Higher Education in Africa : Challenges for Development, Mobility and Cooperation [1 ed.] 9781443862769, 9781443816793

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Higher Education in Africa

Higher Education in Africa: Challenges for Development, Mobility and Cooperation Edited by

Anne Goujon, Max Haller and Bernadette Müller Kmet

Higher Education in Africa: Challenges for Development, Mobility and Cooperation Edited by Anne Goujon, Max Haller, Bernadette Müller Kmet This book first published 2017 Cambridge Scholars Publishing Lady Stephenson Library, Newcastle upon Tyne, NE6 2PA, UK British Library Cataloguing in Publication Data A catalogue record for this book is available from the British Library Copyright © 2017 by Anne Goujon, Max Haller, Bernadette Müller Kmet and contributors All rights for this book reserved. No part of this book may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the copyright owner. ISBN (10): 1-4438-1679-5 ISBN (13): 978-1-4438-1679-3

TABLE OF CONTENTS

Introduction .............................................................................................. viii Anne Goujon, Max Haller, Bernadette Müller Kmet Part I: Higher Education in Africa: Structural Background, Expansion and Challenges Chapter One ................................................................................................. 2 The Development of Higher Education in Africa: Regional Trends in a Global Perspective Anne Goujon and Jakob Eder Chapter Two .............................................................................................. 24 Higher Education and Academic Research in Africa: The SocialStructural, Cultural and Institutional Context Max Haller Chapter Three ............................................................................................ 63 The African Union Higher Education Harmonization Strategy and Context from the Bologna Process Emnet Tadesse Woldegiorgis Part II: Societal Functions and Management of Higher Education and Academic Research Chapter Four .............................................................................................. 82 Private and Public Universities in Kenya and Tanzania: Missions and Visions Bernadette Müller Kmet Chapter Five ............................................................................................ 107 Employability Skills Indicators as Perceived by Employers in the Free State Province of South Africa Petronella Jonck and Reneé Minnaar

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Table of Contents

Chapter Six .............................................................................................. 128 Managing Academic Research for Policy Impact in Ghana: The Missing Ingredient George K. T. Oduro and Georgina Y. Oduro Chapter Seven.......................................................................................... 145 The Challenges of Higher Education Finance in Ethiopia: The Case of Cost-Sharing Emnet Tadesse Woldegiorgis Part III: Mobility of Graduates within and out of Africa: Gains and Losses Chapter Eight ........................................................................................... 166 Coming Full Circle? The Return Migration and Job Hunting Experiences of Ghanaian and Cameroonian Graduates from German Universities Julia Boger Chapter Nine............................................................................................ 188 Where Have All the Researchers Gone? Understanding the Role of Mobility in Academic Careers in Mozambique Måns Fellesson and Paula Mählck Chapter Ten ............................................................................................. 213 The Current and Prospective Brain Drain in Mozambique Inês Macamo Raimundo Part IV: North-South and South-South Cooperation Chapter Eleven ........................................................................................ 236 Promoting Peace and Stability through Exported Postgraduate Education in Ethiopia Paula-Louise Macphee and Ann Fitz-Gerald Chapter Twelve ....................................................................................... 257 Action Learning in a Real-World Setting in Uganda: Empowering Students to Explore their Future Roles as Responsible Actors for Sustainable Development Lorenz Probst, Verena Pflug, Christiane Brandenburg, Thomas Guggenberger, Axel Mentler and Maria Wurzinger

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Chapter Thirteen ...................................................................................... 279 Inter-African Cross-Cultural Dialogue: Accounts of South-South Dialogue between the American University in Cairo (AUC) and African Universities Mohamed I. Fahmy Menza and Ahmad A. ElZorkani Chapter Fourteen ..................................................................................... 302 Negotiating Forms of Capital in the Social Field of International Doctoral Research Training between Europe and Africa Christine Scherer Contributors ............................................................................................. 335

INTRODUCTION1

The relevance of higher education and scientific research for economic, social and political development is beyond doubt. Without them, the industrial and political revolutions of the 18th and 19th centuries would not have happened. But also the impressive catch-up of the state-socialist countries in eastern Europe and of Japan in the 20th century, or the recent spectacular economic growth in many south-east Asian countries, were based on a massive upgrading of the educational level of their populations, including a strong expansion of the tertiary sector. Africa, and in particularly sub-Saharan Africa, is still lagging behind all other major world regions both in terms of general and higher education. While in most other countries and macro-regions of the global South, about onethird of the working-age population have attained some upper secondary and post-secondary education, this proportion is only between one-sixth and one-fourth in Sub-Saharan Africa; it is comparably high only in northern Africa and the Republic of South Africa and its small neighboring countries. The debate about investing in higher education in sub-Saharan African countries was controversial for some time. Most researchers and international donors argued for a sequential development of schooling, prioritizing the lower levels (primary followed by secondary education) at the earlier stage of development—where a large number of African countries are—before moving on to higher education at the late stage of development as exemplified by the success stories of countries in eastern Asia (World Bank 2003; Psacharopoulos 1994, 2004; Petrakis and Stamatakis 2002). On the other hand, cross-country comparisons revealed that the presence of the right mix of skilled resources corresponding to the 1

The editors would like to thank the following institutions and persons: The Vienna Institute of Demography (Austrian Academy of Sciences), the International Institute for Applied Systems Analysis and the University of Graz for providing extra-funding and in-kind contributions that allowed us to complete this work; Lisa Janisch for organizing efficiently language editing; Daisy Brickhill, Kathryn Platzer, Werner Richter, and Matthew Cantele for language editing; and Edith Lanser for helping with formatting in the last stage of the book production. Thanks to all. All remaining errors are ours.

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need of the labor market and the economy largely explains the advancement of economic development in many settings (World Bank 2008, Un 2012). Furthermore, some researchers, while not contesting the need to invest in basic education, contended that higher education needs to be promoted as well even if it does not address large segments of the population. For instance, Bloom, Canning and Chan (2006) point out that the development of higher education could push forward change and innovation, just as much as capacity building in many of the poverty-stricken countries. It is especially key to promote faster technological catchup, in particular if many of those students in higher education graduate in science and technology—to supply the scientists, engineers and technicians that are necessary for the knowledge economy. Also, higher education provides the opportunity to acquire competences that are crucial to increase private, but also social and economic returns such as adaptability, team work, communication skills and the motivation for continuous learning. While both enrollment in higher education and the share of the productive labor force with tertiary education are still very low in most sub-Saharan African countries, some gain can be observed and is projected to continue as a result of increases in demand and increases in the school-age population. Sub-Saharan Africa’s population will most likely reach one billion in 2017 (United Nations 2015), accounting for 13 per cent of the world population. Its population is the youngest of all world regions, with 43 per cent of the population under the age of 15, 54 per cent under 20 and 63 per cent under 24. The share of the population in the age of attending higher education—set at 18–23 years—includes 11.5 per cent of the population in 2015 and will remain constant until 2035, which means, at the rapid population growth rates in this sub-region, that this population will increase by 50 per cent from its 2015 level (110 million) until 2035 (183 million), and will have doubled by 2050 (235 million). Rapid population growth, together with the rising demand for higher education largely explains why the number of universities and colleges has been increasing very fast in sub-Saharan Africa. In 2009, a World Bank report estimated that between 1990 and 2007, the number of public universities had almost doubled (from 100 to 200) while the number of private institutions was increased twenty-fold from 24 to 468. In 2016, the ranking web of universities counts 862 universities in sub-Saharan Africa, with more than half of them being located in just four countries: Nigeria

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Introduction

(223), South Africa (124), Kenya (67) and Tanzania (51).2 Brought in relation to the population in the countries, we find that 8 is the median number of universities per 1000 population aged 18-23 in sub-Saharan Africa. Some countries have a higher number of post-secondary institutions, such as Somalia, Ghana, South Africa, and Botswana. This growth shows the vividness of the tertiary sector (comprising university and non-university institutions). However, such an explosion does not go without problems which are mainly related to the quality of the education provided in those institutions. While challenges are found both at the level of public and private institutions, the lack of appropriate regulatory bodies makes it harder to control the quality of teaching in the private sector, i.e. whether all education providers meet national and international standards —this is particularly true for higher education institutions in Francophone Africa (Saint, Lao and Materu 2014) Notwithstanding the growth in the number of institutions, sub-Saharan Africa still has the lowest tertiary gross enrollment ratio in the world— about 9 per cent—compared for instance to 31 per cent in northern Africa or south-east Asia. Most countries actually have enrollment ratios in the tertiary sector even below that figure. This is particularly noticeable in countries such as Tanzania or Niger where enrollment ratios are below 5 per cent. South Africa, Cape Verde and Botswana are the few countries with higher enrollments in the tertiary sector, with over 20 per cent, and in Mauritius no less than 40 per cent of the relevant population are enrolled in tertiary education programs. Mauritius is in fact the showcase for how education, together with a national family planning program, can contribute to reduction in fertility allowing for an economic and development boom. This book does not pretend to be exhaustive and to cover all issues related to higher education in sub-Saharan Africa3 but tries to go beyond the issues that are normally tackled by academic work on higher education in sub-Saharan Africa, taking the look of practitioners at some issues that might be less known. The general demographic and statistical picture is laid out in Part I where the chapter by Anne Goujon & Jakob Eder presents the figures regarding the evolution of population shares with different levels of educational attainment, showing the small niche occupied by higher education in most African countries in comparison 2

Those are estimates based largely on the 2016 ranking web of universities. http://www.webometrics.info/en [21/04/2016] and searches in Wikipedia for those countries where no universities were found in the former source, i.e. Chad, Eritrea, Guinea-Bissau, Congo, Reunion and São Tomé. 3 For those interested into a comprehensive analysis, we would recommend to read for instance the work of Teferra and Alpbach (2003).

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with other world sub-regions, particularly among the working-age population. The authors also show that there are marked differences between countries, genders and sub-regions in sub-Saharan Africa; the profiles of countries regarding higher education are widely diverging. This is an indication that education follows a diffusion process where imbalances increase at first within regions to converge again later, when a certain level has been reached. Max Haller first outlines the development of higher education in Africa and then looks through a sociological lens at four specific structural and institutional challenges that African higher education and academic research are faced with. They include the function of higher education in the reproduction of social inequality, the linguistic diversity of sub-Saharan Africa, the dominance of European languages in the higher education system and the potential conflict between western and African values of education. He highlights the necessary improvements in the quality of education but also in the involvement of the north, and particularly of Europe in the development of higher education in Africa. Europe and sub-Saharan Africa are actually at the center of the third and last chapter in this section by Emnet Tadesse Woldegiorgis. He thoroughly studies two processes of regional cooperation: the Bologna process within the European Union and the African Union Higher Education Harmonization strategy. While the cooperation framework of the former is clearly been used as model for developing the latter, the articles clearly point out that the African context should be taken into consideration. Part II of the book reports on diverse experience in higher education in several countries of the continent—Kenya, Tanzania, South Africa, Ghana and Ethiopia—and highlights the main challenges for the successful reform and expansion of higher education. In her chapter, Bernadette Müller Kmet looks at the differences between public and private universities in Kenya and Tanzania. She shows that private universities have been mushrooming in both countries and argues that a simplifying confrontation between public and private universities in terms of funding sources, governance, regulations, quality, and outcomes is insufficient. As a first step toward a better understanding she carries out a detailed analysis of mission statements adopted by public and private universities in Kenya and Tanzania. She finds that significant differences exist in this regard both between the countries and between universities. Petronella Jonck and Reneé Minaar take the perspective of the employers who want to recruit recent graduates from higher education in South Africa. This point of view is interesting and actually gets more and more attention by economists and education specialists as a way to evaluate the quality and

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Introduction

the adequacy of education in a country with regard to the needs of the labor market. The South African context has also witnessed the burgeoning of private institutions of higher education in response to the pressure from a fast-evolving labor market. The authors conclude that the key competences in the eyes of employers were interpersonal skills, personal and career management and lastly academic skills. Not all of these skills might always be taught sufficiently in institutions of higher education. George K.T. Oduro and Georgina Y. Oduro in their paper study the research activities at university level in Ghana. They examine the missing gaps that are relevant for explaining differences in academic staff involvement in research activities and the challenges associated with supporting research and managing research facilities in Ghanaian universities. They show that the academic research conducted at universities should be made more visible to the public and to the various stakeholders, particularly policy makers. The conclusion from this chapter would possibly be relevant for other countries. Another overarching topic is that of higher education financing, tackled in the chapter by Emnet Tadesse Woldegiorgis. He is studying the case of Ethiopia, where—like in many other eastern African countries, such as Kenya, Uganda, Tanzania or Rwanda—the government resorted to cost-sharing programs to finance higher education. The student loans accompanying these cost-sharing programs face a big challenge at the time of cost recovery as the tracking systems through employment or bank records are rarely accurate. Part III tackles the issue of mobility in and out of Africa that was already touched upon in Part I, in the chapter on the harmonization of higher education systems in Africa. As noted also in Chapter 2 by Max Haller, the brain drain is nowadays mostly considered to be a temporary issue and the remittances coming out of migration tend to greatly contribute to the development of education and in fact to the general development of the country in question. However, the macro level hides many individual experiences. It is the merit of the chapter by Julia Boger to show that the outcomes of job-hunting in one’s home country after graduating from a study program in Germany can differ greatly, as in the different nationality contexts considered here, such as that of Ghanaians and Cameroonians. Måns Fellesson and Paula Mählck report about the mobility and career development among PhD graduates at Eduardo Mondlane University in Mozambique which has received support from the Swedish development agencies ever since 1990. He finds actually low mobility levels among PhD graduates, implying a reduced brain drain for the country, but also less exposure of graduates to wider research networks. The last chapter in Part III also relates to Mozambique; here,

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Inês Macamo Raimundo looks at the issue of students leaving Mozambique and tries to quantify the phenomenon with a prospective view. The fourth and last part of the book looks at cooperation programs that have been in place between the North and South, but also between the South and the South. While the programs presented in Part IV cannot be generalized for the whole continent, they provide a window on the wealth of collaborative experiences that have been going on. Paula-Louise Macphee and Ann Fitz-Gerald discuss the experience of an MSc program in Security Sector Management, developed at Cranfield University in the United Kingdom, which was “exported” to Ethiopia. On the whole the export was successful though it had to face some obvious challenges in terms of compatibility with realities on the ground. The authors note that to be more widely useful, such a program requires intense monitoring and post-evaluation. Not so different is the experience exposed in the chapter by Lorenz Probst et al. about a three-week interdisciplinary course on organic agriculture organized jointly by four universities in Uganda, Tanzania, Kenya, Ethiopia and Vienna. The main idea of the course was to promote societal change by training the future actors of sustainable development. The authors actually show that interdisciplinary research is difficult to implement in the rather compartmentalized sectors of higher education in Africa. Another example of a South-South—or Global South—collaboration is the one reported by Mohamed I. Fahmy Menza and Ahmad A. ElZorkani which takes the form of a dialogue between students and teachers at the American University in Cairo and students and teachers from several other universities in Africa. This initiative clearly has an educational component in trying to foster dialogue and teaching the existence of different opinions and the tolerance that should be developed toward other opinions even when influenced by different political, cultural or religious settings. Christina Scherer’s chapter deals with collaboration and partnership in higher education between Europe and Africa in the framework of the Bayreuth International Graduate School of African Studies, a doctoral program aimed at students from Africa. Beyond the challenges, the author concludes positively that “European higher education collaboration with Africa is by no means a new field for old paths of development aid but a balanced collaborative endeavor.” As already mentioned, this book does not pretend to be exhaustive in its presentation of the field of higher education in sub-Saharan Africa. Its focus is rather on some general trends, on selected topics and several revealing cases. The contributions all emerged from a workshop that was

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organized by the Editors of this volume in collaboration with the administrative staff of the Vienna Institute of Demography, where the meeting took place on June 19–21, 20144. The workshop was not only interesting for the wealth of experience that was presented5—not every contribution resulted in a paper in this book—but also for the dialogue that followed the presentations when researchers or practitioners from the North and the South were able to compare their experiences, hence enacting a global dialogue. Indeed, global comparative research, collaboration and dialogue in the field of higher education appear to be important and promising avenues not only to enhance the development of higher education in sub-Saharan Africa but also to widen and enrich academic teaching and social scientific research in Europe.

References Bloom, David, David Canning, and Kevin Chan. 2006. Higher Education and Economic Development in Africa. Washington, DC: The World Bank. Petrakis, Panagiotis E., and Dimitrios Stamatakis. 2002. “Growth and educational levels: a comparative analysis.” Economics of Education Review 21:513–521. Psacharopoulos, George. 1994. “Return to education: A global update.” World Development 22:1325–1343. —. 2004. “Return to education: A further update.” Education Economics 12:111–134. Saint, William, Christine Lao, and Peter Materu. 2014. “Legal Frameworks for Tertiary Education in Sub-Saharan Africa: The Quest for Institutional Responsiveness.” World Bank Working Paper No. 175. Washington DC: The World Bank. Teferra, Damtew, and Philip G. Altbach, eds. 2003. African Higher Education: An International Reference Handbook. Bloomington: Indiana University Press. Un, Leang. 2012. “A comparative study of education and development in Cambodia and Uganda from their civil wars to the present.” PhD Thesis, Amsterdam Institute for Social Science Research (AISSR). United Nations. 2015. World Population Prospects: The 2015 Revision. 4

Note that most data presented in the chapters correspond to the time of writing in 2014. 5 The programme is available online: www.oeaw.ac.at/vid/events/event-details /article/higher-education-mobility-and-migration-in-and-out-of-africa/ [accessed on 30/06/2016].

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New York, NY: United Nations, Department of Economic and Social Affairs, Population Division. World Bank. 1993. The East Asian Miracle: Economic Growth and Public Policy. New York: Oxford University Press. —. 2003. World Development Report 2004: Making Services Work for Poor People. Washington, DC: World Bank. —. 2008. The Road Not to Travel: Education Reform in the Middle East and North Africa. Washington D.C.: World Bank. —. 2009. Accelerating Catch-up: Tertiary Education for Growth in SubSaharan Africa. Washington, D.C.: The World Bank.

PART I: HIGHER EDUCATION IN AFRICA: STRUCTURAL BACKGROUND, EXPANSION AND CHALLENGES

CHAPTER ONE THE DEVELOPMENT OF HIGHER EDUCATION IN AFRICA: REGIONAL TRENDS IN A GLOBAL PERSPECTIVE ANNE GOUJON1 AND JAKOB EDER2

Abstract Based on global harmonized data on educational attainment by age and sex estimated for the year 2010, the Wittgenstein Centre for Demography and Global Human Capital (IIASA, VID/ÖAW, WU) has reconstructed past levels of education back to 1970 and projected those levels until 2100 according to several scenarios (Lutz, Butz, and K.C. 2014). This chapter will present a quantitative analysis of several indicators to show the overall development of education in Africa, and that of higher education in particular. This is achieved by analyzing several indicators related to population shares by levels of education, mean years of schooling, the gender gap and the change across cohorts in the recent past. We will look at potential future changes and the linkages between population and development in higher education. Overall, and not surprisingly, Africa is very heterogeneous and the share of the working-age population with higher education is low. However, there has been an increase among younger cohorts and the gap between men and women has been closing in 1

Wittgenstein Centre for Demography and Global Human Capital (IIASA, VID/OEAW, WU), Vienna Institute of Demography/Austrian Academy of Sciences, Vienna, Austria and World Population Program/International Institute for Applied Systems Analysis, Laxenburg, Austria. 2 Wittgenstein Centre for Demography and Global Human Capital (IIASA, VID/OEAW, WU), Vienna Institute of Demography/Austrian Academy of Sciences, Vienna, Austria and Institute for Urban and Regional Research/Austrian Academy of Sciences, Vienna, Austria.

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recent years. The projections show that fast population growth in many countries of the continent might bring about large increases in the size of the cohorts to be enrolled in post-secondary education in the future, implying substantial investments in the higher education sector.

Introduction The development of higher education in Sub-Saharan Africa has been and is still suffering from two interlinked handicaps. In a nutshell, the situation of the higher education sector on the one hand mirrors that of other education sectors where large segments of the population in working ages still have no or low levels of education. On the other hand, because most African societies are not yet knowledge economies, but rather largely focused on the agricultural and industrial sectors, it is difficult for graduates to find employment. This is the case principally for those trained in the humanities, because the public service and the governmental sector are unable to absorb all graduates. These phenomena reinforce each other in a vicious cycle that education and other enabling factors could turn into a virtuous cycle in the future. At the same time, African countries have long since entered an education transition and “much of Africa is at the early stage of “massification” of higher education” (Teferra 2013, xv) which is caused partly by a compelling social pressure to increase enrollment in higher education, but also population growth. The purpose of this chapter is to quantitatively frame the development of the education sector in Africa during the last fifty years in comparison to other world regions. It also looks at differences between countries and concretely addresses the issues of population growth and development of higher education, as well as the influence of higher education on population growth. This chapter focuses on human capital, defined as the stock of the adult population at different levels of education; it is the translation of schooling enrollment and completion statistics with a time lag. Since the 1950s, educational attainment in most countries has been measured using censuses at regular intervals—usually every 10 years. However, this has not always been the case, particularly in Sub-Saharan Africa. In the last 30 years, only 33 out of the 50 countries have conducted three censuses which would be considered standard—in the 1980s (in the 1985–1994 period), in the 1990s (in the 1995–2004 period) and in the 2000s (in the

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2005–2014 period).3 Even when census data were collected, that did not mean they were accessible. For instance, IPUMS,4 a project located at the University of Minnesota dedicated to collecting and distributing census data from around the world could only collect data from five out of the 33 series of three censuses mentioned above (Burkina Faso, Kenya, Malawi, Mali, Zambia).5 IPUMS has managed partial coverage (of one or two censuses) in a few more countries, as well as a few older African censuses of the 1970s. Furthermore, levels of educational attainment are not always available, or if they are, they may not be in sufficient detail to allow for coherent categorization according to the International Standard Classification of Education (ISCED). The lack of data not only affects information on levels of education, and as registration systems (for births and deaths, among other things) do not properly function in many countries, some data have been collected outside of the realm of censuses through several household surveys: primarily Demographic and Health Surveys (DHS), and additionally Multiple Indicator Cluster Survey (MICS), Living Standards Measurement Study (LSMS) and Health and Demographic Surveillance System (HDSS). These surveys are extremely useful for supplementing the deficient population data collection system. They also often include data on the highest level of education and the grades completed by all members of households. However, there are two main deficiencies: the first one is inherent to the type of data collection, as surveys try to be being representative without always succeeding. This is particularly true in Sub-Saharan Africa where the more remote places, ethnic/religious minorities, or poverty-stricken households living in slums are not always covered (Falkingham and Namazie 2002). These areas are, generally speaking, populated by less educated groups and hence the surveys often tend to overestimate levels of educational attainment. The same is true for the elderly population above the age of 50. Even more pertinent to this chapter, post-secondary education in DHS is aggregated into one level with no possibility of distinguishing between the different levels of educational attainment at post-secondary level: for instance, vocational education, undergraduate or graduate studies (Bauer et al. 2012). Most of the data used in this chapter originate from back and forward projections carried out at the Wittgenstein Centre for Demography and 3

The data on all censuses carried out in the world are available from the United Nations Statistics Division: http://unstats.un.org/unsd/demographic/sources/ census/censusdates.htm [14/01/2016]. 4 Integrated Public Use Microdata Series. 5 https://international.ipums.org/international-action/samples [14/01/2016].

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Global Human Capital (WIC 2015). The back projections reconstruct the shares of the population by educational attainment from 2010 back to 1970, taking into account the hierarchical nature of education and that it is mostly acquired at young ages. Hence by knowing the structure at one point in time, one can basically reconstruct the past taking into consideration three parameters that influence the estimation: education transition at schooling ages (up to the age 34),6 mortality differentials—as education is a strong factor of heterogeneity in mortality (Huisman et al. 2005; Hummer and Lariscy 2011)—and education differentials in the population of immigrants. The methodology for the reconstruction is available from Lutz et al. (2007) and Speringer et al. (2015) and the one for the projection, centered on expert-based modeling, from Lutz, Butz, and K.C. (2014) and K.C. et al. (2013). The end product which we will be using throughout the chapter is the age, sex and education structure (according to six education categories: no education, incomplete primary, primary completed, completed lower secondary, completed upper secondary and completed post-secondary education) for the population of 171 countries—including most countries in Africa7—from 1970 to 2100 (projections according to a set of seven scenarios) in 5-year steps.8

Mean Years of Schooling (MYS) in Africa Overall, the population in Africa has low levels of education. The indicator of MYS9 is biased as it encompasses both sexes, and all age groups—from young people who recently exited the school system to the elderly who left school a long time ago—in one indicator. Hence, the overall MYS shown in Figure 1.1 is quite low, below 6 years in all of Africa, which corresponds more or less to the average duration of primary education (4 to 6 years in most education systems). The indicator reveals also that the regions are quite homogeneous, with most regions being within ±1 of this average. These regions include eastern, western, middle, and northern Africa, while the outlier is the southern African region where 6

Detailed data have shown that in developing countries school transitions, particularly those to higher levels of education, can occur until late ages but overwhelmingly do so before age 35. 7 The dataset is limited to countries with more than 100,000 inhabitants in 2010; data on education were not available for the following African countries: Angola, Botswana, Mayotte, Eritrea, Djibouti, Libya, Mauritania and Togo. 8 Data are available from www.wittgensteincentre.org/dataexplorer [14/01/2016]. 9 Read Potanþoková (2014) for details on MYS calculation methodology and the challenges involved.

Chapter One

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the population over age 15 has on average 9 years of schooling which corresponds to the achievement of lower secondary education—often equivalent to compulsory education. The lowest MYS are found in eastern and western Africa which are part of Sahelian Africa, one of the poorest regions in the world with strong climatic variations that are, together with political instability, the greatest obstacles for food security and poverty reduction. Figure 1.1: MYS of population aged 15+ in Africa and sub-regions of Africa, 2010 10 9,0 9 8

Mean years of schooling

7 6

6,5 5,8

5,8 5,1

5,1

Eastern Africa

Western Africa

5 4 3 2 1 0 Africa

Middle Africa

Northern Africa

Southern Africa

Source: WIC (2015)

Figure 1.2 reveals that the regional data hide the diversity of settings in the regions. The MYS of the 15+ population in Nigeria (6.5 years) in western Africa is four times higher than in Niger (1.5 years). The deviation is the same in eastern Africa where the MYS in Mozambique (2.4 years) is four times lower than that in Zimbabwe (9.7 years). While the difference is smaller in the other regions, it is still considerable in northern and middle Africa. Figure 1.2 basically tells us that regional data have little meaning in this matter. Figure 1.2 (next page): MYS of population aged 15+, Africa, 2010 Source: WIC (2015)

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Nigeria Ghana Cape Verde Gambia

Western Africa

Cote d'Ivoire Sierra Leone Guinea-Bissau Benin Senegal Guinea Burkina Faso Liberia Mali

Northern Africa

Southern Africa

Niger South Africa Namibia

Swaziland Lesotho Algeria

Tunisia Egypt Morocco

Sudan Equatorial Guinea

Middle Africa

Gabon Congo DR Congo Cameroon Sao Tome & Principe Central African Rep. Chad Zimbabwe Reunion Kenya Zambia

Eastern Africa

Maurius Tanzania Uganda Malawi Comoros Rwanda Madagascar Somalia Burundi Ethiopia Mozambique Africa 0

1

2

3

4

5

6

Mean years of schooling

7

8

9

10

Chapter One

8

Figure 1.3: Standard average deviation in MYS in 2010 from regional average, in 3 clusters, population in age group 25-59

Cluster 1: MYS 2010 - below 7.7 years Standard Average deviation from regional average

3,0 2,5

Eastern Africa

2,0

Middle Africa

1,5

Northern Africa

1,0

Western Africa

0,5

Southern Asia

0,0 1970

1975

1980

1985

1990

1995

2000

2005

2010

Cluster 2: MYS 2010 - between 7.7 to 10 years Standard Average deviation from regional average

3,0

Eastern Asia 2,5

South-east Asia

2,0

Western Asia

1,5

Carribean

1,0

Central America

0,5

South America

0,0 1970

Southern Africa 1975

1980

1985

1990

1995

2000

2005

2010

Cluster 3: MYS 2010 - 10 years and above Standard Average deviation from regional average

3,0 2,5

Central Asia

2,0

Eastern Europe

1,5

Northern Europe

1,0

Southern Europe

0,5

Western Europe

0,0 1970

1975

1980

1985

1990

1995

2000

2005

Source: Authors’ calculations based on WIC (2015)

2010

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9

A different approach of looking at the same issue in a more global context is to show the patterns of regional development in terms of standard deviation of countries to the regional average for MYS in the 1970–2010 period shown in Figure 1.3. It confirms that the diffusion of education follows the same patterns as other individual characteristics such as income or health (Wils and Goujon 1998). At low levels of educational development—measured according to the criteria below 7.7 years of MYS in 2010—the standard deviation is presently increasing between countries, which is the result of different speeds of educational development towards increasing educational attainment. This cluster (1) includes all sub-regions in Africa except southern Africa, which belongs to the intermediate stage in the typology (cluster 2), with mixed patterns of deviation increasing or decreasing over the period of observation. Most Asian and Latin American sub-regions belong to this cluster (2) as well. At higher education levels— categorized as MYS above 10 years in 2010 (cluster 3)—the deviation starts declining everywhere as shown for Europe, where countries have converged towards similar levels of educational attainment and the differences between countries in the same regions are declining strongly. As mentioned already, the MYS indicator encompasses all age segments of the population. Hence, it is not very informative similarly to all averages. For this reason in the next section we will focus on levels of educational attainment of the working-age population, which represents the potential human capital.

Levels of Educational Attainment of the Working-Age Population In the following, we narrow the population down to the ages 20–64 as these individuals are potentially direct contributors to the economy. The maps in Figures 1.4a and 1.4b reveal many similarities between the MYS data and the share of the population with higher education, as countries with overall low or high levels of schooling are mostly those with low or high shares with higher education. This seems logical but it does not always occur. For instance, in India in the 1970s and 1980s dual societies coexisted: one with very low and one with very high education. This also corresponds to the case of Nigeria where the share with higher education is much larger than one would assume from the MYS. In many other countries, the maps reveal the diffusion of education, with progress to higher education happening more easily when a certain general level of education has been acquired in the population. However, this is not the case for Kenya, which shows the opposite picture of a country with quite

Chapter One

10

high MYS but a low share with higher education, a similar phenomenon can be seen in Gabon, Equatorial Guinea and in most countries in southern Africa. In Africa overall, and in most regions, the large majority of the working-age population has primary education or less (Table 1.1). This share is almost 80% in eastern Africa and around 70% in middle and western Africa. In southern Africa, this less educated population makes up one-third of the working-age population and in northern Africa just over half (53%). Compared with other world regions, including Asia, Africa clearly shows a trend towards low education levels beyond primary education. Only south-central Asia (including the less educated countries such as Afghanistan and Pakistan, and some states in India) exhibits similarly low educational attainment. Figure 1.4a: MYS of the population 15+ (in years)

Mean years of schooling 2010 >9 > 7 to 9 > 5 to 7 > 3 to 5 ≤3 No data

Source: Wigenstein Centre Geometry: EUROSTAT Cartography: Jakob Eder, ÖAW/VID DataLab

Source: WIC (2015)

0

500

1.000

2.000 Kilometers

The Development of Higher Education in Africa

11

Figure 1.4b: Share of the population 20-64 with higher education

Share of persons aged 20 to 64 with higher educaon 2010 > 10.0 > 7.5 to 10.0 > 5.0 to 7.5 > 2.5 to 5.0 ≤ 2.5 No data

Source: Wigenstein Centre Geometry: EUROSTAT Cartography: Jakob Eder, ÖAW/VID DataLab

0

500

1.000

2.000 Kilometers

Source: WIC (2015)

As to post-secondary education, it is below 10% in most regions of Africa with the exception of northern Africa. At country level, less than 10% of the working-age population in 48 countries have higher education and there are only seven countries where 10% or more of the population aged group 20–64 had post-secondary education in 2010, mostly in northern Africa (Algeria, Egypt and Tunisia), Reunion (an overseas department of France), Nigeria and Swaziland. In the late 1980s, of all the states of SubSaharan Africa, Nigeria was identified by the World Bank as the country where tertiary education could best develop in a coherent and efficient way (World Bank 1988). Amaghionyeodiwe and Osinubi (2012) showed that subsequently the country’s university system did not develop as rationally as expected, with overall growth rates exceeding by far the policy guidelines set by the government, and at the expense of quality,

Chapter One

12

particularly during the military regime of the 1990s. When democracy was restored, the goals regarding higher education—to expand enrollment and improve educational quality—were constrained by the growing lack of trained lecturers and professors. Table 1.1: Population 20-64 by levels of education, sub-regions and regions, 2010 Level of educational attainment Region / Sub-region Africa

Primary No incomp education lete

Prim ary

Lower secondary

Upper secondary

Postsecondary

34%

13%

17%

13%

17%

6%

32%

21%

24%

11%

10%

3%

21%

21%

21%

22%

12%

4%

6%

13%

13%

32%

31%

5%

45%

8%

15%

9%

16%

8%

36%

7%

10%

12%

25%

11%

17%

5%

20%

26%

21%

12%

4%

0%

21%

42%

19%

13%

34%

8%

15%

12%

21%

10%

6%

11%

29%

18%

23%

13%

8%

7%

27%

13%

26%

18%

6%

13%

21%

18%

26%

15%

1%

0%

3%

6%

51%

39%

1%

1%

6%

17%

52%

23%

Oceania

2%

3%

10%

15%

40%

31%

World

15%

6%

17%

21%

26%

14%

Eastern Africa Middle Africa Southern Africa Western Africa Northern Africa Asia Eastern Asia Southcentral Asia Southeastern Asia Western Asia Latin America a Northern America Europe

a

Including the Caribbean Source: WIC (2015)

The Development of Higher Education in Africa

13

In order to disentangle the earlier and most recent changes, in the next section we will compare the share with higher education in the young and old working-age populations—dividing them arbitrarily into 20–39 and 40– 64 years old. Men and women are represented separately in Figure 1.5. Comparing the two age groups leads to surprising results. First of all, while in a large majority of African countries younger cohorts are more educated than older cohorts, this is not the case everywhere and in 16 countries, the share of the population with higher education is lower among the 20–39 than among the 40–64 year olds. Figure 1.5 reveals that this is mostly the case among men. While the younger generation of women of working age seems to be more educated than the older one with only a few exceptions,10 the opposite is true for men in a majority of countries: younger cohorts seem to have had less access to higher education than older ones.11 This worsening of conditions for men is not unique, and has been found in other settings: in OECD countries—DiPrete and Buchmann (2013) show convincingly that the reversal of the gender gap in college enrollment and university degree completion had already occurred by the 1980s in many countries. This was also the case in Latin America, however it has been much less documented for Africa. One explanation could be that, like in Europe, discouraged male students withdraw from education to enter the job market because of disillusionment regarding employment prospects and the monetary returns of higher education. As shown by Fortin et al. in the United States (2015), men tend to have career plans for occupations early on in their school life, which often do not require advanced degrees. Moreover, several reports show that in Africa, the young who do have some education are more likely to be unemployed. In Africa, unemployment rates tend to be higher among university graduates than the uneducated or less educated, and in middle-income compared to low-income countries. However, unemployment rates also affect more women than men and are particularly high in northern African countries where actually the increase between the two cohorts was the strongest for men (AfDB et al. 2012). The mismatch between qualification and employment opportunities is therefore part of the explanation but not the only reason. 10

In Namibia, South Africa, Gabon and Congo (sorted from high to low shares in post-secondary education for the age group 20–39), there was a higher share of women with higher education among older cohorts compared to younger ones. 11 In Mayotte, Djibouti, Eritrea, Burundi, Lesotho, Chad, Sudan, Morocco, Gambia, Egypt, Libya, Reunion, Ethiopia, Cote d’Ivoire, Tunisia, Algeria (sorted from high to low), there was a higher share of men with higher education among the younger cohorts compared to the older ones.

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14

Figure 1.5: Share of men and women with higher education, 20–39 and 40–64 age groups, 2010, all African countries 0,25

Share higher education in age group 40-64

0,2

Swaziland

Congo

Egypt

0,15

Nigeria Reunion

0,1

Egypt

Libya 0,05

Algeria Tunisia

0 0

0,05

0,1

0,15

0,2

0,25

Share higher educaon in age group 20-39

Women

Men

Trendline (Women)

Trendline (Men)

Note: Both trend lines are based on power regression models. Source: WIC (2015)

While gender gaps in education were frequent in the past, they are now more likely to occur at the lowest levels of educational attainment, which are bottlenecks when levels of education are low. At higher education levels, the gender gaps tend to be less present. Measured by the share of the population aged 25–29 with post-secondary education, women were lagging 20 years behind men in 1990, meaning that the share of women with higher education in 1990 was equivalent to that of men in 1970

The Development of Higher Education in Africa

15

(approximately 3%). In 2010, this gap was down to 10 years, meaning that the share of women with higher education in 2010 was equivalent to that of men in 2000 (approximately 7%). At the national level, most countries experienced a reduction in the gender gap, sometimes even moving towards its inversion, as shown in the previous section. However, in a few countries the gap was actually increasing. This happened where enrollment in higher education was extremely low for both men and women, and the increase occurred first within the male population before including women. This is the case for countries such as Benin, Burkina Faso, Cameroon, the Comoros, Malawi, Niger and Zimbabwe. In some countries, like Nigeria, the increase for both sexes has been substantial, but at a faster pace for men, especially in the late 1980s.

The Future The projections by levels of education present different futures of the population of Africa. In Figure 1.6, we show the population pyramids of the African continent for 2060 according to three different scenarios of educational development (out of the seven scenarios developed): Trend, Fast Track and Constant Enrollment Rate. According to the Trend scenario, which takes into consideration the present situation and the most likely future in view of national and global trajectories, the spread of higher education in 2060 could reach 17% of the working-age population (20–64) of Africa—from 6% in 2010—with equal shares of men and women. This higher-education share will be much lower if we consider the Constant Enrollment Rate scenario, which freezes enrollment rates at the level observed in the latest year of observation (around 2010) into the future. There the share of the population with higher education would not exceed 7% in Africa by 2060, with a gap of 3 percentage points between men—8%—and women—5%. In the case of the Fast Track scenario, where the trend is accelerated, as a result of important investments in the education sector in Africa, the share of the population of Africa with higher education would increase to 51%, with perfect equality between men and women.

Figure 1.6 (next page). Age and education pyramid of the population of Africa in 2010, and in 2060 according to 3 scenarios Source: WIC (2015)

Chapter One

16

2010 (base-year)

2060 (Trend scenario)

100+ 95 to 99 90 to 94 85 to 89 80 to 84 75 to 79 70 to 74 65 to 69 60 to 64 55 to 59 50 to 54 45 to 49 40 to 44 35 to 39 30 to 34 25 to 29 20 to 24 15 to 19 10 to 14 5 to 9 0 to 4

100+ 95 to 99 90 to 94 85 to 89 80 to 84 75 to 79 70 to 74 65 to 69 60 to 64 55 to 59 50 to 54 45 to 49 40 to 44 35 to 39 30 to 34 25 to 29 20 to 24 15 to 19 10 to 14 5 to 9 0 to 4 120

80

40

0

40

80

120

120

Men [in millions] Women Total populaon: 1.022 billion

80

40

0

40

80

120

Men [in millions] Women Total populaon: 2.216 billion

2060 (Constant Enrollment Rate scenario) 100+ 95 to 99 90 to 94 85 to 89 80 to 84 75 to 79 70 to 74 65 to 69 60 to 64 55 to 59 50 to 54 45 to 49 40 to 44 35 to 39 30 to 34 25 to 29 20 to 24 15 to 19 10 to 14 5 to 9 0 to 4

2060 (Fast Track scenario) 100+ 95 to 99 90 to 94 85 to 89 80 to 84 75 to 79 70 to 74 65 to 69 60 to 64 55 to 59 50 to 54 45 to 49 40 to 44 35 to 39 30 to 34 25 to 29 20 to 24 15 to 19 10 to 14 5 to 9 0 to 4

120

80

40

0

40

80

120

120

Men [in millions] Women Total populaon: 2.396 billion

Under 15

No educaon

80

40

0

40

80

120

Men [in millions] Women Total populaon: 2.024 billion

Primary

Secondary

Post-secondary

The Development of Higher Education in Africa

17

The pyramids also differ in terms of the size of the population. Since the level of education, particularly that of women, influences the number of children born, we can see that the population of Africa varies under the three scenarios: from 2.02 billion in the Fast Track scenario to 2.4 billion in the Constant Enrollment Rate scenario. In the Trend scenario, the population would be about 2.2 billion in 2060. The large differences in the outcomes of the scenarios show highlight the strong effect educational gains might have on the population size and structure of Africa, and what would happen if there were no increase in education at all. Regardless of the scenario, the population increase is major because of population momentum, meaning the absolute size of the cohorts that are— or in the near future will be—bearing children. This is relevant for many African countries because it has implications in terms of the investments in higher education. According to the Trend scenario, the population aged 25–29 with post-secondary education would increase 5-fold during the next 50 years, meaning if this were to be achieved, critical investments in the whole education sector would be necessary. As can be seen from Figure 1.7, the increase will be tremendous for some countries such as Ethiopia (5-fold), Mali (12-fold), Mozambique (13-fold) and Nigeria (8fold).

