely manage activities and grants themselves. ISP will continue to develop collaboration with groups and networks on the basis of collegiality and to provide administrative support based on modern university practices. The program directors are themselves scientists. With their experience of research and higher education they are well aware of the conditions necessary for success. This is important for the level of ambition and for the quality of research and education. ISP management practices are designed to minimize the risk of corruption and misuse of funds, and proper financial accountability is required. Equally important is the trust between ISP staff and managers of activities, as an intrinsic result of the collegial and long- term nature of ISP support collaboration Exit Strategy The final stage of support is when achievements and quality allows for successful competition and attraction of other funding, permitting continued development independent of ISP support. Usually, a three- year final bridging grant is awarded. In the last decades, there have been numerous examples of research groups that when ISP support has been concluded have been strong enough to successfully compete for normal, short- term grants, and continue developing their scientific activities. In the short term, ISP will introduce a certificate of collaboration after the final year of support. The certificate will report the funding provided and the results achieved. It may facilitate the attraction of new funding. ISP will continue collaboration with groups and networks no longer supported to facilitate their use as scientific partners and resources, contributing to the development of activities still supported. Unwelcome reasons to stop support are if a research group or network fails to develop satisfactorily over a reasonable period of time, if misuse of funding is discovered, or if the policy of a financial contributor to ISP changes. In such cases, phase- out may have to be inflicted prematurely. 3.2 Monitoring, Evaluation, and Reporting Strategy In the short term, ISP will apply a Results Based Management (RBM) approach to an improved monitoring and evaluation system. Efforts will be made to optimize reporting routines so that a higher level of ambition is efficiently achieved. In its long- term strategy ISP will include regular evaluations of activities, and the quality of results. Furthermore, tracing of alumni will be carried out systematically, and impact studies will be done in collaboration with social scientists. To promote gender equality, the short- term strategy will include increased focus on gender issues. Over the longer term, a working group with expertise also from social sciences will be set up to elaborate a comprehensive gender strategy. In the short term, to strengthen local ownership and commitment, ISP will start to accept an overhead cost on money transferred for local use. Over the longer term, attempts will be made to improve the financial reporting by including assessment of institutional in- kind contributions Systematic Approach to Monitoring, Follow- Up, and Evaluation ISP has for several decades monitored a number of result and performance indicators, presented in the annual reports. The indicators have included numbers of Master s and PhD graduations, publications, and contributions to and the arranging of scientific 10

15 meetings. The gender distribution of staff/students has been accounted for. Expenditures of supported groups and networks, information about collaboration partners, and exchange and training of staff and students have all been reported. The monitoring system has been stepwise modified and refined. In the Annual Report 2008, a new structure was introduced. New guidelines for annual reporting, provided by Sida in 2009, have thereafter been applied starting with the Annual Report 2010 to Sida. The ISP requirements for yearly activity reporting by supported research groups and scientific networks have been developed concomitantly to provide the data needed for the monitoring of results. From 2010, the monitoring system has been amended to introduce the following: the follow up of scientific quality by recording impact factors of journals in which results are published by ISP- supported activities, more detailed reporting of outreach activities, such as interactions with government, society, and industry, more detailed reporting of impacts of policies and practices, systematically documenting anecdotal records, more detailed reporting on practical and commercial potential and application of results, the recording of promotions, assignments (with e.g. government committees), and awards to participants of supported research groups and scientific networks. The 2011 evaluation stresses that moving to a stronger monitoring and evaluation system, and one which is more results based, is a necessary and valuable investment. From 2013, ISP will apply a Results Based Management (RBM) approach as a short- term strategy for improving the monitoring and evaluation of the program and its achievements. Inspired by Sida, an ISP logical framework was first developed in January 2009, 10 refined during the 2011 evaluation, and developed further to be included in this strategic plan (Appendix 1). To provide the data required in the logical framework, the monitoring system will be developed to include the following: the success rate and quality of applications to ISP, including rating budget deviations, such as postponed activities and postponed procurement supplementary funding, and its sources, to ISP- supported activities technical resources and standard of maintenance collaboration and co- publication of supported activities with other scientists, including quality of publications conditions and quality of post graduate training, including number of available supervisors, and facilities available number of post graduate students, and time spent until graduation post graduate exams and quality of theses and publications student training with collaborators number and nature of outreach activities number and nature of awards, promotions, appointments, and assignments use of research results in teaching, in professional practices, and in commercial applications, including patents MSc and PhD alumni and former staff members of supported activities, extended beyond the phase- out of ISP support. 10 From 2009, also supported activities have been provided with guidelines for results based management, and are encouraged to develop their own logical frameworks. See for example "Proceedings of the International Conference on Regional and Interregional Cooperation to Strengthen Basic Sciences in Developing Countries", Addis Ababa, Ethiopia, 1-4 September 2009, Ed. Christer Kiselman, Acta Universitatis Uppsaliensis, 88, 2011, pp ( 11

