Developing Uganda s Science, Technology, and Innovation System: The Millennium Science Initiative The aim of Uganda Millennium Science Initiative (2007 13) was to help the country s universities and research institutes to produce more and better qualified science and engineering graduates and higher quality and more relevant research, and to encourage firms to use these outputs to improve their productivity for the sake of enhancing science and technology-led growth. This case study discusses the challenges inherent in the design, implementation, and evaluation of Uganda s program. By José Guimón World Bank, 2013 Introduction Since the 1990s Uganda has achieved robust economic growth and macroeconomic stability, but it remains one of the world s least developed countries. 1 A World Bank study found that although Uganda s science, technology, and innovation system has made significant achievements since 2000, it remains in a very early stage of development (Brar et al. 2011). The system is small in scale and lacks critical mass, a big constraint to achieving visible results. Annual spending on science and technology (S&T) is estimated at $50 million with around 800 researchers working in R&D, mostly in public universities and R&D labs. Six universities in Uganda offer science and engineering courses, and basic science enrollment accounts for less than 1 percent of overall secondary education enrollment. Just 558 university professors in Uganda in all academic disciplines have doctorates and fewer than 10 new doctorates are awarded annually in science and engineering. Total expenditure in R&D stood at 0.41 percent of GDP in 2009, a modest increase from 0.37 percent in 2002, and most of it was performed by the public sector and financed by international donors. 2 Very few private-sector companies were found to conduct R&D and those that did were almost all foreign direct investors. To address these challenges, the Government launched the Millennium Science Initiative (MSI) in 2007. The program had a budget of US$33.5 million for a five-year period, of which $30 million was financed by the World Bank through a Specific Investment Loan of the International 1 Uganda Millennium Science Initiative
Development Association, while the remaining $3.5 million was funded by the Ugandan Government. The World Bank was already a major development partner for Uganda, and this new intervention addressed science and technology, which is central to the long-term success of Uganda s development strategy. The project implementation and control, placed in the Ministry of Finance, Planning, and Economic Development was allocated to the Uganda National Council for Science and Technology (UNCST), an agency mandated to facilitate and coordinate the development and implementation of policies and strategies for integrating science and technology into the national development process. The World Bank provided technical assistance to UNCST to restructure and improve its capacity to implement the program, but UNCST remained responsible for general administration and facilitating all functions relating to the project. The shortage of skilled workers and the private sector s insufficient capacity to absorb new technologies and innovate were recognized as key bottlenecks hampering productivity and economic growth. The system was also deficient in institutional capacity, university-industry collaboration, and connection to global innovation networks. Based on an analysis of the challenges facing the national innovation system of Uganda, and considering the government s broader Strategy for Science, Technology and Innovation, the MSI program had the following objectives: Create and/or strengthen graduate education in S&T disciplines to provide a cadre of future professors, researchers, and engineers. Produce tertiary graduates with the skills in science and engineering needed to meet the current and future needs of the labor market. Increase quality and relevance of research and training through investment in infrastructure and strengthening incentives. Increase connections and linkages between research and training and the needs of the private sector. Reduce brain drain by improving the ability of the national science and technology system to support high-quality research and training. Remove the systemic obstacles (institutional, financial, and sociological) that reduce the attractiveness for students of S&T training and careers. However, the relatively small budget of the MSI program could not achieve these objectives because the country was in an early stage of development of its human capital base and technological capabilities. Specific barriers to the MSI program s success included the following (World Bank 2006): Institutional capacity was insufficient to manage a competitive fund of international-level quality. To overcome this, the program included substantial funding and technical assistance from the World Bank to restructure and strengthen the country s S&T institutions. 2 Uganda Millennium Science Initiative