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18

Figure 1.7: Population (in thousand) aged 25–29 with post-secondary education, four African countries, 2010–2060, Trend scenario Ethiopia

Mali 120

1.800 1.600

100 1.400 80

in thousands

in thousands

1.200

1.000 800 600

60

40

400 20 200 0 2010

2020

2030

2040

0 2010

2050

Mozambique

2020

2030

2040

2050

Nigeria

140

12.000

120

10.000

100

in thousdands

in thousands

8.000 80

60

6.000

4.000 40 2.000

20

0 2010

2020

2030

Source: WIC (2015)

2040

2050

0 2010

2020

2030

2040

2050

The Development of Higher Education in Africa

19

Conclusion and Discussion Bloom, Canning and Chan (2006) argued convincingly that increasing the tertiary-educated population in Sub-Saharan Africa would be likely to foster economic growth and facilitate technological catch-up and enhanced productivity. Therefore, development strategies should not only focus on increasing enrollment in primary and secondary education but along the whole continuum of human capital development (see also Ajakaiye and Kimenyi 2011). This chapter shows that Africa will have to overcome a number of barriers to achieve this goal. The first obstacles are at the lower education levels. If higher education in terms of population enrolled and human capital stock is still a small bubble in most African countries, the main reason is that educational attainment is low at all levels of the education ladder. Education has a strong momentum and since schooling occurs mostly at young ages, the poorly trained cohorts of the past influence the labor force education structure—and naturally that of the elderly population—for all years after they leave school. As clearly highlighted by Teal (2010, 19), “[a]s post-secondary education is only available to those with lower levels, investing in primary and secondary is a pre-condition to being able to expand education at the tertiary level.” However, the analysis reveals that the proportion of the population with higher education has been increasing quite rapidly in recent decades by years and cohorts; especially if we consider that in most African countries, the proportion of the population with post-secondary education was below 1% in the 1970s, and sometimes up to the mid-1980s (e.g. Guinea Bissau and Mali). In a majority of Sub-Saharan African countries, the most rapid increase at the level of primary and lower secondary occurred in the period 1970–2010 but a substantial number of countries managed to push forward the upper-secondary and higher education, the former noticeably more than the latter. Those countries are particularly located in southern Africa (e.g. Zambia and Zimbabwe), in western Africa, (e.g. in D.R. Congo or Equatorial Guinea), and noticeably also in Nigeria. Still, in most countries the proportion of the population with higher education is still very low and only in a few cases exceeds 10% of the working-age population (20–64 years old). This is true for most countries in northern Africa (Egypt, Algeria, Libya, Tunisia), but Nigeria and Swaziland are the only two Sub-Saharan African countries that have achieved this level, together with Reunion—an overseas department of France. We have also seen that the gender gap is closing but still exists in many countries. In others, we see the spread of a phenomenon of

20

Chapter One

disaffection for higher education among men that has also been observed in many developed countries. The next obstacle has to do with future population growth which will affect the ability of countries to absorb people in higher education. Many development experts and demographers doubt the ability of most African countries—especially those along the Sahel belt which have barely initiated their demographic transition—to seize the demographic dividend that would arise from having large segments of the population in the working-age population (e.g. Eastwood and Lipton (2012) and Guengant and May (2013)). Others are more optimistic (Bloom et al. 2007). The opening of a window of opportunity requires three important preconditions (among others) that are missing in those countries. First, rapid fertility decline, which allows for fast decline in the dependency ratios favoring productivity. Second, an educated population, whose skills will contribute to economic development. Regarding the latter, we have shown that the development of education will require substantially increased funds since the schooling-age population is bound to increase, and this applies to all levels of education. Furthermore, if higher education generates the opportunity, governments and different actors in society must be able to grasp the potential. The third prerequisite is good governance, which played an important role in the economic miracle that occurred among the so-called Asian Tigers (Mason 2001) and it is still missing in many African countries. Financing the development of higher education and developing the mechanisms that will allow the integration of the more highly educated into the labor force will be among the main challenges for African societies in the future (Teferra 2013). The data used in this chapter do not allow for two sorts of analysis which are at the heart of the development of the higher education sector. The first is quality of education. Since the statistics are based on education levels attained and years of schooling, they do not contain any information on the quality of education and we can only speculate about that as we briefly did in the case of Nigeria. This comment is also valid for the comparison across countries, where the fact that the same proportion of the population has achieved a certain level of education does not mean progress is equivalent in terms of the quality of the curriculum followed in both countries. The other caveat is, as mentioned above, the lack of information on the proportion of the group with post-secondary education which continued to graduate and postgraduate studies, the latter being the focus of this book. Therefore the data analyzed in this chapter tend to overestimate the population with completed higher education.

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References AfDB, OECD, UNDP, UNECA. 2012. African Economic Outlook 2012: Promoting Youth Employment. Paris: OECD Publishing. Ajakaiye, Olu and Mwangi S. Kimenyi. 2011. “Higher Education and Economic Development in Africa: Introduction and Overview.” Journal of African Economies 20 (3):iii3–iii13. Amaghionyeodiwe, Lloyd A. and Tokunbo S. Osinubi. 2012. “The Development Impact of Higher Education in Nigeria.” OIDA International Journal of Sustainable Development 4(9):85–120. Bauer, Ramon, Michaela Potanþoková, Anne Goujon, and Samir K.C. 2012. “Populations for 171 countries by age, sex, and level of education around 2010: Harmonized estimates of the baseline data for the Wittgenstein Centre projections.” IIASA Interim Report IR–12– 016. Laxenburg, Austria: International Institute for Applied Systems Analysis. Bloom, David E., David Canning, and Kevin Chan. 2006. Higher Education and Economic Development in Africa. Washington D.C.: The World Bank. Bloom, David E., David Canning, Jocelyn Finlay, and Gunther Fink. 2007. Realizing the Demographic Dividend: Is Africa any Different? Harvard: Program on the Global Demography of Aging, Harvard University. http://dspace.africaportal.org/jspui/bitstream/123456789/32559/1/Bloo m_Canning_et_al_Demographic_Dividend_in_Africa.pdf?1 DiPrete, Thomas A. and Claudia Buchmann. 2013. The Rise of Women: The Growing Gender Gap in Education and What it Means for American Schools. New York, NY: Russel Sage Foundation. Eastwood, Robert and Michael Lipton. 2012. “The Demographic Dividend: Retrospect and Prospect.” Economic Affairs 32(1):26–30. Falkingham, Jane and Ceema Namazie. 2002. Measuring Health and Poverty: A Review of Approaches to Identifying the Poor. London: Department for International Development. Fortin, Nicole M., Philip Oreopoulos, and Shelley Phipps. 2015. “Leaving Boys Behind: Gender Disparities in High Academic Achievement.” Journal of Human Resources 50:549–579. Guengant, Jean-Pierre and John P. May. 2013. “African Demography.” Global Journal of Emerging Market Economies 5(3):215–267. Huisman, Martijn, Anton E. Kunst, Matthias Bopp, Jens-Kristian Borgan, Carme Borrell, Giuseppe Costa, Patrick Deboosere, et al. 2005. “Educational Inequalities in Cause-Specific Mortality in Middle-Aged

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and Older Men and Women in Eight Western European Populations.” Lancet 365 (9458):493–500. doi:10.1016/S0140-6736(05)17867-2. Hummer, Robert A. and Joseph T. Lariscy. 2011. “Educational Attainment and Adult Mortality.” In International Handbook of Adult Mortality, Vol. 2:241–61. International Handbooks of Population. Rotterdam, Netherlands: Springer Netherlands. K.C., Samir, Michaele Potanþoková, Ramon Bauer, Anne Goujon, and Erich Striessnig. 2013. “Summary of Data, Assumptions and Methods for New Wittgenstein Centre for Demography and Global Human Capital (WIC) Population Projections by Age, Sex and Level of Education for 195 Countries to 2100.” IIASA Interim Report IR-13018. Laxenburg, Austria: International Institute for Applied Systems Analysis. Lutz, Wolfgang, William P. Butz, Samir K.C., eds. 2014. World Population and Human Capital in the 21st Century. Oxford: Oxford University Press. Lutz, Wolfgang, Anne Goujon, Samir K.C., and Warren C. Sanderson. 2007. “Reconstruction of Populations by Age, Sex and Level of Educational Attainment for 120 Countries for 1970-2000.” Vienna Yearbook of Population Research 2007:193–235. Mason, Andrew (ed.). 2001. Population Change and Economic Development in Asia: Challenges Met, Opportunities Seized. Stanford, CA: Stanford University Press. Potanþoková, Michaela, Samir K. C., and Anne Goujon. 2014. “Global Estimates of Mean Years of Schooling: A New Methodology.” IIASA Interim Report IR–14–005. Laxenburg, Austria: International Institute for Applied Systems Analysis. Speringer, Markus, Anne Goujon, Samir K. C., Jakob Eder, Michaela Potanþoková, and Ramon Bauer. 2015. “Validation of the Wittgenstein Centre Back-projections for Populations by Age, Sex, and Six Levels of Education from 2010 to 1970.” IIASA Interim Report IR–15–008. Laxenburg, Austria: International Institute for Applied Systems Analysis. Teal, Francis. 2010. “Higher Education and Economic Development in Africa: A Review of Channels and Interactions.” Centre for the Study of African Economies Working Paper Series CSAE WPS/2010–25. Oxford: Centre for the Study of African Economies, University of Oxford. Teferra, Damtew. 2013. Funding Higher Education in Sub-Saharan Africa. London: Palgrave Macmillan. WIC – Wittgenstein Centre for Demography and Global Human Capital.

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2015. Wittgenstein Centre Data Explorer Version 1.2. Available at: http://www.wittgensteincentre.org/dataexplorer. Wils, Annababette, and Anne Goujon. 1998. “Diffusion of Education in Six World Regions, 1960-90.” Population and Development Review 24(2):357–368. World Bank. 1988. “Nigeria: Costs and Financing of Universities.” Report No. 6920-UNI. Washington, D.C.: The World Bank.

CHAPTER TWO HIGHER EDUCATION AND ACADEMIC RESEARCH IN AFRICA: THE SOCIAL-STRUCTURAL, CULTURAL AND INSTITUTIONAL CONTEXT MAX HALLER1

Abstract In this contribution, the recent development of higher education and academic research in Africa (with particular reference to Sub-Saharan Africa) is discussed, building on a review of the literature and one small study by the author. The chapter starts with an outline of the recent expansion and present state of higher education; while Africa still lags behind all other continents in this regard, the expansion of education has been considerable and will continue, given the extremely young population. In the first section, some issues connected with this expansion are discussed. In sections two to five, specific structural and institutional problems for African higher education and academic research are elaborated: The role of higher education for the reproduction of social class structures; the potential conflict between Western and African values in higher education; the ambivalent role of the domination of European languages in higher education and academic research; and problems of the internal administration and equipment of universities and their relations with governments. The concluding section summarizes the findings and draws some policy implications from them.

1

Prof. em., Department of Sociology, University of Graz, Austria; Member of the Austrian Academy of Sciences.

Higher Education and Academic Research in Africa

25

Introduction2 The relevance of higher education and scientific research for economic, social and political development is beyond doubt. Without them, the industrial and political revolutions of the 18th and 19th centuries would not have happened, Japan and the state-socialist countries in Eastern Europe would not have undergone their revolutionary catch-ups in the 20th century. The recent spectacular economic growth in many South-East Asian countries was also based on a massive upgrading of the educational level of their populations, including a strong expansion of the tertiary sector. Africa, and in particular Sub-Saharan Africa, is still lagging behind all other major world regions both in terms of general and of higher education, as shown in the preceding chapter by Anne Goujon and Jakob Eder. While in most other countries and macro-regions of the global South, about a third of the work-age population have attained some upper secondary and post-secondary education, in Sub-Saharan Africa this proportion is only between a sixth and a quarter. It is comparably high only in North Africa and the Republic of South Africa and its small neighbor countries (see Table 2.1 below, p.32). This chapter has two aims. First, it will add some basic figures about the development of higher education in Africa, supplementing the general data about demographic development and educational development presented in the previous chapter. Second, it will focus on a few socialstructural, cultural and institutional context factors which have been influential and will contribute to future development. While covering Africa as a whole, particular focus will be given to Sub-Saharan Africa, the part of the continent which is the largest in terms of population and which also poses particular challenges concerning higher education. We explore five historical and structural issues which affect the connection between educational upgrading and the expansion of higher education, and educational upgrading and socio-economic development. These issues include: (1) The relative youthfulness of higher education and research in Africa; (2) the high level of socio-economic inequality in nearly all African societies; (3) the potential conflict between traditional African and modern Western values; (4) the extreme ethnic and linguistic diversity, particularly of Sub-Saharan Africa; (5) the specific development of politics and government, and the relations between governments and 2

Thanks for very useful comments to the draft manuscript are given to Anne Goujon (VID, Austrian Academy of Sciences, Vienna), Bernadette Müller Kmet, University of Innsbruck) and Susan Mlangwa (University of St. Augustine, Graduate Programme, Dar es salaam).

26

Chapter Two

institutions of higher education. In this chapter, a short overview on these problems will be given, and some of them will be covered in more detail in the following chapters.

Start from Scratch and Rapid Expansion of Higher Education in Sub-Saharan Africa: Potentials and Pitfalls for Socio-Economic Development In the last half millennium, up to the beginning of the 21st century, development in terms of industrial take-off, economic growth and improvements in standards of living was the weakest in Africa, and in particular Sub-Saharan Africa, out of all world regions. Long-term patterns of economic growth in the last five hundred years show it was extremely strong in Europe, North American and Australia, somewhat less strong in Asia (except East Asia) and Latin America, and weakest in SubSaharan Africa and South Asia. 3 It is quite obvious that this lagging behind of Africa and South Asia was closely connected to colonialism and slavery. In many world regions, European colonizers destroyed local crafts by importing their new industrial goods (Wendt 1978) and today unequal trade relations still impede development of the global South (Boatca 2015). Colonialism was particularly harmful for SSA (Sub-Saharan Africa) where it was associated with slavery. Europeans deported nearly twelve million people from central Africa to the Americas and the Arabs took even more people to North Africa and the Near East. In this way, large parts of many west, central and east African countries were depopulated (Reader 1998; Berlin 2003; Flaig 2009; N’Diaye 2008 Grant 2009). Colonialism and slavery contributed significantly to the economic rise of the West and left a long-lasting and deep negative imprint on African societies (Wallerstein 1974; Freund 1998; White and Killick 2001; Haller 2015). Even after political independence in the 1960s and 1970s, socioeconomic development remained uneven and problematic in most African nations. For many reasons—pertaining mainly to internal conflicts and wars, but also because of extremely high levels of population growth— overall economic growth per capita remained weak. In fact, GDP per

3

See Max Roser, GDP Growth Over the last Centuries, published online http://ourworldindata.org/data/growth-and-distribution-of-prosperity/gdp-growthover-the-last-centuries/ (30.1.2016).

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capita even decreased in many countries between 1961 and 2005.4 This situation is particularly depressing given the dynamic development of other world regions, which had levels of development that were comparable to Africa after World War II, such as Latin America or India, or the astonishing catching-up of South East Asian countries like Taiwan, Korea and Thailand, and recently also of China. The success of the former has been attributed by many scholars to their deliberate and successful efforts to improve the education of their populations. An enormous emphasis was placed on educational policies in South Korea, for instance—a country which has experienced spectacular growth in recent decades. Although after World War II the majority of the population were still illiterate, today the rate of enrolment in secondary and higher education is one of the highest in the world; over 90% attend secondary schooling, and 65% of 25–34 old Koreans have had tertiary education.5 Korean pupils also score the highest globally in international achievement tests like PISA (Programme for International Student Assessment). The close connection between higher education and scientific research on the one hand, and modernization on the other—technological progress, economic growth, social and political improvement—is beyond doubt. However, the connection between education and socio-economic progress is true only in the long-term prospect and in a broad comparative view. If we look at more restricted periods and specific countries, it is less evident. Four caveats are in order here. First, some scholars have pointed out that the expansion of higher education more often follows economic development, rather than the other way around. (Abdi and Cleghorn 2005, 9; Arnove and Torres 1999) Today, societies can foster industrialization and massively increase their output by taking over knowledge and innovations from other countries (although one needs higher education also to utilize innovative technologies). Second, a strong expansion of higher education may create problems of its own, both from the viewpoint of the students and from their career prospects. On the one hand, high levels of competition in the school system may have unforeseen consequences. The “all-work, no-play culture” of the South Korean school 4

Looking at the nine five-year intervals between 1961 and 2005, in six African countries—Central African Republic, Chad, Democratic Republic of Congo, Gabon, Liberia, Zambia—GDP p.c. declined in six or more periods. Data of the World Bank, compiled in http://en.wikipedia.org/wiki/List_of_countries_by_GDP_%28real%29_per_capita_ growth_rate. 5 See http://wenr.wes.org/2013/06/wenr-june-2013-an-overview-of-education-in-southkorea/

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system6, for instance, causes high levels of stress and alarming numbers of suicides among students who have working-learning days that often end only at 11 p.m.7 On the other hand, ever since R. B. Freeman’s work The Overeducated American (1976) an extensive literature has been produced showing that in many countries the higher school system produces many graduates who do not find adequate employment. A recent review of the relevant literature concludes that the impacts of overeducation are not trivial; it might be costly to individuals and firms, as well as to the economy as a whole (McGuiness 2006; for a critical discussion of these studies see Leuven and Oosterbeek 2011). In the Arab-speaking North African countries, unemployment among the youth and especially among graduates is already a huge problem. In Egypt, for instance, high-school graduates account for 42% of the workforce, but for 80% of the unemployed. It has been argued that this fact constituted a “time bomb” that contributed significantly to the outbreak of the Arab Spring (Honwana 2013).8 In fact, the MENA region has the highest youth unemployment globally (followed, ironically, by the EU); it is also alarming that unemployment rates are higher among university graduates (between 30% and 60%) than among those with lower levels of schooling.9 Third, it is mainly the development of primary education, complemented with secondary education that boosts economic growth (Lutz, Crespo and Sanderson 2008). Fourth, and in connection with this, recent studies using the findings of international tests on educational achievement (such as TIMSS-Trends in International Mathematics and Science Study, and PISA-Programme for International Students Assessments) have found that it is not mere years of schooling that are relevant for economic growth but the quality of education, measured by the knowledge that students gain in each year of schooling. Comparing the cognitive skills learned in the 6 On a somewhat less pronounced level, such problems exist also in Finland which is also praised as a front-runner in developing the education system. 7 See http://www.npr.org/sections/parallels/2015/04/15/393939759/the-all-workno-play-culture-of-south-korean-education (30.1.2016). 8 Wagdy Sawahel, Africa-Middle East: The jobless graduate time-bomb, University World News, February 2, 2016; see http://www.universityworldnews.com/article.php?story=201102130832112. 9 Isobel Coleman, “Insight: Youth Unemployment in Middle East, North Africa”, Middle East Voices, June 14, 2013 (see http://middleeastvoices.voanews.com/2013/06/insight-youth-unemployment-inmiddle-east-north-africa-86923/). See also Youth Unemployment: Five Challenges for North Africa, Paper for the regional Conference “Promoting Youth Employment in North Africa”, Tunis, 16 July 2012 (available at http://www.oecd.org/dev/emea/Background%20Paper.pdf).

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school system over 50 countries it turns out that this is much lower in Africa and Latin America than in Europe and the English-speaking world (Hanushek and Woeßmann 2010). How does the situation regarding higher education in Africa look when comparing between countries? Let’s have a short look at the recent history of its higher education systems. (See also Fehnel 2003; Teferra and Altbach 2003; Tiambe Zeleza and Olukosi 2004a, 21ff.) 10 . Before the 1960s, the period when most African nations gained their independence from colonialism, only 18 of the 48 African countries had a university or university college (Sawyer 2004, 1ff.). The colonial powers were not interested in providing high education to their African subjects. Since the 1960s, the development of the higher education in Africa has passed through three stages. The 1960s and 1970s were the period of establishment of universities. For example, the University of East Africa was established in 1963, and later (in 1973) divided into the three universities of Makerere, Nairobi and Dar es Salaam. The new African governments established and supported these new institutions as “developmental universities” (Court and Coleman 1993; Sawyerr 2004, 5), setting the goals for them to provide skilled manpower for the state and economy, qualified young academics for the new universities and useful research for politics and society. The universities were strongly supported by the new governments (AssiéLumumba 2006, 71). However, in the 1980s and 1990s, the new universities underwent a serious crisis due to their inability to fulfil the high expectations, as well as due to changes in national governments, many of which became authoritarian and initiated bloody internal and external conflicts (Haller 2015, 260–263). The economic crisis of the 1980s also struck SSA particularly hard, burdening its countries with a heavy legacy of external debts. Pressure from the influential development agencies, such as the IMF and the World Bank, was exerted on governments to reduce their foreign debts, which they did by reducing spending in health and education. The consequences for higher education were severe. In the mid-1990s, one observer wrote: “Higher education is in deep crisis in sub-Saharan Africa […] the majority of sub-Saharan African countries now face declining public expenditure on higher education, deteriorating teaching conditions, decaying educational facilities and infrastructures, perpetual student unrest, erosion of university autonomy, a shortage of experienced and well 10

For a detailed outline of the influence of the Arab-Islamic world in pre-colonial times, and of the colonial powers Britain, France, Belgium, Spain, Portugal and Italy on the development of higher education in Africa see Lulat 2003.

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trained professors, a lack of academic freedom, and an increasing unemployment rate among university graduates.” (Atteh 1996, 36). It was also argued that the high rates of illiteracy and inadequate development of basic vocational education made it more urgent in SSA to focus on primary and secondary education. In the 1990s, the World Bank estimated the economic rates of return to education (RORE), and found that these were 24% for primary, 18% for secondary and 11% for tertiary education (The World Bank 2000; Puplampu 2005, 47). These findings have recently been confirmed by Wolfgang Lutz et al. (2008). Nevertheless, between 1970 and the turn of the century, Africa made significant progress in higher education. Gross enrolment increased between 1970 and 1997 from 0.7% to 5.2% for females, and from 2.4% to 8.6% for males; while these rates still were lower than in other developing world regions, they increased more quickly (Lulat 2003, 24, quoting UNESCO figures). External bilateral government support, as well as multilateral agencies such as the World Bank and UNESCO had contributed significantly to this growth (for a critical review of them see Samoff and Bidemi 2004). Since the turn of the century, the language of crisis has given way to a more positive discourse, pointing to revitalization and renewal, reform and transformation (Singh 2011). This new attitude is reflected in the international discourse and agenda as well as in African institutions, including UNESCO, the World Bank, the African Union, and the African Association of Universities. The editors of this book are inclined to share this optimism. A well-established and functioning system of higher education provides at least four essential services to society11 (Bloom and Rosovsky 2001; Teferra and Altbarch 2003; The World Bank 2010; UNESCO 2010): (1) Highly skilled professionals for public administration, modern business and private enterprises, and for many important social and health services. SSA faces an acute shortage of professionals in many of these areas (Atteh 1996). (2) Research which can provide the cornerstone of innovation and sustainability in many areas of society, economy, politics and environment. (3) Advancement of participation in public and political life, strengthening civic responsibility, participation and critical democratic thinking. 11 Some of them may be only the result of the “hidden curriculum” (Abdi/ Cleghorn 2005:6) and cannot be easily measured in quantifiable way.

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(4) Enhancement of the commitment of citizens to their own development and to that of the society at large. This might include responsible ways of thinking and acting concerning, for instance, nutrition and health, sexual behavior and family planning, and employment. Lesthaeghe et al. (1992) found, for instance, that female education is strongly associated with an increased use of contraception (see also The World Bank 2000, 83–90; White and Killick 2001; Abdi and Cleghorn 2005, 6; Kapur and Crowley 2008, 66–71; Goujon, Lutz and Kc 2015). Are SSA universities today fit to accomplish these tasks? In order to answer this question let’s bring to mind some basic facts. In the previous chapter, Anne Goujon and Jakob Eder have shown that Africa clearly lags behind all other world regions in terms of levels of education among the adult population. The mean years of schooling on the continent as a whole are 5.8 years among all people aged 15 years and more. This figure is significantly higher in a few countries (7 to 9 years), including South Africa, Namibia, Algeria, Tunisia, Egypt and Zimbabwe. Only 6% of the population aged 15–64 years have completed a post-secondary education in Africa, compared to 12% in Asia, 15% in Latin America, 23% in Europe and 31–39% in Oceania and North America. Table 2.1 shows the enrolment rates at three levels of schooling among children and youth in six world regions. Here, we can see that Africa again comes off badly and particularly Sub-Saharan Africa is lagging far behind. While in all other world regions—including South Asia (Pakistan, India and Bangladesh), the other very poor countries in the world—about 90% of all children of elementary school age attend a school (as indicated by the Net Enrolment Rate), in SSA this is the case for only about threequarters of children. In contrast to South Asia, Sub-Saharan Africa did not increase primary school enrolment significantly between 1980 and 1997 (White/ Killick 2001, 3). SSA is also lagging behind with regard to secondary and tertiary education: only 41% attend a secondary school and only 8% get a tertiary education. Thus, while in most other countries a high proportion of children are going on from elementary to secondary school and often even to the tertiary level, this is still not the case in SSA. If we consider enrolment only at the tertiary level, SSA is again behind all other developing regions. Although the enrolment rate increased significantly, it still was only 3.6% in the mid-1990s, compared to 10% 18% in other developing regions (see also The World Bank 2000, 107ff.).

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Table 2.1: Gross School Enrolment Ratios (GER*) by continents and subcontinents (2012) School levels High income countries Europe and Central Asia Latin America & Caribbean Middle East & North Africa South Asia Sub-Saharan Africa

Primary 103 101

Lower secondary 100 92

Upper secondary 73 48

113

90

41

105

75

31

110 100

59 41

16 8

*) GER: Total number of pupils of any age who are enrolled in the respective schools as a percentage of the total number of children of the respective official school age population. Source: World Development Indicators 2014, Table 2.11.

We must therefore conclude that the development of higher education in Africa, and particularly in SSA, is clearly below the level required for a modern economy. I also think that it would be unfortunate to play higher education off against primary and secondary education. As mentioned earlier, two authors have criticized economists for their tendency to measure the outcomes of investments only in terms of wage differentials, although this is certainly important. 12 These scholars wrote about the relationship between higher education and development in poorer countries, saying: “higher education clearly confers benefits above and beyond enhancing the incomes of those who receive degrees […] Many of these benefits take the form of public goods, such as the contribution of higher education to enterprise, leadership, governance, culture and participatory democracy […] Countries need primary, secondary and tertiary education. All three are vital to human, social, and economic development and all three are in the public interest.” (Bloom and Rosovsky 2001, 253f.) In global terms, the main change in higher education is “a grand shift from elite to mass education.” (Ng’ethe et al.

12

P. Asafu-Ajaye (2012) has shown that a tertiary education has a significant and strong effect also on the chance to be employed in Ghana. In a master thesis at my department of sociology Katrin Sebauer (2014) has shown that a higher education has particularly positive effects on happiness and life satisfaction in poor countries.

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2008, 11; Scott 1998) There is no doubt that the development of the latter is extremely important in the African case. Yet, in spite of this relative lag in Africa, its higher education system has been developing quite extensively. Let’s have a look at two key statistics. The first refers to the gross tertiary enrolment in absolute and relative terms (see Table 2.2). Here, we can see that Sub-Saharan Africa did increase its share of tertiary students between 1991 and 2004 from 1.4% to 2.2%. However, they still drop far behind Latin America and South Asia, not to mention East Asia which has increased its share massively from 20.5% to 29.4%. Table 2.2: Growth in absolute numbers (millions) of tertiary students by macro-regions worldwide, 1991 to 2004 (in parenthesis: distribution of students over regions in %)

Central Asia Sub-Saharan Africa Arab States Latin America and the Caribbean South and West Asia Central and Eastern Europe North America and Western Europe East Asia and the Pacific Total

1991 (%) 2 (2.9) 1 (1.4) 2 (2.9) 7 (10.3) 6 (8.9) 10 (14.7) 26 (38.2)

2004 (%) 2 (1.5) 3 (2.2) 7 (5.2) 15 (11.3) 15 (11.3) 19 (14.3) 33 (25.0)

14 (20.5)

39 (29.3)

68 (99.8)

133 (100.1)

Source: UNESCO 2006.

Similar figures are given by other sources. Between 1980 and 1995, total enrolment in tertiary educational institutions in Africa increased from 417,000 to 1,400,000 (Puplampu 2005) and to 3 million in 2002 (Kapur and Crowley 2008, 78). A recent prognosis for Africa in 2015 is that there will be 18 to 20 million students (Jegede 2012). A similar picture emerges comparing only among the countries of the global South. Between 1980 and 1996, gross tertiary enrolment doubled (from 5.2% to 9.6%) in all developing countries, but tripled (from 1.6% to 3.6%) in Sub-Saharan Africa (Sawyerr 2004). A similar increase can be seen in the number of universities. In 1960, there were only about 50 universities in the entirety of Africa (most of them in north or southern Africa); but a seven-fold increase has since

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taken place, so that at the beginning of the 21st century the number of universities was nearly 350. By 2005, the number of universities had risen to about 650 (200 of them public, 450 private); in addition, there were about 900 technical and polytechnical colleges in twelve selected SSA-countries (The World Bank 2009, pp. xxvi and 95). A recent listing of African Universities by country by 4International Colleges and Universities includes 776 universities in 50 countries (no data for Equatorial Guinea or Eritrea). Thus, the speed of growth in the number of universities has increased since the turn of the century, made up mostly of private institutions (see Figure 2.1), 13 although the number of students at public universities still is much higher (about three-quarters of all students). Figure 2.1: The increase in the number of universities in Africa, 1960 - 2015

900 800 700 600 500 400 300 200 100 0 1960

1980

2000

2015

Source: 1960, 1980, 2000:A. Sawyerr 2004,16; 2015: International Colleges and Universities; see http://www.4icu.org/bj/ 13

The Web includes even 1442 universities in 2015 (892 in SSA and 550 in North Africa), but here evidently most institutions of higher education were included whose university status may be questioned; see http://webometrics.info/en/Africa.

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Such an extraordinarily rapid increase has certainly brought new problems and challenges. They include the following: -

-

-

-

An extremely high demand from the large young cohorts reaching secondary and tertiary education, exceeding the capacity of African economies and governments to maintain educational quality (Court and Kinyanjui 1986, 388) and constraining universities to “reactive growth” (Kruss et al. 2012, 9). This is a major problem for all developing countries with high population growth (Kapur and Crowley 2008, 16), but particularly for SSA. The World Bank writes in this regard: “Left unchecked, a continuation of current trends will produce a further tripling of tertiary enrolments by 2020. Enrolments will be fueled by record numbers of youth as a demographic ‘bulge’ works its way through the SSA education system in the decade ahead. The interplay of these two factors will generate intense social pressure for access to higher levels of education, which most elected politicians within Africa’s relatively new democracies will find impossible to ignore.” This report goes on to point out the immense problems of financing rising enrolments, both for parents (since most higher education institutions request fees) and governments. I will return to this issue below. The relatively low efficiency of higher education, both in terms of internal efficiency (the relationship between inputs (financial and human) and outputs (number of graduates, research and publications) and in terms of external efficiency (the relationship between the output of the higher education system and the employment rates and income of graduates). Because of this unit costs of higher education in Africa are very high compared to primary and secondary education (Woodhall 2003, p.46). The lack of qualified teachers, particularly at higher levels (Amonoo-Neizer 1998, 304), caused in part by a strong brain drain toward Europe, North America and the Gulf states; (see also Fadayomi 1994; Atteh 1996; Tiambe and Olukoshi 2004, 33; Kapur and Crowley 2008, 77–78). The brain drain itself is also caused by considerable unemployment among graduates (Berthelemey 2006, 181) as well as by the low salaries of teachers. (Brock-Utne 2006, 28). A decrease in the quality of academic teaching, because of deterioration in the relations between teachers and students. Many teachers hold multiple jobs or do consultancy on the side to

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-

-

-

-

-

-

improve their meagre incomes (Woodhall 2003). Governmental intervention into the affairs of higher education institutions also plays a negative role here. Continuing deficits and deteriorations in the university administration and infrastructure. This includes the lack of adequate working rooms for teachers and places for study for students; the shortage of good lecture and seminar rooms (Tiambe and Olukoshi 2004b, 378ff.); deficits in investment in libraries and in particular in electronic and computer equipment and time-consuming bureaucratic procedures for carrying out exams. These deficiencies were among the reasons for recurring, often violent, student protests, demonstrations and riots (Munene 2003). Weak scientific research and poor output of publications (Mouton 2010). The most developed countries have about 4,000 or more researchers per million inhabitants, China has 1,000, Asia as a whole 742, but SSA only 169 (Atuahene 2011, 328). Problems of financing. In absolute terms, developing countries spend much less for tertiary education than richer ones (see Table 2.3). For instance, in west Europe and the USA, the expenditure per student is between 10,000 and 16,000 US$, in SSA it is at most 4,000 US$ and in some countries in the region (such as Chad or the Central African Republic) it is less than 1000 US$. Nevertheless, expenditures for higher education as a proportion of state budgets are smaller than in more advanced societies. Public expenditure on education in Africa as a percent of GDP increased slightly between 1966 and 1980 from 2.5% to 4%, but decreased to 3.7% in 1997. Expenditures for higher education in particular have fallen more drastically (Assié-Lumumba 2006, 60). The introduction of fees at public universities, which might further decrease the opportunities for gifted young people from disadvantaged backgrounds. The establishment and growth of private higher educational institutions with strongly varying levels of quality. Their number has already increased between 1990 and the early 2000s from 14 to 107 in twelve African countries. (Ng’ethe et al. 2008, 26; Levy 2006) Rising unemployment among graduates (Amonoo-Neizer 1998). In our study among 500 students at St. Augustine University of Tanzania (SAUT), 57% agreed with the statement “It will be difficult for me to get a job” and only a third of them expected quite a good income (Müller/ Haller 2012).

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Table 2.3: Expenditures for tertiary education in Sub-Saharan African countries (2010) in % of GDP/ capita (2011) compared with selected other countries Sub-Saharan Africa Total public expenditures per student as % of GDP p.c.

Benin Burundi Cameroon Central African Republic Chad Ghana Mauritania Niger Rwanda Senegal Tanzania Togo Uganda Zimbabwe

Total expend. ($)

94.4 386,4 29.5 96.1

1416 2316 678 768

207.4 147.9 198.7 436.3 191.0 193.5 (870.9) 83.4 108.5 78.9

496 4732 3974 3490 2674 3870 (13934) 917 1627 394

Other countries Total public expenditures per student as % of GDP p.c. 39.3 Austria 38.4 France 25.5 UK 41.8 Sweden

13824 9511 17054

USA Japan Argentina Brazil India

20.9 25.3 18.4 28.4 68.7

10742 9006 3312 3260 2610

Egypt Morocco Tunisia

17.7 82.3 49.4

1168 4279 4693

Total expend. ($)

Source: The World Bank. Expenditures per student in tertiary education 2009/10. See http://data.worldbank.org/indicator/SE.XPD.TERT.PC.ZS/countries.

Equal Opportunities or Reproduction of Privilege? The Function of Higher Education in the Context of Pervasive Socio-Economic Inequality Equality of educational opportunities is one of the most extensively investigated issues in sociological research. This is because the educational system is seen as one of the central mechanisms by which modern societies ensure that equality and achievement prevail in the process of status attainment, moving away from feudal systems of inheritance of social position and privilege. However, the inequality of opportunities is also an extremely well-established fact in empirical research. In addition, we know that the higher the overall socio-economic

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inequality in a society, the fewer chances for children from less privileged social strata. Three groups are particularly relevant here: children and youth from families of lower social classes, from rural and peripheral backgrounds, and girls and women against boys and men. Only in this latter aspect has a significant improvement taken place, as shown by Goujon and Eder in the previous chapter. These inequalities in educational opportunities persist even in countries with extended higher educational institutions, whether they are public or private. Some sociologists have argued, therefore, that the educational system in modern societies largely reproduces social inequalities (Bourdieu and Passeron 1990). How do these facts look like in Sub-Saharan Africa? First, let’s examine overall socio-economic inequality in Africa. Here, I refer to a recently published book in which I investigated patterns of income inequality in 139 countries around the world (Haller 2015). In Table 2.4, the relative position of 61 countries, most of them in Africa, is given ordered by continents and along a continuum from low to high economic inequality (as measured by the GINI coefficient). We can see that two groups of countries stand out: Latin America and SSA. In these two sub-continents, most countries are characterized by an extremely high degree of economic inequality (GINI coefficients higher than 45). South Africa, Namibia and Angola show the highest levels of inequality worldwide; only the ethnically more homogeneous North African and a few Sub-African countries (including, among others, Burundi, Ethiopia and Tanzania) show relatively moderate levels of inequality. Three factors were, and remain, important in this issue: The precolonial heritage of several African political communities which were characterized by pervasive inequality; the heritage of colonialism and slavery; and, finally, the uneven development of the new independent African states which in many cases was connected with civil wars, the enrichment of a small power elite, the establishment of “rentier states” (Yates 1996) and the rise of a privileged public bureaucracy in countries like Nigeria—which command of large mineral resources. It can be assumed that the introduction of higher education systems in societies characterized by strong inequality will strengthen their status-reproducing function. This will be the case even more so if higher education is accessible only to a tiny minority of the population, as in many SSA countries (Morley et al. 2009). The effects of this pervasive inequality on educational opportunities will manifest themselves in three steps. First, in the chances of admission to a university education; second, in the expectations and behaviors of students during their academic years; and

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third in their expectations and prospects concerning jobs. Let’s have a look at some relevant data and research findings. Table 2.4: Economic inequality within selected countries around the world GINI

West Europe

East Europe

America, Australia

65 + 60 55

Haiti, Bolivia Chile, Brazil, Peru Mexico, Argentina

50

45

40

35

30

Portugal, UK, Italy

Russia Turkey

Venezuela

Macedonia Estonia

USA

Spain, Poland Germany, Hungary France 25 Austria, NL, Czech Sweden Rep. Norway Slovakia Source: Haller 2015, 5-6.

Canada, Australia

Africa

Asia

South Africa Namibia Angola Zimbabwe Botswana Lesotho

Hong Kong

Kenya, Nigeria Congo Uganda, Ghana Mali, Tunisia Senegal, Burundi, Algeria, Tunisia Ethiopia

Thailand, Philippines Iran, China Jordan, Bangla D. Vietnam, Israel, Laos, India, Mongolia Taiwan, Japan, Korea

Here, I refer to a small study about the social origins and situation of university students in Tanzania which I carried out with Bernadette Müller in 2009 (Müller and Haller 2012), but also to other studies. Table 2.5 presents the findings of our survey among 500 students of St. Augustine University of Tanzania (SAUT) carried out in the main location of this university in Mwanza, located at the shores of Lake Victoria. SAUT is a private Catholic university which is financed by foreign donors and

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student fees in the Masters of Arts programme. We hypothesize that the situation at other private Tanzanian universities is not very different. Table 2.5: Education of fathers and mothers of SAUT students, compared with the Tanzanian population as a whole (in %) Educational level No complete education Primary education completed Sum Middle school Secondary school and more Sum Total (n)

SAUT students Father Mother 11 15 25 33

All Tanzanians, 15-49 Men Women 36,3 42,2 52,4 49,2

36 13 51

48 13 40

88,7 11,2

91,4 8,6

64 100 (483)

53 101 (458)

11,2 99,9

8,6 100

Source: Müller and Haller 2012, 178.

Table 2.5 shows two facts: First, most students’ parents have a rather high level of education, that is, secondary school or higher. 51% of the fathers and 40% of the mothers of students have college or university education; but among the whole Tanzanian population, only 11.2% of men and 8.6% of women have secondary school education or more. These findings correspond with the data from Morley et al. (2009), mentioned above. Thus, students from highly educated social strata are strongly overrepresented. In this regard, we can compare our data with those from the large Tanzanian Demographic and Health Survey of 2004/2005, which covered a representative sample of 9,735 households and 13,200 people. Although around 90% of all Tanzanians aged 15 to 49 have only primary or no completed education, this is true for less than half the students’ parents. We can also see that half of our students’ fathers and 40% of mothers have a higher education (secondary+), but only 11% of all Tanzanian men and 8% of Tanzanian women. Thus, the chances that children of parents with a higher education will get to go to a university is five times higher than for children of parents with no such education. Other studies and data support these findings. Obasi and Eboh (published in Tiambe Zeleza and Olukoshi 2004, 157ff.) carried out a survey of about 1,000 students in six universities in Nigeria. Here, the privilege concerning high-status social origin is even stronger: the fathers’

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roles were: 31% senior public officials, 23% businessmen, and 20% professionals. Overall, 69% were in a senior or high level occupational group, and 25% in a junior/lower level. In addition, 76% of the parents were classified as members of middle or higher classes and 66% of the students had siblings who had also graduated from university. Data from a university in Mozambique showed that 70% of the fathers of the students had attended secondary or higher education, compared to only 3% in the general population. (Sawyerr 2004, 23; for Ghana similar data are reported in Morley et al. 2009, 59) In the wake of the recent rise of private schooling, an additional form of inequality of opportunity has emerged. This inequality is between pupils from the better private elementary and secondary schools, which are costly and attended mainly by children from well-off families, and those pupils who come from the public school system. This split is leading to a new kind of “class-based civil society.” (Boyle 1999, 61–81) The rather one-sided socio-economic recruitment of students is also reflected to some degree in the attitudes and behavior of the students. In our survey at SAUT in Tanzania, it became evident that students did not have and also did not want to have, contact with the local population.14 In the aforementioned study in Nigeria, the researchers found that students strongly resisted any increase to the extremely modest cost of a university hostel (80 Nairas) while at the same time they spent high sums for social parties and outings (up to 45,000 Nairas) and personal conveniences (about 30,000 Nairas). Some students even engaged in corrupt behavior by registering for a university hostel but then sub-leasing it to other students for a much higher sum. The authors of this study conclude that these students and their families would be able to pay university fees easily (J.N. Obasi and E.C. Eboh in Tiambe Zeleza and Olukoshi 2004). There are two other important aspects of inequality in educational opportunities which must be mentioned, although it is beyond the scope of this chapter to discuss them in detail. The first is gender inequality. Throughout SSA, women are still clearly underrepresented in higher education and concentrated in disciplines—like arts, education, nursing and teaching—traditionally considered as “female.” In the mid-1990s, women constituted between a quarter and a third of higher education students (although significant differences existed between the countries, 14 One student in our survey made a proposal concerning the improvement of the conditions for living of the students, referring to the transport facilities between the city of Mwanza and the SAUT campus near Malimbe, a small village a few kilometers outside. The proposal was to establish a special bus service for students so that they would not be constrained to mingle with “common” people on the bus.