16 Over the longer term, attempts will be made, at least in evaluations, to assess the quality of Master s and PhD theses, which will also lead to useful information of grading criteria used at the supported universities. Tracing of alumni is planned, both retrospectively and by using the competence and data of Uppsala University Alumni Network. The need to develop the monitoring system includes improvement of the evaluation of activities and of the impact of the program. Besides institutional capacity building, ISP support also results in trained scholars; some will remain to reinforce the university, others will constitute a competence base for society and industry. The use of sandwich PhD education by ISP, with degrees awarded by the parent university, guarantees that most of the competence remains in the country or at least in the region. The so- called brain drain from ISP- supported groups was found to be less than 5 % in the first evaluation of ISP. Today, this figure is thought to be even lower. To better capture results, the following will be introduced: general terms of reference for the evaluation of supported activities general terms of reference for self- assessment of ISP, focusing on the direct support program, with a first self- assessment carried out and reported in evaluation of activities and self- evaluation at regular intervals. systematic impact studies in collaboration with researchers at institutions of humanities and social sciences, in Sweden and elsewhere. The higher level of ambition in following up the results and impact of its activities necessarily requires more detailed reporting by the supported activities, as well as better analysis of the reporting. Obviously, the reporting system shall be designed to give essential, valid and reliable information, with the least possible disturbance. The information required should be easy to compile, and easy to interpret. Kuhn (2011) after interviewing ISP support collaboration partners in Bangladesh observed: The time- consuming process of reporting reduces the time spent on research and teaching so that development is halted. As many research groups are dependent on support from multiple donors, they face a variety of bureaucratic requirements, which can impede the overall goal of development assistance. Still, reporting is what any academic is asked to do. Reporting can give valuable knowledge applicable to other situations. Provided the terms, systems and questions are valid and relevant it is in the interest of the receiver of funding to demonstrate achievements Gender Considerations The gender distribution of staff and students in supported groups and networks has been monitored throughout the history of the program, and, with regard to students, is shown each year in the Annual Report. In the years 2003 to 2010 the average proportion of female PhD students was 11%, 39%, and 13% in the physics, chemistry, and mathematics programs respectively. The corresponding figures for MSc students were 18%, 54%, and 18%. In this period, there has been a decline in the proportion of female students in the chemistry program, which is most likely because of the phase- out of support to research groups in Latin America and Asia that attracted many female students. ISP is actively working for a more equal proportion of male and female scientists and students. In physics and mathematics this implies encouragement of those responsible for activities to prioritize to female MSc and PhD students, while in chemistry priority sometimes needs to be given to males. Data from 1998 to 2011, however, show no trends (Table 4). Therefore, efforts need to be improved. In later years, the reporting requirements have been amended with gender- related issues. In the short term, bringing 12

17 up gender issues at field visits, and with visitors to ISP will be intensified. In addition, the use of role models will be considered to promote gender equality. Table 4. Gender distribution in ISP- supported Research Groups since F = Female; w. other acad. = with other academic degree than PhD Year % F group leaders % F staff with PhD % F staff w. other acad. % F staff, technical % F PhD students % F MSc students (no degree) Mean The particularly low proportion of female students in the physics and mathematics program over the last decades may be because in many societies girls are not encouraged to study these subjects at school. Despite previous efforts by ISP staff, it is then difficult to stimulate female participation at the postgraduate level. The 2011 evaluation field study in Kenya, however, concluded that ISP had contributed to a higher proportion of female students. Furthermore, Kuhn (2011) found that female participation had been exceptionally strong in one previously supported chemistry group in Bangladesh. Among factors behind this was great interest in health- related research on the part of female students. There may be effects of ISP promotion of female participation in groups and network that become visible when comparing with activities that are not influenced by ISP. This sort of comparison and analysis remains to be done. It is clear that over the longer term a reinforced strategy is needed to guide future efforts to promote gender equality. A working group with expertise also from social sciences will be set up to elaborate such a strategy Financial management Each year all activities are obliged to submit certified statements of accounts for those funds transferred for local use. From 2011, an external independent audit is required for total transfer of over 200 KSEK annually. Allocation for a new year of support is not released until financial reporting for the previous year has been approved. ISP is itself subject to annual external audit. In 2011 it was decided not to allow for carry- over of funds to the next year unless this is requested and justified in time. Such carry- over can be motivated when, for example, procurement and planned activities are delayed, or when the money, combined with the next year s allocation, will allow for the purchase of an expensive piece of equipment that has been planned and budgeted for. ISP keeps close track of these requests; Uppsala University allows maximum 10% carry- over at the unit level. In the short term, to strengthen local ownership and commitment, ISP will start to accept an overhead cost on money transferred for local use. This is in line with the practice 13