Institutions or researchers that stood to lose from the changes, for example, because of their lack of excellence, might oppose the project. To address this risk, a broad variety of stakeholders was consulted from the earliest stages of project preparation, and a Ugandan committee participated in drafting the project rules. Proposals might be of insufficient quality to justify investment in research. To address this risk, different grant schemes were designed to accommodate variations in quality of the submitted proposals, and a two-stage selection process, including technical support to the applicants, was put in place to help improve grant proposals. Significant efforts would be needed to increase the awareness and interest in the research community. Program design The program design benefited from frequent consultation and stakeholder participation from its initial stages. The idea for the project grew out of interactions among international experts, key stakeholders, and the Government beginning in 2001. In 2004 more than 130 members of the Ugandan science and technology community participated in workshops to assess the policy needs of the sector from the perspectives of: (1) science education, (2) research bases at universities and institutes, (3) the private sector, and (4) the Government s policy goals. The Government then created the Ugandan Project Advisory Group to ensure that the needs of practitioners and end-users would drive the design of the project and that it would be appropriate for Uganda s circumstances. The group, comprising ten recognized leaders in research, the private sector, and the S&T policy community, helped draft the project implementation plan in cooperation with the World Bank. The program had two broad components (Table 1). The first component was a funding facility that provided competitively awarded grants in three access windows, each with a specific purpose. These windows combined support to advanced R&D in window A with a broader set of measures to build the foundations for technological skills and capabilities, absorptive capacity, and technology diffusion, through windows B and C. Researchers at public and private universities, as well as private or public research foundations, were eligible to compete for MSI grants, provided that their work was connected to the training of (graduate or undergraduate) students. Although each access window of the MSI funding facility had its own particular goals, they all shared a single administrative structure and a single set of operating principles and procedures. The World Bank assisted with setting up the administrative structure and selection procedures were guided by international good practice examples, including: (1) transparent, fair, and meritbased competition for resources, (2) resource allocation based on independent review of proposals by scientific peers of international standing, (3) concentration of resources for the most qualified researchers, and (4) autonomy over the use of resources by principal investigators. Upon review of preliminary proposals, a short list was selected, with those candidates invited to submit more detailed proposals for selection of projects for awards. Organizations preparing proposals were invited to participate in the Better Research Program, 3 Uganda Millennium Science Initiative
which provided technical assistance to grant recipients, who were not expected to be experienced in the process of preparing competitive grant proposals. Table 1: Components of the MSI program in Uganda, US$33.35 million (2007 13) Project component 1. MSI Funding Facility 2. Outreach, institutional strengthening, M&E, and policy studies Source: World Bank 2006 Activities Window A funds research groups led by senior researchers or emerging investigators to conduct relevant, high-quality scientific and technological research closely connected to graduate training. Window B funds the creation of undergraduate programs in basic science and engineering at licensed public and private institutions and/or the rehabilitation and upgrading of existing degree programs. Window C supports private sector cooperation, including: (a) Grants for Technology Platforms through which firms and researchers define collaborative agendas for solving problems of direct interest to industry, and then pursue solutions collaboratively; and (b) formal firm-based internships for students in science, engineering, and business. Outreach program 5.8 Restructuring and strengthening of the country s S&T institutions Supporting the monitoring and evaluation of both the project s progress toward its development objective and overall progress in the S&T sector, including through the sponsoring of policy studies. Percentage of total budget The second component of the program focused on: (1) outreach activities to raise awareness of the importance of science and to increase the interest of students on science and engineering careers, (2) restructuring and strengthening of the country s institutions to support innovation, in particular the UNCST and the Uganda Industrial Research Institute (UIRI), and (3) inculcating stronger monitoring and evaluation practices in the S&T system. The outreach program included a program of school visits by top scientists and researchers to provide more positive and accurate information on science to students, a National Science Week program to focus attention in classrooms, the media, and civil society on the importance of S&T to national development, and a public information campaign. 22.3 29.1 5.5 34.6 2.7 4 Uganda Millennium Science Initiative