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with the highest proportions in the Republic of South Africa; see BeokuBetts 1998; Morley et al. 2009, 58; on Nigeria see Pereira 2007). In 1997, the enrolment rate at the tertiary level in SSA was 5.1% for males, and 2.8% for females (Tiambe Zeleza and Olukokoshi 2004b, 480ff.). Women were even more underrepresented among teachers. In seven SSA counties, their proportion among the academic staff in 2001–2002 was only between 8 and 18% (Okeke-Ihejirika 2005, 167). The disadvantaged situation of women at universities also includes problems of harassment and violence, including political and sexual harassment, by teachers and colleagues (Tiambe and Olukoshi 2004a, 64). Since 2000, however, women have started to catch up in higher education in Africa. In 2009, 38% of tertiary enrolment was from women in 21 SSA countries. The lowest proportions were observed in Chad, Congo and Ethiopia (15–17%) and the highest in Mauritius, Namibia and Cape Verde (55–56%). The Gross Enrolment Ratio (GER) for females varied from less than 1 in Malawi and Niger up to 29 in Mauritius (UNESCO 2010). By 2011–12, in some African countries the female GER for tertiary education was significantly higher than that of males (e.g., South Africa and Lesotho); in some it was equal to that of males (Sudan), in others it was still much lower (about 40% to 60% compared to the male GER in Niger, Mali, Congo, Ghana and Uganda).15 What are the prospects for gender equality in African higher education? On the one hand, there are severe limitations based on the traditional role of women who are often seen only as agricultural laborers or mothers: “African women are still perceived as wives and mothers in the eyes of the male ruling class and the nation, rather than as individuals of their own right.” (Tiambe Zeleza and Olukoshi 2004b, 480f; see also Rathgeber 2003) Morley et al. (2009, 60) write that for young women “compulsory heterosexuality and the inevitability of marriage and motherhood” were evident and that women are represented as a “culturally conditioned category” which automatically implies “constraint, restrictions and oppression.” The subordinated situation of women is also reflected in the fact that polygyny is still a widespread practice in SSA (Therborn 2006, 19). On the other hand, however, African women have considerable power because of the fact that property inheritance occurs among members of the same sex; wives also have considerable autonomy in their spheres of work, often have their own plots of land and are good traders (Therborn 2006). Thus, I would expect that—at least in the long run—African girls and women will make their way through the higher educational system as they did in all advanced countries. In this regard, I do not see a sharp 15

See http://data.worldbank.org/indicator/SE.ENR.TERT.FM.ZS.

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contrast between the “feminization” of higher education in high-income countries and SSA. As Morley et al. (2009, 60) say, this process has only very recently occurred in rich countries. In fact, the increase of female enrolment in tertiary education between 1980 and 1996 was greatest in SSA; worldwide it increased by 76%, but in SSA by 470% (OkekeIhejirika 2005, 164). However, as long as women are clearly underrepresented in higher education, measures of affirmative action may be necessary. Actions for bringing more women into traditional maledominated disciplines have already brought some success (see Lihamba et al. 2006 for the case of the University of Dar es Salaam). A third dimension of inequality of opportunities in higher education is to do with location. Most universities are located in central or larger towns and the same is true for the best secondary schools. Data for Ghana, Mozambique and Uganda show that between two thirds and three quarters of all students in the best public universities are recruited from only a small proportion of secondary schools. Over two thirds of university students were resident in a few central regions of Ghana (Sawyerr 2004, 22). Two thirds of all students in Tanzania come from only 6 of its 22 regions (Mkude et al. 2003, 66). Among peripheral rural areas, the percentages of poor are particularly high (White and Killick 2001), public infrastructure is of poor quality and expenditure on educational institutions is low. In Nigeria, for instance, public spending per primary school-age child is ten times as high in the central state of Lagos as in the peripheral northern state of Borno (Haller 2015, 271). This regional difference is closely related to ethnic differentiations and disparities: in nearly all SubSaharan African countries, the dominant ethnic groups reside in and around the nation’s capital and geographical center. In these regions, the schools are better equipped, the teacher-pupil-ratios smaller, and the pay for the teachers is higher.

Western Higher Education in Africa: A Conflict between Values? A further problem concerns the issue of conflict between traditional African and “modern” Western values. This has been an issue for every non-Western nation which was forced to “modernize” in order to resist foreign invasion and domination (as in the case of Japan since the middle of the 19th century). It seems to be particularly acute in Africa, and many perceive a deep split between African and western values. In Sub-Saharan Africa it may be particularly relevant because there were no large, centralized empires promoting a unified “high” culture. African social and

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cultural traditions are very rich and have been transmitted orally over generations. Here—probably more than elsewhere in the world—two features are significant: the inclusion of many mythical elements into religious thinking and worldviews; they affect everyday thinking and life of people. Therefore, several respected authors have asked for a specifically “African philosophy” for higher education. The sociologist and historian N’dri Assié-Lumumba writes in this regard: “In the general African ethos, ‘to be is necessarily to be in relation’ to others and the centre is a human being who is free and at the same time highly dependent upon others, on the memory of the past, and on emphasizing the balance between nature and culture. In the African ethos and practical life, this connection with others is essential... Africa must rethink and democratically design an indigenous educational paradigm from Pan-African continental perspectives.” (Assié-Lumumba 2996, 139; see also Abdi 2005) In a similar vein, Paulin J. Hountondji, author of the successful book African Philosophy. Myth and Reality (1983) criticizes both African and Western scholars working in African studies because they were and still are studying Africa only from Western perspectives; he calls instead for “an autonomous, self-reliant process of knowledge production and capitalization that enables us [Africans] to answer our own questions and meet both the intellectual and the material needs of African societies.” (Hountondji 2009, 9) A first step in this direction would be, in his opinion, “to formulate original ‘problematics,’ original sets of problems that are grounded in a solid appropriation of the international intellectual legacy and deeply rooted in the African experience.” (ibidem) The African political scientist Claude Ake wrote a book entitled Social Science as Imperialism. The Theory of Political Development (1979) in which he argued—much like Samir Amin—that expatriate African social scientists also embraced a “Western” paradigm instead of an original “African social science” akin to the social realities on the continent (Arowosegbe 2008). Similar views have been proposed by European scholars. The Norwegian political scientist Birgit Brock-Utne (2006), for instance, sees a “recolonization of the African mind” under way, fueled by the fact that international aid is often accompanied by the imposition of Western curricula and culture in the educational system. As a telling example she mentions the educational system of Swaziland, where almost the entire population speaks its own national language (siSwati), but in all schools, beginning at the elementary level, English is used as language of instruction. The “black Europeans” (weazzungo waeusi), that is, African intellectuals who have fully embraced Western culture, support this process.

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Whether it is really feasible or necessary to develop a specific “African philosophy of higher education” is a big question. Such an endeavour is not even possible if one agrees with the thesis that there are universal human values which were supported by all world religious and secular ideologies, and which assert themselves everywhere in the long run. Proponents of such a thesis include the political and social philosophers and scientists who proposed the ideas of enlightenment, rationalization and modernization in the 17th and 18th centuries and do so also today, including Karl Popper (1966), Talcott Parsons (1971), Klaus Küng (1990), Anthony Giddens (1991) and many others. Interestingly, neither the Japanese nor the Chinese raised the idea of a specific higher education philosophy when they began modernizing their societies. One must also say that it would be difficult to defend many of the traditional, communitarian African values. They may have been quite functional and useful in traditional societies as they existed in remote rural areas (such as the mastery of fighting by young men or the preparation of meals with wood fires) but are not useful today, as these structures no longer exist (see Rothe 1969 for a comparative analysis of tribe education and school education in South Sudan in the early 1960s). Some also involved problematic rituals, magic, witchcraft and superstition. Traditional and modern education, however, are not always opposed or contradictory. As the authors of the reader Education, Creativity, and Economic Empowerment in Africa (Falola and Abidogun 2014) argue, traditional ethno-national African education and arts can contribute to a better understanding of issues of inequality and poverty. African arts in particular can contribute to an empowerment of people. However, the system of higher education itself is a very new and alien import to Africa. As one author wrote: “African higher education systems are perhaps the most marginalized in the world and yet the most internationalized in their form, dimensions and scope [...] Most of the knowledge created and developed worldwide originates in the North, and Africa consumes it almost entirely. The languages of instruction, curricula and research also emanate largely from the North; no African country has yet successfully managed to change this situation. Virtually all the books, journals and monographs used in African institutions are still published in the North” (Teferra and Greijn 2010, 1). In addition, there are many phenomena which are quite different in Africa than in other parts of the world, and which require their own concepts and research approaches. Volker Stamm (2009), for instance, has shown that the concepts underlying land policies in West Africa developed by the academic social sciences are quite different from those used by development agencies (the

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first focusing more on communal aspects, the latter on individual land rights). In many areas—such as agriculture, botany, irrigation, medicine, politics, humanities and arts—scientific research would benefit from incorporating existing indigenous knowledge. (Mkosi 2005) G. Benneh (2002) showed that researchers at many African universities were able to develop simple, efficient and easily manageable technological inventions for crafts and industries. One scholar of African societies has coined the term “economies of affection” (Hyden 2006) to characterize the fact that economic considerations in traditional African societies were strongly embedded in social relations and obligations toward family members and members of the village. In a recent book entitled Love in Africa, the editors criticize earlier anthropological and sociological work for looking at African marriage and partner relations only from the viewpoint of sexuality or ritualistic and magic phenomena, but neglecting the role of passion and love. They therefore argue that the modern “Western” concept of romantic love was and is also quite important to Africans (Cole and Thomas 2009). In addition, Jean and John Comaroff (2012) rightly argued in their provocative book on Africa in which they call this continent a “pre-runner of globalization”16 because many modern phenomena—such as new kinds of war, mass migration, ethnic prejudices and tensions and new forms of slavery—are particularly acute in Africa. One can certainly agree with Edward Shiza’s (2005, 74) request for an Africanization of education and knowledge which implies “making schools and curricula sensitive and responsive to the needs and aspirations of the African people.” A process that entails “bringing various African realities into the school life.” In this regard, one could apply many insights from multicultural education in other countries to the school and university curricula in Africa. A. Mark (2008) mentions two main tasks of such an education: to create structures which support the development of group identity while also helping groups to find common ground; and to ensure the efficiency of education to provide generally useful skills. They can also strengthen social relations and support systems based on kinship, residence and religion. However, there are also less positive aspects connected with such traditional aspects: strong family and kinship loyalties can weaken the legitimacy of national institutions and lead to attitudes and behavior which constrain effective management and the relevance of skills and training. (Court and Kinyanjui 1986, 370)

16

This is the very appropriate title of the German translation of their book (Afrika als Vorreiter der Globalisierung, Frankfurt/ New York 2012, Campus Verlag).

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The Domination of European Languages in African Higher Education—Asset or Handicap? There is one specific aspect of African societies and cultures which is unique and very important, namely language. The immense ethnic and cultural diversity of SSA distinguishes it from nearly all other macroregions of the world (maybe except the Indian subcontinent) in this regard. In larger SSA states—such as Ethiopia, Sudan, Nigeria, Congo—up to hundred, if not more, different languages are spoken; in SSA as a whole, over thousand languages are in use (Teferra 2003). Only North Africa where Arabic is dominant everywhere shows a higher degree of linguistic integration. The extreme linguistic diversity of SSA can be seen, in some senses, as a unique cultural asset. Language is the main characteristic which distinguishes human beings and societies from animals, and all languages contain extremely rich vocabularies and methods of expression and communication. At the university level, however, the use of English (or French) certainly also has advantages. It provides the higher education system an international character since most textbooks and scientific books are written in English. In addition, it makes it much easier for students to study abroad, and for foreign scholars to teach at African universities. It is evident that the higher education system and academic research cannot be organized in such a way as to use all national languages in Africa. For a start, many vernacular languages do not possess (or have had no opportunity to develop) the linguistic and grammatical preconditions for discussion of modern technical and scientific issues. Thus, some lingua franca must be used to enable the state to develop a comprehensive higher education system. In academic research, this problem exists for researchers all over the world today, except for those with English as their native tongue. In secondary education and at universities in Europe, America, Japan and China, the local or national language is used as the language of instruction. These highly-developed languages are suited for use as scientific languages; yet they are also under pressure from English as the new global scientific language (Goebl 2009). For students, teachers and researchers, the linguistic diversity of SubSaharan Africa poses big challenges, not least for the quality of learning and teaching. Most African students in the higher education system have to acquire a new, second—or even a third—language (after their mothertongue African language) and use it as the primary medium of learning. This obviously makes it more difficult for them to follow instructions and to express themselves. (See also Cleghorn 2005) The competency of many

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African students in the Western languages leaves a lot to be desired (Teferra 2003). Shiza (2005, 79) writes that the use of a foreign language for instruction is even a “major obstacle in students’ cognitive and learning outcomes.” Students must undertake a double translation to make sense of what they are learning: First, to translate the concept to their mother tongue for themselves, and, second, to re-translate their own thoughts into the foreign language when communicating in the classroom or writing an essay. The constraint that one must publish in a foreign language such as English or French to be successful makes it particularly difficult for researchers in African (and other developing) countries to contribute to scientific progress. (Atuahene 2011, 335f.) In this regard, one must agree with Birgit Brock-Utne (2006, 141ff.) who criticizes the absence of indigenous languages in higher education institutions in Africa. In her view, learning a new language can be enriching but only if the native language is not devalued; if children are discouraged from speaking in their own mother tongue, bilingualism may even lead to psychological problems. Another problem related to the linguistic diversity of African societies and the dominance of European languages in the higher education system relates to social and cultural inequality. For instance, the exclusive use of a foreign lingua franca may contribute significantly to the socio-cultural alienation between graduates belonging to the middle and upper strata, and the members of the lower strata. The more the distinct social classes and strata of a society become, the more different their language and manner of speaking (Wandruszka 1979, 16). This can also work the other way around: if the upper classes speak a language which cannot be understood by the lower classes, the distance between them will grow. Use of different languages might also create a divide between higher education graduates and the general population by making it difficult for scientific researchers to communicate their findings to the media and the public at large. As a compromise, at least some of the obligatory courses could be taught in some of the more widespread, colloquial African languages, such as Kiswahili in east Africa, Hausa, Fulfule and Bambara in West Africa, or Afrikaans in South Africa. Another option is code-switching (Shiza 2000p5, 79), which is regular use of both the native and the foreign language languages in the same setting. This is widely practised in India. In general, it is very important to recognize the issue of language as one of the central problems of higher education in Africa (Teferra 2003).

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Governmental Politics and Higher Education: From External Interventions and Steering to Autonomous Development? As in all other countries, institutions of higher education in SSA are strongly dependent on the public sphere and government politics. An expert wrote in this regard that universities’ “development of strategic autonomy depends greatly on state policies and the availability of resources from a variety of different agencies and activities…” (Witley 2008, 24; Teferra and Altbach 2004, 6). The relevance of the relations between governments and universities relates not only to the funding— certainly the most important aspect—but also to the steering of higher education and science by the state in general. If there are basic deficits in this regard, a higher education system cannot function properly. We can link here with the eight criteria for “good governance” mentioned by the World Bank in its report on Higher Education in Developing Countries (2000:59.62): (1) Academic freedom, the right of scholars to pursue their research and teaching without restraints from outside; (2) shared governance between universities and ministries of education in shaping national educational policies, but also between faculty and university management; (3) clearly defined mutual rights and responsibilities of all these bodies; (4) meritocratic selection and promotion of faculty, administrators and students; (5) financial stability to permit orderly workings and development of the universities; (6) accountability of the educational institutions toward their sponsors or financing institutions; (7) regular testing of standards of quality by those who are responsible for governance; and (8) close cooperation and compatibility between the different levels of steering and administration. It is evident that many of these requirements are only partially fulfilled, or even violated more or less openly; this happens both in more developed and less developed countries. There is a parallel or even complementarity between science and a democratic political system: neither can exist nor prosper if free and open discussion is not guaranteed (Popper 1966). This has been noted also by the World Bank: “Higher education institutions inevitably reflect the societies in which they operate. When a country suffers from deep rifts, these will be present on the campus. Undemocratic countries are unlikely to encourage shared governance in higher education. In a society in which corruption is prevalent it cannot expect its higher education institutions to be untainted.” (The World Bank 2000, 63) In fact, problems of this sort have been present and still exist in many SSA countries. For instance, even in the first phase of the establishment of new

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universities after gaining independence from colonial powers, many African leaders “found universities to be too visible and prestigious as national monuments to be given complete autonomy. They felt threatened politically by these institutions’ leaders and their respective staff and student communities” (Mwiria 2003, 33). While many of the leading politicians in the 1960s and 1970s were ready to support universities, they also made it clear that these new institutions had a right to get their privileges only if they provided useful services to state and society. This was also true, for instance, for an enlightened and liberal state president like Julius Nyerere of Tanzania who asked universities not only to search objectively for truth but also to render services to society and the overarching goal of social equality (Court 1977, 466). In this vein, he criticized university students who study under good conditions and expect high salaries, but are separated from the life or ordinary people. (Nyerere 1968, 56) We have shown above that this separation has in fact happened to a considerable degree in recent times. In the decades that followed political independence, irresponsible, power-hungry political and military leaders took over power in many SSA countries. Their regimes hardly were ready to grant freedom to higher education institutions, many of them were suspicious of their own intellectuals. (Tiambe and Olukoshi 224a, 42ff.) Moreover, the bloody wars which they often initiated were diverting money from education in general and from the universities in particular. These leaders also interfered directly with the steering of the universities, which were treated as para-statals and fully integrated into federal bureaucratic structures. (Tiambe and Olukoshi 2004b, 459ff.) Atuahene (2011, 328) writes that during these formative years, a “state manipulation of universities” existed. The negative effects of these external political interventions were articulated in repeated student demonstrations and riots all over SSA, from Nigeria to Ethiopia, and from Egypt to South Africa. Thus, students often were a vanguard in the general struggle for democracy in SSA (for Ethiopia see Balsvik 2005, for Africa as a whole Munene 2003). An expression of this state interference with university governance is the fact that until today the Chancellor of Universities is often the head of government. G. Benneh (2002, 250) wrote in this regard: “Although the political landscape of Africa has been changing for the better in the last decade [that is, in the 1990s], there are several countries where armed conflicts and the denial of human rights make it difficult for independent inquiry, especially, in the social sciences to flourish.” JeanClaude Berthelemy (2006, 178), a professor of development economics in Paris, quotes a study about Uganda which showed that poor performance of educational institutions was not only a matter of budgetary resources

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but also of governance; only 13% of fund earmarked by the central government for on-wage expenditures in primary schools were actually received by these school. He writes that governments are mainly responsible for educational policies in less developed countries and further: “Although they are resource poor, what is usually lacking is less budgetary means than political will. Poor performances in the education sector are often linked to governance issues, and are reflected in the absence of any strong development objective in education policy orientations” (Berthelemy 2006, 189).

Summary and Policy Conclusions Four issues have been discussed in this chapter. First, the system of higher education in Africa is in a very critical stage today. On the one hand, it is still much less developed than in other macro-regions of the global South and thus needs to be expanded in order to be able to provide an adequate number of highly qualified professionals and academics for socioeconomic development. On the other hand, higher education has grown significantly and it will be under extreme demographic pressure to expand further in the years and decades to come. Second, higher education in Africa operates in societies characterized mostly by extreme economic and social inequality; a main problem will be, therefore, how to ensure that higher education will not contribute to a consolidation of that inequality but rather to its alleviation. In this regard, one can be critical of the policy of the World Bank, because it usually treats growth and equality as polarized objectives where each is seen as an obstacle to the other (Samoff and Bidemi 2004). A lot of recent research, however, points to the fact that societal equality is correlated not only with higher quality of life in nearly all areas but may also contribute to economic growth (Wilkinson and Pickett 2009; Haller 2015). Third, I discussed the frequent demand for a specific African system of higher education, adjusted to its own values. I argue, however, that it might be necessary to develop specific concepts and theories relevant to the African context. Fourth, the issue of the linguistic diversity of Sub-Saharan Africa was discussed, highlighting the problem that the use of European languages in higher education often reduces the learning opportunities for African students and may lead to an estrangement of teachers and researchers from their societies. Fifth, I emphasized the fact that there are certain complementarities between politics, the higher education system and scientific research; as long as political systems and governments are not democratic, responsible and

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efficient, the university system will also lack fundamental prerequisites concerning its autonomy and functioning. In my view there are four general political-practical strategies which cover to some degree all five of these problems. The first concerns the fact that Africa is a continent partitioned into a large number of states many of which are rather small—not in terms of surface area, but in terms of population, economic power and financial means. This situation is not dissimilar to Europe, and maybe Africa could learn a little from European experiences in this regard. Historically, the system of European universities emerged in the late Middle Ages through continuous communication between the universities in different countries, which was easy at that time since Latin was the lingua franca. In recent times, the EU has been quite active in proposing cooperation between universities and systems of higher education. In political terms, Africa has in fact taken the EU as its explicit model, establishing the African Union. In terms of higher education and scientific research, collaborations could also be established in Africa to strengthen university teaching and research (see also The World Bank 2009, p. xxiv). Such cooperation could include exchange and mobility of teachers and students, common research projects, and common curricula for graduate studies at three levels: (a) within adjacent regions, such as east Africa, west Africa or southern Africa; at present, some of the most intensive student exchanges are not based on scientific considerations but on external finances. For instance, many more Kenyan students study in Uganda than vice versa simply because admission criteria and fees are lower in Uganda than in Kenya (Ogachi 2009, 339; this situation is very similar to that between Germany and Austria or France and Belgium). The number of exchanges should also be increased between universities and non-university tertiary institutions (Ng’ethe et al. 2008, xviii). More university networks between different African countries should be established (UNESCO 2010). In this regard, quite a number of associations and activities already exist (e.g., The African Association of Universities, CODESRIA, etc.). In this volume, Emnet Tadesse Woldegiorgis investigates the harmonization process in African countries comparing it to the Bologna process in Europe (see chapter 3). The geographer and former VC of the University of Ghana, George Benneh (2002, 258) wrote on this topic: “The provision of welltrained researchers is, perhaps, the single most important factor in enhancing the research capacities of African universities” (see also Ilon 2003). An important outcome of such collaboration could be the establishment of a few leading universities, well equipped with competent

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staff and technical facilities which could take the lead in producing highquality research. A further consequence would be to improve the quality and quantity of scientific research in Africa, where African scientists should play the central role. Social research in Africa should focus on some of the issues which I have raised in this paper, such as the composition of the student body in terms of social origin, gender and ethnic membership. It should also examine the relationships between African and Western (universal?) values, social relations and patterns of behavior; the workings and efficiency of the government and administration of the universities which also includes the “data-gathering and processing capabilities of educational ministries” (Court and Kinyanjui 1986, 386; Tadele n.d.). Poor functioning of these services can severely impair study and working conditions of students, teachers and researchers (as shown by Ssesanga and Garrett [2005] for Uganda) and undermine their motivation and passion to carry out research as a vocation (sensu Max Weber, 1946). Another author (Boyer 1997, 18) has rightly stated that “the probing mind of the researcher is an incalculably vital asset to the academy and the world!” Effective teaching and research by the faculty members should be better supported, at present in many universities in is impeded through lack of time, teaching overloads, stress because of administrative work and shortage of books and references for education and scientific research. A third implication is that European universities and scientists should also become much more active in collaborative research in and about Africa. At present, there are many more exchanges and collaborations between Africa with the United States than with Europe. The national European governments, but also the EU as a whole, should provide much more funding for co-operation. But this is not only a matter of money. We in Europe should make our colleagues in all scientific disciplines aware of the fact that entering into such collaborations and carrying out research in Africa would be highly rewarding and enriching, since the African context offers a myriad of challenging research areas for the natural and social sciences, not to mention the arts and humanities. A fourth conclusion is that incorporating qualitative, and not merely quantitative, development should be the main focus for higher education and research in Africa in the decades to come. Qualitative development includes many measures: an improvement of working conditions and increase of the salaries of teaching staff in public universities order to avoid them taking up additional employment contracts; the improvement of infrastructure for teaching and research (buildings, office space, lecture rooms, electronic equipment, libraries); the establishment and implementation

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of strict rules for the funding and management of public and private higher education institutions to make sure that they preserve adequate standards of academic training and research (for problems in this area in Kenya and Uganda see Munene 2015); the introduction of a reasonable policies for university admittance, including moderate fees for students and grants for gifted students from disadvantaged social backgrounds (lower social classes, rural areas, and ethnic minorities); a fostering of the research orientation and related technical equipment and human capital for research whose general state at present is extremely poor in Africa (Teferra and Altbach 2009, p.10); a guarantee of academic freedom and autonomy for university teachers and administrators as well as students; an explicit promotion of disciplines which at present are largely underrepresented, such as natural and technical sciences, agricultural and life sciences against the economic and social sciences and humanities which at present are over-represented. More research on higher education itself is needed and it should also be less externally-induced and uniform in its questions and recommendations, which have generally been negative and neoliberal, on topics such as African higher education is in crisis; expand private schooling; decentralize, etc. (Samoff 2007, 66). Thus, we can say that a number of opportunities exist for a significant improvement of higher education and academic research in Africa.

References Abdi, Ali A. 2005. “African Philosophies of Education: Counter-Colonial Criticisms,” in Issues in African Education. Sociological Perspectives, edited by Ali A. Abdi and Ailie Cleghorn, 25–42. New York, Houndmills Basingstoke: Palgrave. Abdi, Ali A., and Ailie Cleghorn, eds. 2005. Issues in African Education. Sociological Perspectives, New York, Houndmills Basingstoke: Palgrave. Abidogun, Jamaine. 2007. “Western Education’s Impact on Northern Igbo Gender Roles in Nsukka, Nigeria.” Africa Today 54:29–51. Ake, Claude. 1979. Social Science as Imperialism: The Theory of Political Development. Ibandan: Ibadan University Press. Amonoo-Neizer, E. H. 1998. “Universities in Africa – the Need for Adaptation, Transformation, Reformation and Revitalization.” Higher Education Policy 11:301–309. Arnove, R. F. and C. A. Torres, eds. 2007. Comparative Education: The Dialectic of the Global and the Local. Lanham: Rowman & Littlefield. Arowosegbe, Jeremiah O. 2008. “The Social Sciences and Knowledge

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Production in Africa; The Contribution of Claude Ake.” Africa Spectrum 43:333–351. Asafu-Adaje, Prince. 2012. “Private Returns on Education in Ghana: Estimating the Effects of Education on Employability in Ghana.” African Sociological Review 16:121–139. Assié-Lumumba, N’dri T. 2006. Higher Education in Africa. Crises, Reforms and Transformation, Dakar, Senegal: CODESRIA, Working Paper Series. Atteh, Samuel O. 1996. “The Crisis in Higher Education in Africa.” Issue: A Journal of Opinion 24:36–42. Atuahene, Francis. 2011. Re-thinking the Missing Mission of Higher Education: An Anatomy of the Research Challenge of African Universities.” Journal of Asian and African Studies 46:321–341. Balsvik, Randi Ronning. 2005. Haile Sellassie’s Students: The Intellectuals and Social Background to Revolution. Addis Ababa, Ethiopia: Addis Ababa University Press/ Michigan State University, African Studies Centre. Benneh, George. 2002. “Research Management in Africa.” Higher Education Policy 15:249–262. Beoku-Petts, Josephine A. 1998. “Gender and Formal Education in Africa: An Exploration of the Opportunity Structure at the Secondary and Tertiary levels.” in Women and Education in Sub-Saharan Africa. Power, Opportunities, and Constraints, edited by Marianne Block et al., 157–184. Boulder, London: Lynne Rienner. Berlin, Ira. 2003. Generations of Captivity. A History of African-American Slaves, Cambridge, London: Belknap Press. Bloom, David and Henry Rosovsky. 2001. “Higher Education and International Development.” Current Science 81:101–105. Boatca, Manuela. 2015. Global Inequalities Beyond Occidentalism. Farnham (UK); Ashgate. Boyer, Ernest L. 1997. Scholarship Reconsidered. Priorities of the Professoriate. In The Carnegie Foundation for the Advancement of Teaching. Stanford, CA: The Carnegie Foundation for the Advancement of Teaching. Boyle, Patrick M. 1999. Class Formation and Civil Society: The Politics of Education in Africa. Altershot etc.: Ashgate. Brock-Utne, Birgit. 2006. Whose Education for All? The Recolonization of the African Mind. Daejeon, South Korea: Home Publishing/ San Diego, CA: Africana Books. Bourdieu, Pierre and Jean Claude Passeron. 1990. Reproduction in Education, Society and Culture. Sage Publications.

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CHAPTER THREE THE AFRICAN UNION HIGHER EDUCATION HARMONIZATION STRATEGY AND CONTEXT FROM THE BOLOGNA PROCESS EMNET TADESSE WOLDEGIORGIS1

Abstract Both bilateral and multilateral cooperation in higher education are designed to address common challenges and achieve greater excellence. The Bologna Process of Europe is thought to be a pioneering approach to regional cooperation in higher education. To address the challenges of African higher education, policymakers have recommended regional cooperation, using the Bologna Process as a model. This effort led to the development of a higher education harmonization strategic document in 2007 by the African Union Commission (AUC). This chapter investigates how the policy of harmonization of higher education systems in Africa is intended to be implemented while fostering greater regional integration and taking the context of African higher education systems into consideration. Furthermore, it compares the reforms proposed by the AUC for the harmonization process with the Bologna Process.

Introduction The regionalization of higher education in Africa is not an isolated process developing within its own policy dynamics. International processes and other regionalization initiatives have influenced the development of higher education regionalization in Africa. However, for historical reasons, the impact of European policy initiatives has been more apparent than others 1

Bayreuth International Graduate School of African Studies (BIGSAS), Department of Development Policy and Politics in Africa, Germany.

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in Africa. African and European higher education institutions have historically been linked in terms of academic structure, governance, curriculum, assessment, quality assurance processes and language of instruction. Modern higher education in Africa itself is a product of European intervention. As a result, higher education development, partnership patterns, and policy reform issues have been historically linked to European higher education processes. Most African students and their professors have been trained within an academic setting that was built in the context of Europe. Thus, any change in European higher education has implications for higher education dynamics in Africa. International financial and developmental institutions have also been instruments of European policy interests, and African higher education has operated under these influences since independence. Thus, the dependency of African higher education institutions on European ones has always been strong, to the extent that a policy shift in Europe has an immediate spillover effect on the African periphery. The African Union (AU) has also implemented regional policy initiatives following in the European Union’s footsteps in a number of socioeconomic and political policy programs. The issue of regionalization and harmonization of higher education provision in particular has become highly connected to the European experience as Europe became the leading example and pioneer of regional integration and policy harmonization. The Bologna initiative is a prime example of higher education regionalization in Europe. The Bologna Process is a higher education harmonization initiative in Europe which was initiated by European Ministers of Education in 1999 with the objective of introducing a three-cycle degree structure, quality assurance and qualification recognition mechanisms among European higher education institutions (Zgaga 2006). Taking the Bologna Process as a point of reference, the AU also launched a higher education harmonization strategy in August 2007. The AU strategy is intended to create a harmonized higher education system across the continent by bringing together previously diverse systems resulting from colonial legacies so as to realize mutual recognition of qualifications, improve quality and relevance of programs, and enhance the mobility of students and academics across the continent. This article addresses the major similarities and differences of the AU higher education harmonization strategy and the Bologna Process of Europe. It also sheds some light on the ongoing challenges for the AU harmonization strategy.

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The Context of Higher Education Harmonization Neither European nor African regional higher education integration initiatives are the outcomes of a single political policy declaration. Rather, they are products of evolutionary processes of various policy initiatives or sequences of declarations and conventions (Woldegiorgis, Jonck and Goujon 2015). For instance, even though the Bologna Declaration is credited with addressing the issue of higher education integration at a regional level in Europe, there have been initiatives leading to the realization of the current process since the 1950s. The same is true in the case of the AU Higher Education Harmonization Strategy. The basic principles of the strategy are outcomes of various policy initiatives of higher education cooperation and intergovernmental conferences of the African Ministers of Education since the 1960s (ibid). Various intergovernmental conferences since the 1960s introduced the discussion of higher education cooperation and partnership, mobility of students and professionals, issues of quality assurance and recognition of qualifications at continental level. Apart from various intergovernmental dialogues, diverse conventions and higher education harmonization initiatives have also contributed to the current harmonization strategy. The term harmonization has often been used in different contexts to describe the same phenomena. As well as in academia, harmonization has also been used in policy documents. For instance, the term was coined in the Sorbonne Declaration, which was declared in 1999 to establish the European Higher Education Area. The title of the declaration is Joint Declaration on Harmonisation of the Architecture of the European Higher Education System (Sorbonne Declaration 1999, 1). The current AU higher education harmonization process also used the term in its policy document “the African Union Higher Education Harmonisation Strategy” (Singh and Takyiwaa 2007). In both cases the term is used to indicate the coming together or convergence of higher education provisions in their respective regions. Here, convergence is defined as an increase in the similarity of policy objectives and goals (Eriksen 2003). The concept of harmonization of higher education systems came from economic theory which has its roots in the industrial revolution. Harmonization is explained in economics as convergence of various policy processes among nations in order to facilitate the establishment of a free trade area (DeLong and Dowrick 2003). In macroeconomic theory "convergence" basically refers to the forces that make different economies more alike (ibid). Looking back to the industrial revolution, those nations whose economies converged were in a “club” of varying membership.

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Converging one’s economic policies with other members allow states to share both opportunities and challenges available within the club. Leung (2003) argues that this is partly explained when lagging countries grow by learning from advanced countries, and ascribes "divergence" as reflecting a failure to learn. This process of convergence implies economic integration that facilitates free movement of labor and capital, transfer of knowledge, sharing of market places and good practices. This process of convergence has been the genesis of regional integration at different levels on different issues in history (Leung 2003). Harmonization in higher education is also the process of convergence of policy processes at the regional level. Those who are willing to converge their policies become members of the club. The concept of “harmonization” in the context of the AU is understood as the process of finding commonly agreed purposes and aligning higher education strategies accordingly to foster greater regional integration at the continental level. The European higher education integration process on the other hand was linked with the term “harmonization” only once in the Sorbonne Declaration (Sorbonne Declaration 1998). Since the adoption of the Bologna Declaration, the member countries opted not to use it because it was confused with the notion of “uniformity”, “standardization”, “homogenization” and/or “unification” of all higher education systems, which is against the principles of the EU. This idea basically came from the theoretical foundation of European higher education integration itself, which is mainly based on the notion of nonintervention. In the European integration framework, education is perceived as a stronghold of the nation-state as stated on Articles 149 and 150 of the Treaty establishing the European Community (TEC) (Woldegiorgis 2013). The treaty gave the EU complementary competencies in education, meaning that the EU could only promote cooperation between member states, supporting and supplementing member states’ actions but it cannot regulate or “unify” or “homogenize” higher education. The Bologna Declaration and its subsequent agreements are not also binding; rather, they are voluntary acts of cooperation aiming at creating broader integration in higher education under what is called the European Higher Education Area (EHEA) (ibid). There is still no agreed definition of “harmonization”; it can only be understood through the process. In this regard, even though the AU uses the term “harmonization” in the regionalization of higher education, it does not imply “uniformity” or “homogenization” of all systems in Africa; rather, it is used to indicate the convergence of policy processes towards agreed standards at the continental level. In other words, it indicates a

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high level of regional higher education cooperation which involves integration of policies. The AU harmonization strategy is also a voluntary act of convergence of national education systems, taken in order to find a common line of policy cooperation and strengthen the higher education service. The motivation for the adoption of the harmonization strategy is the belief that such an initiative would facilitate and promote cooperation in information exchange, harmonization of higher education policies and processes, and the achievement of comparable qualifications that facilitate professional mobility (Woldegiorgis, Jonck and Goujon 2015). Even though member states are not legally obliged to be part of the process, the context and rationale for the harmonization process implicitly compels their cooperation. The seemingly voluntary subjugation of member states to integrate and harmonize their higher education systems emanates from the very belief that there are certain common and shared challenges and opportunities. The AU Higher Education Harmonization Strategy is developed with the same assumption—the AU is not intended to impose any higher education policies on member states but to facilitate the convergence of their policies in order to promote greater cooperation and integration (Woldegiorgis 2013).

The African Union Harmonization Strategy The AU higher education harmonization strategic document was endorsed by the Third Ordinary Session of the Conference of the AU Ministers of Education (COMEDAF III) which took place in Johannesburg, South Africa in August 2007. The harmonization strategy was made operational at this conference, with a set of objectives that include: bridging the gap between disparate educational systems in Africa towards a definitive African higher education space; providing an integrating platform for harmonization initiatives at regional and continental levels; facilitating the mutual recognition of academic qualifications; promoting intra-African mobility of students and academic staff; providing a framework for the development of effective quality assurance mechanisms and ensuring that African higher education institutions become an increasingly dynamic force in the international higher education arena. The rationale for this is based on the belief that such an initiative will help foster more regional integration, facilitate academic and labor mobility, establish qualification recognition frameworks and assure educational quality in Africa. The AU defines higher education harmonization as:

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In order to implement the harmonization strategy, the AU has launched four processes related to mobility, curriculum integration, the promotion of centers of excellence and ensuring quality. Major initiatives include: the Mwalimu Nyerere Mobility Programme, which promotes student and academic mobility; Tuning Africa, which works towards curriculum harmonization and the Pan-African University Network, which establishes centers of excellence through joint degree programs and African quality assurance and rating mechanisms (see Table 3.1). Table 3.1: Objectives and Functional Process of AU Harmonization Strategy Objectives of AU Harmonization Strategy Mobility Harmonization of Degrees and Curriculum Promotion of African Higher Education through Centres of Excellence Quality Assurance Framework

Functional Process associated to the Objectives Mwalimu Nyerere programme Tuning Africa The Pan-African University Network *AQRM and AfriQAN

*African Quality Assurance Rating Mechanism and Africa Quality Assurance Network

The rationale for the harmonization strategy of the AU broadly emanates from the context of changes in African higher education. One of the factors that can be mentioned for the adoption of the higher education harmonization strategy is the existence of diverse higher education systems along colonial and other historical lines in Africa. The African higher education system is made up of over 2,450 post-secondary institutions (about 7% of the world’s total) (Okebukola, 2014). These institutions are diverse in type, ownership, linguistic orientation and curriculum. Even though 65% of the institutions in the system are

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universities (UNESCO Institute for Statistics 2010), the African higher education system also includes a significant number of non-university higher education institutions including polytechnics and colleges, as well as vocational and technical institutes. Since the 1990s, the African higher education landscape has been open to the private sector and now private higher education institutions range in proportion of total enrolment from 15 percent in Ghana and Ethiopia, to 20 percent in Kenya and 33 percent in Nigeria (Okebukola 2014). Moreover, African higher education systems are diverse, based on linguistic and colonial legacies (e.g. Francophone, Anglophone, Lusophone and Arabophone (Maghreb) regions). These historical legacies led to diverse degree structures, curricula and mechanisms of quality assurance which have not changed significantly since colonial times. Despite such diversity, there is still no mechanism of credit transfer and accumulation systems or a comprehensive and integrated instrument of recognition of qualifications at the continental level. As a result, there is very limited mutual recognition of university degrees among African universities, which has restricted the mobility of African students and academics in the region. These factors raise concerns over the future of student and labor mobility as well as over the general objective of creating an integrated Africa. Thus, developing a continental harmonization strategy was adopted as the future policy direction of the AU in order to facilitate integrated provision of higher education and promote the intraregional mobility of students and academics. The second motivating factor for the introduction of the AU higher education harmonization strategy was the emergence of fragmented, subregional harmonization initiatives that facilitated more south-north harmonization than south-south, that is, within Africa. These initiatives emerged immediately after the launch of the Bologna Process in 1991. These fragmented initiatives facilitated the assimilation of African universities more with European systems than among themselves, however, encouraging more north-south harmonization than south-south. In other words, instead of bringing African higher education institutions together at the continental level, these fragmentations of the harmonization process present a significant risk of perpetuating dependency on the old colonial legacies. Thus, integrating these fragmented harmonization initiatives has become the rationale for the current continental higher education harmonization strategy in Africa. This rationale also indicates that the current higher education harmonization strategy of the AU was partly a reactive response to the fragmented initiatives of sub-regional organizations following the adoption of the Bologna Process, rather than

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purely a proactive action for local needs (Woldegiorgis, Jonck and Goujon 2015). The third factor is related to the competitiveness of African higher education or the marginalized role of the African higher education system in global knowledge production. African universities had been neglected to the point where they were in a state of crisis in the 1980s (Woldegiorgis and Doevenspeck 2013). The result is that most higher education institutions are still experiencing difficulty competing in the global market for knowledge production and dissemination. The gap in research spending between developed and developing countries widened by 170% between 1985 and 1993 (Papon and Barré 1993). The United States, the EU, Japan and Russia alone share 88% of the world's resources for research and SubSaharan Africa countries share less than 1% (ibid). The capacity of African higher education institutions to generate knowledge through research is generally weak given the shortage of senior faculty, deteriorating infrastructure and learning facilities, and funding constraints (Woldegiorgis and Doevenspeck 2013). Although most production of knowledge and acquisition of research skills takes place during graduate training (i.e. masters and doctoral levels), African universities have a tiny proportion of their students enrolled in graduate programs. Moreover, the number of students trained in science and technology is low, in fact less than 30 percent of students are enrolled in the fields of engineering, medicine, agriculture, technology and applied sciences in Africa (Yizengaw 2008). Thus, in the rapidly changing, knowledge-based economy of the world, African countries found themselves with higher education systems weak in research output and poorly connected with the intellectual currents of the international higher education community. Developing and strengthening the production of knowledge in Africa through research is therefore a priority for the AU harmonization strategy. As Sawyerr stated: “every society must have the capacity to generate, acquire, adapt, and apply modern knowledge if it is to take advantage of the opportunities and reduce the risks posed by the rise of the knowledge society” (2004, 215). This reality necessitated collective action to revitalize the sector in order to improve the quality, accessibility and relevance of higher education in the region. Higher education institutions remain competitive only to the extent that they are networked to a range of knowledge nodes across the region. Harmonization can facilitate the establishment of a common African higher education and research space, and to achieve the AU’s vision of making African higher education institutions become a “dynamic force in the international arena” (AU/EXP/EDUC/2 (III) Part II, 2007, 4). Therefore, the current AU

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higher education harmonization policy has been developed to alleviate the three issues explored above: the existence of diverse higher education systems, the emergence of fragmented, sub-regional harmonization initiatives and the marginalized role of the African higher education system in global knowledge production.