18 adopted by most universities in developed countries. It has been agreed in consultation with Sida. An important condition is that a general decision regarding overhead costs on all external grants has been taken by the institution receiving support. Over the longer term, attempts will be made to improve the financial reporting by including assessment of institutional in- kind contributions. This information will allow for more accurate data on the relative significance of ISP support. Reporting of other external support than from ISP is already required and used as a quality indicator allowing ISP to make judgments about continuing or phasing out funding. 3.3 Communication Strategy As part of the short- term strategy, a communication plan will be made to improve the information about ISP within Uppsala University, as well as with universities and research groups at other Nordic universities. Contacts with the university information division will be further developed to obtain support in information activities directed to the public. Contacts with other Uppsala- based organizations collaborating with low- income countries will also be improved. In the short- term, an information officer might be appointed responsible for communication concerning development collaboration issues. Communication to students at supported research groups and scientific networks about how they may benefit from being trained in an ISP- supported activity will be improved. ISP is still not sufficiently well known at Uppsala University, not even among those engaged in developing country collaboration projects. To make ISP better known within the university is vital for the possible application of the ISP model to other fields at the university. Students too should be better informed since they may benefit from increased knowledge about developing perspectives. In fact, since 2012, ISP participates in the Sida- financed Minor Field Studies program. This offers the opportunity for Swedish students to carry out thesis work with ISP- supported research groups. Improved intra- mural communication will comprise a frequently updated web page, articles in the University periodicals, as well as presentations at various faculty meetings, as part of the duties of the ISP program directors. A plan for systematically making ISP better known within the university will be produced. Uppsala has several other actors concerned with developing countries: the Nordic Africa Institute, the Swedish Church International Division and its Life and Peace Institute, the Dag Hammarskjöld Foundation, and the Swedish University of Agricultural Sciences (SLU). Regular communication with them is important, for example in informal meetings between staff members, and by participating in common activities. Initiatives will be taken to strengthen such contacts. Just as important are improvements in communication with national and Nordic research groups and universities. This would extend the already significant recruitment base of collaborators. There is also an ambition, and, according to Swedish University law even an obligation, to make ISP activities known to the public. The University Information Division has the competence and means to produce suitable information material. As one measure, the Annual Report will be announced publicly, and be distributed to the media. In the short- term perspective, an information officer might be appointed responsible for communication concerning development cooperation issues, serving ISP and similar endeavors. Vital communication partners for ISP are funding institutions, including SIDA and Stockholm University. The annual review meeting with SIDA, and the annual reporting 14

19 are two major formal communication arrangements that have developed considerably in recent years. Informal contacts between ISP and SIDA staff will continue as required. Kuhn (2011) observed that many students of ISP- supported research groups seemed hardly aware of ISP s role. Having in mind the importance of the local ownership of the supported research activities, ISP has depended on local leadership for communication with students. Nevertheless, a direct communication is evidently required, and will be provided for more extensively in the future. This information necessarily must reflect how students may benefit depending on the plans made and decisions taken by the group or network management teams. 3.4 Collaboration Strategy ISP strives to increase the fitness of basic sciences departments to contribute to applied science through developing skilled staff that supply courses and supervision, and by developing technical resources and competence that can be shared. In doing so, ISP will seek more discussion about complementarity and synergies, with Sida as well as with other organizations providing support cooperation. ISP strongly encourages supported research groups and scientific networks to seek additional funding by themselves or together with scientific partners. There are many actors involved in support to universities in low- income counties: international bodies such as IAEA, OPCW, and WHO, international organizations such as ICTP, IFS, and TWAS, national agencies such as DAAD, JICA, and Sida, and many individual university collaborators. The 2011 evaluation of ISP observed that expenditure on basic sciences is low, both by developing country governments and by their development partners. Furthermore, overall funding of scientific research and development has traditionally been much lower in developing countries (0.2% of GDP) than in OECD countries (2% of GDP). It concludes that Sida support to basic science research in developing countries for example by funding ISP fills a gap that would not be filled otherwise. ISP today has no direct relation to other research capacity programs than Sida s bilateral programs. Depending on partner university priorities, and the quality of the project proposals to Sida, basic sciences may or may not be included. ISP has long cooperated with Sida by coordinating bilateral programs and projects at institutions of research and higher education in partner countries. This is expected to develop further with Sida s new open call approach. The target university is invited to submit a concept note, specifying the development needs and research areas of interest, as a base for an application to Sida together with Swedish collaboration partners. The new process implies preparation of applications that reflects the combined strengths of the target universities and of the Swedish partners. ISP s experience and network of contacts can facilitate this process in the continued cooperation with Sida in Swedish bilateral programs for university support. With respect to the operation of direct support ISP takes the following two strategic positions: 1) Where ISP can work in parallel with Sida s bilateral agreement in a focus country, the priority is to reinforce the capacity of physics, chemistry, and mathematics, should these not be supported under the bilateral program. Actions taken must then be clearly communicated to Sida, to the local bilateral coordination office, and to the university leadership. Besides strengthening capacity and stimulating the achievements of the basic sciences as such, according to ISP s overall goal, the intention is twofold: 15