The program design was based on the belief that a focused investment in research excellence awarded through competition and closely linked to training is the best means of providing a stimulus for quality, relevance, and human capital development in science and technology. This belief was grounded in the World Bank s experience operating similar programs in other middleincome countries like Chile, Mexico, and Venezuela. In the case of Uganda, given its lower level of development, it was also envisioned that a greater part of the investment should be dedicated to creating new undergraduate programs and that substantial efforts would be needed to strengthen the country s institutions and the general perceptions of innovation in society. The program design recognized that in a country like Uganda, financing mechanisms must be combined with institutional reform and social marketing activities that overcome institutional weaknesses and low awareness of what science and technology accomplish. Given the country s context, it was felt that few firms or researchers are sufficiently advanced to benefit from basic R&D, but could benefit much more from improved technology awareness, selection, and upgrading. Implementation The UNCST was responsible for implementing the MSI program, launching the calls for proposals and making decisions with respect to the grant proposals. First, it drafted the call for proposals for each access window. Second, it reviewed and ranked the proposals and created a shortlist of finalists in each category. The selection process adhered to a competitive, meritbased, transparent model based on anonymous peer reviews. The selection committee comprised internationally recognized scientists, half of whom were Ugandans. Three rounds of calls for proposals were issued (in 2007, 2008, and 2009) and a total of 39 projects were selected for funding among 437 proposals received (Table 2). Table 2: Number of proposals received (R), shortlisted (S), and funded (F) in the three call for proposals of the MSI Funding Facility Window A. R&D projects connected to graduate training B. Creation/upgrading of undergraduate programs in basic science and engineering 2007 2008 2009 R S F R S F R S F 105 20 7 77 20 8 58 22 8 58 10 4 48 9 3 38 10 3 C. University-industry cooperation 22 10 1 21 21 4 11 11 1 Total 184 40 12 146 50 15 107 43 12 Source: World Bank 2012. Only six projects were funded under Window C university-industry collaboration through technology platforms and internship programs reflecting the insufficient quality of the proposals submitted and a low interest among firms in proceeding with the projects after being shortlisted in that group. A Better Research Program was set up to provide assistance for 5 Uganda Millennium Science Initiative
grant proposal preparation to all applicants. Shortlisted candidates were provided additional support by expert consultants hired by UNCST to complete their full proposals prior to final selection. Under this program, more than 500 scientists were trained in grant writing skills. Procurement under the project was decentralized, where feasible, to the institutions of principal investigators who won grants. UNCST hired a procurement consultant to assist with setting up procurement planning and processes, including financing specialized scientific equipment and supplies that could be required by grantees. There were some delays in procurement, leading to an extension in the closing date of the project. The outreach program was administered by the UNCST with the participation of partner institutions and stakeholders from the S&T community. It included the School Visits Program, National Science Weeks, and the public information campaign. The MSI s School Visits Program included visits to more than 60 public and private secondary schools by across the country, in both urban and rural areas, involving over 20,000 students, parents, and teachers. The National Science Week initiative was organized annually, with increased scope and depth each year; it included conferences, best paper awards, science contests, science clubs, and exhibitions. The sixth National Science Week was held in September 2012. The project was due to end in December 2011 but the closing date was extended until June 2013 to allow for completion of project activities. Evaluators suggested that the government lacked interest in continuing the MSI program, although this remains to be seen (Dickson 2011; Nordling 2012). However, the original intent of the program was to accommodate the long-term aim to transition from an external financing to 100 percent national funding. The assessment was that it is important to continue supporting research and training activities, building on the institutions and capabilities that have been developed so far. Results Overall, the MSI program increased the number and quality of scientists produced by Uganda s universities and research centers, as well as the country s scientific and technological productivity. The program s funded projects provided training to more than 3,660 scientists and engineers and around 100 masters and PhD students. Although not high by international standards, these figures are high for a country like Uganda, given the low scale of its science and technology system, as noted earlier. New and strategic undergraduate courses were created as a result of the MSI program, for example in bio-systems engineering and textile technology. In just a few years the research projects funded under the program achieved progress in priority areas for Uganda like malaria vaccines, banana-processing, fisheries, agro-biotechnology, climate change, and innovations in science and medical teaching. Some results with commercial potential were achieved, such as better livestock feeds and new sorghum and banana varieties. The MSI program also contributed to improving the working conditions and experimental facilities for students and teaching staff. 6 Uganda Millennium Science Initiative