The Implications of the Bologna Process in Africa The current harmonization of higher education in Europe through the Bologna Process is derived from two important declarations. These are the Lisbon Recognition convention signed in 1997 and the Sorbonne Declaration signed the following year. The Lisbon Recognition convention is a regional convention developed by the Council of Europe in collaboration with United Nations Educational, Scientific and Cultural Organization (UNESCO) in 1997. The main objective of the convention is to make the recognition of qualifications possible among and between member states, so as to promote student mobility within the EU settings (Council of Europe – ETS no. 165, 1997). The Lisbon Recognition convention has been ratified by more than fifty member states in Europe and beyond (e.g., Australia, Canada, USA and New Zealand) (Ruffio, Heinamaki, and Tchoukaline 2010). In the same way, the Sorbonne Declaration, which was signed by ministers of the United Kingdom, Germany, France and Italy on May 25, 1998, is also considered instrumental in cultivating the idea of a European Higher Education Area. The notions of student mobility, a three-degree structure, quality assurance structures, credit accumulation and transfer systems, and the creation of European Higher Education Area were first stipulated in the Sorbonne Declaration (Sorbonne Declaration 1998). These two legal documents formed the base for the later harmonization initiatives of the Bologna Process. The Bologna Process was launched after the adoption of the Bologna Declaration which was signed by 29 European countries on June 19, 1999 in Bologna, Italy (Bologna Declaration 1999). The ultimate objective of the Bologna Process is to create a European Higher Education Area (initially planned for 2015 but now for 2020). Within this general goal, ministers confirmed their aims to: introduce a system of easily understandable and comparable degrees; adopt a three cycle degree structure; establish a European credit transfer system (ECTS); support the mobility of students, teachers, researchers and administrative staff; promote European cooperation in quality assurance; and promote the European dimensions in higher education (Ibid, 4–5). The Bologna Process also resulted in various instruments of implementation

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including the ECTS, the Three-Cycle Degree Structure, and Diploma Supplement and National Qualifications Frameworks (NQF). The adoption of the Bologna Process is the most advanced regional higher education initiative ever attempted in terms of policy harmonization. This regional initiative has also inspired other regions, including Africa, to follow the same or similar patterns of harmonization processes. The globalization and internationalization of higher education has changed the context of higher education policies from a national to an international process. The issues of regulation of student mobility, employability of graduates, transferability of credits, comparability of qualifications, issues of quality and relevance are no longer the exclusive policy domain of a single state. The fact that these challenges are common across nations of a particular region means countries must look for a regional remedy. In this regard, the Bologna Process is one step ahead and can be taken as an example for other regions. Acknowledging the growing interest among other regions, the European Commission (2013) has promoted the Bologna Process in Asia, Latin America and Africa by providing both financial and technical support to these regions. In the Berlin Communiqué, for example, European ministers of education welcomed “the interest shown by other regions of the world in the development of the European higher education area” and encouraged “cooperation with regions in other parts of the world by opening Bologna seminars and conferences to representatives of these regions” (Berlin Communiqué 2003, 5). The European Commission then developed the “external dimension” of the Bologna Process with the objective of not only exporting the Bologna model to other parts of the world but also making the European higher education area more attractive to other regions. Accordingly, the European Ministers of Education decided to adopt a strategy to provide both technical and financial support to other regions in the process of adopting the Bologna Process in 2007 (Ruffio, Heinamaki and Tchoukaline 2010). After two years, in 2009, the first Bologna Policy Forum was held to promote closer cooperation among higher education institutions beyond the signatories of the Bologna Process. This meeting provided a consultative forum for Higher Education Ministers of non-European countries to discuss the possibility of extending the Bologna experience to their regions. Out of 15 countries, only a few African countries from Northern Africa (Egypt, Morocco and Tunisia) participated in the meeting, which was held on April 29, 2009 (ibid). Here, one should keep in mind that the Bologna Process has not only influenced developing countries in Africa but also developed nations

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around the world. Countries like Australia, USA and New Zealand have traditionally been destinations for international students, which result in considerable revenue generation (Zgaga 2006). The introduction of the Bologna Process in Europe has become a threat to these countries, as it may cause a shift in the flow of fee-paying international students to Europe. This is because the 3+2 degree structure of the Bologna Process makes acquiring a Bachelor’s degree presumably less costly and time consuming for international students compared to countries adhering to a 4+1 system such as New Zealand, USA, Australia and the United Kingdom. This could result in a shift in study destinations for international students in the future (Vögtle 2010). As a result, there have been various discussions within these countries about adopting the 3+2 degree structure so as to attract more international students, particularly from Asian countries. The influence of the Bologna Process in other regions has thus become inevitable as argued by World Education News & Reviews: Many centuries after European nations imposed their systems of education on foreign shores through imperial conquest, and half a century after the US model was adopted in parts of Asia, it might be argued that a new ‘Euro model’ [the Bologna Process] is beginning to emerge as an influence on education systems around the world via the more collaborative means of cross-border cooperation. (WENR 2007, NP)

Africa is a bit different in this regard because many African institutions have a longstanding dependency on European universities. As a result, even if the internal historical dynamics within the African higher education landscape played a significant role in regional higher education reform initiatives, the introduction of various fragmented, sub-regional initiatives of higher education harmonization processes (simulating the Bologna Process) contributed to the emergence of new continental harmonization strategy. Most African higher education institutions have firm relationships with European universities affected by the Bologna Process. Thus, if they do not address European higher education reform, African institutions may face isolation and difficulties in finding higher education institutions with which they can cooperate and exchange students. African higher education institutions therefore felt the pressure to align with the Bologna reform in order avoid isolation from their historical partners (Woldegiorgis, Jonck and Goujon 2015). Most of the principles, objectives and specific modalities of implementation for the AU higher education harmonization strategy are adopted for the Bologna Process of Europe (see Table 3.2). At the policy

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level, both the Bologna Process and the African harmonization strategy have comparable policy objectives as both documents consider the creation of regional higher education areas, mutual recognition of academic qualifications, promotion of student and staff mobility, provision of frameworks for the development of effective quality assurance mechanisms and transferability of credits as their main objectives. These general objectives are more specifically stated in the Bologna Process, however, than in the African Higher Education Harmonization Strategy. Table 3.2: Objectives of the Bologna Process in comparison to the AU Higher Education Harmonization Strategy Objectives Bologna Process Recognition of qualifications Mobility of students and researchers Cooperation in quality assurance Two/three degree cycle

Credit transfer and accumulation systems (ECTS) Creating European Higher Education Area

AU Higher Education Harmonization Strategy Recognition of qualifications Promote intra-African mobility of students and academics Quality assurance mechanisms Ensure African higher education institutions become an increasingly dynamic force in the international higher education arena.

Creating African higher education space

Moreover, both the Bologna Process and the AU higher education harmonization strategy set up more or less the same functional processes to achieve their objectives. However, the processes put in place in the case of the Bologna Process are more functional and operational than the AU harmonization strategy. A lack of adequate funding, poor political commitment from member states, excessive dependence on donors for funding, and poor stakeholders’ participation in the process of implementation have all hindered the full operationalization of the AU harmonization strategy (Woldegiorgis, Jonck and Goujon 2015). Advancing its cause, which is promoting the European model of higher education harmonization, the European Union Commission (EUC) has supported AU harmonization initiatives through funding and consultation

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on various projects under “the external dimension of the Bologna Process” (Ruffio, Heinamaki, and Tchoukaline 2010). The EU has been involved in the AU higher education harmonization process from the very outset, initiating, funding, advising and in some cases leading (in terms of management, funding and controlling) the various functional elements of the initiatives. The AU harmonization document stated that the process is owned by AU but indicated also that it has many things in common with the Bologna initiatives. Despite the African Union Commission’s claim however, it is hardly possible to state that the AU harmonization process is purely an African process, since the various functional processes are initiated, implemented, funded, accompanied and led by European actors. The Mwalimu Nyerere Program, Tuning Africa and the Pan-African University Network are largely funded by the European Union Commission, the World Bank, and Donor countries mainly from Europe (Woldegiorgis, Jonck and Goujon 2015). Taking European models as references for regional integration has been common in Africa since the transformation of the Organization of African Unity (OAU) to the AU, which is also modelled on the EU. Because of its long history of integration, successive enlargements and expansion of its scope, the experience of the EU integration often becomes a recurrent point of reference for regional integration and is often considered a model for other regional groupings. Although learning from the experiences of the Bologna Process is rationally sound, implementing European models of harmonization without considering the specific contexts of Africa may make the AU a champion of bad practices and unsound implementation of the harmonization strategy. Accommodating diverse contexts has always been a concern in the process of adopting regional policy models from Europe. Even though the Bologna Process can provide many lessons worth noting in the course of higher education policy integrations, the difference in context of the two regions complicates adoption of European models. The Bologna Process, from the very outset, was created and implemented in the context of Europe which has a history of relative success of regional integration, unlike the AU. Prior to higher education integration, members of the EU managed to create a well-structured common economic area and harmonized immigration and security policies. Through the 1993 Maastricht Treaty, EU members even further redesigned their integration schemes to enhance European political and economic integration by creating a single currency, a unified foreign and security policy, common citizenship rights and by advancing cooperation in the area of immigration, asylum and judicial affairs (Charlier and

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Croché 2009). All these institutional settings of the EU make harmonization of higher education easy by facilitating the movement of students and staff, institutional collaboration and system integrations across Europe. Moreover, although the Bologna Process gave formal recognition and created a framework for mobility of students and academics, qualification framework and quality assurance systems, most European universities already had a culture of academic mobility and higher education cooperation before the adoption of the Bologna Process. Thus, the European higher education harmonization process has evolved through time within the socioeconomic and political contexts of the region. The structural context which favored the harmonization of higher education systems in Europe does not exist in the context of Africa. Previous policy harmonization and regional integration initiatives have faced various challenges of institutional inefficiency, inadequate funding, lack of political commitment and weak coordination among different actors. As higher education reforms are context-specific, the question arises as to how the policy of harmonization of higher education systems in Africa can be implemented in a way that fosters greater regional integration, taking into consideration the African context. The current AU Harmonization Strategy is still in its infancy—the political, functional, and organizational processes are less coordinated in Africa than in Europe. After the endorsement of the African Higher Education Harmonization Strategy document by the third Conference of Ministers of Education of the African Union (COMEDAF III) in 2007 African higher education ministers started meeting every two years to evaluate the progress of the harmonization process and enrich the objectives of the AU higher education harmonization strategy. However, even though the African Higher Education Harmonization Strategy document clearly stipulates the principles of the process, there is no indication as to how these principles should be operationalized. The functional elements embedded in the African higher education harmonization process are also comparable with the Bologna Process at the theoretical level. In implementation terms, however, the functional elements of the Bologna Process are already in place in Europe, while they are only at pilot levels in Africa. Slow implementation in Africa is attributed to factors like poor top-down communication of the policy, excessive dependency on external funding, poor political commitment, fragmentation and duplication of processes and the less participatory nature of the policy in terms of bringing all stakeholders on board.

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Conclusion As globalization brings common challenges and opportunities for nations of different contexts, interdependence of policy processes becomes a common phenomenon. There is an increasing global understanding of the significance of close cooperation among countries through the sharing of resources and technologies, addressing common problems and exploring opportunities. Regionalization processes in this regard are frameworks of policy cooperation among nations of common interests within specific geographic areas. Historically, frameworks of interdependence have been developed on various socioeconomic and political issues through regional (supra-national) organizations since the 1950s. In this regard, Europe has been the pioneer of regional integration followed by other regional groupings in Latin America, Asia and Africa. Even though trade and economic issues have dominated the trends of integration in most regions for many years, the past three decades have shown that the issue of higher education integration and policy harmonization initiatives is emerging in many regions, including Africa. Among others, shared concerns on the issues of quality, relevance and recognition of qualifications, transferability of credits and the regulation of international branch campuses has necessitated regional dialogue over higher education policies. These issues are not only shared among higher education institutions across different regions but also demand a collective policy effort to address them, since the nature of the concerns transcends national jurisdictions. For long time, the African higher education system has been characterized as poor in quality, limited in access, suffering from brain drain, having deteriorating infrastructure, producing low research output and being poorly connected to the international knowledge system. These challenges have led most higher education institutions in Africa to experience difficulty competing in the global market for knowledge creation and dissemination. To address these historical challenges, the AU launched a higher education harmonization strategy in 2007 which is based on the experience of the Bologna Process of Europe. The AU higher education harmonization strategy is, however, an externally driven process that does not comprehensively accommodate the African context. The process itself is technically framed, mostly funded, often advised by European experts and sometimes administered by the European Commission. As a result, not only the direction of the policy and modalities of implementations have been highly directed along the Bologna lines but also facilitate the heavy involvement of external actors dictating the orientation of the harmonization process in Africa.

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References AU/EXP/EDUC/2 (III) Part II. 2007. Harmonization of Higher Education Programmes in Africa: A Strategy for the African Union. Addis Ababa: African Union. Berlin Communiqué. 2003. Realising the European Higher Education Area Communiqué of the Conference of Ministers Responsible for Higher Education. Berlin. Bologna Declaration. 1999. Joint Declaration of the European Ministers of Education. Bologna. Charlier, Jean-Émile and Sarah Croché. 2009. “Can the Bologna Process Make the Move Faster towards the Development of an International Space for Higher Education Where Africa Would Find its Place?” Journal of Higher Education in Africa 7(1&2):39–59. European Commission. 2013. Thematic Partnership on Migration, Mobility and Employment Action Plan 2011 – 2013 Fiches on Priority Initiatives. Addis Ababa: AUC and EUC. DeLong, Bradford J. and Steve Dowrick. 2003. “Globalisation and Convergence”. In Globalisation in Historical Perspective, edited by Michael D. Bordo, Alan M. Taylor, and Jeffrey G. Williamson, 191– 226. Chicago: University of Chicago Press. Eriksen, Erik Oddvar and John Erik Fossum. 2002. “Democracy through strong Publics in the European Union?” JCMS: Journal of Common Market Studies 40(3):401–424. Leung, Hing-Man. 2003. “The Effects of Learning on Growth-Divergence and Convergence-Club Memberships”. Singapore Management University: Working Paper. Okebukola, Peter A. 2014. “Emerging regional Developments and Forecast for Quality in Higher Education in Africa.” International Quality Group Annual Conference. Washington, D.C.: Council on Higher Education in Africa. Papon, Pierre and Rémi Barré.1993. “Science and Technology System: Institutions”. In World Science Report, 124-133. Paris: UNESCO. Rauhvargers, Andrejs. 2007. “The Diploma Supplement—a Useful Tool for Higher Education in Change?” Official Bologna Process seminar. Riga, Latvia. Ruffio, Philippe, Piia Heinamaki, and Claire Chastang Tchoukaline. 2010. “State of Play of the Bologna Process in the Tempus Countries of the Southern Mediterranean. A Tempus Study.” Education, Audiovisual and Culture Executive Agency, European Commission. Sawyerr, Akilagpa. 2004. “African Universities and the Challenge of

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Research Capacity Development.” Journal of Higher Education in Africa 2(1):213–42. Singh, Mala and Takyiwaa Manuh. 2007. “The Contribution of Higher Education to National Education System: Current Challenges in Africa.” AAU Newsletter 13(2). Sorbonne Declaration. 1998. “Joint Declaration on Harmonisation of the Architecture of the European Higher Education System.” By the Four Ministers in Charge for France, Germany, Italy and the United Kingdom. Paris. UNESCO Institute for Statistics. 2010. Global Education Digest 2010. Comparing Education Statistics across the World. Quebec: UNESCO Institute for Statistics. Vögtle, Eva Maria. 2010. “Beyond Bologna: The Bologna Process as a global Template for Higher Education reform Efforts.” TransState Working Papers 129. Bremen: University of Bremen. WENR. 2007. The Impact of the Bologna Process beyond Europe. Available at: http://wenr.wes.org/2007/04/wenr-april-2007-bolognaprocess-beyond-europe/ Woldegiorgis, Emnet Tadesse and Martin Doevenspeck. 2013. “The Changing Role of Higher Education in Africa: A Historical Reflection.” Higher Education Studies 3(6):35–45. Woldegiorgis, Emnet Tadesse 2013. “Conceptualizing Harmonization of Higher Education Systems: The Application of Regional Integration Theories on Higher Education Studies.” Higher Education Studies 3(2):12–23. Woldegiorgis, Emnet Tadesse, Petronella Jonck, and Anne Goujon. 2015. “Regional Higher Education Reform Initiatives in Africa: A Comparative Analysis with Bologna Process.” International Journal of Higher Education 4(1):241–253. Woldetensai, Yohannes. 2009. “Regional Harmonization of Higher Education for Africa: Background Document.” Accra, Ghana: Association of African Universities. Yizengaw, Teshome. 2008. “Challenges of Higher Education in Africa and Lessons of Experience for the Africa-US Higher Education Collaboration Initiative.” A Synthesis Report, based on Consultations between March–April 2008. Zgaga, Pavel. 2006. Looking out: The Bologna Process in a Global Setting. On the “External Dimension” of the Bologna Process. Oslo: Norwegian Ministry of Education and Research.

PART II: SOCIETAL FUNCTIONS AND MANAGEMENT OF HIGHER EDUCATION AND ACADEMIC RESEARCH

CHAPTER FOUR PRIVATE AND PUBLIC UNIVERSITIES IN KENYA AND TANZANIA: MISSIONS AND VISIONS BERNADETTE MÜLLER KMET1

Abstract The expansion of higher education in general, and the massive growth of the private sector in particular, has provoked discussions on different university types, their ownership, funding, access, educational inequalities and quality concerns. In this regard many publications address the public– private divide in the provision of higher education. This chapter points out that a simplifying differentiation along the dimensions of source of funding, governance and regulations, outcome and quality is not valid. The author suggests that, and investigates if, the difference between private and public universities in Kenya and Tanzania might be found in their missions and visions. A content analysis of the university websites reveals that some variations in mission and vision statements exist both in relation to the funding bodies as well as between the two countries.

Introduction Since the 1990s the number of newly established universities in eastern Africa and all over the African continent has grown rapidly. In 2010, the African university sector counted approximately 200 public and 450 private universities (Morley et al. 2010, 21). The rise of the private higher education sector is not unique to Africa; it can be observed throughout the world (Altbach 1999). One of the most cited reasons is the limited capacity of public institutions to deal with increasing numbers of students, 1

Department of Sociology, University of Innsbruck, Austria.

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so private institutions have emerged to supply the market. This demandabsorbing factor is most prevalent throughout the developing world (Levy 2013, 28). However, critical debates on the academic quality of private universities have arisen (Banya 2001; Ishengoma 2007; Ng’ethe, Subotzky, and Afeti 2008). A closer look at higher education institutions reveals that a simplified categorization into private and public universities is not valid. For instance, a core function of higher education is the proper preparation of highly qualified people for the labor market and for responsible positions within the country. Thus, higher education, regardless of the institution’s ownership, not only benefits the individual graduate but is also a public good because of its contribution to national wealth creation, to economic and social development, to cultural formation, to democratization and to social security and peacekeeping (Morley, Leach, and Lugg 2009; Marginson 2007; see also Chapter 3 by Haller in this volume). Furthermore, the public and the private sector are interrelated, for instance by staff sharing, operation under the same governmental regulations or the introduction of parallel programs for self-sponsoring students at stateowned universities (Oketch 2009). Thus, the question arises as to what extent universities with private or public ownership differ in their functions for the society and for the individual students, if at all. The author assumes that a variation might be found in the universities’ missions and visions. Mission and vision statements provide information on the values, objectives and the overall philosophy of an institution to both external (e.g. potential students, parents, accreditation bodies) and to internal stakeholders (e.g. students, faculty). If they are not pure rhetoric, they may guide individual decision processes, such as applying for a study place or a faculty position, and the institutional routines, such as teaching and providing services to the public. Assuming that different university types promote and implement varying missions and visions, this might have an impact on the societal function of university education. The chapter aims to compare the missions and visions of private universities to those of public universities in Kenya and Tanzania. I use a content analysis of websites of private and public universities to investigate schools’ mission and vision statements in relation to their funding bodies. Prior to this analysis the development of university education in Tanzania and Kenya will be outlined, and reasons for the growth of the private sector, current trends and the meaning of mission statements in general will be explored.

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Development of the University Sector in Kenya and Tanzania: A Brief History The foundation of modern university education in Kenya and Tanzania, like in many other African countries, was laid during the colonial era. In the east African region, Makerere College (in Uganda) founded 1922, a technical college at that time, was the first higher learning institution that educated students from the British East African territories of Kenya, Tanganyika and Uganda. More than 30 years later, in 1956, Kenya’s first higher educational institution, the Royal Technical College of East Africa, started to offer courses in engineering and commerce that were not offered at Makerere College. In 1961, the Royal Technical College was renamed the Royal College of Nairobi (Ngome 2003). In the same year, Tanganyika attained its independence and was the last country in the region to set up its first higher education institution as an affiliate College of the University of London, called University College of Tanganyika. In 1963, after Kenya attained independence, the Royal College of Nairobi turned into the University College of Nairobi. Together, the University College of Nairobi, the University College of Tanganyika and Makerere University College made up the University of East Africa (Mkude, Cooksey, and Levey 2003; Ng’ethe et al. 2008). After the dissolution of the University of East Africa in 1970, Kenya, Tanzania and Uganda set up their own national universities: University of Nairobi, University of Dar es Salaam and Makerere University. The number of university students in both Kenya and Tanzania was very small at that time; in 1970 just 2,027 Tanzanian and 2,800 Kenyan students were enrolled in a Tanzanian or Kenyan university. These numbers represented less than 0.5% of the corresponding age group (Mushi 2009; Hornsby 2013). By 2000, the Kenyan government had established five other public universities and a university college. Besides these public universities, eight private higher education institutions were accredited (Thaver 2003). According to the World Bank Indicators, the Kenyan tertiary gross enrollment rate had increased moderately between 1970 and 2000 up to 3% of the corresponding age group or up to 48,745 students (Republic of Kenya 2000). In 2013 the gross enrollment rate had increased up to 4%, but because of the huge population growth the number of students jumped up to 324,560 (Republic of Kenya 2014a). The Tanzanian tertiary gross enrollment rate lagged clearly behind the Kenyan numbers in 2000; only 1% of the Tanzanian corresponding age group attended one of the three public or six private universities. However, Tanzania had nearly caught up

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with Kenya in 2013 with a 3.6% gross enrollment rate (World Bank Indicators). According to the Tanzanian Commission for Universities 20 private universities and university colleges were registered besides the 11 public institutions; in total 218,959 students were enrolled, 144,157 in public and 74,802 in private universities and university colleges (Tanzanian Commission for Universities). Table 4.1: Number of universities and enrolled students in Kenya and Tanzania 1970, 2000, 2013 Kenya

Public universities enrolled students

Tanzania

1970/ 1971

1999/ 2000

2013/ 2014

1970/ 1971

1999/ 2000

2013/ 2014

1

7

22

1

3

11

2,800 41,825

276,349 2,027 11,807

144,157

Private Universities

1

8

17

---

6

20

enrolled students

5

6,920

48,211

---

539

74,802

Total universities

1

15

39

1

9

28

Total enrolled students

2,805 48,745

324,560 2,027 12,346

218,959

Sources: Tanzanian Commission for Universities; Kenyan Commission for University Education; Ishengoma 2003; Ngome 2003; Thaver 2003; Mushi 2009; Hornsby 2013

Munene (2015a), in his investigation into the commercialization of higher education in East Africa, demonstrated the important role of the political factor in university-system development. Contrary to the Tanzanian socialist development path, Kenya adopted a liberal-capitalist development path after independence. These two different political approaches had an impact on the missions, goals and structures of universities. One aim of Nyerere’s socialist government was to eliminate inequalities in the

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provision of education based on social class, gender, religion and ethnicity. Nyerere criticized the Tanzanian education system as being elitist, oriented to the interests of a small proportion of those who manage to enter the hierarchical pyramid of schooling and alienating pupils and students from the society for which they should be trained. (Kassam 1983). That was the reason the educational system was nationalized and centralized in 1967; private higher educational institutions were not accredited until 1997 (Mushi 2009). However, since then the political situation has changed; several laws and official guidelines, enacted in 1992 and 1999, have authorized private higher education institutions (Mushi 2009). By contrast, Kenya’s first private university, the United States International University opened its doors in 1970. The liberalcapitalist orientation as well as the prioritization of the private sector in the economy by the ruling party—the Kenya African National Union (KANU)—after independence facilitated the development of a wellestablished private higher education system. Thus, Ngome (2003, 365) writes, “Kenya is one of the few countries in Africa that has a welldeveloped private university system.” However, the situation has changed recently. While the 1990s and the early 2000s were the “golden age” of private universities in Kenya, the private sector has suffered from a market-share decline in recent years. Munene (2015b, 18) identifies three reasons for the decline: “… the loss of distinct identity, shift in government policy on higher education, and the resurgence of the public university sector.” Table 4.1 reflects a general pattern in African higher education: although private universities outnumber public universities in Tanzania, public institutions enroll many more students (Teferra and Altbach 2004, 33). About one-third (34.2%) of the Tanzanian students and 14.9% Kenyan students attend a private university (Tanzanian Commission for Universities, Republic of Kenya 2014). So the proportion of enrolled students in private universities is rather low in Kenya.

Sources of Growth—Signs of Demise? Expansion is the most investigated theme among private higher education and creative expressions like “mushrooming” or “massification” are used to describe this phenomenon. However, some authors already claim to observe a decline of the private sector (Levy 2013, Munene 2015b). For an introduction, let us have a closer look at the factors that have led to the rise and expansion of private higher education institutions.

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One of the most cited reasons for the emergence of private institutions was the limited capacity of public institutions to deal with increasing numbers of students, with private providers “filling the gap” in an “easy market” due to high student demand. This demand-absorbing factor is most prevalent throughout the developing world (Altbach 1999; Mabizela 2007; Levy 2013, 28). In Kenya, the imbalance between demand and supply has its origins in “the great expansion of public secondary and higher education in the late 1980s” (Thaver 2003). Tanzania experienced a similar increase in secondary-school enrollment figures in the 1990s (Mkude et al. 2003). Because of the higher numbers of secondary-school leavers, more students applied for a place at university, which overwhelmed the public sector. Ishengoma (2007) criticized the public higher education sector as elitist, since only a very small proportion of the eligible age group (1% in 2000; 3.6% in 2013) was enrolled in a Tanzanian higher education institution. Thus, the low admission rate to public universities provides clientele for the private sector. In addition, several local as well as global factors facilitate the growth of private higher education institutions in Africa. One factor is the need for variety and differentiation of both institutions and study programs. (Thaver 2003, Mabizela 2007). Closely connected to this are the needs of specific groups in society (e.g. religious communities, ethnic groups, female or working students; Morley et al. 2010). Indeed, Ishengoma (2007) argues that religious groups in Tanzania, especially the Roman Catholic Church, played a crucial role in establishing the precursors of higher education and upgrading them to universities because of their need to educate special manpower for church-owned institutions such as hospitals and schools. He even argues further that a “stiff competition among major religious denominations to establish higher education institutions as one of their strategies to consolidate their spheres of influence among their followers” (ibid, 88) is the main reason for the growth of private universities. Likewise, in Kenya, the four oldest private universities are all affiliated to Christian churches (Banya 2001). The needs of special groups and the localization of universities fall together when it comes to ethnic groups in Kenya. “In nearly all universities and university colleges outside the cosmopolitan capital city of Nairobi, institutional leadership reflects the ethnicity of the locality.” (Munene 2013, 13). The picture is different for Tanzania because of the socialist heritage imprinted on Tanzanian society by Julius Nyerere, who succeeded in weakening ethnic ties in order to enforce national unity. In terms of education, Nyerere’s main political aim was not only to increase enrollment figures but also to eliminate inequalities based on social class,

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gender, religion or ethnicity (Mushi 2009). However, in both Kenya and Tanzania the majority of public universities were located in the capital and other urban areas for a long time, and did not offer part-time programs. New private universities could easily establish their campuses in regions where there had been nothing on offer before. Additionally, private universities are flexible in terms of time. Employed students who wish to enroll in part-time programs are those who are able to pay the tuition fees (Mabizela 2007). Poor working and study conditions at public universities can influence staff and students to apply at better-equipped private institutions that sometimes offer high-quality lectures. Even though the higher quality of private institutions cannot be generalized, some of them have more resources like United States International University Africa in Kenya (Ngome 2003). Better quality education is perceived as an important asset in the labor market. Students are more likely to choose those institutions and programs which they expect to give them better opportunities to enter the labor market. The issue of quality is a frequently mentioned topic, together with private sector growth. The expansion of private universities has attracted criticism regarding deteriorating educational and academic quality: lack of qualified lecturers, increasing student–teacher ratios, overcrowded classrooms, weak research output, lack of learning and teaching resources (i.e. poorly equipped libraries, shortage of computer rooms, non-operating internet etc.), high unemployment rates among the graduates and poor compliance with labor market needs (Banya 2001; Ishengoma 2007; Ng’ethe et al. 2008; World Bank 2009; Müller and Haller 2012). However, quality concerns and problems are challenges both for private and public institutions. I will come back to this argument in more detail later. In addition, a “global education market” contributes to the growth and spread of universities across borders, either virtually or on-site. Universities located in developed countries but also in other African or developing countries open offshore satellite campuses or enter international collaborations and partnerships (i.e. joint degrees) in Africa (Oyewole 2009). Sehoole and Knight (2013, 6) define “cross-border education” in the context of internationalization of higher education as “the movement of people, programmes, providers, policies, knowledge, ideas, projects and services across national boundaries.” Some authors (Altbach 2006; Ball 2009) criticize the provision of education in developing countries by Western providers, arguing that the main reason for exporting education services is profit-seeking behavior. Furthermore, Ball (2009, 95) stresses

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that the international education “private sector is the instrument of a form of re-colonialization.” In recent literature, evidence indicates that the private sector is already in a crisis (Levy 2013; Munene 2015). Levy (2013) divides the causes of decline into sociological and political factors. The former represent a decreasing interest in distinctive types of institutions (i.e. religiously affiliated universities). The latter refer to policies in favor of public expansion and partial privatization in the public sector. This becomes most strikingly evident in Kenya, where public universities have introduced module II programs for privately sponsored students who pay the full costs of their university education. In addition to the government-sponsored students on a merit-based selection, tuition-fee paying students have been admitted to module II programs since 1998 in order to generate new funds in the face of decreased public funding. The dual-track system has led to a large growth of the public higher education sector and has reduced the private share, even though university enrollment in private universities increased in total student numbers. This development leads to a harsh competition between the private and the public sector for affluent feepaying students (Otieno and Levy 2007). In Kenya module II students outnumber students enrolled in private universities (Levy 2013) and in at least two of Kenya’s largest public universities (Kenyatta University, University of Nairobi) there are more module II students enrolled than those in the regular program. Munene (2015b, 19) describes the decision for enrolling in a module II program of a public university after not succeeding in getting a state-sponsored study place as “first second choice” because of the “prestige historically attached to public universities”. The dual-track system might be dangerous for the rise of new social exclusions in the educational system. Students from the highincome group who attend the best and most expensive primary and secondary schools are more likely to obtain the high grades required for free university education (Sawyerr 2004). By contrast, the dual-track system does not play such an important role in the Tanzanian higher education system because of tuition fees and a loan system for all students, even for those enrolled in private universities (Marcucci, Johnstone and Ngolovoi 2008). Current trends of the public–private mix in the provision of higher education leads us to the next section in this paper: the meaning of private and public in the context of higher education.

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Challenging the Public–Private Divide The Universities Regulations of the Republic of Kenya (2014b, 477) provide a simple dichotomous definition of private and public universities, with the source of funding being the differentiating element: “‘Private university’ means a university which is established or maintained out of funds other than public funds; ‘public university’ means a university established and maintained or assisted out of public funds”. However, current trends of privatization in the public sector show that public universities need to engage in income-generating activities like establishing module II programs or selling services to the market in order to gain additional revenue from private sources. Munene (2015a) describes this development as “marketization of the university”. As a result of this shift towards the marketplace, both public and private universities face the following challenges: (1) academic programs need to be designed to meet market demands and to have immediate utility, e.g. in the labor market or for community development; (2) university autonomy is partly undermined by market-based incentives and sanctions; (3) competition in the market gets fiercer both between institutions and between academics. Another simplifying definition criterion applied by the Tanzanian Commission for Universities is the ownership or governance of the institution. Thus, private universities are not state owned or governed but they act under state regulations, with respect to, for example, quality assurance and the accreditation process, in most countries. In Tanzania, the Tanzanian Commission for Universities regulates the accreditation of both public and private universities. However, in the former case this is rather a formality (Ishengoma 2007). Furthermore, the Tanzanian Commission for Universities is responsible for monitoring and assuring the quality of all higher education institutions. Similarly, the Kenyan Commission for University Education acts as a national regulation and quality assurance body for both private and public universities in Kenya. However, the positive effect of such accreditation bodies on quality has sometimes been doubted. Makulilo (2012) criticized Tanzanian educational policies for focusing mainly on increasing graduates and neglecting quality issues. For instance, the Tanzanian Commission for Universities accredited more than 20 universities and colleges in only six years. Higher education institutions always produce private and public goods regardless of their providers (Marginson 2007). These include private goods such as superior social status or high income as well as public goods such as knowledge and human resources which are crucial for the socio-

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economic development of a country. Furthermore, there are interdependencies between public and private universities in terms of teaching staff; many part-time lecturers of private universities are recruited from public universities. This practice is called “moonlighting”, with academics supplementing their meager governmental salary by lecturing at private institutions, or working as consultants or in other non-university jobs (Hayward 2010, 42; Singh 2011, 356). It is evident that not only does this side-lining have a negative impact on the quality of private universities but it also affects public universities in an undesirable way: low or nonexistent publication records, and little time to supervise students and prepare quality lectures. Given the highly diverse quality of private higher education institutions, ranging from the best in the world to dubious enterprises (Altbach and Levy 2005, 7), quality is not a good differentiation criterion either. It seems that evaluated quality of private and public universities depends to a large extent on the personal university affiliation of the investigators. Since assessing the quality of universities is a difficult task, a multidimensional concept should be used. Such a concept has to take into account several dimensions such as transparent criteria for student admission, serious teaching standards, satisfactory study conditions based on student evaluations and objective indicators like the student–teacher ratio, selection of faculty by criteria based on merit, competitiveness of research output and qualification and a well-maintained infrastructure. In addition, in developing countries, higher education should produce knowledge and skills for socio-economic development and for political participation in evolving democracies (Samoff 2007; Atuahene 2011; Singh 2011). Concerning the quality concerns in the course of higher education expansion, partly due to a growth of the private sector and partly to the dual-track systems of the public sector, it should be repeated again that both public and private sector are affected and interrelated. At any rate, it is not the aim of this chapter to evaluate the respective quality of the private and public sectors. Positive effects of the competition between private and public universities might arise for both types of institutions because of improvement of university and quality regulations (Hayward 2010). To sum up, a clear divide between private and public higher education institutions according to the above dimensions (sources of funding, governance and regulations, outcomes, quality) does not capture the educational reality in Tanzania, Kenya or many other African countries. Still, the question remains, what makes the difference? Maybe the answer could be found in the mission of the universities. The focus of this paper is

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therefore to explore the following research question: do the university missions vary in content across different university types?

Missions of Universities Today, mission statements are ever-present in organizations in general and in particular in higher education institutions. Professional literature provides instructions for writing mission statements and business consultants offer their services to accomplish this task. The following quote provides an advertisement of an online provider that underlines the importance of having a mission statement. A mission statement defines in a paragraph or so any entity’s reason for existence. It embodies its philosophies, goals, ambitions and mores. Any entity that attempts to operate without a mission statement runs the risk of wandering through the world without having the ability to verify that it is on its intended course. (https://www.missionstatements.com/)

A “mission” is a general description of an institution’s basic purpose in a broad sense. A mission provides both internal and external orientation towards the goals and purpose of an institution (Davies and Glaister 1996). While the former aspects fulfill a self-defining function as an integral part of corporate identity, the latter aims at a self-presentation to the public. In this vein, mission statements can be defined as written products of missions in order to attain visibility. Davies and Glaister (1996, 265) identified in business literature four basic functions of mission statements: (1) definition; (2) explanation to external stakeholders; (3) establishment of a starting point for the strategy process; and (4) motivation and inspiration of employees within the institution. The vast body of managerial, marketing and organizational literature on the nature of mission and vision statements cite the Ashridge mission model that was developed in the course of a research project at the Ashridge Strategic Management Centre in UK. It contains four elements: “purpose (why the company exists), strategy (the competitive position and distinctive competence), values (what the company believes in) and behavior standards (the policies and behavior patterns that underpin the distinctive competence and the value system)” (Campbell and Yeung 1991: 13). In this model, the values occupy a crucial position insofar as the commitment of employees to their company is strongest when personal values match those of the company. The utility of mission statements for institutions has created controversy in the literature (Morphew and Hartley 2006, 456ff.). Some underline the

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instructional and motivating benefit within the institution as well as the communication of values and characteristics, both to stakeholders and to the general society (Hartley 2002). According to this understanding, clear mission statements provide direction in order to help members in setting up the respective activities (e.g., prioritizing them) to reach institutional goals. Others criticize that mission statements are often formulated so vaguely that any commitment to a corporate identity or the setting of priorities is successfully avoided. Mission statements aim to be as general as possible in order to grant maximal institutional flexibility. However, mission statements fulfill a legitimating function to stakeholders, the general public, students and parents, accrediting agencies and board members (Davies and Glaister 1996). In a historical analysis, Scott (2006) extracted six missions of universities: the (1) teaching mission together with the (2) research mission are the two core missions of university (mission interplay) that emerged in a medieval pre-nation state context in Bologna and Paris. Around 1800 the German (Humboldtian) universities emphasized mainly research albeit combined with teaching. With the rise of the nation states, the missions of (3) nationalization, (4) democratization and (5) public service gained in importance. The monarchies of western Europe first nationalized their universities in order to serve the government. The democratization mission originates from US colleges and universities around 1800 and refers to the aim of nation states to widen participation in higher education. The public service mission also developed first in US higher education institutions. It focuses on the transmission of knowledge to the public through services like, for example, consultancy or applied research projects. (6) In the 21st century the internationalization mission is added with universities becoming interdependent worldwide through treaties and global organizations like the European Union, the African Union, the Association of Southeast Asian Nations etc.2 With regard to the marketization imperative of universities in an era of expansion, constructing and communicating the mission to external stakeholders (e.g. potential students and parents, future faculty members, accreditation bodies, potential sponsors) are crucial activities for the institution’s identity, existence and persistence. In this vein, mission statements become a distinctive element in the higher education market and the loss of a distinctive identity can even be the cause of decreasing student numbers as Munene (2015b) has shown for Kenyan religious2

For a detailed description see Chapter 3 in this volume written by Emnet Tadesse Woldegiorgis entitled “The African Union Higher Education Harmonization Strategy and Context from Bologna Process.”

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affiliated universities. It is not only private and new higher education institutions that are in need of clear mission statements: “traditional universities must think carefully about their own missions and programs in the competitive environment of the 21st century.” (Altbach 2006, 106) The distinctive character of missions leads me to the following general assumption: Mission statements will vary across different university types. The historical perspective applied by Scott (2006) illustrates that different missions reflect the salience of certain functions of university education for society and for the individual in different historical eras. Given the fact that African nation states are historically quite young projects, the missions that are closely related with the rise of the nation state—besides the teaching and research missions—will be highly relevant for Kenyan and Tanzanian public universities. Thus, I would propose as the first hypothesis: Public universities will emphasize the nationalization, democratization and public service missions (e.g., national development, national identity and unity, community development, educating public servants and leaders). (Hypothesis 1) By contrast, the private, for-profit sector emerged predominantly as a result of market demands and the governmental failure to respond to it effectively. This sector consists of many multinational, higher education enterprises and also has the goal of making a profit (Altbach 2006). Therefore, private, for-profit institutions will stress the needs of the market, emphasizing access to the labor market and internationalization. (Hypothesis 2) The majority of private non-profit universities are affiliated with religious denominations. Thus, the mission of religiously affiliated private universities will be closely linked to the values and objectives of the founding religious communities. Thus, my third hypothesis is that private, non-profit universities will stress moral values, church services, serving the poor and improving society. (Hypothesis 3).

Study Design and Selection of Universities To investigate the above hypotheses I conducted a content analysis of mission and vision statements. The statements were obtained from university websites. All accredited universities in Kenya and Tanzania (by June 2014) that published a mission and vision statement on their website were selected for the analysis. University colleges and higher education institutions offering entirely religious curricula were excluded from the analysis. In addition, a documentary analysis of “The Universities Act” and “Universities Standards and Guidelines” published by the Tanzanian

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Commission for Universities and the Kenyan Commission for University Education brought useful insights (Commission for University Education 2014; Republic of Kenya 2014b; United Republic of Tanzania 2013). Furthermore, the eligible universities were categorized into (a) public universities, (b) religiously affiliated non-profit private universities; (c) secular non-profit private universities; and (d) for-profit private universities. Table 4.2: Categorization of selected universities in Tanzania and Kenya Public

Kenya Tanzania Total

21 9 30

Non-profit private Religiously affiliated 13 10 23

For-profit private

Secular 2 1 3

2 3 5

Table 4.2 reveals that the vast majority of Tanzanian and Kenyan private universities are religiously affiliated. A variety of Christian denominations and sectarian divisions are summarized under this category with the exception of only two accredited Muslim institutions in Tanzania. In Kenya no Muslim university has yet been accredited. Furthermore, a rather small for-profit private sector seems to exist in both countries. This insight corresponds with the findings of Thaver (2003) but is challenged by Ishengoma (2007) who argues that most of the Tanzanian private universities operate for-profit in a disguised way. Given increasing “marketization” and “privatization” of the public sector through incomegenerating activities (Oketch 2009; Teferra 2013; Munene 2015a), a differentiation along for-profit and non-profit criteria seems to be difficult, if not impossible. The mission and vision statements were coded with Maxqda, a software for analyzing qualitative data. The following section presents the identified elements that were extracted from the mission and vision statements.