By establishing a competitive and transparent funding mechanism for research grants and training programs, the program also created the institutional foundations for continued development of the national innovation system. Through its managing role of the MSI Funding Facility, the UNCST developed the capabilities to efficiently manage competitive R&D grants. Because of the MSI program, the Uganda Industrial Research Institute (UIRI), the government agency responsible for implementing strategies and measures aimed at transforming industry in Uganda, has placed a higher emphasis on technology development and diffusion. According to Nordling (2012), the MSI program enabled UIRI to increase its staff from 40 to 200 and financed the purchase of advanced equipment. Investments under the MSI resulted in the creation by UIRI of new departments and research labs focused on the needs of industry, including the mechanical engineering department, a new industry resource center, a new technology development center, vaccine plant, microbiology lab, and chemistry labs, and a business development center providing incubation services and support to more than 30 startups. In 2012, a Word Bank evaluation of the MSI Program stressed that UIRI had used its MSI investments effectively and was able to expand its services by attracting additional money and resources (World Bank 2012). From the beginning, the program emphasized the establishment of comprehensive monitoring and evaluation mechanisms for measuring progress toward the program s development objectives (World Bank 2006). Performance indicators were organized around a specified set of five project development objective indicators and three indicators of intermediate results. Wherever possible, progress in these indicators was measured against a baseline period immediately prior to the program s implementation, and objectives where set for the end of the program. The project s intermediate evaluations (World Bank 2011; 2012; 2013) showed progress toward those objectives, although the full measurement of results is still under way. It is still early to assess the program s contribution to its ultimate objective of enhancing science and technologyled economic growth. Sustainable efforts in science and technology over the next 10 years would be needed for a country like Uganda to reach the critical mass of technological capabilities that would yield more visible outcomes. Project development objective indicators 1. Doubled the size/number and productivity of researchers and research groups The number of active researchers more than doubled from 261 in 2007 to 720 in 2011, while the end target was to reach 522 by June 30, 2013. The number of publications shows a significant increase, and 35 percent of researchers have been published in international peer-reviewed journals. 2. Enrollment of science, technology, and engineering undergraduates and postgraduates increased by 50 percent. 7 Uganda Millennium Science Initiative
The objective was not fully accomplished, but overall enrolments in STE programs in 2012 had increased substantially compared to the 2007 baseline: the number of PhD students increased from 24 to 31, the number of master students increased from 245 to 504 and the number of Bachelor students increased from 3241 to 5,533. There were 31 PhD students and 57 MSc students being trained by the funded projects. 3. Firms active in technology development/evaluation employ more S&T talent and enhance technology use. The percentage of total employees in firms active in technology development/evaluation that are graduates in science, technology, and engineering (diploma or degree) increased from less than 5 percent in 2007 to 35 percent in 2012, while the end target was 25 percent. This information was gathered from a survey of a sample of 300 firms. Provisional data also indicated an increase in the numbers of firms employing interns and conducting research and product innovations during the review period. 4. Client survey shows that UNCST and UIRI provide effective services. The target by end of program was to reach a rise in client satisfaction of at least 5 percent per year. Intermediate survey results indicate that knowledge about and client satisfaction with UNCST s and UIRI's services has been considerably enhanced. With more than 500 policy makers, academics, and researchers surveyed, satisfaction with response to stakeholder needs increased from 36 percent in 2007 to 78 percent in 2009 for UNCST. The sharp decline observed in 2011 compared to 2009 was assumed to be due to UNCST s decreased visibility because it was no longer issuing calls for research grants. The results of the detailed service quality indicators for UIRI did increase. 5. Increase in positive impressions of careers in science and technology and more Ugandan students plan careers in S&T fields. One of the MSI s objectives was to increase the number of students planning careers in science by at least 3 percent per year. Surveys are in progress to assess progress towards this objective. However, measures of progress by this indicator cannot be attributed to the MSI program because the program was adjusted to focus on improving teacher competencies in conducting science experiments on a fairly small scale (involving 70 teachers from 30 secondary schools around the country). Intermediate results indicators 1. MSI Funding Facility established, grantees selected through transparent, merited based competition. The Technical Committee was successfully established and the first call for proposals was issued during year one of implementation. Three rounds of research grants have been awarded, rather than the two initially planned under the project. Outcomes are positive, with the exception 8 Uganda Millennium Science Initiative