Findings Nearly all Kenyan and Tanzanian universities published their mission and vision statements, sometimes together with objectives, core values, philosophy and/or motto, on their websites. The simple reason for the

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widespread use of these statements may be that both the Kenyan Commission for University Education and the Tanzanian Commission for Universities demand mission and vision statements for the accreditation process. Indeed, “The Universities Act, CAP. 346” (2013, 7) implies that institutions seeking accreditation in Tanzania need to prove the compliance of programs with the institution’s vision and mission in order to substantiate quality. Unlike the Tanzanian Commission for Universities, the Commission for University Education (2014) of Kenya sets clear guidelines in a document entitled “Universities Standards and Guidelines” for the formulation of universities’ missions and visions statements that should “clearly and succinctly indicate its strategic direction.” (p. 3): 1) The Vision statement shall clearly outline what the university desires to be; 2) The Mission statement shall incorporate elements of the universities business purpose and values, succinctly describing why it exists and what it does to achieve its vision; 3) Statements of Vision and Mission shall be prominently displayed and appear in key documents of the university; and 4) The Philosophy of the University shall be clearly stated. (ibid, 3–4) The second point of the above guidelines includes similar elements as the Ashridge mission model, purpose, strategy, values and behavior standards (Campbell and Yeung 1991). The third point with the requirements for accreditation of the Tanzanian Commission for Universities explains the constant presence of missions and visions on universities’ websites. The systematic collection and coding of the mission statements showed that they vary quite a bit in length but less so in content. Some institutions described their mission and vision in only one sentence, others filled one or more pages. The analysis of the mission statements revealed that the traditional core missions of universities, teaching and research, are the most widely used elements among all university categories, the research mission being somewhat less present in the private sector. It may be true in the universities’ practice as well, since the majority of Tanzanian private universities are newer than their public counterparts, resulting in fewer non-tenure track faculty members and smaller publication records. Furthermore, education and research are always mentioned together with the adjective good quality or even high quality. Tanzanian public universities (Table 4.4) seem to lay the focus to a larger extent on missions connected to the nation state, such as public service (8 out of 9), national and socio-economic development (7 out of 9)

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in comparison to Kenya where barely half of the public universities mention national development (10 out of 21) in the mission statement; the public service mission is not mentioned frequently (Table 4.3). Instead, the Kenyan public universities additionally apply elements in their missions that indicate an orientation towards the market, e.g., innovation (10 out of 21), global orientation (5 out of 21) and consultancy (4 out of 21). This finding may be evidence for the two different paths of higher education policy in the two east African countries as stated by Munene (2015a). The author argued that the different political paths which have been applied since independence, a more capitalist and market-oriented approach in Kenya versus the legacy of Julius Nyerere’s socialist orientation, find their expression in the missions, goals and structures of universities even today. Thus, Hypothesis 1 is true for both countries but in addition Kenyan public universities’ mission statements reflect market orientation as well. Table 4.3: Most frequently used elements among mission statements, Kenyan universities Public (n = 21)

Non-profit private (N = 15)

For-profit private (n = 2)

Quality education (1) Quality research (1)

Quality education (2) Quality research (1)

Innovation (10)

Religiously affiliated (n = 13) Christian education (9) Educate leaders/ human resources (7) Moral values (6)

Moral values (1)

National development (10) Global orientation (5)

Quality research (6) Community development (5)

Global orientation (1) Educate leaders (1)

National development (1) Personal prosperity (1) Security (1)

Consultancy (4)

Quality education (4) Holistic education (4)

African context (1)

Quality education (19) Quality research (17)

Secular (n = 2)

Public service (1) Innovation (1)

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Table 4.4: Most frequently used elements among mission statements, Tanzanian universities Public (n = 9)

Quality education (9) Quality research (9) Public service (8) National development (7)

Non-profit private (N = 11) Religiously affiliated (n = 10) Quality education (10) Quality research (5) National development (6) Public service (3) Holistic education (3) Widening participation (3) Service to God (2) Consultancy (2) Employability (2)

For-profit private (n = 3)

Secular (n = 1) Quality education (1) Moral values (1) Public service (1)

Quality education (3) Quality research (2) National development (1) Global orientation (1) Consultancy (1) Public service (1) Moral values (1)

The findings regarding religiously affiliated universities in Kenya partly verify Hypothesis 3. About two-thirds (9 out of 13) of the mission statements in the religiously affiliated private sector focus on (Christian) religion and nearly half of them (6 out of 13) contain moral values. Surprisingly, in Tanzania only a few religiously affiliated private universities relate their mission to religious ends, moral values or serving the poor. It is difficult to give a clear explanation for this finding. Two possible factors could be pivotal: first, a potential loss of distinct identity; second, less competition among religious denominations in Tanzania. These two factors might cause less necessity for differentiation through distinct self-definition among religiously affiliated higher education institutions in that country. Again, this high tolerance among religious groups could be traced back to Julius Nyerere’s efforts in creating a sense of national unity, regardless of the religious denomination or ethnic community (Müller 2012). This high religious tolerance can be observed at a Tanzanian private Catholic university that offers religious services not only to Roman Catholic students but also to students belonging to other Christian denominations and even to Muslim students by providing a mosque or a room for church services. By contrast, there might be a

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harsher climate in relations between religious groups in Kenya due to recent fundamentalist terroristic aggression, e.g., the Garissa University College attack on 2 April 2015 when 148 people were killed on campus by Al-Shabaab gunmen. It is difficult, if not impossible, to draw any generalizations from the data for the private for-profit sector because of the small number of such institutions both in Kenya and Tanzania. Therefore, Hypothesis 2 cannot be investigated. Table 4.5: Most frequently used elements among vision statements, Kenyan universities Public (n = 21)

World-class university (14) Excellence in research (14) National development (9) Excellence in teaching (8) Service to humanity (5) Innovation (5)

Non-profit private (N = 15) Religiously affiliated (n = 13) Christian education (7) Transformation of society(6) Moral values (6) Excellence in research (6) World-class university (5) Excellence in teaching (4) Global orientation (3) African orientation (3)

For-profit private (n = 2)

Secular (n = 2) Excellence in research (2) Excellence in teaching (2) Community development (1) Global orientation (1)

African orientation (2) World-class university (1) National development (1) Excellence in research (1) Excellence in teaching (1) Global orientation (1) Innovation (1)

In contrast to the mission statements, the vision statements are orientated towards future achievements and plans. In this regard, a large proportion of the Kenyan universities are quite optimistic, with two-thirds of the public institutions wishing to become a “world-class university” and about a third of private universities sharing the same vision (Table 4.5). Here, Tanzanian public universities are more modest: only 2 out of 9 try to achieve this aim but half of the religiously affiliated universities aspire to it (Table 4.6). Quite a large proportion of Kenyan universities want to

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reach excellence in research and teaching. While nearly half of the Kenyan public universities (9 out of 21) wish to engage in national development, two-thirds (6 out of 9) of the private religiously affiliated universities want to contribute to a transformation of society. This result is in line with a study conducted by Morphew and Hartley (2006, 465–66) in the US which showed that private universities are more committed to transforming the world or the society and educating next-generation leaders and human resources. By contrast, public universities are more concerned about preparing citizens. Of course, the national development theme is not as prevalent in higher education institutions in the US as it is in east Africa. However, this finding cannot be applied for the Tanzanian context, where the transformation of the society does not play such an important role. Table 4.6: Most frequently used elements among vision statements, Tanzanian universities Public (n = 9)

Excellence in research (8) Excellence in teaching (6) National development (6) Community service (4) National service (5) Global orientation (3) African context (3) Sustainability (3) World-class university (2)

Non-profit private (N = 11) Religiously affiliated (n = 10) Excellence in teaching (7) Moral values (6) Excellence in research (4) Service to humanity (3) World-class university (5) Service to nation (3) Consultancy (3) Christian education (2) Global orientation (2)

For-profit private (n = 3)

Secular (n = 1) High quality research (1) High quality teaching (1) National development (1) Widening participation (1) Holistic education (1)

Excellence in teaching (2) Excellence in research (2) National development (2) Community service (2) African orientation (1)

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Discussion and Conclusion A content analysis of mission and vision statements of Kenyan and Tanzanian universities published on the institutions’ websites revealed the normative element of such statements because they are required for the accreditation process by external stakeholders such as national accreditation bodies (see also Morphew and Hartley 2006). Thus, “they serve a legitimating function” (ibid, 458). This function is of the utmost importance for the accreditation process. I assume that university managements tend to use those elements that are likely to be in line with national policy agendas to enhance the likelihood of getting accredited. The findings indicated that mission and vision statements vary across university types and across Kenya and Tanzania. However, no completely clear patterns emerged from the analysis. It became obvious that the traditional research and teaching mission were the most frequently used mission components. Regarding the vision statements, the Kenyan public universities especially, and to a smaller extent the Kenyan private universities, aim to achieve “world-class university” status and/or strive for excellence in teaching and research. While ambition is not a fault in itself, it would make more sense to focus on national or sub-Saharan African conditions where educating employable graduates and/or job creators as well as applied research in the African context should be top of the agenda. There is a tendency for Tanzanian public universities to stress the nationalization and the public service mission more frequently, while Kenyan public universities are more likely to use elements that are connected to the market, the “marketization” of universities or the internationalization mission. The democratization mission is a little underrepresented across all investigated universities; only a third of religiously affiliated universities in Tanzania, for instance, mention their special efforts on widening participation. I suggest the addition of “marketization mission” as a seventh mission to the six missions of universities proposed by Scott (2006) because of the stronger market orientation of both private and public universities through e.g., incomegenerating activities such as admitting self-sponsored students to module II programs or engaging in consultancies. The consistent presence of the mission and vision statements on universities websites indicates their high importance to external stakeholders. In this vein, they provide a definition and in particular an explanation to those stakeholders. According to Davies and Glaister (1996), two further functions of mission statements have been neglected in

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this study; the establishment of a starting point for the strategy process and motivation and inspiration of employees within the institution. Which impact do institutional missions and visions have on internal stakeholders, such as faculty and staff? Are they only rhetorical statements without any internal impact or do they correspond with the values of faculty and students and guide behavior? These subsequent research questions cannot be answered by a content analysis of university websites. Darbi (2012) provided an attempt in this direction by investigating the potential impact of universities’ missions and visions on employee behavior and attitudes in Ghana. The results showed that although the staff were aware of institutional mission and vision statements, the majority hardly knew anything about the content of those statements and therefore the impact on their behavior and attitudes was very limited. By contrast, a study conducted at a Tanzanian private Catholic university revealed that more than half of the students said that “living a religious, spiritual life” was among their three most important goals in life (Müller and Haller 2012). This result might be evidence of the impact of the institutional mission on the values of enrolled students. This effect could be due to the conscious selection of the university because of their religious affiliation, to the curriculum (i.e., courses on ethics for all students) or to the commitment of faculty staff to the university’s mission and vision. The first argument is supported by a study conducted at six US universities and colleges. Results showed that courses in ethics and religious studies influence students’ attitudes towards business ethics (Comegys 2010). However, the third argument must be doubted. Considering the high proportion of parttime faculty members, especially at private universities, the commitment to the institution is likely to be rather low. Thus, further research on the topic is needed to investigate the effect of mission and vision statements on internal stakeholders.

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Samoff, Joel. 2007. “Institutionalizing International Influence.” In Comparative education, edited by Robert F. Arnove, and Carlos Alberto Torres, 47–77. Lanham, MD: Rowman & Littlefield. Sawyerr, Akilagpa. 2004. “African Universities and the Challenge of Research Capacity Development” Journal of Higher Education in Africa 2(1):211–240. Scott, John C. 2006. “The Mission of the University: Medieval to Postmodern Transformations” The Journal of Higher Education 77(1):1–39. Sehoole, Chika and Jane Knight (eds.). 2013. Internationalisation of African Higher Education Towards Achieving the MDGs. Rotterdam, Boston and Taipei: Sense Publishers. Singh, Mala. 2011. “Equity and Quality in the Revitalisation of African Higher Education: Trends and Challenges.” Research in Comparative and International Education 6(4):348–365. Teferra, Damtew. 2013. “Funding Higher Education in Africa: State, Trends and Perspectives.” Journal of Higher Education in Africa 11(1&2):19–51. Teferra, Damtew and Philip G. Altbach. 2004. “African Higher Education: Challenges for the 21st Century.” Higher Education 47(1):21–50. Thaver, Bev. 2003. “Private Higher Education in Africa. Six Country Case Study.” In African Higher Education: An International Reference Handbook, edited by Damtew Teferra, and Philip. G. Altbach, 53–60. Bloomington & Indianapolis: Indiana University Press. United Republic of Tanzania. 2013. The Universities Act (CAP. 346). The Universities (General) Regulations, 2013. Government Notice No. 226. Available at: http://www.tcu.go.tz/images/pdf/GN%20226%20UNIVERSITIES%20 GENERAL%20REGULATIONS.pdf World Bank. 2009. Accelerating Catch-Up: Tertiary Education for Growth in Sub-Saharan Africa. Washington, D.C.: The World Bank.

CHAPTER FIVE EMPLOYABILITY SKILLS INDICATORS AS PERCEIVED BY EMPLOYERS IN THE FREE STATE PROVINCE OF SOUTH AFRICA PETRONELLA JONCK1 AND RENEÉ MINNAAR2

Abstract Previous research on graduate employability was focused, for the most part, on the supply-side perspective, subsuming curriculum design and teaching methods, while there is a paucity of research from the demandside perspective that emphasizes employers’ views. The purpose of this chapter is to identify indicators of perceived graduate employability as determined by employers in the Free State province of South Africa. The sample consisted of 503 employers from the public and private sector in the Mangaung area. Data were gathered by means of an unabridged questionnaire based on an employability skills model with a Cronbach’s alpha reliability coefficient of 0.96 and an inter-item correlation of 0.405340. Pearson product-moment correlation and multiple regression analysis were performed to test the hypothesis. It was observed in this study that the 12 items measured predicted the variance in perceived employability with a R2 value of 1. The three graduate attributes that predicted the majority of the variance were interpersonal skills, personal and career management and, lastly, academic skills. It is recommended that future research be conducted nationally to validate the current findings, after which it could be used to improve higher education curricula.

1 2

National School of Government, Pretoria, South Africa. Central University of Technology, Bloemfontein, South Africa.

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Introduction In higher education there is currently an emphasis on the development of graduates who are deemed employable in the sense that they possess the key attributes, capabilities and dispositions necessary for successful employment. The aforementioned emphasis on graduate employability stems from international concern over graduate unemployment (Green, Hammer and Star 2009, 17). Research conducted by Omar, Manaf, Mohn, Kassim and Aziz (2012, 104) indicated that in the United Kingdom a fifth of reported vacancies could not be filled as a result of skills shortages. This is also the case in Malaysia, where 70% of graduates remain unemployed within six months of graduation. In India, 25% of graduates are perceived as “employable” and in China this figure decreases to 10% (Gamble, Patrick and Peach 2010, 536), providing support for the notion that there is no statistically significant relationship between enhanced skills provision at higher education institutions and increased probability of employment (Cranmer 2006, 171; Hinchliffe and Jolly 2011, 3). Statistics provided by Statistics South Africa’s Quarterly Labour Force Survey indicated that South Africa has high levels of unemployment (4.6 million people in quarter 3 of 2013). Graduate unemployment, standing at 5.2% according to Statistics South Africa (2013, 46), is a cause for concern, especially because, despite the situation 829,800 vacancies remained vacant because of skills shortages (Sharp 2013). This discrepancy between skills shortages and graduate unemployment might be ascribed to graduate attributes not being aligned with the industry’s expectations of graduates. This alignment is vital if South Africa is to reduce unemployment, especially among its graduates. Employers are no longer just searching for a candidate who can do the job, i.e., has the necessary qualifications, but for an applicant who possesses certain attributes or characteristics that would lead to increased productivity and workplace success (Coetzee 2008, 10). Furthermore, previous research into graduate employability has for the most part focused on the supply-side perspective, examining curriculum design and teaching methods. There has been little investigation from the demand-side perspective using employers’ views on graduate employability. Drawing on the work of others, Bezuidenhout (2011, IV) undertook a study to develop and evaluate a measure of graduate employability. Results indicated that the concept of employability remains ambiguous and that there is a lack of empirical studies regarding the foundation of employability, in particular when it comes to developing accurate measures to assess the employability of graduates.

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According to a study by Litchfield, Frawley and Nettleton (2010, 532), in which representatives of professional bodies were interviewed for their perspective on graduate employability, stakeholders will continue to search for the “perfect” graduate to employ. The study did not contextualize the research by including employers in the sample, however. In another study conducted by Bath, Smith, Stein and Swann (2004, 313), university lecturers at an Australian institution responsible for implementing graduate attributes in their curriculum were used as a case study. The study relied on the students’ perceptions of their own development of graduate attributes, which is subjective at best. Beukes (2010, 4) conducted a study regarding the employability and emotional intelligence of learners in the school-to-work transitional phase. The findings of this study, conducted with a sample of Grade 9-12 FET (Future Education and Training) and undergraduate students, concluded that the respondents’ level of employability was significantly related to their level of emotional intelligence. The study relied primarily on the insights of students, and thus emotional intelligence cannot be seen as the only relevant measure in which employability can be enhanced (Beukes 2010, 131). Muldoon (2007, 151) elaborated on the work of Chapman (2004) who developed a “graduate attributes resource guide” for use at the University of New England, but only used examples in the guide from staff members working at the university. The aim of this guide was for lecturers to understand how attributes can be included in the curriculum. No mention was made of research from the employers’ perspective, to ascertain whether the attributes were relevant to employability. However, Muldoon (2007, 156) briefly referred to the view of employers on the extracurricular activities implemented to foster employability skills. Nationally, Griesel and Parker (2009, 12) used 99 employers’ responses (from the private sector in the Johannesburg area) for their study of South African universities and their graduates’ employability skills. They concluded that there were discrepancies between the expectations of the employers and the outcomes of higher education, in terms of task-directed engagement and application of knowledge. This is in spite of research results indicating that employers appreciated the conceptual foundation, knowledge and intellectual approach to tasks which was a result of higher education (Griesel and Parker 2009, 19). The 99 respondents were not adequate as a representative sample of the South African industry as they were based primarily in the Johannesburg area, and only private-sector employers were included in the study. The South African economy can be seen as a mixed economy, in which the public sector plays an important role in conjunction with the private sector (Diale

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2012, 687). Moreover, South Africa has been deemed a democratic developmental state in which government, and thus the public sector, plays a fundamental role in the economy (Gumede 2008, 91). This notion was articulated by Maserumule (2012, 188) who posited that South Africa was a type of state wherein the government ought to be a key stakeholder with reference to driving socio-economic transformation and growth. In addition, employers need to be reasonable when creating job descriptions and their expectations of graduates should be realistic. The “ideal” or “perfect” employee referred to in the studies by both Griesel and Parker (2009, 20) and Litchfield et al. (2010, 519) may not exist, and the industry should be aware of which attributes are flexible and can be taught, and which are formal employer expectations. According to Jones (2007, 11) a challenge for employers is actively engaging graduates from Generation M (those born after 1992), who are involved in changing the societal and organizational behavior to be part of a more fluid movement of employability. Generation M graduates are motivated by engaging and challenging opportunities and the challenge for employers might be to recognize these new characteristics and provide the current generation with practical ways of learning (Jones 2007, 12). The research results discussed in this chapter will address the shortcomings of previous research by investigating employability from the employers’ perspective in a large sample consisting of 503 employers from various public and private sectors. The latter can be divided into finance and banking, construction, logistics and transportation, hospitality, service delivery and diverse sectors. Data were gathered by means of a questionnaire based on previous work done by De Jager (2004, 95) who developed an employability skills model to predict the perceived employability of graduates. The purpose of this chapter is therefore to identify indicators of perceived graduate employability as determined by employers in the Free State province, South Africa. More specifically the study focused on the capital of the Free State which is referred to as the Mangaung area. The main research question is: “Do the 13 skills that are supposed to be embedded in all higher education curricula statistically significantly predict the variance in perceived graduate employability from the employers’ perspective?” For the purpose of this study the supposition is that as generic skills increase, so does discipline-related knowledge and consequently employability, as observed by Bath et al. (2004, 313–314). According to Lees (2002, 13) there are two main concepts of employability: the graduate’s ability to get a job, and the educational concept relating to graduates being equipped for a job and being capable of being employed.

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These two main concepts of employability manifest themselves in formal curricula in the form of graduate attributes and critical cross-field outcomes (CCFO). Furthermore, Lees (2002, 13) stated that the concept of employability exceeded certain key skills, observing that the four areas of enhancing employability identified by Knight and Yorke (2002, 261) should be used to develop curricula and increase employability. The four areas include knowledge and understanding of the subject, developing skills, self-efficacy beliefs and strategic thinking or reflection (Knight and Yorke 2002, 263). Rasul, Rauf and Mansor (2013, 42) add an additional dimension to the definition of employability by referring to employability skills as those abilities that will enable graduates to prove their value to the organization and are consequently paramount to job survival, and indicative of a sustainability dimension to employability (Coetzee 2008, 10; Mason, Williams and Granmer 2009, 2). Butcher, Smith, Kettle and Burton (2011, 3) as cited in Jackson (2013, 101) indicated that graduates should be confident that their knowledge, skills and capabilities are appropriate, but also have the ability to articulate this to potential employers. As stated by Litchfield et al (2010, 532), several of the skills referred to as graduate attributes are already embedded in professional curricula, the challenge is to focus on them by explicitly and systematically encouraging them among students. Overcoming this challenge might lead to increased employability. The increasing number of universities focusing on the development of graduate attributes, and the quality assurance which complements this, have resulted in increased pressure to not only ensure that generic skills are developed through the proper use of curricula, but also proper documentation and record keeping (Bath et al. 2004, 313). Continuing pressure from various stakeholders also persistently influences research in the field of graduate attributes, as well as aligning the attributes that are sought after by industry to the attributes that graduates possess (Litchfield et al. 2010, 532). Crossman and Clarke (2010, 600) contend that research on the correlation between higher education and the industry is far from satisfactory, despite public debate relating to the issue.

Theoretical Framework Graduate unemployment can be viewed from either the supply (higher education) or demand (industry) side. With reference to the former, educational theory is used to develop curricula and focuses, for the most part, on skills formation (Moore and Hough 2005, 5). The main purpose of tertiary education and by extension educational theory is to ensure that

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graduates gain an ample education that increases the likelihood of employability (Omar et al. 2012, 103). However, educational theory, of which the Human Development or Capabilities theory is one, focuses on a plurality of values including but not limited to knowledge generation, professional preparation, cultural knowledge and enlightenment of the public sphere (McLean, Abbas and Ashwin, 2012, 1). From an economic perspective, i.e. from the demand side, labor can be seen as a production factor. The quality of labor—the skills and knowledge of employees (including graduates)—is referred to as human capital (Le Grange 2011, 1040). Human Capital Theory is used to assess the influence of graduates on the economy in terms of wages and salaries (Baxen, Nsubuga and Botha 2014, 95; Van der Merwe 2009, 398). According to Bridgstock (2009, 31) the Human Capital Theory classifies education as a primarily economic enabler which is essential for participation in the global knowledge economy. A basic assumption among employers is that when students graduate, they already possess the correct mix of skills and knowledge to be employable (Núñez and Livanos 2010, 475–476). Different perspectives based on different theories might lead to discrepancies in terms of the readiness of graduates and the needs and expectations of industry. The common denominator between the abovementioned theories is that both aim to increase employability. In order to overcome challenges in the South African labor market, there ought to be greater cohesion between higher education and the labor market, specifically with reference to employability (Bath et al, 2004). This can be done by aligning higher education curricula with the needs and expectations of business and industry. A growing body of research centers on graduate attributes or generic skills in relation with employability (Gokuladas and Menon 2014, 21; Nair, Patil and Mertova 2009, 132; Omar et al. 2012, 103; Selvadurai et al. 2012, 295). Graduate attributes, according to Jacobs and Strydom (2014, 63) can be referred to as attributes (including information, skills and aptitude) which university graduates should possess after having completed their studies. Discipline-specific and generic skills are two broad categories within graduate attributes. Thus the term graduate attributes is intended to include a range of personal and professional qualities, skills and dispositions, coupled with the ability to understand discipline-related knowledge (Thompson, Treleaven, Kamvounias, Beem and Hill 2008, 36). Bridgstock (2009, 31) outlines a conceptual model for attributes which need to be present for graduates to be employable. These include career management, self-management, careerbuilding skills, generic skills, discipline-specific skills, employability skills, traits and dispositions. However, from the above-mentioned study it

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is clear that generic skills are not the only attributes which employers are looking for when recruiting graduates (Bridgstock 2009, 31). Skills or outcomes which employers deem as important also include CCFO. These CCFOs are important for each student to acquire during their studies. The CCFOs, according to De Jager (2004, 232) include problem solving, teamwork, self-responsibility, research skills, communication, technological and environmental literacy as well as macro-vision skills. Both graduate attributes as well as CCFO are vital to consider when developing curricula.

Theoretical Hypothesis Taking the literature review and theoretical framework detailed above into account, the purpose of this study is to evaluate indicators of perceived graduate employability as determined by employers from the Mangaung area. This objective will be investigated using the following null hypothesis: employability skills including graduate attributes and CCFO do not statistically significantly predict graduate employability as determined by employers in the Mangaung area.

Research Methodology In light of the proposed objectives, purposes and hypothesis, a descriptive, cross-sectional quantitative method was adopted. It is appropriate to describe a population phenomenon as accurately as possible at a specific point in time based on data gathered by means of administering a measuring instrument concurrently, without repeat measures. Questionnaire data were obtained from 503 employers in the Mangaung area. An almost equal number of public (n = 253) and private (n = 250) sector respondents were included in order to increase the rigor of the study. The majority were line managers (n = 275), human resources managers or officers (n = 100), branch managers (n = 56), department heads (n = 45), and sole proprietors (n = 24). The reason for including these categories was to gain a robust evaluation of graduate employability skills from various stakeholders. Employability skills as deemed important by a human resource officer, for example, might differ from those of the direct supervisors of the employees in question (i.e. the line managers). In addition, a sole proprietor might attach more weight to different employability skills as opposed to someone with limited vested interests. The categories also followed the managerial hierarchy from middle management to top management—for example, from line manager to a HR officer, branch manager, and head of department. The only addition

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being the sole proprietor which might encompass all of the mentioned categories, with the addition of vested interests. A full description of the demographic composition of the sample is provided in Table 5.1. Since one of the employability skills measured was research skill, students from a research methodology class at a University of Technology in the above-mentioned area were used as fieldworkers in the datagathering phase. The questionnaire and consent form were posted on an elearning site and each student had to go to five organizations employing graduates to complete a questionnaire for credits. In order to ensure the rigor of this procedure, each questionnaire had to be stamped by the organization although respondents remained anonymous. Confidentiality was ensured in view of the fact that the researchers were not involved in the data collection procedure. Data were collected using an unabridged measure based on an employability skills model developed by De Jager (2004, 95) as part of a doctoral study which yielded a reliability coefficient of 0.96 as measured by Cronbach’s alpha and an inter-item correlation of 0.405340. The data collection measure contains 48 items divided into two sections, as well as five demographic questions pertaining to position, age, gender, academic qualification and sector. The two sections measured seven CCFO and six graduate attributes, respectively. With reference to the former, respondents were asked to evaluate graduates’ problem-solving skills, teamwork, self-responsibility, research skills, communication, technological and environmental literacy (i.e. using science and technology effectively, including a sense of responsibility towards the environment and the health of others) and lastly macro-vision skills (i.e. demonstrating an understanding that the world consists of inter-related systems by taking into consideration that problem-solving contexts do not exist in isolation). Graduate attributes were measured via items related to job-seeking skills, academic skills, personal and career management, interpersonal skills, work ethics and computer literacy (De Jager 2004, 98). The rationale for using the above data collection measure could be found in the definition of employability by Yorke and Knight (2006, 5) that includes four broad, inter-related components, viz. skillful practice (communication, self-management including time and resources); specialization in a field of knowledge (academic skills); efficacious beliefs about personal identity and self-worth; and meta-cognition (self-awareness and capability to reflect on actions). All of which are included in the data collection instrument. Both sections were measured on a four-point rating scale where 1 represented total disagreement and 4 full agreement. Jonck and Minnaar (2015, 230) validated the measuring instrument by means of exploratory and confirmatory factor analysis which yielded a four-factor

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solution accounting for 55.819% of the variance in graduate employability skills. Additionally, maximum likelihood and robust statistics were used to determine the fitness of the model and based on the recommendations made by McIlveen, Burton and Beccaria (2013, 135) it was established that the four-factor graduate employability skills measuring scale represented a good fit (Jonck and Minnaar 2015, 235). Cronbach’s alpha coefficient for the present study was 0.97 for the total scale with alpha coefficients for the various subscales ranging from 0.863 to 0.922. Descriptive and inferential statistics were calculated using the Statistical Package for Social Sciences (SPSS). Responses were coded and captured on SPSS version 20 and, after setting up the workbook, analyses were performed. Descriptive statistical analysis included frequencies, percentages and cumulative percentages and was used to provide a profile of the respondents. To test the hypothesis, Pearson’s product-moment correlation was performed followed by a multiple regression analysis. The study conformed to prescribed ethical guidelines with human participants. Written information was given to respondents concerning the aims, objectives and outcome of the study that they took part in. Respondents were also informed about voluntary participation and their right to withdraw at any time without detriment. Furthermore, assurance was given with regard to confidentiality, anonymity and protection from physical and psychological harm. Written consent was obtained from all respondents without which respondents were excluded from the final sample.

Results Information obtained by means of the demographic questions provided a well-defined description of the sample. The results are depicted in Table 5.1 overleaf. A short synopsis of the demographic information provided indicated that the majority of the respondents were line managers (n = 275; 55.27%), followed by human resources managers (n = 100; 19.88%). Branch managers (n = 56; 11.13%), heads of departments (n = 45; 8.95%) and sole proprietors (n = 24; 4.77%) made up the remainder of the sample. The majority of respondents were in the 30–39 years (n = 231; 45.92%) and 40–49 years (n = 164; 32.60%) of age categories. The demographic distribution was skewed towards men with 290 (57.65%) male and 213 (42.35%) female respondents. Most of the respondents held a diploma or degree (n = 283; 56.26%) followed by a postgraduate qualification of some sort ascribed to the seniority of the respondents. In a study by Jonck

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(2014, 2621–262) the influence of biographical variables on employability skills were investigated and it was determined that position statistically significantly influenced personal/career management as well as interpersonal skills on the 95th percentile and work ethics on the 99th percentile. Age statistically significantly influenced both technological and environmental skills as well as interpersonal skills on the 95th percentile. Gender only influenced self-responsibility skills at the 5% level, while sector yielded no statistical significant differences. Academic qualification was the independent variable that had the most statistical significant influence on employability skills. Thus, the favorable versus unfavorable evaluation of graduates’ employability skills was largely determined by the academic qualifications of the employer (Jonck 2014, 262). Table 5.1: Profile of the respondents Variable

Position

Age

Gender

Academic qualification

Level of the variable HR Manager/Officer Branch Manager Head of Department Line Manager Sole proprietor 20-29 years 30-39 years 40-49 years 50-59 years 60+ years Male Female Grade 12 Diploma/Degree Honours’ degree Master’s degree Doctoral degree

Frequency

%

100

19.88

Cumulative % 19.88

56 45

11.13 8.95

31.01 39.96

278 24 71 231 164 29 1.59 290 213 38 283 128 47 7

55.27 4.77 14.12 45.92 32.60 5.77 1.59 57.65 42.35 7.55 56.26 25.45 9.34 1.39

95.23 100 14.12 60.04 92.64 98.41 100 57.65 100 7.55 63.82 89.26 98.61 100

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In order to determine the relationship between the different employability skills measured, a Pearson product-moment correlation coefficient was performed. The results are illustrated in Table 5.2 below. As can be seen all the variables were statistically significantly correlated to each other on the 99th percentile. The variable that had the weakest association with almost all the other variables were computer literacy, with the exclusion of a moderately strong relationship to academic skills (r = 0.428; p ” 0.001) and interpersonal skills (r = 0.416; p ” 0.001). The strongest associations were observed between interpersonal skills and various other employability skills such as personal and career management (r = 0.781; p ” 0.001), work ethics (r = 0.767; p ” 0.001) and academic skills (r = 0.745; p ” 0.001). This was followed with a strong association between academic skills and other variables including personal and career management (r = 0.682; p ” 0.001), job seeking skills (r = 0.659; p ” 0.001) and work ethics (r = 0.644; p ” 0.001). Multiple regression analyses were conducted to investigate the relationships further and to test the main research question, which was: Do the individual CCFO and graduate attributes statistically significantly predict the variance in perceived graduate employability from the employers’ perspective? Results are shown in Table 5.3 below. Note that because of computer literacy’s weak association with the other variables it was omitted from the multiple regression analysis.

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Technological and environmental literacy Develop macro-vision skills Job seeking skills

Communicati on skills

Selfresponsibility skills Research skills

Variables Problemsolving skills Teamwork skills

2

1

0.380 0.000* * 0.442 0.000* * 0.477 0.000* * 0.350 0.000* *

0.441 0.000* * 0.339 0.000* *

1 1

0.455 0.000* * 0.554 0.000* * 0.584 0.000* * 0.559 0.000* * 0.384 0.000* *

0.533 0.000* * 0.436 0.000* *

0.424 0.000* * 0.383 0.000* *

0.463 0.000* * 0.416 0.000* * 0.274 0.000* *

1

3

0.468 0.000* * 0.389 0.000* *

0.552 0.000* * 0.407 0.000* *

1

4

0.517 0.000* * 0.427 0.000* *

0.448 0.000* *

1

5

0.487 0.000* * 0.355 0.000* *

1

6

0.402 0.000* *

1

7

1

8

9

10

11

12

13

Table 5.2: Pearson’s product-moment correlation results indicating the relationship amongst employability skills measured

118

0.529 0.000* * 0.463 0.000* * 0.475 0.000* * 0.346 0.000* * 0.286 0.000* *

* p ” 0.05; ** p ” 0.01

Computer literacy

Work ethics

Personal/ career management Interpersonal skills

Academic skills

0.395 0.000* * 0.369 0.000* * 0.361 0.000* * 0.313 0.000* * 0.166 0.000* *

0.435 0.000* * 0.422 0.000* * 0.465 0.000* * 0.401 0.000* * 0.193 0.000* *

0.474 0.000* * 0.422 0.000* * 0.424 0.000* * 0.312 0.000* * 0.258 0.000* *

0.501 0.000* * 0.389 0.000* * 0.432 0.000* * 0.314 0.000* * 0.293 0.000* *

0.426 0.000* * 0.426 0.000* * 0.325 0.000* * 0.244 0.000* * 0.311 0.000* *

0.551 0.000* * 0.358 0.000* * 0.488 0.000* * 0.379 0.000* * 0.270 0.000* *

0.659 0.000* * 0.491 0.000* * 0.591 0.000* * 0.575 0.000* * 0.323 0.000* * 0.682 0.000* * 0.745 0.000* * 0.644 0.000* * 0.428 0.000* *

1

Employability Skills Indicators as Perceived by Employers

0.781 0.000* * 0.722 0.000* * 0.366 0.000* *

1

0.767 0.000* * 0.416 0.000* *

1

0.35 6 0.00 0**

1

1

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Problem-solving skills Teamwork skills Self-responsibility skills Research skills Communication skills Technological and environmental literacy Development of macro-vision skills Job seeking skills Academic skills Personal / career management skills Interpersonal skills Work ethics R2 (R2 adjusted) R2 F change Sig F change * p ” 0.05; ** p ” 0.01

Variables

Perceived employability Un-standardised coefficients Standardised coefficients Ǻ Standard error t Ǻ 0.002 0.001 0.035 20.401 0.019 0.001 0.031 21.242 0.020 0.001 0.034 22.499 0.021 0.001 0.039 24.139 0.022 0.001 0.036 22.123 0.024 0.001 0.041 28.391 0.020 0.001 0.035 21.461 0.125 0.001 0.150 87.314 0.172 0.002 0.194 89.801 0.227 0.002 0.251 109.899 0.213 0.002 0.253 110.552 0.106 0.001 0.145 73.518 0.999 0.999 60224.546 0.000**

0.000** 0.000** 0.000** 0.000** 0.000** 0.000** 0.000** 0.000** 0.000** 0.000** 0.000** 0.000**

p

Table 5.3: Multiple regression analysis with perceived employability as dependent variable and all statistically significant variables as independent variables

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According to Table 5.3 all the skills included in the model statistically significantly predict perceived employability as determined by employers in the Mangaung area, Free State. It is noteworthy, however, to mention that there might be other employability skills that were not included in the model. Consequently, the questionnaire also contained an open-ended question in which respondents were requested to identify additional employability skills not included in the quantitative section of the measuring instrument. Results from the open-ended question suggested that emotional and cultural intelligence, business acumen, customer service and creativity were additional employability skills (Jonck, 2014, 272). In terms of joint contribution, Table 5.3 shows that all the skills measured, with the exclusion of computer literacy, added with a R-square value of 0.999 (F = 60 224.546; p ” 0.01). This indicates that 100% of the variance in perceived employability can be explained by the 12 predictor variables. In terms of individual contribution, the largest portion of the variance in perceived employability can be attributed to interpersonal skills (ȕ = 0.253), accounting for 25.3% of the variance. This was followed by personal and career management. The Beta value for the latter is 0.251, accounting for 25.1% change in the variance of the dependent variable. Academic skills contributed with a Beta value of 0.194 indicating that 19.4% of the variance in perceived employability can be ascribed to academic skills. These three variables jointly predict 70% of perceived employability. Job-seeking skills and work ethics followed with Beta values of 0.150 (15%) and 0.145 (14.5%) respectively. The majority of the variance in perceived employability can be attributed to graduate attributes, while the CCFO that are supposed to be included in all highereducation curricula contribute minimally to perceived employability as determined by employers in the Mangaung area.

Discussion of Results The result of the statistical analysis showed that interpersonal skills and personal plus career management were the two employability skills that most influenced employers’ perception of graduate employability. These were followed by academic skills in third place. CCFO such as communication and research skills contributed minimally to perceived employability. These results confirm in part a study by Gokuladas (2011, 318), which indicated that academic skills coupled with communication skills significantly enhance the employability of graduates. That study only focused on engineering graduates, however, while the current study included various sectors. A study by Rasul and colleagues (2013, 42) in

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the manufacturing field found that attributes of employability deemed essential by employers were problem-solving skills, the ability to develop creative or innovative ideas, work safety, integrity and customer service, to mention but a few. Similarly, Nair and associates (2009, 137) point out that the shortcomings with reference to graduate attributes in the engineering field were related principally to communication, problemsolving, leadership and social ethics skills. This study refutes these findings since problem-solving skills only contributed 3.5% of the variance in perceived employability. The results of the present study however confirms those of Dhiman (2012, 370) who found that employers in the tourism industry ranked aspects such as cross-cultural competence, flexibility, multitasking, risk identification, estimation and control, in addition to avoiding problems rather than solving them, as imperative to employability. These skills can be categorized under interpersonal skills and personal and career management. In light of the empirical results discussed, the null hypothesis which stated that employability skills do not statistically significantly predict perceived graduate employability is rejected.

Limitations of the Study Because students were used as fieldworkers non-random sampling might have adversely influenced the external validity of the study. In addition, the study was limited to one particular province in South Africa. Consequently, results cannot be generalized to the larger population of employers. It is recommended that random sampling be used to generate a nationwide sample.

Conclusion Global trends in higher education and unemployment of graduates have led to questions with regard to the employability of the aforesaid. Research results at both national and international levels indicated concerns with regard to skills shortages in the face of graduate unemployment, supporting the notion that there is no statistically significant relationship between enhanced skills provision at higher education institutions and the increased probability of employment. Research on the employability of graduates emphasises the endeavors of higher education institutions to address the relevant concerns coming from business and industry. Continuing pressure from various stakeholders also persistently influences research in the field of graduate attributes, capabilities and dispositions, as

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well as aligning the aforementioned which are highly sought after in the industry to those attributes that graduates possess. Researchers contend, however, that research on the correlation between higher education and industry is far from satisfactory, despite public debate relating to the issue. To date, no consensus has been reached regarding graduate attributes, although the quantitative results from this study indicate that employability skills including graduate attributes and CCFO’s can predict graduate employability up to 100%, as determined by the employers that were questioned. This study could be used as a benchmark for a national study to determine what employers consider important when it comes to graduate attributes and graduate employability. The findings from the proposed national study could be used in further research activities to determine how to effectively integrate employability skills into current higher education curricula. It would also be useful to develop a national framework or policy document to implement employability skills into the core curriculum of all higher education institutions in a uniform manner including proper documentation, record keeping and quality insurance. Currently, most higher education institutions research the topic of graduate employability individually, which might lead to some graduates being more employable than others. South Africa, with its history of inequality, should strive to eradicate any form of inequity especially when it comes to employability.

References Bath, Debra, Calvin Smith, Sarah Stein, and Richard Swann. 2004. “Beyond Mapping and Embedding Graduate Attributes: Bringing Together Quality Assurance and Action Learning to Create a Validated and Living Curriculum.” Higher Education Research and Development 23(3):313–327. Baxen, Jean, Yvonne Nsubuga, and Liz J. Botha. 2014. “A Capabilities Perspective on Educational Quality: Implications for Foundation Phase Teacher Education Programmes Design.” Perspectives in Education 32(4):93–105. Beukes, Christopher J. 2010. “Employability and Emotional Intelligence of the Individual Within the School-to-Work Transition Phase.” Magister diss., University of South Africa. Bezuidenhout, Mareli. 2011. “The Development and Evaluation of a Measure of Graduate Employability in the Context of the New World of Work.” Magister diss., University of Pretoria.