of the MSI sponsored internships under Window C, which partly reflects the lack of interest and capabilities among firms. 2. Research teams funded by the program are staffed, equipped, and operational; undergraduate programs have been admitting students. Assessment of research progress by independent visiting teams from the World Bank reveals research and training goals on track in 80 percent of cases. Postgraduate thesis topics of the PhD students funded by the project had already been identified. 3. Research results leading to planned publications, undergraduate students enrolled in tertiary education, and postgraduate students enrolled. Indicators of publications, patent applications, postgraduate theses in draft and submitted, capacity of new program enrollment, among others, are still to be developed. An early indicator is that the percentage of researchers publishing in international peer-reviewed journals has increased substantially (from 2 percent in 2007 to 35 percent in 2012), although a deeper analysis is needed. Lessons learned The MSI program demonstrates that it is possible to administer a merit-based, peer-reviewed, competitive grant system of research funding programs in low-income countries like Uganda. Such a system aims to provide more efficient allocation of limited public resources for innovation and to increase scientific productivity. It also demonstrates that in low income countries, where researchers have little experience in applying for grants, the application process needs to be accompanied by outreach measures and support services to researchers along the life cycle of the grant, from proposal preparation, to procurement and implementation. The program also demonstrates that R&D financing schemes in developing countries need to be accompanied by substantial efforts to reform and strengthen local institutions responsible for the design and implementation of innovation policies. Programs to enhance science and technology in developing countries need to combine competitive R&D funding with investments to increase scientific and engineering skills through education and training. Indeed, education, R&D, and technology diffusion are closely intertwined activities. In addition to expanding the capacity of training institutions to accommodate greater numbers of science and engineering students, curricula should reflect industry needs in order to contribute to productivity growth. It is also important that R&D agendas are set in closer collaboration with the private sector. However, promoting university-industry collaboration is a very challenging endeavor in low-income countries, as demonstrated by the relatively poor performance of Window C of the Uganda MSI program (technology platforms and internships). This case study also illustrates the challenges of evaluating and measuring the returns of public investments in science, technology, and innovation. The big challenge is the necessity of developing a critical mass of scientific and technological capabilities and investments before 9 Uganda Millennium Science Initiative
countries are capable of generating substantial scientific outputs and yielding economic returns. This reflects the long-term nature of the returns from innovation, the cumulative nature of knowledge, and the increasing returns to scale of investments in innovation. The question then is how to measure the results in the earlier stages, before the threshold level is reached. The kinds of returns to be measured are more intangible than are typical outcomes being measured in developed countries, such as patents or publications. The Uganda MSI project is an interesting example of how to incorporate intermediate outcomes related to human capital development and institutional change in a project s monitoring and evaluation system. However, the indicators used to evaluate the program are still insufficient to establish connections with economic growth, which will only occur in the longer term after sustained investments. Acknowledgements We would like to thank Michael Crawford, Senior Education Specialist at the World Bank, and Peter Tindemans, Director at Global Knowledge Strategies & Partnerships, for their helpful comments and insights. Endnotes 1 With a per capita income of around $1,200 and a life expectancy at birth below 55 years, Uganda ranked 161 out of 186 countries in the Human Development Index 2012. 2 Source: UNESCO Institute for Statistics, last accessed May 30, 2013. References Brar, S., S. E. Farley, R. Hawkins, and C. S. Wagner. 2011. Science, Technology, and Innovation in Uganda. World Bank Study. Washington, DC: World Bank. Dickson, D. 2011. Uganda Should Rethink Its Decision on World Bank Funding. SciDev.net, Sept. 16, 2011. Nordling, L. 2012. "Africa Analysis: Uganda Must Streamline its Science. SciDev.net, Oct. 4, 2012. World Bank. 2006. Project Appraisal Document on a Proposed Credit in the Amount of SDR 20.9 Million (USD 30.0 Million Equivalent) to the Republic of Uganda for a Millennium Science Initiative Project. Report 33265-UG. Washington DC: World Bank.. 2011. Implementation Status and Results, Uganda Millennium Science Initiative. Report ISR4772. Washington DC: World Bank.. 2012. Implementation Status and Results, Uganda Millennium Science Initiative. Report ISR7178. Washington DC: World Bank. World Bank. 2013. Implementation Status and Results, Uganda Millennium Science Initiative. Report ISR9057. Washington DC: World Bank. 10 Uganda Millennium Science Initiative
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