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Bridgstock, Ruth. 2009. “The Graduate Attributes We’ve Overlooked: Enhancing Graduate Employability Through Career Management Skills.” Higher Education Research and Development 28(1):33–44. Butcher, Val, Judith Smith, Jane Kettle, and Laila Burton. 2011. Review of Good Practice in Employability and Enterprise Development by Centres for Excellence in Teaching and Learning. Summary Report. London, United Kingdom: HEFCE. Chapman, Lynne. 2004. Graduate Attributes Resource Guide – Integrating Graduate Attributes into Undergraduate Curricula. University of New England: Armidale. Coetzee, Melinde. 2008. “Psychological Career Resources of Working Adults: A South African Survey.” South African Journal of Industrial Psychology 34(2):10–20. Cranmer, Sue. 2006. “Enhancing Graduate Employability: Best Intentions and Mixed Outcomes.” Studies in Higher Education 31(2):169–184. Crossman, Joanna E. and Marilyn Clarke. 2010. “International Experience and Graduate Employability: Stakeholder Perception on the Connection.” Higher Education 59:599–613. De Jager, Hermina C. 2004. “Employer Expectations and Prospective Employee Realities: A Model to Address the Need for Employable Skills.” PhD diss., North-West University, Vaal Triangle Campus. Dhiman, Mohinder C. 2012. “Employers’ Perception about Tourism Management Employability Skills.” Anatolia – An International Journal of Tourism and Hospitality Research 23(3):359–372. Diale, Abel J. 2012. “The Importance of State-Business Relations in Advancing Developmental Goals in South Africa – The Case for Corporate Social Responsibility.” Journal of Public Administration 47(3):684–694. Gamble, Natalie, Carol-joy Patrick, and Deborah Peach. 2010. “Internationalizing Work-Integrated Learning: Creating Global Citizens to Meet the Economic Crisis and the Skills Shortages.” Higher Education Research and Development 29(5):535–546. Gokuladas, Vivek K. 2011. “Predictors of Employability of Engineering Graduates in Campus Recruitment Drives of Indian Software Services Companies.” International Journal of Selection and Assessment 19(3):313–319. Gokuladas, Vivek K. and Sandhya Menon. 2014. “Hired for Attitude and Trained for Skills’ Engineering Graduates Employability in Indian Software Service Industry.” The UIP Journal of Soft Skills VIII (2):21– 38. Green, Wendy, Sara Hammer, and Cassandra Star. 2009. “Facing Up to

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the Challenge: Why Is It so Hard to Develop Graduate Attributes?” Higher Education Research and Development 28(1):17–29. Griesel, Hanlie and Ben Parker. 2009. “Graduate Attributes. A baseline Study on South African Graduates from the Perspective of Employers.” Pretoria: Higher Education South Africa and The South African Qualifications Authority. Gumede, William M. 2008. Thabo Mbeki and the Battle for the Soul of the ANC. Cape Town: Zebra. Hinchliffe, Geoffrey W., and Adrienne Jolly. 2011. “Graduate Identity and Employability.” British Educational Research Journal 37(4):563–584. Jackson, Denise. 2013. “The contribution of Work-Integrated Learning to Graduate Employability Skills Outcomes.” Asian-Pacific Journal of Cooperative Education 14(2):99–115. Jacobs, Cecilia and Sonja Strydom. 2014. “From ‘Matie’ to Citizen – Graduate Attributes as Signature Learning at Stellenbosch University.” The Independent Journal of Teaching and Learning 9:63–74. Jonck, Petronella. 2014. “A Human Capital Evaluation of Graduates from the Faculty of Management Sciences Employability Skills in South Africa.” Academic Journal of Interdisciplinary Studies 3(6):265–274. Jonck, Petronella and Reneé Minnaar. 2015. “Validating an Employer Graduate-Employability Skills Questionnaire in the Faculty of Management Sciences.” Mediterranean Journal of Social Sciences 6(2):230–237. Jones, Peter. 2007. “The IPod and the Phone: Wired and Mobile, Characteristics of the Millennium Generation.” Orion Journal of International Hotel Management 2:11–14. Knight, Peter and Mantz Yorke. 2002. “Employability Through the Curriculum.” Tertiary Education and Management 8(4):261–276. Lees, Dawn. 2002. Graduate Employability. Cornwall, UK: University of Exeter. Le Grange, Lesley. 2010. “Human Capital, (Human) Capabilities and Higher Education.” South African Journal of Higher Education 25(6):1039–1046. Litchfield, Andrew, Jessica Frawley, and Skye Nettleton. 2010. “Contextualising and Integrating into the Curriculum the Learning and Teaching of Work-Ready Professional Graduate Attributes.” Higher Education Research and Development 29(5):519–534. McLean, Monica, Andrea Abbas, and Paul Ashwin. 2012. “Pedagogic Quality and Inequality in Undergraduate Degrees.” Paper presented at an International Research Seminar on Higher Education and Human Development, Bloemfontein, South Africa, June 11–12.

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McIlveen, Peter, Lorelle Burton, and Gavin Beccaria. 2013. “A short Form of the Career Futures Inventory.” Journal of Career Assessment 21(1):127–138. Maserumule, Mashupye H. 2012. “Disource on the Concept of a Developmental State in South Africa: A Deconstructive Approach.” Journal of Public Administration, 47(1):180–207. Mason, Geoff, Gareth Williams, and Sue Granmer. 2009. “Employability Skills Initiatives in Higher Education: What Effects Do They Have on Graduate Labour Market Outcomes?” Education Economics 17(1):1– 30. Moore, Tim and Brett Hough. 2005. “The Perils of Skills: Towards a Model of Integrating Graduate Attributes into the Discipline.” Paper presented at the Language and Academic Skills in Higher Education conference, Canberra, Australia, November 24–25. Muldoon, Robyn. 2007. “The New England Awards: Providing Student Development Ppportunities through Cross-Campus and External Collaboration.” Asian-Pacific Journal of Cooperative Education 8(2):149–162. Nair, Chenicheri Sid, Arun Patil, and Patricie Mertova. 2009. “ReEngineering Graduate Skills – A Case Study.” European Journal of Engineering 34(2):131–139. Núñez, Imanol and Ilias Livanos. 2010. “Higher Education and Unemployment in Europe: An Analysis of the Academic Subject and National Effects.” Higher Education 59:475–487. Omar, Nik H., Azmi A. Manaf, Rusyda H. Mohd, Arena C. Kassim, and Khairani A. Aziz. 2012. “Graduates’ Employability Skills Based on Current Job Demand through Electronic Advertisement.” Asian Social Sciences 8(9):103–110. Rasul, Mohamad, Rose Rauf and Azlin Mansor. 2013. “Employability Skills Indicators as Perceived by Manufacturing Employers.” Asian Social Sciences 9(8):42–46. Selvadurai, Sivapalan, Er Ah Choy, and Marlyna Maros. 2012. “Generic Skills of Prospective Graduates from the Employers’ Perspective.” Asian Social Sciences 8(12):295–303. Sharp, Loane. 2013. “Economy Desperately Needs High-Skills Workers” – Adcorp. http://www.adcorp.co.za/NEws/Pages/SA%E2%80%99seconomydesp eratelyneedshigh-skilledworkers.aspx (accessed May 21, 2014). Statistics South Africa. 2013. Quarterly Labour Force Survey. Report No 03. Pretoria, Statistics South Africa. Thompson, Darral, Lesley Treleaven, Patty Kamvounias, Betsi Beem, and

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Elizabeth Hill. 2008. “Integrating Graduate Attributes with Assessment Criteria in Business Education: Using an Online Assessment System.” Journal of University Teaching and Learning Practice 5(1):34–48. Van der Merwe, Alex. 2009. “A Comparison of the Labour Market Expectations and Labour Market Experiences of New Graduates.” South African Journal of Higher Education 23(2):398–417. Yorke, Mantz and Peter Knight. 2006. Embedding Employability into the Curriculum. New York: The Higher Education Academy.

CHAPTER SIX MANAGING ACADEMIC RESEARCH FOR POLICY IMPACT IN GHANA: THE MISSING INGREDIENT GEORGE K.T. ODURO1 AND GEORGINA Y. ODURO2

Abstract Globally, knowledge generation through research is considered fundamental to the operations of higher educational institutions. Through student theses and dissertations, a faculty- and university-wide research agenda, universities generate huge amounts of knowledge every year. Yet one wonders to what extent such knowledge actually benefits policymaking. It is believed that most academic research in Sub-Saharan Africa is triggered by a compelling demand for research-based, peer-reviewed publications to meet criteria for promotions. In contemporary times, however, there is increasing demand for universities to make their operations relevant to the values, aspirations and developmental needs of society, which calls for rethinking the rationale for academic research. Within the sub-theme research facilities and management of research, this paper explores the extent to which research facilities and research processes at Ghanaian universities are managed to impact positively on social policy. Using Ghana as a case, this chapter examines the motivating factors which influence academic staff engagement in research activities; facilities available for supporting research in Ghanaian universities; challenges associated with managing such research facilities; and the gaps between research and policy. It also provides recommendations for 1 2

Centre for Continuing Education, CCE, University of Cape Coast, Ghana. Department of Sociology and Anthropology, University of Cape Coast, Ghana.

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making research-based knowledge effective for policy formulation and implementation.

Introduction We begin this chapter on the premise that “knowledge is a pillar of the wealth and power of nations” (Bernheim and de Souza Chaui 2003). Indeed, 21st century societies across the world are experiencing “a new economic and productive paradigm in which the most important factor ceases to be the availability of capital, labour, raw materials or energy but rather the intensive use of knowledge and information.” Admittedly, the impact of knowledge on socio-economic and political development may differ among developed, developing and underdeveloped countries, but whatever the development of a nation, knowledge plays a critical role and cannot be dispensed with. It is within this context that research activity becomes paramount. Certainly, knowledge cannot be generated without a research activity. According to Manheim (1977), research is “the careful, diligent and exhaustive investigation of a specific subject matter, having as its aim the advancement of mankind’s knowledge” (cited in Kouwenhoven, Oduro and Nsiah-Gyabaah 2009, 116). In the view of Sharma (2007) research is: The systematic enquiry or investigation, which involves gathering and analysing information, contributes to knowledge, better understanding of a problem and its solution. Research provides reliable information to guide the development process and therefore it includes the wide variety of activities by physical scientists in the laboratory and social scientists in searching for new facts and knowledge.

Nsiah-Gyabaah and Ankomah (2009) argue that “without research, the world would be vastly different from what we know today.” Research contributes a great deal to the growth and development of nations. It is also key to evidence-based knowledge that informs socio-economic policies. Research-based knowledge is critical for Africa—the continent that is hardest hit by conflicts and poverty, which pose the greatest security threat to any nation (Oduro and Opoku-Agyemang, 2010). These authors observe that governments in Africa continue to grapple with the challenges of hunger, poverty, diseases, environmental degradation, malnutrition, ethnic and political conflicts, falling standards in education, unemployment, drug trafficking, transport problems, legal battles, and other socio-political and economic issues that are relevant for promoting human security. In light of this, the role of scientific research becomes

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prominent. As Gyekye, Osae and Effah (2005) put it, science—and its output, technology—have long been recognized as pillars of modernization and societal development. Research provides the requisite knowledge to formulate adequate policies which are necessary for accelerating the development of society. This resource has become more reliable with the advent of modern technology. For example, information and communications technology (ICT) has increasingly become an accelerative tool for enhancing different forms of knowledge to advance the development agenda. Indeed, an analyst of information and media in Africa remarked that “the ICT sector has the capacity to help transform Africa and allow the continent to become a fully joined up member of the global knowledge economy” (cited in Darkwa 2008).

The Research Context In view of the increasing awareness of the importance of evidence-based knowledge, universities in Sub-Saharan Africa and elsewhere are expected to provide the knowledge base for policy formulation. Our functional analysis of universities in Sub-Saharan Africa suggests that they have the mandate for performing a three-tier function that focuses on (i) generating knowledge through research (ii) disseminating that knowledge by means of teaching, conferences, seminars and publications and (iii) engaging in extension services that involve the applying knowledge to solve societal problems and supporting policy-making and implementation. At the center of these three functions, however, is the generation of knowledge. In their analysis of knowledge diversion and knowledge creation within the context of emigration, Kuhn and McAusland (2006) underscored the importance of knowledge to society by succinctly describing the generation of knowledge as “producing a public good”. Indeed, globally, knowledge generation through research has become fundamental to the operations of higher educational institutions. In South Africa, for example, the higher education sector (including universities) contributes approximately 34% of the country’s research and development initiatives. Each university on the African continent continues to explore opportunities for enhancing its research operations through various structural initiatives. This is exemplified by the Africa Nazarene University (ANU) in Nairobi, which, in accordance with its research mandate, established an Institute of Research, Development and Policy (IRDP) to enable it to “participate in the discovery, transmission and preservation of knowledge, thereby stimulating and encouraging continued ethical, intellectual and cultural

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development in Africa” (Republic of Kenya 2002). The university’s research orientation is conveyed as follows: ANU aims to be the premier research institute in the region by developing the capacity of its students and staff to do meaningful research, and by collaborating with internationally recognized partners to generate, preserve, and transfer knowledge that will transform the lives of our students, staff, and of communities within our sphere of influence. IRDP’s goal is to become unparalleled in its growth, promotion, and protection of research at ANU and in the region (Republic of Kenya 2002).

We draw further evidence of the increasing research commitment of universities in Africa from Nigeria. The National Universities Commission (NUC) of Nigeria initiated a University Research Ranking exercise as a strategy for enhancing the quality of research among universities in the country. In the most recent ranking on the quality of scholarly research, for example, the Obafemi Awolowo University (OAU) in Ile-Ife, Osun State, the Federal University of Technology Akure and the University of Ibadan came first, second and third, respectively, out of 65 universities. The future plans for this exercise were described by the Executive Secretary of the Commission, Prof. Peter Okebukola as follows: “All the directors of academic planning in Nigerian universities and 51 professional staff of NUC implemented the transparent, bottom-up and all-inclusive process which is being documented as a model for Africa.” (National Universities Commission 2005). This quote strongly suggests that universities in Sub-Saharan Africa are committed to research as a tool for generating knowledge. Through student theses and dissertations, a faculty- and university-wide research agenda, universities in the region create enormous amounts of knowledge every year. There is also evidence of a number of north-south collaborations in the form of consortia involving universities in Europe, the USA, Asia and Africa. Such collaborations have provided research capacity, strengthening opportunities for researchers. However, we wonder about the extent to which knowledge generated by the university is managed to really benefit policy-making and policy implementation. In contemporary times where, particularly in SubSaharan Africa, there is increasing demand on universities to make their operations relevant to the values, aspirations and development needs of society, it is necessary to rethink the rationale for which academic research should be carried out. Therefore, an overarching question that our chapter attempts to address under the sub-theme of research facilities and management of research is “to what extent are research facilities and research processes in Sub-Saharan African universities managed to ensure

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that they positively impact social policy?” Using Ghana as a case study, we examine the motivating factors which influence academic staff engagement in research activities. Further, we critically examine the facilities available for supporting research in Ghanaian universities as well as some key challenges associated with managing such research facilities. We also examine the gaps between research and policy-making in Ghana and conclude with recommendations for ensuring the knowledge generated by university research has more impact on policy formulation and implementation in the country.

Higher Education Profile of Ghana The Republic of Ghana, formerly the Gold Coast, is a West African country located on the Gulf of Guinea. It is bordered by three Frenchspeaking countries: Burkina Faso to the north, Côte d'Ivoire to the west, Togo to the east and the Atlantic Ocean to the south. Ghana has a coast length of 539 km, a continental shelf area of 23,700 km2 and an exclusive economic zone of 235,349 km2. The 2011 census in Ghana estimated the country’s population to be 25,000 000 (females: 51%, males: 49%), giving the country an overall population density of 78 persons per km². As of 2011, life expectancy was estimated at 59.78 years for men and 62.25 years for women (CIA World Factbook, 2011). The country operates a three-level educational system: (i) the basic education level which consists of kindergarten (two years), primary school (six years) and junior high school (three years); (ii) the senior high school level which lasts three years and (iii) the tertiary education level which lasts a minimum of four years leading to a bachelor’s degree, followed by a one or two-year master’s degree and a three-year Ph.D. program. In all, Ghana has eight public universities and fifty-one private tertiary institutions (National Council for Tertiary Education 2012). Tertiary education in the context of Ghana’s educational system comprises all forms of education provided at the post-secondary level. It includes universities, polytechnics, colleges of education, colleges of professional studies, and other post-secondary institutions that offer diploma, undergraduate, graduate and postgraduate programs.

Theoretical Assumption The theoretical assumption underlying our study is that individuals respond positively to activities that give them satisfaction. Thus, we assume that the extent to which researchers will be prepared to link their

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research to policy will depend on their perception of the benefits they are likely to derive from such linkage. This assumption falls within the frame of David McClelland’s Learned Needs theory which explains that all individuals have a need for achievement and that the degree of their motivation for achievement will determine their actions. David McClelland (1961) identifies the needs for achievement, power, and affiliation as the three types of motivation influencing an individual’s level of engagement in an activity. The theory further explains that the type of motivation that individuals are driven by is influenced by their life experiences and opinions and standards inherent to their culture. McClelland’s “need-forachievement” factor had implications for our study. First, it raised a number of issues relating to what the achievement target of the academic staff participating in our study was. Second, it generated questions regarding the extent to which the participants perceived research as a driver for achieving their own set goals.

Methodology The study was qualitative by design and data were gathered through documentary analysis and individual interviews. The aim of the documentary analysis was to help us gain an understanding of the contents of documents and the relevance for policy. Scott (2006) and Prior (2003), in separate publications, both long ago identified documentary analysis as one of the principal research methods in the social sciences. We selected research-based publications of academic staff (journal articles, book chapters, project reports) and also analysed newspapers that had published news items relating to research. In addition to these documents, we examined the contents of Ph.D. and Master’s theses that had been supervised by the lecturers who participated in our study. A respondentdriven snowball technique was used in selecting the theses. Thus, once we identified the topics of theses that had been supervised by a particular lecturer, these theses became part of our sampled documents. The interview, which was semi-structured by nature, involved 20 purposively selected academic staff. Purposive sampling, according to Merriam (1998), allows us to choose a required sample that will provide the best possible information. We used semi-structured interviews to complement the documentary analysis because interviewing gives a clearer notion of what implications participants attribute to a given situation, and also helps the researcher see situations through the eyes of participants (Sharp and Howard, 1996). The interviews focused on: (i) motivating factors which influence academic staff and student engagement in research activities; (ii)

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critically examining the facilities available for supporting research in the two universities; and (iii) the challenges associated with managing such research facilities.

Key Findings The presentation and discussion of the key findings from this study is informed by the overarching research question which provided the study’s framework. This question sought to explore the extent to which research processes in Ghanaian universities were managed to ensure a positive impact on policy. The research question was addressed by specifically examining issues relating to motivation for research, facilities available, challenges associated with managing research and missing gaps between research and policy, using two universities from Ghana. Key issues that emerged from the study are presented below.

Motivational Factors that Influence Academic Research Motivational theorists differ in their perspectives of what motivates an individual to develop a positive attitude towards an activity. However, it is common knowledge that individuals respond positively to things they find more satisfying or beneficial to them. This phenomenon was a common focus in most of the responses that emerged from the interviews. Eighteen participants (PT) (PT1; PT2, PT3, PT4; PT5; PT6; PT7; PT8; PT9; PT11; PT13; PT14; PT15; PT16; PT17; PT18; PT19 and PT20) mentioned publication for academic promotion as their fundamental purpose to engage in research. Two of the 18 (PT1 and PT4), further mentioned the desire to seek knowledge as a motivating factor. The quotes below exemplify some views expressed by the participants: Obviously, as a lecturer, my progress depends on my research and publications. I need to publish in order to meet the requirement for promotions in my university. I’ve seen people who were recruited as lecturers and retired as lecturers because they devoted their time to teaching without researching. I want to develop as an academic and that’s what motivates me to engage in research (PT3, lecturer at the Faculty of Social Sciences). Hmmm, as a person, my desire to seek knowledge is what motivates me to do research. I believe that it is research that can help me to keep abreast with changing needs of society. But as an academic, what else can I think of than researching and publishing. You are aware that our business as

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academics operate on the maxim of “publish or perish”. If I publish I get promoted, if I don’t I’m denied a post-retirement contract. In this university, if you’re not a senior lecturer you won’t enjoy any postretirement contract. I don’t want to lose my post-retirement contract so I’m motivated to engage in research (PT1, lecturer at the Faculty of Education).

Two out of the 20 academics (PT12 and PT10) mentioned three factors that motivated them to engage in research. These were: (i) the desire to generate knowledge to inform their teaching; (ii) sharing knowledge through conferences and seminars and (iii) influencing policies in their areas of expertise. Thus, unlike the 18 respondents who did not mention the influence on policy-making as a motivational factor, PT12 and PT10 saw this as a critical factor that motivated them to engage in research. Both of them were trained outside Ghana for their Ph.D. degrees and were involved in international research collaborations. They articulated their motivating factors as follows: My training outside tells me that the purpose of research goes beyond the generation of knowledge. Research is to help solve societal problems so if I conduct research and only think about publication, it limits my scope of impact. After all, how many policy-makers would read the peer-reviewed journals that publish my work? It is only when I share my work with policy-makers that I can influence policy (PT12, lecturer at the Faculty of Social Sciences). For me, using promotions as a basis for researching and publishing is the least motivator. Yes, I want to be promoted but I value the joy associated with sharing the findings of my research with policy-makers more than promotion. Look!... my research findings have influenced policy on special education at the Ghana Education Service. It gives me a name and I am proud that knowledge through research is impacting on special education policy in the country (PT10).

One other participant attributed his motivation to a simple love of research. He remarked: Sure! I agree that research is key to the functioning of a lecturer. But that is not my sole reason for researching. I research because I love it. I mean, I love doing research. Besides, I was trained abroad and research formed a key part of my training. I don’t want to lose my research skills; hence my continuous involvement in research even if it is small-scale basic research (PT2, a research fellow).

It is obvious from the responses that a majority of the lecturers had internalized the academic maxim “publish or perish” so much that it

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tended to limit their motivational factors for research to the desire for promotion. Indeed, the “publish or perish” culture does not appear to encourage the academic staff to think beyond the boundaries of promotions to the desire for new knowledge. While this may inhibit the move from producing knowledge to applying knowledge to the processes of policy-making and implementation, it serves as a driver for enhancing the research performance of lecturers. These findings, though limited in terms of scope of representation, give an indication that most research engagement among academics in Sub-Saharan Africa is triggered by a compelling demand for research-based peer-reviewed publications in order to meet the criteria for promotions. As the saying of “publish or perish” suggests, the only means by which an academic can survive and enjoy the benefits associated with his or her career is to publish in peerreviewed journals.

Research Support Facilities From the documentary analysis and the interviews, it emerged that both universities had structures that supported research. These structures range from well-documented policies governing the conduct of research by lecturers and students to schemes providing financial support for research. Some of these facilities also provide platforms for bringing researchers and policy-makers together through seminars and workshops. All respondents attached great value to a research and book allowance that provided support for research in the universities. This allowance was instituted approximately fifteen years ago, when the Committee of ViceChancellors (Ghana) in collaboration with the University Teachers Association of Ghana (UTAG) negotiated with government to establish the allowance for lecturers in public tertiary institutions. PT5, who was an executive member of the teacher association (UTAG), articulated the importance of the research and book allowance: “It has helped early lecturers and researchers in the universities to strengthen their research capacity and sharing their research findings at conferences.” Even though the interviewees attached great importance to the research and book allowance facility, there were plans by the Ministry of Education to scrap the facility and replace it with a National Research Fund that lecturers could access through competitive bidding. The government of Ghana announced this decision during the presentation of its 2014 budget statement and economic policy on November 19, 2013, under the heading, “Sustaining the New Policy”. It stated that allowances given to lecturers

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for book and research were to be cut and replaced by the National Research Fund (Daily Graphic, Nov 20, 2013). Apart from the financial support provided by the Ministry of Education for the enhancement of research by academic staff, the universities have themselves set up other research support facilities. At the University of Cape Coast, for example, a research support facility known as the Directorate of Research, Innovation and Consultancy (DRIC) was established in August 2013, following the development of a research agenda for the University of Cape Coast for the period 2012–2017. It oversees consultancy services engaged in by individuals and groups at the university, implements the university’s research agenda and create a conducive environment to encourage creativity and innovation. Specifically, DRIC is expected to perform the functions below: x Develop and implement a research policy for the university; x coordinate the university-wide research agenda; x source funding for research and manage all designated research funds; x develop and routinely advise the Academic Board on i. the criteria for the research component for promotion; ii. motivating research effort of faculty; and iii. sponsoring research and conferences. x Organize and support the departments in the collection of longitudinal data and generate a repository of secondary data by liaising with relevant agencies that collect data; x coordinate all seminars and workshops at the university based on the research agenda; x coordinate and support the publication of journals and books at the university; x liaise with the Directorate of Academic Planning and Quality Assurance to advise the university management on procedures that promote research-based teaching, and report all activities annually to the academic board through the vice-chancellor; x undertake consultancy (research training and advisory services) in the areas of education, agriculture, tourism, science, socioeconomic development, industry, business and the environment. Such research facilities fall within the broad agenda of successive Ghanaian governments who, since the country’s independence in 1957, have acknowledged the indispensability of scientific research in the nation’s development processes. In the years prior to independence, for

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instance, the Cocoa Research Institute of Ghana (CRIG) was established with the aim of generating knowledge that would inform the cocoa production policy in the country. Indeed, the CRIG is credited with the success achieved by Ghana in the fight against the swollen-shoot disease that was endangering the cocoa industry. The first president of the Republic of Ghana, Kwame Nkrumah underscored the importance of scientific research and technology in his seven-year plan which he described as “a programme of social, land, economic development based on the use of science and technology to revolutionalise our agriculture and industry” (cited in Anamuah-Mensah 2005:78). Subsequent governments were just as committed to the development of scientific research and technology because of the policy-related benefits they hoped to derive from investments in research. Yet the key issue that emerges from our study suggests that the academic researchers who participated hardly thought of the policy implications of their research agenda.

Migrating from Research to Policy: The Missing Ingredient Knowledge based on scientific evidence is meaningless unless it informs policy-making. Yet we found from our study that most of the researchers we interviewed made little effort to apply the knowledge that emerged from their research to societal problems. By extension, this state of affairs had indirectly influenced the way some of them handled the student theses they had supervised. While our own experience was that the supervisors of our Ph.D. theses strongly encouraged us to get aspects of our work published and disseminated among policy-makers, we observed that in both universities a number of successful student theses supervised by the respondents in our study had just been kept on the shelves. For example, between 2008 and 2013 in the social sciences and education faculties of both universities, students had done research into over 1000 topics highly relevant to socio-economic policies in the country. However, their theses apparently ended their journey with the author’s graduation. Table 6.1 presents some exemplary topics of Master’s theses that participants had supervised but which had remained unread in the archives:

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Table 6.1: Sample of thesis topics at the university of Cape Coast Faculty of Social Sciences

Faculty of Education

Assessment and management of occupational stress among senior members in selected public universities in Ghana Gender-role stereotyping, self-concept and attitude to work of auto-artisans in Ghana Internally generated revenues and their contributions to physical development: A case study of Ahanta West district assembly Earnings differentials between public and private: Formal sectors of Ghana

A comparative study of academic performance in public and private basic schools in and around Kasoa.

Representation of women in management positions in the University of Cape Coast and Central University College Social death: The case of HIV/AIDS stigmatization in the Central Regional hospital of Ghana Financial deepening and economic growth in Ghana

Recruitment and retention of academic staff in Ghana: A case study of Tamale Polytechnic Basic school teachers’ level of computer literacy and attitude to the use of computers: A case study in Jomoro district The effects of the integration of ICT into the curriculum of rural basic schools in Atwima Nwabiagya District in the Ashanti Region of Ghana. An evaluation of teacher supervision practices in basic schools in Bolgatanga municipality

Concerns of primary school teachers in the Cape Coast metropolis about the 2007 educational reform in Ghana Needs assessment of polytechnic students in Ghana: The case of Ho Polytechnic Scientific medical practitioners and Trends in the performance of science traditional medicine in contemporary students in the Senior Secondary Ghana: A study of attitude and School Certificate Examination in perception Hohoe Foreign visitors’ perceptions of Panafest Perceived role of circuit supervisors in 97: A study in tourism special events managing conflicts in basic schools in the Kumasi metropolis Sexual and reproductive health Single parenthood and its effects on a education among dressmakers and child’s academic performance: a case hairdressers in the Assin South District study of Bishop’s Mixed Junior High School Source: Libraries of the University of Cape Coast

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Clearly, the findings of the studies listed in Table 6.1 would have been very relevant to Ghana’s National Development Planning Commission as well as to the sector ministries responsible for education, health, and women and children’s affairs. But how many of them were accessed by these sector ministries to inform their policy decisions? Even within the universities, how many lecturers use their own findings, and findings emerging from students’ theses, as resources for enhancing their lectures? These are questions that need to be further explored to reduce the extent to which research findings tend to end up forgotten and unread in faculty libraries. What can be done to remedy this situation?

Little Attention to the Application of Research Findings Indeed, the scant attention given to the application of research findings is a major gap in the management of research activities in Ghanaian universities. Central to this is the fact that the country’s universities do not sufficiently train students in the skills needed for translating research into policy. Our analysis of the contents of research design and methods course descriptions in social sciences and education faculties did not find any courses that focused on bridging this research-to-policy gap. The absence of a course that prepares students for effective communication of research to policy-makers tends to disadvantage graduates from Ghanaian universities because they leave the universities without any knowledge on how to write policy briefs. While the lack of adequate preparation of students in matters relating to communicating research to policy-makers is clearly missing in research management, we also found that few of the research questions addressed at our universities were of little interest to policy-makers. In such an environment, policy formulation tends to be guided by political manifestos rather than by research findings.

The Language Factor Language plays a critical role in any human endeavor. It is a cultural factor that influences the meanings that individuals or groups attach to a phenomenon. As Britton (1982, 79 cited in Oduro, 2003, 201) emphasizes, “we cannot escape the influence of language when we are dealing with human beings”. Psychologists of language such as Frawley (1992) and Forrester (1996), agree that the contents of our semantic representation and the meanings we attach to a phenomenon are tied up with our everyday use of language. Hence, as Forrester (1996,43) puts it, “linguistic meaning is entirely determined by the cultural context in which

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language occurs”. The extent to which one can understand and appreciate scientific knowledge therefore depends on the limits of one’s language. In this sense, language places a strong barrier between science and technology and the understanding of scientific terms because no local Ghanaian languages have words that correspond appropriately with most scientific terms. For example, how do we translate the following research finding about neem trees into the local language? “Neem extracts possess molluscicidal properties and are effective against Biomphalaria glabrata, the causative agent of schitosomiasis aflatoxins B and G, produced by the Aspergillus species of fungi…” (Addai-Mensah 2005, 38). Obviously, translating this finding into any of the Ghanaian languages will be a great challenge to linguists. In situations where one cannot easily understand scientific reports in one’s own language, interpretation becomes challenging and mystifying, which limits the extent to which one can appreciate the significance of science and technology.

Bridging the Gap between Research and Policy It is worth recapitulating that Ghana’s socio-economic development journey cannot be completed successfully without the application of scientific knowledge. As the former general secretary of the United Nations, Kofi Annan, once said, All nations—industrialized or developing—face an array of challenges that require the application of up-to-date scientific knowledge and technology to address them… Policy makers …need ready access to a solid scientific and technological capacity in order to be able to make informed decisions and take effective action. (Kofi Annan, cited in Gyekye, Osae and Effah 2005, ii)

In this light, it is important that our universities rethink how research students are trained. Research training programs offered by universities should not be limited to mere knowledge generation. Students should be helped to develop skills in communicating research for policy implementation. Courses on research methods should include units exposing students to topics such as: (i) developing a research communications plan; (ii) writing for policy audiences; (iii) developing effective graphics and visuals; and (iv) speaking to policy audiences. Our choice of these topics is informed by our experiences participating in two research communication training programs in Bristol and Washington. In 2009, as part of George Oduro’s involvement in a DFID-funded (Department for

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International Development, UK) research program directed by the Graduate School of the University of Bristol, he was trained in developing policy briefs. Similarly, Georgina Oduro participated in the 2011/12 summer workshop for Policy Communication Fellows, organized by the Population Reference Bureau and funded by the U.S Agency for International Development in Washington. If research students at Ghanaian universities were helped to understand the processes of bridging the gap between research and policy, they would be able to link their research to policy, i.e., to clearly identify the implications of their research for policy. In that way, they would be more likely to develop an interest in sharing their research findings with relevant policy-makers.

Conclusion Evidence-based learning is crucial in developing nations. It is therefore important that universities that have been designed to generate knowledge become more committed to a holistic method of managing research. Universities should establish research policies that govern the conduct of research to cover a mandatory linkage between research and policy. Findings from the research projects of academic staff would become more meaningful to the public if they were not disseminated solely through peer-reviewed journals but also through simple policy papers and other media outlets in the form of documentaries, etc. As mentioned earlier, few research reports written by lecturers at Ghanaian universities help to reduce the mystery surrounding scientific research because most are presented in such a way that only other academics can understand the contents. Moreover, many of these reports are not made available to people or institutions outside academia. Outside academia, those who need the research findings the most, those who hope to address the day-today challenges facing our society in the streets, on our roads, at the markets, in the shops, on the farms, at sea, at home, etc.—hardly ever get access to such reports. The majority of those who do have access tend to find them unreadable because they are written in a language that cannot be easily deciphered by non-academics. Ghanaian universities need to understand that the “ivory tower” era, where knowledge was created primarily for academic consumption is over. Contemporary society requires that research findings are also made available to society at large, to inform policy-making and societal development.

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References Addai-Mensah, Ivan. 2005. Challenges and Opportunities of Traditional Medicine. Harnessing Research, Science and Technology for Sustainable Development in Ghana. Accra: National Council for Tertiary Education. Anamuah-Mensah, Jophus. 2005. The Future of the Youth in Science and Technology in Ghana. Harnessing Research, Science and Technology for Sustainable Development in Ghana. Accra: National Council for Tertiary Education. Bernheim, Carlos Tünnermann and Marilena de Souza Chaui. 2003. Challenges of the University in the Knowledge Society. Five Years after the World Conference on Higher Education. Forum Occasional Paper Series, Paper No 4. Paris: UNESCO. CIA World Factbook, 2011. “Central Intelligence Agency: The World Factbook.” Available at: https://www.cia.gov/library/publications/theworldfactbook/. Darkwa, Osei K. 2008. “Providing ICTs in Rural Communities in Africa.” The Ghanaian Times, June 2. Frawley, William. 1992. Linguistic Semantics. Hillsdale, NJ, Hove and London: Lawrence Erlbaum. Forrester, Michael A. 1996. Psychology of Language: A Critical Introduction. London: Sage. Gyekye, Kwame, Emmanuael Osae and Paul Effah. 2005. Harnessing Research, Science and Technology for Sustainable Development in Ghana. Accra: National Council for Tertiary Education. Kouwenhoven, Wim, George Oduro, and Kwasi Nsiah-Gyabaah. 2009. Trends in Polytechnic Education in Ghana. Amsterdam: VU University Printers. Kuhn, Peter J., and Carol McAusland. 2006. The International Migration of Knowledge Workers: When Is Brain Drain Beneficial? Discussion Paper No 2493. Bonn: The Institute for the Study of Labor (IZA). Manheim Henry, L. 1977. Sociological Research Philosophy and Methods. Illinois: The Dorsey Press. McClelland, David. 1961. The Achieving Society. Princeton: Van Nostrand. Merriam, Sharan B. 1998. Qualitative Research and Case Study Applications in Education. San Francisco: Jossey-Bass. National Council for Tertiary Education (NCTE). 2012. “A Tertiary Education Sector Report” Accra: Educational Sector Review Meeting. Republic of Kenya. 2002. Charter of the Africa Nazarene University, 8th

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October, 2002. Nairobi: Government Printer. National Universities Commission. 2005. Nigeria’s Top 20 Universities Emerge. This Day Online. Available at: http://nm.onlinenigeria.com/templates Nsiah-Gyabaah, Kwasi and Yaw Afari Ankomah. 2009. “The Role of Research and Development in Polytechnic Education in Ghana.” In Trends in Polytechnic Education in Ghana, edited by Wim Kouwenhoven, George Oduro K. T. and Kwasi Nsiah-Gyabaah, 115– 128. Amsterdam: VU University Printers. Oduro, George K. T. and Naana Jane Opoku-Agyemang. 2010. “Education and Human Security in Africa.” In Human Security in Africa: Perspectives on Education, Health and Agriculture, edited by Olusegun Odasanjo, Akin Mabogunje, and Peter Okebukola, 112–129. Abeokuta: Centre for Human Security. Oduro, George. K. T. 2003. Perspectives of Headteacher Professional Development in Ghana. An Unpublished Thesis. Cambridge: Faculty of Education, University of Cambridge. Prior, Lindsay. 2003. Using Documents in Social Research. London: Sage. Scott. John. 2006. Documentary Research. London: Sage. Sharma, Narain, J. 2007. Research Methodology. The Discipline and its Dimensions. New Delhi: Deep and Deep Publications. Sharp, John A. and Keith Howard. 1996. The Management of a Student Research Project. Virginia: Gower.

CHAPTER SEVEN THE CHALLENGES OF HIGHER EDUCATION FINANCE IN ETHIOPIA: THE CASE OF COST-SHARING EMNET TADESSE WOLDEGIORGIS1

Abstract Higher education finance in Africa has been studied since the economic crisis in the region in the 1980s. For a long time after independence, higher education provision was free in most African countries, including Ethiopia. Until 2003, higher education was free in Ethiopia, as the government covered all financial needs including instructional costs, meals, lodging and healthcare. During those days, however, only 1.3% of the population had access to higher education which raised the issue of adopting cost-sharing in the higher education sector so as to generate more revenue and therefore expand access. Thus, cost-sharing in Ethiopia has been implemented since 2003 as a financial diversification strategy. The policy has been implemented in the form of income contingent loans in which students are only expected to pay their loan deducted from their salaries in the form of tax after they graduate and are employed. This policy has been successful in countries like Australia where employment records and the banking sector have improved considerably, however in Ethiopia recovering the cost has been a challenge as employment records are rarely accurate. This chapter describes the challenges and prospects of cost-sharing in higher education in Ethiopia and examines how this policy interacts with issues of access.

1 Bayreuth International Graduate School of African Studies (BIGSAS), Department of Development Policy and Politics in Africa, Germany.

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Introduction Modern higher education in Ethiopia began with the establishment of Addis Ababa University in 1950. At the time, the university had less than 500 students in all disciplines, with 40 teachers who were mostly foreigners (Yizengaw 2005). This number increased dramatically in the following decades when new specialized technical colleges were established. The College of Agriculture and Mechanical Arts, the College of Engineering in Addis Ababa, the Institute of Building Technology, the Gonder Public Health College, the Theology College of Holy Trinity, the Kotebe College of Teacher Education and the Polytechnic Institute at Bahir Dar were established in the 1960s (ibid). Despite the increase in the number of colleges, however, there were only two universities in a country with a population of 60 million in 1991, and the enrolment ratio at the time was only 1.5%, which made Ethiopian higher education enrolment one of the lowest in Sub-Saharan Africa (Ministry of Education 2005). Moreover, private higher education institutions were not allowed by law in Ethiopia until 1991, which further limited access to higher education. As enrolment in higher education grew over time, this resulted in a growing burden on the limited number of existing institutions as they were unable to accommodate student demand. The total population of Ethiopia in 1960 was 23.6 million, tripling by 1994 to 65 million (CIA World Factbook 2007). Approximately 3% of the population was over 65 years of age, 44% of the population under 15 years of age and the remaining 53% of the population was between16–64 (ibid). These demographic statistics had implications for higher education demand pressure, as the majority were youngsters who aspired to have some sort of education at all levels. The education policy at the time was focused on the expansion of primary and secondary education as part of the literacy campaign. As a result, there was a huge growth in the number of students in primary and secondary education, creating additional pressure as they sought higher education training upon completion. For instance, primary education enrolment grew from 135,467 in 1956/57 to 3,926,700 in 1990/91 and secondary school enrolment from 4,845 to 454,000 in the same years (see Table 7.1). As the proportion of younger cohorts completing primary and secondary education increased through time without a concomitant expansion of higher education, it became extremely difficult to enroll in higher education institutions, and universities also were forced to do more with less. For example, the World Bank (2006) reported that the completion rate of both primary and secondary education in Ethiopia had more than doubled in just five years

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between 2000 and 2006, from 21.1%, to 48.6% and from 13.3% to 27.4% respectively. Table 7.1: Enrolment Trend in Primary, Secondary and Higher Education in Ethiopia Academic Year 1956/7 1974/5 1990/1 2002/3 2010/11 2013/14

Primary (grades 1-8) 135,467 1,042,900 3,926,700 8,743,265 16,718,111 18,139,200

Secondary (grades 9-12) 4,845 81,000 454,000 627,000 1,750,134 1,998,355

Higher (Post–secondary) 446 6,474(1973/74) 18,027 147,954 467,843 627,453

Sources: UNESCO 1961; World Bank 2003; Negash 1990; Wagaw 1990:167; Ministry of Education, 2014

Moreover, higher education provision in public institutions was free until the adoption of cost-sharing in 2003. The free higher education covered all student expenses including administrative costs, tuition fees, accommodation, meals and medical services. Higher education institutions were and still are also totally funded by the government. Expenditure on education was 3% of the gross national product between 1968 and 1974, compared to a 6% average in Sub-Saharan Africa during the same period (Teferra and Altbach 2003). Despite increased investments over time reaching an average of 9.5% in 1999, these efforts were not sufficient to expand the sector and incorporate the growing higher education demand of the public (ibid). Thus, even though the higher education landscape between 1950 and 1994 was successful in producing academic elites who played indispensable roles in national development, the educational sector was not big enough to provide higher education services to the wider community. Limited financial resources meant that the government could not keep up with the growing number of students demanding higher education training as the per-student or unit cost continued to rise. Increasing demand for higher education coupled with limited public funding increased the per-student or unit cost of higher education in Ethiopia, which further complicated government efforts to continue funding all qualified high school graduates. As Saint (2004) indicated, the per-student cost of higher education in Ethiopian public universities grew through 2003 to between 800 to 1500 USD per annum on average. The public revenue allocated for higher education per student was however in

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decline because of the increasing number of students and the high rate of inflation (Woldegiorgis 2008). The old policy of higher education finance where the government covered all the expenses of higher education including dormitories and meals thus could not keep up with the increasing higher education demand. This compromised higher education access as government funding was only able to finance a select number of students in the face of growing student demand. Further, quality suffered as higher education institutions were forced to serve more with limited resources. Thus, even though the number of students who joined higher education increased from 18,027 in 1990/91 to 147,954 in 2002/03 (see Table 7.1), the participation rate has been extremely low (2.7%) even by Sub-Saharan standards (5%) because of the limited capacity of the sector in Ethiopia during that time (Ministry of Education 2005). This financial austerity in higher education resulted in higher education reforms in Ethiopia. The financial austerity in higher education was not, however, a problem exclusive to Ethiopia. Other Sub-Saharan African countries including Kenya, Uganda and Tanzania also faced the same challenges (Woldegiorgis 2008). International multilateral financial institutions like the World Bank have been involved in the policy discourse, providing an alternative policy for the financial austerity in African higher education. Even though the World Bank had a “less priority policy” on higher education in Africa in the 1970s and 80s, later in the 1990s, the Bank revised its policy in line with the neo-liberal agenda of incorporating market elements into higher education and published a reform agenda called Education in Sub-Saharan Africa: Strategies for Adjustment, Revitalization, and Expansion and recommended higher education policy reform after it published a document called Higher Education: The Lessons of Experience in 1994 (World Bank 1994). Since then, the World Bank has promoted diversification of funding, introduction of cost sharing and private higher education in Africa (Banya and Elu 2001). In the face of the above financial austerity in higher education and policy recommendations from the World Bank, the Ethiopian government initiated a comprehensive higher education policy reform called the Education and Training Policy (TGE) in 1994 (Ministry of Education 1994). The policy initiated various higher education reforms in the area of quality and relevance; autonomy and accountability of institutions; management and leadership; and higher education finance. Thus, as part of the 1994 TGE policy reform initiative, cost-sharing in higher education was introduced in 2003 with the objective of income generation through financial diversification; enhancing access, quality and equity; and to

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make students customer-like through incorporating their interests (ibid). Moreover, in 1994 private higher education institutions were granted permission to operate in the country, and as a result there are now more than 60 private higher education institutions in the country operating in various disciplines and accredited by the Higher Education Relevance and Quality Agency. Thus, the objective of this chapter is to provide analytical insight into the challenges of cost-sharing in Ethiopia, taking into account the context of its implementation.

Conceptual Framework Higher education provision and financing has been predominantly the responsibility of the nation state (Johnstone 2006). Increasing student enrolment and the rising per-student cost coupled with declining public revenue makes it difficult to continue public funding, however. Thus, expanding the sources of higher education funding has gradually become the main discourse of higher education finance. In order to expand access to higher education, this financial austerity has to be solved, as Teixeira et al. (2006, 7) noted: “either on the cost side—that is, through cutting waste and enhancing productivity—or on the revenue side—that is, through supplements to governmental, or tax-generated, revenue.” Cost-sharing is a revenue-side alternative policy initiative to supplement government funding by transferring some of the costs of higher education to the beneficiaries. Sharing the cost of higher education with those who enjoy its benefits has been used as an alternative mechanism to generate nongovernmental revenue in order to expand access and improve quality. Thus, cost-sharing can be interpreted as the transfer of higher education cost from government to students and parents. In other words, cost sharing is “a shift in the burden of higher education costs from being borne exclusively or predominantly by government or taxpayers, to being shared with parents and students” (Johnstone 2003, 351). As explained by Johnstone (2003), the shift of the cost from government to students could take various forms including: (i) the introduction of tuition fees where public higher education was previously free; (ii) sharp increases in tuition fees where public higher education tuition fees already existed; (iii) the introduction of user charges to recover the expenses of formerly subsidized food and accommodation; (iv) the reduction of student grants or scholarships; (v) an increase in the effective recovery of student loans; and (vi) official support for a tuitiondependent private higher education sector to absorb some of the everincreasing higher education demand. The basic idea behind these forms of

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cost-sharing was that the income generated from students could be reinvested to expand higher education access and to improve the quality of higher education provision. However, there are different discourses in relation to whether cost-sharing actually expands access or not. The first and most popular argument is that cost-sharing through charging tuition fees or increasing tuition fees will have a negative impact on enrolment rates, especially for students from low socioeconomic backgrounds (Johnstone 2006). The idea is that those who cannot afford it will be excluded from accessing higher education, resulting in restricted access. According to such discourse, even though demand for higher education is relatively inelastic in the face of price increases, as the number of students continues to rise, there is still a disadvantaged social group that might be excluded from accessing higher education because they cannot afford it. Studies along these lines in countries like Australia, Canada, China, the Netherlands, New Zealand, USA and UK indicate that the introduction of cost-sharing in different forms have proven to have an adverse effect on socially disadvantaged groups (Callender 2006; Rasmussen 2006; Chapman 1999; Barr, and Crawford 2005). Thus, they argue that cost-sharing will limit higher education access for the disadvantaged groups in society for whom the very idea of generating additional revenue to expand access through cost-sharing is proposed. Heller (2001), on the other hand, presented a comprehensive explanation of cost-sharing and access to higher education. According to his interpretation, an individual from a higher-income family is more able to afford the price of a particular college than someone from a lowerincome family, all other things being equal. However, he argued that accessibility should not be expressed only in terms of finance. Instead, issues related to geographic accessibility (how far does a potential student have to travel to attend college?), program accessibility (is the preferred academic program available?) and cultural/social/racial accessibility (do higher education institutions accommodate multicultural backgrounds?) should be taken into consideration as factors of higher education accessibility. The second argument suggests that cost-sharing in higher education does not limit access; instead, the absence of it creates “elite” kinds of higher education preventing governments from generating more funding so as to invest on expansion of the sector (Barr and Crawford 2005). Without having some sort of cost-sharing in higher education, governments will be forced to ration higher education services since public revenue cannot keep up with increasing student demands. Rationing higher education in any way will have adverse effects on

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access, as some will definitely be excluded from benefiting from higher education (ibid). The increasing number of students will also contribute to the deterioration in the quality of higher education from overcrowded class rooms to rising student-teacher ratios (Chapman 1999). This discourse argued that the adoption of cost-sharing does not necessarily limit access since various loan systems can be arranged for those who cannot afford to pay upfront. The low rate of participation among the low income students in countries like the US is not necessarily a function of the mere existence of cost-sharing, it can also be a result of other socioeconomic challenges. According to Rasmussen (2006), in addition to high cost and inadequate financial assistance, other factors like poor school preparation, discrimination, motivational deficits, lack of role models or encouragement at home and a variety of other psychological, sociological, cultural, political and structural variables play a role in preventing greater number of low income students from attending universities. Despite arguments both in favor and against cost-sharing, countries are increasingly adopting cost-sharing policies in their higher education in various forms of student loans. The next part discusses the various forms and types of cost-sharing in higher education.

Types of Cost-sharing Cost-sharing as described above is the process of transferring some part of the higher education cost to the beneficiaries – the question here is how? Cost-sharing in higher education as a policy is implemented through various systems of student loans. The basic characteristic of all student loan schemes is that students are offered the chance to borrow money to help them finance their tuition costs or living expenses; after completing their studies, graduates must repay the amount borrowed, with or without interest (Barr and Crawford 2005). Within this system, however, there are different types of student loans depending on the way the program is administered. These differences could be based on whether loan programs are operated by the government, independent agencies, banks or higher education institutions. It could also be based on the way in which repayments are collected, the level of interest charged, and whether this is subsidized or not. Repayment can be collected through fixed payment mechanisms over a specific time period, or payment through transferring a proportion of their income each year until the loan is repaid (Woodhall 1992; Johnstone 2006). Generally, there are three major types of student loan systems, namely conventional (mortgage-type) loan, income contingent loan and graduate

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tax. In the case of conventional mortgage-type or fixed-schedule loan, the loan carries a rate of interest expressed as an annual percentage of the amount borrowed with a specific repayment period and repayment terms. The repayment terms include elements such as whether the payments are to be in equal monthly instalments or instalments that begin small and increase over time, or some other arrangement that yields a stream of payments sufficient to pay back the loan in regular payments at the contractual rate of interest. Here, the underlying principle is that repayments are made over a specified period of time and cannot be interrupted, regardless of the borrower’s income. In other words, borrowers are afforded no protection against having low income in the future and repayments are still due within the given period of time (Chapman 1999). An income contingent or income repayment loan, on the other hand, is a kind of loan which allows the borrower to repay some percentage of future earnings until the loan is repaid at the contractual rate of interest, subsidized or unsubsidized, or until the borrower has repaid for a maximum number of years. Here “the borrower who has repaid the maximum number of years without paying off his or her loan at the contractual rate of interest is released from further obligations and thus granted a subsidy, or an effective grant.” (Johnstone 2003, 7). Thus, unlike the mortgage-style loan, an income contingent scheme offers “default insurance” in the sense that the former students do not have to bear the costs of not being able to pay their debt since the size of repayment is linked to the graduate's income. Income contingency thus limits debt burden in a given period, and also provides more subsidies to lower wage earners (Barr and Crawford 2005). The last option is graduate tax, which is a contribution by students after they graduate, payable in the form of income tax in return for government subsidization of their higher education during their study. In this case, graduates (or former students, more generally) agree to contribute a proportion of their incomes, say 3% per year, for the rest of their earning lifetime (Woodhall 1992). Here, the contribution of the students is not directly related to the cost of their studies, nor is it based on cost-recovery; it is simply a lifetime contribution for higher education expansion as a responsible gesture for the services received. However, this contribution is regularly deducted from their income throughout their earning life in the form of tax. Thus, the graduate tax is simply a lifetime student contribution for the services received from higher education, which is collected through income tax. Conventional (mortgage-type) and

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income contingent loans are more common and practiced in most countries while use of a graduate tax is very rare. There are different criticisms of student loan systems based on different factors, including repayment rates and the technical difficulties of implementing the loan systems. Teixeira et al. (2006), for instance, argued that income contingent loans are indeed not intended to recover the exact cost of higher education; rather they are a politically sound alternative to mortgage-type loans. Accordingly, the mortgage-loan system demands sponsors, if possible, to pay tuition fees upfront, which is not always convenient for middle and lower income parents. An incomecontingent system, on the other hand, requires that students pay after graduation and in doing so it transfers the burden of higher education cost from the sole responsibility of parents to students as well. The challenge with income-contingent loans, however, is that the recovery rate is very low because repayment is complicated by the fact that it is not easy to identify what should be counted as income and over what span of time or whether it is actually taxable, or estimated gross? Recovery also depends on the government’s ability to track and verify all sources of incomes for all borrowers for most of their earning lifetimes, which is exceedingly difficult and perhaps practically impossible in most developing and transitional countries. Despite all the challenges of repayment and recovery of loans, it is still better to have income-contingent loans than not having any cost-sharing system. Johnstone (2006, 14) also concludes that: “Cost- sharing in the form of income contingent loan obligation held by the government is better than no cost-sharing at all. But this form will not solve higher education’s immediate revenue problems (in developing countries) because it does not provide significant amounts of new money.” Therefore, theoretically speaking, student loans have the potential to generate alternative income for higher education institutions so as to invest in improving the access to and quality of higher education. Some critics such as Teixeira et al (2006) argue, however, that loans which are not properly recovered are grants. Sometimes the cost of recovery itself makes a higher education loan exceedingly inefficient. Moreover, the default rate could be high if graduates are unable to repay because of unemployment, low earnings or illness, or if they simply refuse to repay, or migrate to other countries without paying, calling into question the very notion of cost-sharing.

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Cost-Sharing in Ethiopia The policy of cost-sharing in Ethiopia was proposed for the first time during the 1994 higher education policy dialogue which was organized by the government of Ethiopia in collaboration with the World Bank. The 1994 higher-education dialogue produced a policy document called Education and Training Policy (ETP) which brought about comprehensive higher education reform in the country, covering topics ranging from issues of access, quality, higher education governance and higher education finance (Ministry of Education 1994). Cost-sharing as an alternative form of higher education finance was recommended on the ETP document and adopted as a national policy in 2003 by the Council of Ministers (ibid). Thus, along with the general higher education reform initiatives of 1994, the Council of Ministers passed a regulation— Ministers Regulation No.91/2003—in 2003 in order to put the policy of cost-sharing into action (FDRE 2003). According to this regulation, cost-sharing in Ethiopia is defined as “a scheme by which all beneficiaries of public higher education institutions and the government share the cost incurred for the purposes of education and other services” (ibid). From this definition, we can see that costsharing or the loan system applies only to those students who are studying in public higher education institutions and these students are not expected to pay all of their expenses; instead, they will share this burden with the government. Although there are about 60 private universities in Ethiopia, students studying in these institutions pay for tuition upfront at the time of registration and subsequently every semester or term. Those enrolled in private higher education institutions in Ethiopia in most cases are from affluent families that can afford to pay for tuition. Some of these institutions, however, provide scholarships for disadvantaged groups— including women and students from poor backgrounds—on a competitive basis. These scholarship schemes, however, are insignificant compared to the large number of fee-paying students enrolled in private higher education institutions in Ethiopia. The cost-sharing policy further specified that the government will cover the full cost of education only at primary level and up to grade 10, and the beneficiary has to share the cost at the secondary and higher education training levels (ibid). Here, students are not expected to pay any tuition fees or fees associated with registration or other services upfront. In addition, the government does not provide any cash to the students to cover accommodation or living costs. In this case, all services provided by

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the government are calculated as a share of loan to be repaid by the students after graduation, in the form of income tax. The student loan system of the Ethiopian cost-sharing scheme is a hybrid of graduate tax system and the income contingent loan system. As with the graduate tax system, students are expected to pay a certain percentage of their income after graduation in the form of tax. At the same time, just like income contingent loans, the borrowers will pay some percentage of their future earnings until the loan is repaid at the contractual rate of interest, subsidized or unsubsidized. This means that, unlike the graduate tax system, the tax will not be active for a lifetime, instead graduates are only taxed until they have repaid their loan. According to the Ministers Regulation No.91/2003, the Ethiopian student loan is defined as “a scheme by which an amount is deducted from income in the form of a tax to be paid by a beneficiary who has been obliged to share the costs of his/her higher education” (FDRE 2003, 6). The beneficiaries of higher education are expected to pay only when they start earning after graduation and they are not obliged to pay if they are not earning anything. “Beneficiaries” in the Ethiopian cost-sharing system are assumed to be only the students, and thus parents are not part of the cost-sharing scheme. The regulation defines the “beneficiary” as “any student at a public institution pursuing higher education/training and who has entered into an obligation for the future payment of the cost of his/her education/training and other services” (ibid, 7). While the specific amount of money to be shared varies based on the duration and type of study, ranging from 100 to 230 USD per annum, all students are obliged to share the full costs related to food and lodging plus a minimum of 15% of the tuition cost (FDRE 2003). The repayment should start after graduation within six months of earning an income or within a maximum of one year after graduation (after a one-year grace period). Moreover, beneficiaries are expected to pay 10% or more of their monthly income (ibid). According to this policy, completion of repayment of the amount owed by beneficiaries, depending on the type and duration of program (not exceeding 15 years) and the repayment period, are calculated on the basis of the minimum monthly salary that graduates of different disciplines receive upon employment. If the beneficiary decides to pay the entire amount owed upfront upon graduation, there is a 25% reduction of fees as an incentive from the government. Such incentives also cover those students who want to be trained in certain specifically selected disciplines by governments such as teacher education to encourage students to join nationally demanded disciplines. Students who enroll in such programs are exempted from repayment (ibid).

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Challenges of Cost-Sharing in Ethiopia The challenges of cost-sharing in Ethiopia come from the context in which the policy itself has been implemented. The idea of cost-sharing is to shift the burden of higher education finance from the sole responsibility of government to the beneficiaries so as to expand higher education access and improve quality. Cost-sharing is implemented in the form of a student loan in which higher education expenses will be covered by the government with the expectation that loans will be repaid after graduation. This general principle presupposes the following basic assumptions: (1) the student loans will be recovered; (2) the recovered loan will be reinvested in higher education; (3) all students will be identified so that they will pay their loan after graduation; (4) the implementing agency has the technical capacity to collect the loan from each graduate; (5) earning is clearly defined especially in those who joined the private sector or start small businesses after graduation; (6) stakeholders like financial institutions, higher education institutions, the Ministry of Education, employers and national revenue authorities have formal coordination mechanisms on implementation issues; and (7) the repayment default rates are regulated. The challenges of cost-sharing originate from failing in one or more of these fundamental assumptions. Here, we will look into the challenges of cost-sharing in Ethiopia in the context of the above assumptions. The first challenge of cost-sharing in Ethiopia is the lack of awareness about the policy among stakeholders. The level of understanding of a policy by those who will implement it and by those who will be affected is one of the most important factors for the success of any policy implementation. In other words, a high level of policy awareness minimizes the risk of discrepancies between policy formulation and implementation. One of the challenges of cost-sharing policy in the context of Ethiopian higher education is a lack of awareness of the specifics of the policy by different stockholders. After the five-year period of implementation between 2003 and 2007, a survey conducted by Yizengaw (2007) indicated that the major stakeholders of cost-sharing in Ethiopia—students, university management, employers, and the national revenue authority—do not have satisfactory awareness about the policy of cost-sharing in the country. For instance, the survey found that only 32% of the university management bodies, 41% of lower level university administrators and 27% of state media, including TV, radio and newspapers are aware of cost-sharing. This poor level of awareness is even more apparent regarding the specific modalities of the policy, for

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example, the income contingent loan where, according to the survey, about 16% of the implementation staff were uninformed. In general, most faculty and management were not cognizant of the principles, regulations and implementation strategies of the policy, which made implementation difficult. The second challenge is that cost-sharing through the income contingent loan scheme does not provide the immediate revenue which is needed for higher education expansion. One of the assumptions of costsharing, as we have seen above, is that it generates alternative revenue to be invested in expanded access and improved quality. The Ethiopian costsharing scheme, however, will take up to 25 years to recover the cost of higher education from students, assuming that all other things remain constant. Students stay in higher education institutions for four years on average in Ethiopia and after graduation they have a one year grace period before they start paying their loans. According to the regulation, the loan repayment will then take from 10 to 15 years paying 10% of their monthly income if we assume employment is attained immediately following graduation (which may not be the case). The total repayment period will then be 22 years, even without taking into consideration potential irregularities. Moreover, as mentioned above, Ethiopian cost-sharing exempts a significant number of graduates every year since graduates who will be primary, secondary and high school teachers are exempted from the income contingent loan. According to World Bank’s estimates, this group constitutes 35% of the total number of graduates every year, reducing the number of loans recovered (World Bank 2003). Furthermore, Yizengaw (2007) estimated that there would be about a 30% default rate coupled with a high rate of inflation and increasing administrative costs. Thus, for generating alternative income for higher education institutions that need to expand as quickly as possible—as is the case in Ethiopia with an enrolment rate of less than 4%— cost-sharing is not a feasible solution. For example, annual revenue from collections made by the loan recovery scheme by the Inland Revenue and Customs Authority amounts to Birr 526,039 (26,301 USD) in 2006/2007; Birr 1,240,115 (62,005 USD) in 2007/2008; and Birr 2,420,310 (121,015 USD) in 2008/2009. While total recurrent expenditure has grown from 997,652,620 (49,882,631 USD) to 1,268,119,100 (63,405,955 USD) and then 1,456,897,300 (72,844,865 USD) respectively (Table 7.2). The amounts as shown in Table 7.2 are almost insignificant compared with the recurrent expenditure for the same years. In all three years, it was only possible to collect 0.1% of the recurrent budget required for the corresponding budget years.

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Table 7.2: Loan Recoveries from Cost-Sharing from 2006/2007 to 2008/2009 Year

2006/2007

Loan Recovery in Birr and USD

Total recurrent expenditure in Birr and USD

526,039 (26,301 997,652,620(49,882,631 USD) USD) 2007/2008 1,240,115(62,005 1,268,119,100(63,405,955 USD) USD) 2008/2009 2,420,310(121,015 1,456,897,300(72,844,865USD) USD) Sources: World Bank (2010), Ministry of Education (2014)

Percentage of loan recovered 0.05 0.10 0.17

The third challenge of cost-sharing in Ethiopia lies in the infrastructural challenges of the national tax system. Since cost-sharing in Ethiopia uses income contingent and graduate tax systems in order to recover loans, an effective tax system that documents earnings and tracks the movement of graduates is needed. The Ethiopian tax system, however, has long been criticized for being outdated and thus inefficient. According to the 2006 International Monetary Fund country report about Ethiopia, the Ethiopian tax system is criticized for being too inefficient and technically challenged to generate the revenue that the country deserves. The tax/GDP ratio in Ethiopia is one of the lowest in the world, amounting to only about 13% on average (Federal Inland Revenue Authority 2005). This is because there is no effective tax system equipped with modern infrastructure to increase tax revenue significantly. Cost-sharing in Ethiopia is totally dependent on the effectiveness of the tax system because repayment comes through income taxes. Here, one should keep in mind that, unlike industrialized countries, it is rarely possible to track and verify all sources of income for all borrowers for most of their lifetime earnings since incomes are not always registered and income identification numbers are not yet fully implemented. An additional challenge regarding student loan repayment is a lack of coordination among different stakeholders that are responsible for collecting graduate loans. The general manager of the Federal Inland Revenue Authority (2005) indicated that there is an absence of strong coordination between the Federal Inland Revenue Authority, the Regional and City Administrations tax collecting organs, the Ministry of education and Ministry of Finance and Economic Development.

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The forth challenge is poor record keeping of students after graduation. Even though higher education institutions have records of their students, they are not obliged to document their employment and career records. On the same level, employers also keep records only as long as the graduates are in their offices but they are not obliged to record their future mobility. So far, there is no centrally established agency that keeps records of all graduates and their employment records. It is up to the employer to send the share of tax to the Federal Inland Revenue office as a repayment of the higher education loan but there is no mechanism of cross-checking the earnings of graduates, especially in private organizations. Ethiopia is also one of the African countries suffering the most from the ‘brain drain’ of emigration among graduates. The country has lost human capital in the most expensive fields like medicine and engineering. According to the International Organization for Migration (IOM), one third of Ethiopian medical doctors leave the country every year (Sako 2002). According to Randall Tobias, the United States Government’s global AIDS coordinator, there are more Ethiopian-trained doctors practicing in the city of Chicago than in all of Ethiopia (Shinn 2002), making the country the worst affected by brain drain in Africa. Tracking these graduates in a foreign land and recovering the loans has been challenging. Finally, the ultimate objective of cost-sharing is to generate an alternative income so that it can be reinvested in higher education expansion. However, here there is no clear indication that the tax collected from students is actually reinvested on higher education. The responsibility of collecting the money from the graduates is clearly assigned to the Federal Inland Revenue Authority (FDRE 2003). Higher education institutions do not have any direct involvement in the collection or allocation of the money. It is the government that decides every fiscal year the amount to be allocated for each sector, including higher education. This means that there is no guarantee that higher education institutions are the exclusive recipients of the additional funding raised through cost-sharing. Despite these challenges, higher education in Ethiopia has shown a remarkable improvement in terms of expanding access. The number of public universities increased from just two by the end of the 1990s to 32 in 2013. Total enrolment has increased from 42,132 in 1996/97 to 319,217 in 2010/11 and it was predicted to reach 467,445 by 2014/15 (Ministry of Education 2005). However, the expansion is not necessarily due to costsharing, since the amount of money recovered so far is an insignificant proportion of that invested in expansion. Most of this money comes from the World Bank in the form of a loan. Yet, as much as it is hailed for its

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success in the expansion of the higher education sector, the government has been equally criticized for severely neglecting quality. Indeed, the government has recently admitted to this problem and declared that it has redirected its attention from expansion to quality assurance.

Conclusions The objective of cost-sharing is to generate more revenue from beneficiaries through a loan system to expand access and improve the quality of higher education. Ethiopia has adopted cost-sharing in higher education on this basis since 2003. The implementation of a hybrid of income contingent and graduate tax system in Ethiopia has changed the old trends of higher education finance from total public funding to shifting some of the costs to students. Despite the improvement of the expansion of access to higher education in the country, since the adoption of costsharing the policy has faced various challenges. This chapter argued that the income-contingent scheme does not provide immediate nongovernmental revenue for the urgent austerity problem that Ethiopian higher education is facing right now. Moreover, the implementation process has faced numerous challenges because of a weak tax collection capacity caused by the lack of a personal income identification numbers; the lack of computerized tax collection capacity and the lack of a wellorganized and computerized record-keeping system of graduate mobility. It is also argued that it is difficult to track those employed in the private sector, small businesses and those who travel to other countries. Thus, recovery will be insignificant and even if some amount is recovered, there is uncertainty that the collected money from cost-sharing will exclusively be allocated to higher education institutions. This study recommends the following measures to improve the effectiveness of cost-sharing in Ethiopian higher education systems. The reader should keep in mind, however, that the suggestions are by no means a set of prescriptions, and should rather be subject to further development and discussion. In the current state, cost-sharing in Ethiopia cannot generate immediate revenue since it takes a minimum of 10 to 15 years for recovery. Apart from that, the current practice of covering the full cost of students’ food, lodging and other services while students are studying costs 15% of the higher education budget every year. Thus, the budget allocated for such services should be reduced from 15% to 10% and the 5% should transfer to students to be paid in the form of an upfront service fee as a service charge for registration, internet service, sports clubs and student union membership fees to generate more revenue. This

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upfront fee, (5% of what currently the government is paying for services) is a very small amount so that everyone can afford it. However, to avoid inconveniencies for some students, the payment should assume high flexibility, allowing the students to pay it at a time suitable for them but while they are still in the university. Since these people as degree holders represent the more affluent parts of Ethiopian society, their salaries are higher than the average community. Thus, the repayment of only 10% of their income is not enough; the repayment rate should be raised up to 15%. The justification for allow 35% of graduates avoid higher education fees, assuming that they will pay in their service, is unfounded. Not requiring 35% of graduates to make direct payments significantly reduces the non-governmental revenue needed for higher education. Instead of overlooking their entire direct payment contribution, which is 10% of their salary as for other graduates, it would be much better to require them to pay at least 3%, of their income and cover the rest through national service. Although it is a good idea to collect the recovery through the already established tax channel to facilitate repayment, it would be much easier if the Ministry of Federal Inland Revenue supported by other independent bodies takes the responsibility of recording and documenting the graduates’ movements and employment status, especially of those who are employed in the private sector. Implementing a modern, computerized tax system is also crucial, not only for cost-sharing recovery but also for better tax-generating capacity and the national economy. .

References Banya, Kingsley and Juliet Elu. 2001. “The World Bank and Financing Higher Education in Sub-Saharan Africa.” Higher Education 42(1):1– 34. Barr, Nicholas and Iain Crawford. 2005. Financing Higher Education: Answers from the UK. London and New York: Routledge. Callender, Claire. 2006. “The Impact of Tuition and Financial Assistance on Accessibility.” In A Fairer Deal? Cost-Sharing and Accessibility in Western Higher Education, edited by Pedro Teixeira, Bruce D. Johnstone, Maria João Rosa, and Hans Vossensteyn, 105–132. Amsterdam: Kluwer Academic Publishers. Chapman, Bruce. 1999. “Reform of Ethiopian Higher Education Financing: Conceptual and Policy Issues.” World Bank: Economics of Education Thematic Group. CIA World Fact Book. 2007. “Central Intelligence Agency: The World Fact Book: Ethiopia.” Available at:

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https://www.cia.gov/library/publications/the-worldfactbook/. Federal Democratic Republic of Ethiopia (FDRE). 2013. Cost-Sharing, Regulation No. 91/2003, Addis Ababa: Negarit Gazeta: Council of Ministers Higher Education. Federal Inland Revenue Authority. 2005. Federal Inland Revenue Authority. Available at: http://www.mor.gov.et/firaweb/information%20graduate%20tax.htm. Heller, Donald E. 2001. The States and Public Higher Education Policy: Affordability, Access, and Accountability. Baltimore: John Hopkins University Press. Johnstone, D. Bruce. 2006. Financing Higher Education: Cost-Sharing in International Perspective. Boston, MA: Boston College Center for International Higher Education; and Rotterdam, Holland: Sense Publishers. —. 2003. “Cost Sharing in Higher Education: Tuition, Financial Assistance and Accessibility in a Comparative Perspective.” Czech Sociological Review 39(3):351–374. Ministry of Education. 2014. Education Statistics Annual Abstract 2006 E.C (2013/2014). Addis Ababa: Federal Democratic Republic of Ethiopia. —. 2010. Education Sector Development Program IV. Addis Ababa: Ministry of Education. —. 2005. Education Sector Development Program III (ESDP III) 2005/6010/11 Program Action Plan Final Draft. Addis Ababa: Ministry of Education. —. 1994. Education and Training Policy of Ethiopia. Addis Ababa: Educational Materials Production and Distributions Agency (EMPDA). Negash, Tekeste. 1990. The Crisis of Ethiopian Education: Some Implications for Nation-Building. Uppsala Reports on Education 29. Uppsala, Sweden: University of Uppsala. Rasmussen, Christopher James. 2006. “Effective Cost-Sharing Models in Higher Education: Insights from Low-Income Students in Australian Universities.” Higher Education 51(1):1–25. Saint, William. 2004. “Higher Education in Ethiopia: The Vision and its Challenges.” Journal of Higher Education in Africa 2(3):83–113. Sako, Soumana. 2002. “Brain Drain and Africa's Development: A Reflection.” African Issues 30(1):25–30. Shinn, David. 2002. “Reversing the Brain Drain in Ethiopia.” Paper delivered to the Ethiopian North American Health Professionals Association.

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Teferra, Damtew, and Philip G. Altbach, eds. 2003. African Higher Education: An International Reference Handbook. Bloomington and Indianapolis: Indiana University Press. Texeira, Pedro N., Johnstone D. Bruce, Maria J. Rosa, and Vossensteyn Hans, eds. 2006. Cost-Sharing and Accessibility in Higher Education: A Fairer Deal. Dordrecht: Springer. UNESCO. 1961. Africa Calls... Development of Education, the Needs and Problems. Paris, France: UNESCO. Wagaw, Teshome G. 1990. The Development of Higher Education and Social Change: An Ethiopian Experience. Michigan: Michigan State University Press. Wold Bank. 2010. Financing Higher Education in Africa. Washington D.C.: The World Bank. —. 2006. World Bank Data Profile. Available at: http://devdata.worldbank.org/external/CPProfile.asp?PTYPE=CP&CC ODE=ETH —. 2003. Higher Education Development for Ethiopia: Pursuing the Vision. Washington D.C.: The World Bank. —. 1994. Higher Education: The Lessons of Experience. Washington, D.C.: The World Bank. Woldegiorgis, Emnet Tadesse. 2008. Cost sharing in Ethiopia: An Analysis of Challenges and Prospects. Master Thesis: Universidade de Aveiro. Woodhall, Maureen. 1992. “Student Loans in Developing Countries: Feasibility, Experience and Prospects for Reform.” Higher Education 23(4):347–356. Yizengaw, Teshome. 2007. The Ethiopian Higher Education: Creating Space for Reform. Addis Ababa: St. Mary Printing. —. 2005. “The Ethiopian Higher Education Landscape and Natural Resources Education and Research.” Paper presented at the Oregon State University, College of Forestry.

PART III: MOBILITY OF GRADUATES WITHIN AND OUT OF AFRICA: GAINS AND LOSSES

CHAPTER EIGHT COMING FULL CIRCLE? THE RETURN MIGRATION AND JOB HUNTING EXPERIENCES OF GHANAIAN AND CAMEROONIAN GRADUATES FROM GERMAN UNIVERSITIES JULIA BOGER1

Abstract A large number of students from Sub-Saharan Africa pursue their education abroad, many of them at German universities. Whereas higher education is often praised as a solution towards mitigating poverty, this international educational migration of students from the Global South can have negative effects from a development perspective. If these higher educated students remain abroad permanently, the national workforce in their respective countries will experience the so-called brain drain with detrimental implications for the local economy. One option for less developed countries could be therefore to turn the brain drain into a brain gain by encouraging these graduates to return and work in their home countries’ economies. The chapter compares how far the international return migration of highly educated migrants actually works in two SubSaharan African countries, Ghana and Cameroon, and focuses on the returning graduates’ labor market entries. In order to describe and to explain this particular type of return migration, this chapter compares the job hunting experiences of Ghanaian and Cameroonian graduates. It shows that the return into labor markets in the different countries requires different resources, and thus the students’ pre-return preparation must be 1

World University Service (WUS), Germany.

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tailored to the region in order to ensure that their international educational return migration comes full circle.

Introduction Sub-Saharan African students are said to be the most mobile students worldwide. This is because tertiary enrolment has increased rapidly on the continent between 1970 and today (Chien and Kot 2012). However, tertiary education systems in Sub-Saharan Africa are not well equipped and they lack the institutions, personnel and equipment to absorb the growing demand that has resulted from broader access to secondary education. Therefore, about 350,000 students from Sub-Saharan Africa are currently enrolled abroad and pursue tertiary education outside their own country (OECD 2014, 361). This large number means that about 4.9% of Sub-Saharan African students study abroad, which is three times greater than the global average (1.9%) in relation to those enrolled in domestic tertiary institutions (UIS 2010, 4). About two thirds of these mobile students enroll in tertiary institutions in the Global North, preferentially in North America and Western Europe. Because of the increasing competition for the best talent that currently prevails between European universities, Germany actively recruits students from the Global South (cf. Kuptsch 2006) and has consistently hosted about 10,000 students from Sub-Saharan Africa since the start of the millennium. This is about 10% of all students in European universities from countries in the Global South (HIS–HF 2012). However, despite the fact that Sub-Saharan African students have come to Germany for more than a decade, little is known about these students’ professional whereabouts. It is unclear whether their mobility pays off and they eventually are able to secure an adequate job in which they can apply what they learned abroad. In other words, does their international migration in the name of higher educational pay off? This question about the returns of international tertiary education is crucial because education and training are still regarded as being a solution to addressing development problems: (…) it is only through the application of knowledge that African countries will be able to cope with potentially crippling threats from prevalent diseases, expanding youthful and urbanizing populations, and impending climate change. (World Bank 2009, xx)

This chapter is embedded in the debate about the “migration and development nexus” (cf. Nyberg-Sørensen et al. 2002). This nexus has been the focus of an ongoing debate since the 1950s, in which scholars,

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politicians and practitioners have discussed the extent to which migration processes influence national development. The nexus consists of a “migration quartet”—namely brain drain/brain gain, the diaspora, remittances, and return (Oucho 2008, 50). On the one hand, migration of young and highly skilled citizens of poor countries may actually increase underdevelopment, because these countries simply lose their intellectuals, which has been labelled as brain drain. This negative effect of migration has severely affected less economically developed countries since the 1960s. In consequence, representatives of less economically developed countries claimed the need for taxation to reimburse these losses, the so called Bhagwati tax (Bhagwati and Rodriguez 1975). On the other hand, migration of highly skilled persons living in the so-called diaspora can also have positive effects. One such positive effect is the remittances. Remittances are the financial transfers made by migrants to their kin in source countries. These financial remittances even exceed the Official Development Assistance. Further, collaborations between source and host countries, initiated by migrants living abroad (the so-called diaspora collaborations), are regarded as having a positive effect on south-north migration processes. Moreover, migration of highly skilled people from less economically developed countries can have positive effects if these migrants physically return with an increased level of financial capital as well as knowledge which they then apply in the home country’s context. In those cases in which migration has positive effects for the source country, migration of highly skilled people could thus become a brain gain. Concerning the particular case of return migration, results from empirical studies are often unable to clearly confirm these positive effects, and rather draw a contradictory picture, depending on the discipline and paradigm underlying the particular research. As King (2012) presents in his overview on theories and typologies about migration, studies on return migration were first conducted from a neoclassic perspective in the 1950s and 1960s. At this time, they were mainly carried out from a neoclassic economist perspective. These studies tended to present return migration as a consequence of failed experiences of the individual abroad. In contrast, studies which followed in the 1980s were conducted under the New Economics of Labor Migration. King explains (2012, 23) that these studies viewed return migration as an indicator for a successful migration. Return migration was interpreted as a natural move for those migrants who had been successful abroad. This dichotomy of return migration as failure or success started to fade with the emergence of the present transnational paradigm, which started in the late 1990s (King 2012, 5).

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The transnational perspective, which is also the basis for this chapter’s analysis, is strongly linked to globalization processes. On this basis, scholars regard return migration as a temporary phase of the whole migration process, not necessarily the final phase. Studies conducted with this approach emphasize the micro-level outcomes of migration. They highlight, for instance, that it is important to focus on the migrants’ individual experiences and they emphasize that today’s migrants are mobile and feel at home in several global social networks at the same time. Under this paradigm, the migrants’ resources and how they use them play a greater role than before. This idea, that migrants use specific resources, was picked up by Cassarino, who claimed that migrants can become actors of change and development in cases where they use tangible and intangible resources in line with the demand in their particular country (2004, 271). Some countries have mainstreamed the idea of assisted return migration into their national migration policies. Today, nearly all European governments have implemented programs for voluntary return migration (Black et al. 2011). In Germany these programs target highly skilled migrants, intending to turn them into agents of change. One of these programs is the ‘Migration for Development’ program, run by the Centre of International Migration and Development (CIM), in partnership with the World University Service (WUS), funded by the German Federal Ministry of Economic Cooperation and Development. This program offers financial and material assistance to returning experts: they can apply for transportation and travel funding, for a top-up to their local salary as well as for workplace equipment. Moreover, the program offers reintegration seminars. In these seminars, the students and experts receive information about job opportunities in their home country. They receive this information from counsellors who have also returned and who act as intermediaries in the job search (Schmidt-Fink 2007). Despite these efforts of the German government to facilitate professional return migration, there is little information on how the returnee students enter their home countries’ labor markets upon return. There are only a few tracer studies covering highly skilled experts and foreign students in and from Germany. A recent study (SOFRECO 2015) compares groups of graduates returning to Senegal, Cameroon and Ethiopia from France and Germany. Another study, from Baraulina and Kreienbrink (2013), focuses on the return migration of students that graduated in Germany to Turkey, Georgia and the Russian Federation, and a further study of the German Academic Exchange Service (Deutscher Akademischer Austauschdienst, hereinafter referred to as DAAD 2013), which traces the former students’

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professional situation. None of these studies explain the process of the labor market entry or the long-term professional careers of migrants that studied in Germany. An exception is the ongoing longitudinal study ‘Global Learning for Sustainable Development’, carried out by BauschkeUrban and Heusgen (2012) at the University of Dortmund and the University of Fulda, initiated by DAAD. However, most of these existing tracer studies focus on the return migration of scholarship holders. They therefore only cover a minority within the student group, because only roughly 9% of all African students in Germany hold a scholarship (Isserstedt and Kandulla 2010, 25). More importantly, by concentrating on scholarship holders, these studies seem to be overly optimistic concerning the return rates, which they estimate to be about 70–85% (DAAD 2013, 33). In fact, recent scholarship schemes require the holders to return. Candidates must present proof of an existing employment relationship in their home country before coming to Germany and have to ensure that they return to their workplaces after graduating. Therefore, scholarship holders have obviously a strong tendency to return. In addition, these studies presume that graduates who leave Germany return to their source country. In reality many people leave Germany but migrate to a third country. Even more problematic is the fact that these studies barely touch on the process of labor market entry of returning graduates from the Global South. It therefore remains in doubt as to whether returning students are able to apply the knowledge which they obtained in Germany. The chapter intends to address these gaps by presenting research findings on the job hunting experiences from graduates returning to the Sub-Saharan African countries of Ghana and Cameroon. These countries were chosen primarily because both nations face a high degree of brain drain in general, and because a large proportion of students from both countries pursue their tertiary education in Germany. The research was designed primarily with qualitative methods. The author of this chapter conducted qualitative interviews in the context of a PhD research project (cf. Boger 2014), interviewing 50 graduates (28 Ghanaians, 22 Cameroonians) who had returned during the decade 2000–2010. As an embedded practitioner in the particular research field of return migration2, I had good access to information about potential interview partners in advance. Their working context was accessible through a work-related database as well as CVs and employment contracts. This made it possible to pre-select potential interview partners. The first selection criterion was 2

This paper’s author works at World University Service (WUS) since 2004 as an officer in the field of reintegration.

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their field of graduation. Graduates from the STEM fields (science, technology, engineering and mathematics), were given preference because the majority of Ghanaian and Cameroonian students enroll in these subjects in Germany. The second selection criterion was their sector of employment which was, in equal numbers: employees in nongovernmental organizations, public service, tertiary education and the private sector. In order to triangulate the data, 23 experts on educational migration, job placement and economics in both countries were interviewed, too. Thus, the basis for this paper is formed from structured interpretations of the interviewee’s stories of their labor market entry. This paper will address three aims specifically. Firstly, it will describe the educational migration from Ghana and Cameroon to Germany, and will demonstrate that Cameroonians are more reluctant to return than their Ghanaian counterparts. A literature review suggests that this is due to the fact that their preparedness does not match the local labor market’s demand. Secondly, in order to prove this assumption, the chapter will briefly present the four typical patterns of labor market entry, which were identified in the interviews with participants from both countries. The analysis will specifically focus on the resources they activated. Thirdly, the chapter will compare the dominant pattern of labor market entry in Ghana to the one in Cameroon. This leads to identification of the major resource needed to enter the labor market in Cameroon in contrast to that in Ghana. One conclusion derived from this comparison is that Cameroonians simply needed more personal contacts in their home country than their Ghanaian counterparts, which were very difficult to obtain while in Germany. In conclusion, the comparison shows that returning students need to focus on different aspects during their preparation phase to ‘come full circle’ in their educational migration. Finally, the chapter presents recommendations for policy makers working in higher education in Germany, in order to improve the preparedness of graduates to return to both countries, but especially that of Cameroonians.

International Higher Education Migration from Ghana and Cameroon to Germany From the 1970s, tertiary enrolment increased rapidly in Sub-Saharan African countries. This was the time when many African countries achieved independence, and the governments encouraged their youth to study abroad, providing them with scholarships – always presuming that they would eventually return in order to help build their young nations. During the post-independence phase many of those who returned found

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jobs immediately and often gained influential, well-paid positions in the public services. However, the African countries’ economic crisis, which started in the 1970s, brought a change to tertiary educational migration. Graduates no longer returned to their home countries in Sub-Saharan Africa. Instead, they remained abroad permanently and even naturalized. This was largely due to the conditions in their home countries which had changed for the worse because of job shortages in the public sector, which were enforced in the context of the Structural Adjustment Programs (SAPs), and because of collapsing democratic structures in many SubSaharan African countries (cf. Adepoju 2008). In fact, most graduates remained abroad because they simply feared not finding a job upon return. This fear still is common and is caused by misinformation, claims a recent study about return migration of Sub-Saharan academics, as there are growing job opportunities in many Sub-Saharan African countries (SOFRECO 2015, 89). Ghana and Cameroon are both severely affected by this vast emigration of highly skilled youth to the Global North. An estimated 1.5 to 3 million Ghanaians and about 2.5 to 4 million Cameroonians are living abroad in the so-called diaspora (Quartey 2009, 13; Owono 2011; Sapouma 2011). Migration from both countries to Germany has a long tradition and a large part of this diaspora lives in Germany. The Ghanaian community was established in Germany in the 1970s (cf. Martin 2005) and in 2014 there were more than 26,000 Ghanaian citizens living in Germany, according to the statistics of the Central Foreigners Register (Ausländerzentralregister, hereafter referred to as the AZR). However, the proportion of students in this group is quite small. In 2014, about 434 Ghanaians pursued tertiary education in Germany, which is only about 2% of the total Ghanaian population in Germany. Numbers of highly skilled Ghanaian migrants coming to Germany seem to have fallen, as the numbers of incoming students per annum remain below 200, according to statistics from the Hochschul-Informations-System (hereinafter referred to as the HIS–HF). In contrast, migration from Cameroon started later, in the 1980s (cf. Tsagué 2009). The Cameroonian community is therefore not as large, numbering 18,300 in 2014 (AZR). Migration from Cameroon to Germany continues, which is reflected in the proportion of students (currently at 5,833), about a third of the total Cameroonian population in Germany. More importantly, the number of incoming Cameroonian students is rising each year and is currently above 1,000 per annum (HIS–HF). The estimated return rate of migrants from these two countries differs tremendously. One reason, which I have touched on already, is the national context. The countries have contrasting political and economic

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situations. Ghana attracts its citizens to return and invest, thanks to its reputation as a democratic reformer in the region as a result of political consolidation (Elischer 2009). The political reality in Cameroon is harsh and less investment friendly. Some researchers compare Cameroon to a ‘tinderbox waiting for a spark’ (Africa crisis group 2010, 24), and claim that the country’s political system is a “façade democracy” (Mehler 2008). Hence, it is not surprising that despite their smaller numbers in Germany, anecdotal evidence suggests that Ghanaian students tend to return at a higher rate than their Cameroonian counterparts. It is very difficult to support this assumption because until today, no statistics about return migration exist, as even the recent study of SOFRECO (2015) remarks. Because the estimations in the existing tracer studies only focus on a minority within the student group, as explained earlier, this chapter presents an estimation of its own. It presents the estimated return rate for students returning from Ghana and Cameroon from 2000–2010. The estimation uses mixed statistical sources as suggested by Jahr et al. (2001, 77) and Wolfeil (2012, 82ff). The statistical sources are the German Employment Agency (Bundesagentur für Arbeit, hereafter referred to as BA), and internal statistics of the Migration for Development Program (formerly Returning Expert Program, REP, hereafter referred to as MDP) of the CIM. Below, table 8.1 presents the calculation. The first figure is the number of graduates in the given period of 2000– 2010 (4,335 Cameroonians and 789 Ghanaians). This is followed by the number of new employees in the same decade. This gives an approximate total of 898 Cameroonian and 127 Ghanaian graduates in Germany’s formal labor market. Comparing these figures to the number of graduates gives a rate of about 21% of Cameroonian and 16% of Ghanaian graduates who remained in Germany after their studies and started working. What happened to the rest of the Cameroonian ( 8ࡱ 0%) and Ghanaian ( ࡱ84%) graduates? To estimate how many of them actually returned, I used REP statistics. With the number of students who returned and registered at the REP, it was possible to at least calculate the minimum number of people who went straight to their home country within the given time period of 2000–2010. 3 During this period, only 288 Cameroonians and 323 Ghanaians registered at CIM in the MDP as having returned. Regarding the numbers of graduates during the same period, this leads me to estimate

3

The return rates are probably higher than in the MDP statistics because they do not include those graduates who left Germany via another country, and not every graduate registers for the MDP program.

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Table 8.1: Estimated tracking rate of graduates 2000-2010

Source: Statistics from HIS-HF, BA, CIM for cohorts 2000–2010.

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that a minimum of 6.6% Cameroonians and 41% Ghanaians return to their native country. The rest of the Cameroonian graduates, amounting to 73%, and 43% of the Ghanaians, allegedly left Germany and moved to another country. Of course, these estimations of returning graduates need to be treated with extreme caution. The figures do not include naturalized Cameroonians or Ghanaians, nor do they include all graduates who have returned, but only those who are registered in the database of the REP. Thus, this overview cannot state with certainty whether the figures of the BA really capture all new employees who studied in Germany. Despite these methodological shortcomings, the overview at least shows a general trend which was suggested at the beginning of this paper: that the return rate of Ghanaians is higher than that of their Cameroonian counterparts. There is evidence to believe that the reason for this difference is not only the general political situation, but more specifically that it is less difficult to enter the labor market in Ghana than in Cameroon. This chapter will demonstrate this in the following section by presenting a qualitative interpretation of the empirical data.

The Four Patterns of Labor Market Entry in Ghana and Cameroon In this section I will analyze the job hunting experiences of Ghanaian and Cameroonian graduates upon their return from Germany. As mentioned previously, this transition of graduates into the labor market in SubSaharan Africa is understudied, and the few studies that exist often use outdated and incomparable data. Mugabushaka 2003, for instance, presents data for the labor market entry from the late 1980s. In addition, these studies often present isolated, very regionally specific findings which are hardly comparable. For example, Mediebou et al. 2010 present findings from their empirical study on the transition of students in Cameroon’s north, which is a very impoverished region. Nevertheless, these studies all find three basic facts about today’s labor markets in SubSaharan African countries: firstly, the workforce supply has increased but the number of job openings has decreased; secondly, the graduates’ qualifications and the labor markets’ demands are often mismatched. They acquire mainly theoretical knowledge at university, not the practical skills which are demanded in the countries economies. Thirdly, frictional unemployment –resulting from people being in the process of moving from one job to another– among tertiary graduates has increased in general. These three facts lead to the conclusion that young academics

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returning to Sub-Saharan African labor markets are likely to undergo several months of job searching upon their graduation, require jobmatching educational profiles, need to have practical skills and, even more importantly, will have to be very pro-active and targeted in their job search. In short, they use their various resources strategically in order to get a job, which is now shown by referring to the returning students’ interviews. The following analysis of the interviews reveals that the interviewees from Ghana and Cameroon used their resources in four different ways in order to obtain employment. This chapter will be referring to their different labor market entry patterns as: achieving, arranging, getting sponsored and becoming independent. Those among the group who achieved their jobs predominantly used their educational profile and their degree from abroad as the major resource during their job hunt. A typical situation described by the interviewees was that after a long time of sending unsolicited applications to various potential employers, they were eventually lucky and were invited to a job interview. They were then offered the job because they presented their skills which adequately matched the demands of the existing vacancy. This was the case for the Ghanaian graduate Mr. D. (Ghana case #04), who had returned after having studied International Horticulture for about three years in Germany. After returning he applied at many institutes and sent more than 40 unsolicited applications without any response. After about three months he personally approached the director of a research institute. The director already knew him from his previous field trip in which he had collected data for his master’s thesis. This master’s thesis eventually became his entry card as he describes now: I decided to go to this woman [director of a plant research institute; JB.] and I said I needed [employment; JB.]. She said ‘Oh you graduated. Can you bring me a copy of your thesis work?’ and I gave it to her and she said ‘Oh this is almost like a PhD thesis work’ so she also became happy with me and said ‘Ok you can bring the application!’ (Ghana interview #04; 27.06.2008, lines 223–232)

This quote from Mr. D. reveals that his thesis sparked the interest of the director, which he then handed to her as a final product. The director rated both the scope and the quality of the thesis as high (“Oh this almost like a PhD thesis work”), and the topic also matched the institute’s demand (he had also collected data from the institute). The director instructed him to send in his application only after he had shown this expertise, and

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eventually he got a job which adequately matched his profile after three months of searching. Other returned graduates reported that they had instead arranged their jobs from Germany. This was the case for those graduates who were afraid that their job search would take too much time, which they could not afford because they had to support their families. They contacted people in their source countries who they knew were in a position to hire. This labor market entry pattern was used by Mr. B. (Ghana case #05), a Ghanaian graduate in Natural Resource Management: You need to talk to somebody you know who is already working or maybe that one the person will make some arrangement. Somehow, it is easier to get a job, but you might not get the job you want (…) until you get connected to a job then you realize that this job is not well paid or is not the best. But the point is that, to start with your career you need to create a link with people who are already in the system working. (Ghana interview #05; 30.06.2008, lines 5–14)

Thanks to this approach, Mr. B. arranged a job. This was a new position in a new department in a polytechnic school, and was offered by his former professor. As a result, Mr. B. already had his job before he even left Germany, and did not have a difficult job search when he returned, as was the case for those who achieved their position. But—as Mr. B. points out critically—the jobs that are arranged are often simply “not well paid or (…) not the best”, because they are either low profile positions or in the lower economic sector, as for instance in a local NGO. Therefore, those who arranged their jobs only got such positions because they made use of the reintegration assistance schemes of the German government, namely the salary top-up and the workplace equipment subsidy. People who wanted a specific job but did not have a contact or “link in the system” who could employ them directly, needed to get sponsored through intermediaries. These intermediaries were in a social position to put in a word for the job searcher, to recommend them and to make a referral. These intermediaries vouched for the returning graduates by using their reputation with potential employers. Job counselors working for the MDP reintegration assistance schemes were frequently such intermediaries. The case of Mr. I. (Cameroon case #11) from Anglophone Cameroon describes how an intermediary counsellor enabled him to obtain the particular job that he wanted. Mr. I returned with a master’s degree in Natural Resource Management. He targeted a specific NGO which was working in his field of expertise. The only problem was that this NGO was based in French Cameroon. Mr. I. explains why this became a problem:

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Chapter Eight I don't know how many applications but I know that I went to one that is dealing with waste recycling. They [NGO in the French part of Cameroon; JB.] looked at my degree, which is here. They saw that I had done waste recycling technologies; very good! But then my French is not quite good. That is the problem that I have been having (…) So, he [the recruiter; JB.] told me that here [the NGO; JB.] it is bilingual; you can express yourself in any language you feel. So, we [the NGO, JB.] are ready to work with you (Cameroon interview #11; 09.10.2008, lines 487–497)

Mr. I. needed the referral of the local Cameroonian job counsellor who had negotiated between the job searcher and the potential employer in order to convince both parties that the lack of French language skills on Mr. I.’s part would not cause a problem. In other cases, an intermediary was needed, to convince the employers of the motivation of the job searchers, or their abilities. In all cases in which a returning graduate found work through an intermediary counsellor, the job search phase was relatively short—but the relationship between employer and employee was not long-lasting in all cases. Many reported that it was the intermediary counsellor who had the trust of the employer, not the returning graduate, and hence it was often the case that a simple misunderstanding led to the breakdown of the working relationship. Another way to enter the source country’s labor market is to become independent. Whereas almost every interviewee reported that he or she had the intention to become an entrepreneur upon return, only very few were successful. The reason only a few returned graduates were successful in becoming independent was not that they lacked the financial resources, but that they lacked the knowledge of the local environment in their field of expertise. Those who had become independent obtained this specific country knowledge by establishing their business idea over a longer period. They commuted between their host and source country, and accumulated important knowledge over time, which made it easier for them to adjust and to get to know business partners better. Two graduates who became independent were Mr. and Mrs. H. from Cameroon (Cameroon cases #02/03). In our interview they explained that after more than 10 years in Germany they needed information about credit opportunities in Cameroon because they needed access to loans: Le plus difficile a été les débuts. Mais ces débuts ont été soutenus parceque nous avons contacté beaucoup de prêts, de crédits auprès des institutions, auprès des banques surtout (…) soit vous n´avez pas de garantie solide ou tout simplement vous n´avez pas assez de relations (…) Donc on a essayé de réunir toutes les possibilités pour arriver à la

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réalisation du projet mais il faut le reconnaître, ça n´a pas été facile. (Cameroon interviews #02/03; 02.10.2008, lines 243–267)

It took the couple about two years after returning from Germany to accumulate this kind of knowledge, and to establish their project, a technical university. This was the average time for independent entrepreneurs. This was the smallest group, because it was by far the most complex way to enter the local labor market and required a strong personality, stable funding and excellent integration into the country’s social and economic environment. In all four patterns, achieving, arranging, getting sponsored and becoming independent the job searchers made use of several resources, but to different extents, as table 8.2 shows below. Table 8.2: Labor market entry patterns and resources

Source: Own compilation, data collection 2008–2010.

The resources (education, reintegration programs, referral/contact, and finances) which define the specific pattern are marked with stripes, whereas those resources which were not important in the pattern are left blank. Since these four patterns were identified for both countries, Ghana and Cameroon, one could presume that graduates from both countries needed the same resources to enter their home country’s labor market. However, the comparison reveals country-specific differences. These differences explain why Cameroonians are often more reluctant to return than their Ghanaian counterparts.

Comparing the Process of Getting a Job: Is It What You Have to Know or Who You Have to Know? In general, studies and theories aiming to explain labor market entry surfaced with the rise of mass employment in the 1960s. The most relevant among them were human capital approaches—which mainly

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acknowledged the job seeker’s education (what you have to know) as the most important resource to get a job (cf. Becker 1962)—and social capital approaches (cf. Granovetter 1995, Burt 2000), which claimed that a person’s personal contacts and his social networks (who you have to know) are the most important resources to get a job. In labor markets with limited formal sectors, social networks and personal contacts are an especially important resource during the job search. Such is the case in most Sub-Saharan African labor markets. Here, it is commonly thought that people get their jobs not so much because of their educational qualifications but because of personal referrals. This practice of getting a job through personal contacts is colloquially called the “tuyau”, “parrainage”, “men-know-men” (author’s fieldwork 2008–2010), the “pistonnage” (Barry 2011, 98–99) and even the “Godfather Syndrome” (cf. Bongben 2008) in most Sub-Saharan African countries. However, the empirical comparison shows that this cannot be generalized and that even in some Sub-Saharan African labor markets the determinants of job success strongly depend on merit. This was the case in Ghana. Here, the educational profile was the dominant resource used by the returning students. A proof of this is the fact that the two patterns achieving and arranging dominated in Ghana. Both patterns depend on the educational profile and the skills of the job seeker. Ghanaian graduates seem to be more successful in contributing based on their educational profile, compared to their Cameroonian counterparts. This does not mean that labor market entry was easy for Ghanaian returning students. They had to send many unsolicited applications, but eventually they convinced employers using their qualifications and received job interview invitations. At this point, the job searchers said that they were able to convince the potential employers of their skills through presentation of their thesis or by having knowledge in a specific field of expertise. Here the emphasis is that these jobs mostly required knowledge in renewable energy and resource management. These are specific fields of the Green Economy in which the Ghanaian government has invested recently. But the human capital necessary for this field was not yet present because these subjects were not taught in Ghanaian universities until 2010. Hence, there was a great demand for employees with this specific educational profile. Thus, Ghanaian graduates who studied these subjects were well prepared; they simply had to search long enough to get a good job. In contrast, the dominant pattern in Cameroon was getting sponsored. In this pattern, the returnees used personal contacts to get a job referral. On the one hand the Cameroonian returning graduates were reacting to the

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difficult situation in the Cameroonian job market by doing this. In Cameroon there are by far more people looking for work than in Ghana, and employers are able to hire the desired number of workers without having to increase wages. On the other hand, returning Cameroonian graduates who did not know potential employers encountered greater difficulties securing employment. One of my interviewees made the significant remark that about 90% of his friends were out of the country by the time he had returned, thus he did not have any friends integrated into the local social networks who he could rely upon to provide recommendations (Cameroon case #20). This resource of well-integrated social contacts is of course very difficult to obtain while still residing in Germany. Hence, the Cameroonian graduates had to consult the reintegration counsellor, who acted as a substitute contact. This comparison shows that return migration for Ghanaian graduates is less resource-intense than for their Cameroonian counterparts. Ghanaian returning students were able to obtain the particular resource (education) which they needed for their labor market entry more easily. Cameroonians, who needed personal contacts in the job search, instead faced additional difficulties. The government of Cameroon and Cameroonian Alumni from Germany has already attempted to tackle this problem. The Cameroonian National Employment Fund (NEF) offered counselling services for returning skilled Cameroonians from Europe, within the so-called “Programme d’Appui au Retour des Immigrés Camerounais (PARIC)”, which has existed since 1993 (Ngwa Mbala 2007).4 Further, Cameroonian Alumni themselves took action, organizing personal contacts into networks to broaden their scope of opportunities. The Coordination Office Cameroon (Koordinationsbüro Kamerun, hereafter referred to as KBK) was founded in 2007 as an umbrella organization of self-organized alumni networks (Egbe 2010). 5 KBK offers, for instance, counseling for prospective students who intend to enroll in Germany. KBK, whose members mainly work on a voluntary basis, offers this particular student service together with representatives of the German Embassy and the DAAD. Moreover, the regular meetings of returned graduates organized 4

At the time of the research, the reintegration counselors of the German governmental returning programs were embedded into the NEF. Today, the job counselor is embedded into the institution of the German International Development Organization (Gesellschaft für Internationale Zusammenarbeit, GIZ). 5 For more information read the homepage presentation: http://www.kbk-cameroon.org/

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by KBK are a great opportunity to socialize and to establish job-relevant linkages with those alumni who returned a longer time ago and know where to apply.

Conclusions The chapter’s country comparison basing on 50 interviews with returned graduates from two Sub-Saharan African countries, Ghana and Cameroon, clearly shows the need to differentiate the outcome of return migration depending on the country context. It showed that graduates used their resources to find formal work following different patterns according to their country’s labor market. Four patterns emerged from the analysis, representing the way in which the returning students used their resources: achieving, arranging, getting sponsored or becoming independent differed depending on the country context. Ghanaian graduates generally achieved their jobs thanks to their educational profiles, their Cameroonian counterparts were more likely to use referrals and get sponsored. This country-specific difference in the job search between Sub-Saharan countries is important on two levels. Firstly, on the micro-level, it shows that graduates have to accumulate country-related resources: Ghanaians can make use of their educational degree and their skills which they have accumulated abroad, and thus they can presumably spend less energy on acquiring additional resources, e.g. funds , than their Cameroonian counterparts. It is more important for the Cameroonians to maintain jobrelevant personal contacts or to accumulate financial capital. Thus, the labor market entry of Cameroonians is comparably more difficult, which could be one explanation for their reluctance to return home compared to their Ghanaian counterparts. Secondly, this finding counters macroeconomic predictions because the country contexts can change. The economic state of a country’s labor market is not static and therefore the outcome of higher international educational migration depends on the source country’s labor market situation. In consequence, the transnational meso-level perspective, which investigates social contacts and networks involved in migration processes against the backdrop of the particular country context, is a more appropriate analytical approach. This chapter also paves the way for further, in-depth research on migration and higher education. Importantly, longitudinal qualitative studies on how graduates from German universities enter the labor market are currently underway. Research should be conducted on the extent to which the labor market entries of non-migrant graduates differ from those who have migrated and returned. Both the longitudinal and comparative

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approach would reveal to what extent studying abroad in Germany empowers migrants and equips them for today’s labor market needs. More qualitative research must be conducted into how development can be properly defined, including investigating the impact scope of knowledge transfers. Finally, the study leads to practical policy recommendations on how to improve the outcome of higher international migration to Germany. The existing reintegration schemes should be expanded because it is obvious that resources, educational profile and personal contacts are all very important factors in the job hunt. The educational profile can be sharpened by the graduates themselves while studying in Germany, but they would need more support while in Germany to build job-relevant networks in their source country. This problem of not having the right job-relevant contacts in the home country is especially salient for Cameroonian graduates; for them, sponsorship is the dominant approach. This job search behavior shows that there is a huge need for well-connected, neutral contacts. It is therefore important that counsellors are embedded in local institutions, such as the local job placement agency or the NEF, and not in German institutions as is currently the case. These findings also strongly support the idea of strengthening the self-organized networks for returned graduates to broaden their networks. These self-organized networks, such as the umbrella organization KBK, not only provide social contacts and job opportunities for returning graduates, but can also promote the graduates to potential employers. In conclusion, reintegration into the source countries’ labor markets is a time- and resource-consuming process for returning academics from Sub-Saharan African countries. Whether this process leads towards a brain gain for the individual and for society as a whole is something which will only be determined in hindsight. Nevertheless, careful practical and pro-active preparation in advance will foster an environment where higher international educational migration comes full circle more often in the future. In such a setting, graduates from Sub-Saharan Africa can make a decision about return migration based on valid information about the labor market entry process.

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Contract No EAC/02/2010 Lot 4, Brussels: Sofreco. Tsagué, Florence. 2009. Abwanderung Kluger Köpfe aus Afrika: Kamerunische Bildungsmigranten in Deutschland. Presentation, Erfurt: Thüringer Ministerium für Soziales, Familie und Gesundheit. UIS. 2010. “Trends in Tertiary Education. Sub-Saharan Africa.” UIS Fact Sheet 10. Montreal, Quebec: Unesco Institute for Statistics. World Bank. 2009. “Accelerating Catch-up: Tertiary Education for Growth in Sub-Saharan Africa.” Directions in Development. Washington D.C.: The World Bank. Wolfeil, Nina. 2012. Auswirkungen des Auslandsstudiums auf Spätere Mobilitäts- und Karrieremuster: Das Beispiel der Polnischen Studierenden an Deutschen Hochschulen, Göttingen: V & R unipress/ Vienna University Press.

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Appendix: Interviews Ghana interview #04 (30.06.2008); return in 2007, employee in research institute Ghana interview #05 (30.06.2008); return in 2005, employee in higher education Cameroon interview #02/03 (couple interviewed, 02.10.2008); return in 2001, self-employed, higher education Cameroon interview #11 (09.10.2008); return in 2007, employee in NGO

CHAPTER NINE WHERE HAVE ALL THE RESEARCHERS GONE? UNDERSTANDING THE ROLE OF MOBILITY IN ACADEMIC CAREERS IN MOZAMBIQUE MÅNS FELLESSON1 AND PAULA MÄHLCK2

Abstract Highly qualified individuals are increasingly being recognized as key in the so-called knowledge economy. Of these, doctorate holders are not only the most qualified in terms of educational attainment but also those specifically trained to be at the forefront of advances in science, technology and knowledge. The strategic and often demanding investments made in these individuals have increased policy interest in their mobility and career development. This paper builds on findings from an ongoing research project on academic mobility in Africa conducted at the Nordic Africa Institute in Uppsala, Sweden. The project takes an international comparative approach, looking at mobility and career development among PhD graduates—primarily in relation to gender and scientific fields—in the context of five African countries (Mozambique, Tanzania, Ethiopia, Rwanda and Uganda). This chapter presents the results from the Mozambican case and explores the modes and rationales for mobility and career development after PhD graduation among Mozambican PhD graduates, for whom transnational mobility has been an integral and obligatory part of their donor-funded PhD training. The chapter explores how transnational mobility impacts on the conditions for academic work in different translocal university workplaces and for integration into transnational research networks. 1

Institute for Research on Migration, Ethnicity and Society (REMESO), Linköping university, Sweden. 2 Department of Education, Stockholm University, Sweden.

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Introduction Access to highly qualified individuals, such as doctorate holders, has increasingly become a key to advancement and positioning in the “competitive knowledge economy” (OECD 2007; Mamdani 2007; Bloom, Canning and Chan 2005). Strategies to attract and retain these individuals have therefore become essential to sustaining competitive advantage, and this has increased demand for studies on the mobility and career development of PhD graduates and on their contribution to scientific and economic development (European Union 2010).3 The policy interest also stretches beyond the academic world, involving the long-term development of transnational relations in other sectors of society. In many African countries the shortage of skilled individuals that would be needed to produce added value, to make use of existing technology and to develop context-specific research and solutions to societal problems, has become a serious obstacle to development. Looking at the current state of scientific knowledge production in sub-Saharan countries, the share of global scientific output is just over 1% (UNESCO 2010).4 Generally speaking, this figure correlates with low national expenditure on research in most African countries, which consequently affects access to the most valuable resource for research production—the

3

In the EU, these considerations have been given effect in the creation of a European Research Area (ERA), which aims to improve the mobility of researchers and the flow of knowledge, to improve career prospects for researchers in Europe and, not least, to retain researchers in Europe and attract talented nonEuropean researchers (EU Commission 2008). In the Europe 2020 strategy, the European Commission aims to turn the EU into “a smart, sustainable and inclusive economy that delivers high levels of employment, productivity and social cohesion” (EU 2010). 4 This figure obscures significant variations between countries. South Africa accounts for almost half of scientific articles, followed by Nigeria (11.4%) and Kenya (6.6%). These three countries alone produce two-thirds of total scientific output among the sub-Saharan countries, thus implying a dark picture of scientific production in other countries (UNESCO 2010).

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pool of researchers.5 Compared with countries in the Global North, the proportion of researchers per million inhabitants is exceptionally low in most African countries. With the exception of South Africa, one finds an average of 57.5 researchers per million in the sub-Saharan countries, compared to an average of 3,656 researchers per million in OECD countries (UNESCO 2010). The growing policy interest notwithstanding, research literature on researchers’ mobility (scale, direction, incitement and outcome/consequence) is comparably scarce and limited in scope, and is mainly concerned with the Global North (Hoffman 2009). As a result, the African context is under-researched. Largely because of a lack of reliable and relevant data for comparative statistical processing, there are hardly any systematic, empirical studies on the mobility of PhD graduates (Fellesson and Mählck 2013; Jerven 2013; Tremblay 2005; OECD 2007). Challenging the role of PhD graduates as incubators for research—and presumably also the conditions for academic career development—is the current trend in global and African higher education development. A prominent feature of this development, as regards mobility and career development among PhD graduates, is the growing element of new public managerialism in international higher education and research, manifest in the commercialization, competition, surveillance and accountability (Fitzgerald 2014). In an African context, this is materialized through (i) increased pressure on resources (budget and time) for research at many national universities, as a result of the current “massification” in higher education (Altbach 2007; GUNI 2008); (ii) increased policy-driven internationalization of research and higher education, leading to increased competition within the international research community—the global hunt for top researchers, (iii) the increase in number of private, market-driven higher education institutions in many developing countries: these provide limited or no research resources, but they do offer competitive salaries to attract PhD graduates (Mamdani 2007); and iv) increased demand for PhD 5

Only South Africa is close to reaching the 1% Gross Domestic Expenditure on Research and Development (GERD)/GDP ratio recommended by UNESCO and the African Union. According to data, the GERD/GDP ratio in most sub-Saharan countries ranges from 0.1 to 0.4% (UNESCO 2010). Measuring the GERD/GDP ratio has proved difficult because of lack of data. Many countries have no record of the share of GDP to R&D (UNESCO 2010). Nigeria and South Africa host the largest absolute number of researchers, but proportionately Botswana, Senegal and Guinea are above or at the same level. What is striking is the significant proportionate variation between countries, ranging from 8 researchers per million inhabitants in Niger to 942 per million inhabitants in Botswana (UNESCO 2010).

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graduates from other sectors of society (Bloom, Canning and Chan 2005). In addition, intimately linked to these features is the “brain drain” problem. With regards to PhD graduates, the lack of national research resources, together with aggressive marketing by public and private sectors in many OECD countries, which offer attractive and well-paid employment, represents a major threat to the investment made in this small and strategic group. Even if estimates of the brain drain from Africa are not yet sufficiently grounded in data, the few empirical studies that do exist suggest that the problem is extensive and growing (Docquier and Marfouk 2006). This chapter presents the results from an ongoing project on mobility and career development among PhD graduates funded by Swedish development aid to support research capacity building in Mozambique. The overall objective of the project is to comparatively map and analyze the modes of, and rationales for, mobility and career development among PhD graduates in Mozambique, Ethiopia, Tanzania, Uganda and Rwanda, from 1990 to the present day. In this chapter, we will present results from the Mozambican case on the extent and direction of mobility (international, sectoral and vertical). Using a comparative perspective across gender and scientific disciplines, the specific research questions that will be dealt with are: what are the patterns of international, sectoral and vertical mobility? In what positions are the PhD graduates currently, and what are the conditions for research production among those who remain in academia? How can the results be understood in relation to the policy framework of the donor-funded partnership program and conditions for research in low-income countries?

State of Research Overall, the chapter situates academic mobility within the changing role and function of research and higher education in society and the greater steering of research priorities, the “commercialization of research” and the increased emphasis on accountability and audit—the shift from the “traditional” to the “relevant” academia (Kogan and Teichler 2007; Nowotny, Scott and Gibbons 2001) Furthermore, the paper takes into account existing research on massification, commodification and privatization in African higher education and research systems, all of which point at the challenge of maintaining quality in education and research (Altbach 2007; Teferra and Altbach 2004). Existing studies focus mainly on patterns of mobility and career development among researchers in the Global North. Major studies of

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European researcher mobility include the Study on the Mobility Patterns and Career Paths of EU Researchers (MORE 2010)6 and “Careers of Doctorate Holders” (Auriol, Schaaper and Felix 2012; Auriol 2010).7 Both studies use survey-based sources to try to answer questions about mobility in relation to the brain drain, brain gain and brain circulation. The main foci are: the correspondence between the number of PhD graduates and labor market needs; the attractiveness of national labor markets; how well the skills of highly educated people are used by society; and, last but not least, how attractive alternative career paths are to this category of individuals. The GlobSci survey is another significant study that looks at 16 so-called “core” countries (all in the Global North) by surveying the corresponding authors of scientific articles in four scientific fields. The results from the study, which focuses on inflow and outflow patterns in relation to scientific production and collaboration, indicate that up to 40% of researchers in some of the countries surveyed were immigrants. A similar figure is given for the maintenance of research links to the country of origin among foreign-born researchers, indicating the spillover effects of mobility (Franzoni, Scellato and Stephan 2012). Besides these large surveys, there are several smaller studies covering mobility to and from specific countries, or the mobility of defined categories of researchers. Some studies have tried to grasp the complex relationship between mobility, network building and scientific production (Jonkers and Tijssen 2008) while others have looked in particular at the mobility of highly productive researchers (Hunter, Oswald and Charlton 2009; Levin and Stephan 1999; Laudel 2005). The representativeness and reliability of existing studies on the mobility of PhD graduates are questionable. Both their geographical and their disciplinary coverage are too narrow to allow for general assumptions about movement patterns or driving forces for this specific group. Besides the deliberate limitations in geographical coverage, most studies offer quite limited disciplinary coverage, in accordance with the current policy emphasis on science, technology, engineering and mathematics (STEM) disciplines as key to economic growth. Surveybased studies of mobility patterns for PhD graduates in medicine, social 6

MORE is funded by the European Commission (DG Research) and is carried out by an international consortium led by IDEA Consult. The study builds on existing data (IISER project) but also collects and analyses new data on the stock and flow of European researchers. 7 CDH is an OECD collaborative project with the UNESCO Institute for Statistics and Eurostat and is aimed at developing internationally comparable indicators on the careers and mobility of doctorate holders (OECD 2007).

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science and the humanities are insufficient. Existing studies also face validity problems, because of exceptionally low response rates.8 The inconsistency of statistical databases across countries also affects comparative studies, for example regarding the definition and classification of central variables such as the socioeconomic indexing of researchers, and whether they were born abroad or in their country of nationality. Because of difficulties in tracking individuals working abroad, most countries lack information on the mobility patterns of native-born PhD graduates. Crosscountry comparative studies of sectoral mobility—for instance, those PhD graduates who left academic life for positions in other sectors—seem to have attracted less scholarly attention (Fellesson and Mählck 2013). Despite economic and demographic growth, and an expanding higher education sector, Africa has been excluded from international datacollecting initiatives to map academic mobility. Existing studies primarily discuss mobility in relation to statistical estimates of student mobility and outflows not including PhD level (UNESCO 2010).9 There are virtually no systematic statistical studies or qualitative studies on PhD graduates (Tremblay 2005; Fellesson and Mählck 2013). Swedish development support for research has long been committed to the idea that PhD training is the main foundation for building research capacity.10 In most collaborating countries, current and past, this approach has consumed a major part of the resources allocated to bilateral research cooperation. Over the years, confidence in the model has been so high that it has overshadowed the need to examine the long-term effects of such support: what are the impacts on mobility and career development of this resource-intensive investment in individuals, and how has this approach evolved over time? Despite more than 30 years of support for PhD training in Mozambique and other countries, only one tracer study (of Vietnam) has been conducted (Swedish International Development Cooperation Agency/Sida 2009). In the case of Mozambique, the conclusion was that “there are no systematic records on Ph.D. and M.Sc. graduates with Sida funding, neither at UEM (the Eduardo Mondlane University in Maputo) nor at Sida. Moreover, there are no tracer studies 8

Reportedly, the MORE project response rate was only 11% (Franzoni et al. 2012). 9 For example, in the Project Atlas, which is a collaborative and data-sharing initiative involving six world regions, only South Africa is a listed partner (Project Atlas Report 2011). 10 The importance of support for PhD training is clearly stated in the Swedish government’s policy and strategy for research in Swedish development cooperation, 2010–14 (Swedish Government 2010).

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and it is next to impossible to estimate to what extent these graduates remain at UEM” (Sida 2003).

Contextualization of Conditions for Academic Mobility Academic mobility and career development do not happen in a social, historical or geopolitical vacuum. Instead, they occur within various intersecting and shifting power relations, both local and global. Of particular interest for this chapter is the way in which policy developments in African higher education and research play out in local contexts and academic cultures with differing conditions for mobility and academic career development. However, little is known about how international donor activities intersect, possibly in opposing ways, with the global policy demands of the knowledge economy and, ultimately, how these circumstances are experienced and perceived by the academics. Against this backdrop, how can we understand the career paths and rationales for mobility of academics from the Global South? Understanding the dynamics of mobility of highly skilled individuals requires insight and appreciation of the theoretical divide between pessimistic and optimistic perspectives on migration and development. On the one hand, there are theories basically rooted in structuralism and neoMarxism: these view migration in relation to development as a unilateral geopolitical transfer of individuals and knowledge, resulting in, for example, brain drain and dependency (Lewis 1986). On the other hand, more recent theories (which largely influence current policy making) originate in neo-classical and developmentalist perspectives and view migration as a form of individualized optimal allocation of production factors. This benefits both sending and receiving countries, and migration should be seen not as an exogenous variable, but as an integral part of a broader transformation process (e.g., circular migration) embodied in wider social and economic development processes (Castles and Miller 2009; Taylor 1999). The way in which higher education and research have come to be viewed as preconditions for development and positioning in a knowledgedriven society, is also relevant. This perception mirrors the current policy positions of most OECD (Organisation for Economic Co-operation and Development) countries and other emerging economies. Several recent empirical studies note a distinct correlation between enrollment rates in higher education and growth in national income (Urama et al. 2010). The World Bank’s statement on the main factors for achieving knowledgedriven development (a country’s macroeconomic incentives and institutional

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regime, its ICT infrastructure, its national innovation system and the quality of its skilled workforce (World Bank 2002)) is of importance for understanding the positioning of highly skilled individuals, such as PhD graduates. In fact, the supply of skilled individuals is perhaps the most important factor. The position of PhD graduates, who are both products and agents of the knowledge society, is naturally significant —not least as a key resource for innovation and innovation systems. While research is not explicitly addressed in the World Bank’s revised policy directives, it is recognized as an indispensable component of the innovation system.

International Donor Support for PhD Training: Situating Swedish Bilateral Support for Research Capacity Building in Mozambique The conditions for research capacity development in most African countries are situated in a context which, since the end of direct colonial rule, has been extensively informed and funded by external international donors. Foreign development aid is the most prominent factor regulating the underlying conditions for research in most African national research systems—a dependency which may being increased by many governments’ recent policy prioritizing the educational mission of universities (i.e., undergraduate training). Thus, as in the colonial era, the premises for knowledge production through research and the preconditions for mobility are set by an asymmetric, long-term dependency on international donors. Many international donors have a long record of supporting capacity building at research institutions in Africa, many with PhD training as a central component. There are, however, significant differences among donors in terms of scope, design and ownership of these programs, due to different views on how institutional capacity building should be achieved (ODI 2007). The principal rationale behind Swedish development support has been that each country should have at least one university capable of being a resource for the establishment and expansion of national research and higher education (Sida 2003). Since the early 1970s, the ability to engage and take an active part in international research collaborations has been clearly highlighted in the conceptual frame of research capacity (Swedish Agency for Research Cooperation with Developing Countries/SAREC 1977, 10; 1986, 11; 1992, 10; Swedish Government 2010, 12; 2014, 2). In keeping with this approach, PhD graduate training (using a sandwich program designed to maintain links with the home institution) constitutes a core component in achieving the capacity to formulate and conduct research of high quality and relevance: “A major

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intention of the ‘Sandwich Model’ is that the successful candidate will continue to stay in his home institution after graduation, researching in an environment with a much improved research infrastructure as a result of the support provided by SAREC over the years” (Bhagavan 1992, 21). By gradually transferring responsibility, administratively and substantively, from the Swedish counterpart to the partner in the collaborating country, this sandwich approach is believed to promote capacity-building efforts more holistically. An important milestone in this approach is the establishment of local PhD programs. Swedish development support for Mozambique dates back to the mid1970s. Research cooperation began a few years later, in 1978, in the form of support to the Eduardo Mondlane University (UEM), then the only higher learning institution in the country and, at the time, severely affected by an extensive loss of staff. Donor support has targeted capacity building though training, in accordance with the sandwich model, and university-wide research infrastructure, such as ICT, library, administration and management (Sida 2003, 20). In accordance with the sandwich model, PhD candidates have been registered at Swedish institutions ever since its inception (and since the late 1990s, increasingly also in South African institutions). According to the principal idea behind the sandwich model, candidates should, over the course of their training, alternate between the home institution and the external institution, with the frequency depending on individual need. An important feature of the program is that candidates should undertake research at their home institution, leading to a sustainable research culture. This approach has been criticized. An evaluation conducted in 2003 noted: “Most of the training programmes under the Sida/SAREC cannot be classified as Sandwich type, since the candidates return only to teach or to do administrative work and not least attending to other job commitments to secure an adequate income. Too little time is spent on research at home” (Sida 2003, 22). This problem is not unique to Mozambique, but also appears in other bilateral research programs. Nevertheless, it ties in with the critical question of how training programs of this type evolve over time in terms of building local research capacity, and what kind of incentives for mobility and career development they produce.

Research and Higher Education in Mozambique As Table 9.1 shows, the greatest expansion in the history of higher education in Mozambique has occurred in the period from the mid-1990s

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to the present, in terms of both institutions and student enrollment. As we can see, a significant number of these new institutions are private enterprises, which currently account for close to a third of students enrolled. In the last 20 years, there has also been a dramatic increase in student enrollment, with almost four times as many students in 2011 as in 1995. Table 9.1: Number of enrolled students and institutions by year (1975–2011) Year

1975 1980 1985 1990 1995 2000 2004 2010 2011

Student enrollment Public Private 2,433 0 1,016 0 1,442 0 3,750 0 6,890 0 9,817 3,606 15,113 7,143 72,636 28,726 79,333 33,454

Total 2,433 1,016 1,442 3,750 6,890 13,423 22,256 101,362 112,787

Number of institutions Public Private 1 0 1 0 2 0 3 0 4 0 5 5 6 6 8 13

Total 1 1 2 3 4 10 12 21

Sources: Ministry of Education 2012; National Statistics Institute 2012

The dramatic expansion of higher education over the past decade follows the pattern seen in many Sub-Saharan countries. Given similar preconditions, the challenges of expansion are also largely the same as in other African countries. One important issue for this study is how expansion has affected the conditions for research and career development among PhD graduates, who play a central role in the operation and quality of both research and training. According to government sources, total teaching staff in higher education increased from 1,500 in 2000 to almost 3,700 in 2004. Less than 25% of these teachers are women. Full-time staff made up 32% of the total. Of these, about 20% had an MSc, and only 13% a PhD (MOSTIS 2006, 6). Mozambique is undoubtedly a very small provider of scientific knowledge, which is a direct consequence of the shortage of resources to support research and train researchers. With many years lost through civil war, the country is one of the weakest research producers in sub-Saharan Africa. According to UNESCO (United Nations Educational, Scientific and Cultural Organization) statistics, the total number of researchers in

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2010 was 337, or 16 researchers per million inhabitants. By comparison, South Africa, at the top of the list, has a total of 18,574 researchers or 382 researchers per million inhabitants (UNESCO 2010, 284).11 As in higher education generally, the low proportion of women in research (a third of all researchers), particularly in the STEM disciplines, is problematic. The greater part of the country’s scientific production takes place at public universities and in the 19 public scientific and technological research institutes. As an indication of the degree of mobility among individuals, government documents claim that public universities employ around 80% of those with PhD degrees (MOSTIS 2006, 4). Central to an understanding of government policy objectives for research is the national strategy for science, technology and innovation (MOSTIS) which provides the framework of priorities (research fields and human capacity building) within which PhD graduates orient themselves.12 As with similar documents in many other African countries, the strategy focuses on STEM disciplines. Notably, the social sciences and humanities are afforded a crosscutting function in areas such as environmental sustainability, ethno-botany, gender equity and HIV/AIDS. The strategy assigns high priority to human resource development and the retention of highly skilled teaching and research staff. It highlights the problem of competition by attractive employers outside the public education and research sector: “Management and administrative positions are often more lucrative than research posts, which acts as an incentive for many to leave active research” (MOSTIS 2006, 25). Interestingly, this seems to be less of a problem among individuals holding PhDs. As has been shown, the government notes that the majority (80%) of PhD graduates remain at universities. Probably because of the relative scarcity of highly skilled research staff (PhDs in particular), government policy does not reflect on the importance of also nurturing other sectors of society. To tackle the problem of retention, the government argues toward the need for increased international cooperation: [C]areers and in education and research may be made more attractive through [a] long-term program of collaboration with international

11 The meaning of “researcher” is not clear in UNESCO statistics, specifically whether it relates to staff members with a PhD degree. It is most likely that the data also cover MSc graduates involved in research. 12 An interesting point is that the main goal of the strategy is to reduce poverty: the strategy “will enable the voices of the poorest sectors to be heard by the society, and science and technology will be used to give them the means to gain the upper hand against poverty” (MOSTIS 2006, 14).

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universities and research institutions that offer opportunities for advanced study and research. This should include sabbatical programmes that encourage leading international researchers to spend their sabbaticals in Mozambican research institutions, thus allowing high-quality interaction between local researchers and their international colleagues. (Mostis 2006, 25).

To meet the demand for trained researchers in strategic research areas, an ambitious training plan has been formulated, with the goal of reaching 6,595 researchers by 2025 (660 in 2010, 2,638 by 2015 and 5,276 by 2020).13

Methodology This study builds both on quantitative and qualitative data collected to map general patterns/tendencies, and on lived experiences of academic mobility (Allwood 2004). Consideration is given to tensions between the tendencies shown in the large-scale mapping (questionnaire) and the nuances highlighted in the personal biographies (in-depth interviews). Furthermore, the methodological design is cross-sectional, including a retrospective approach. This means that respondents are asked to answer questions on their individual mobility biographies from the date on which they entered the PhD training program up to the present. The methodological approach of “multi-sited ethnography” is applied to investigate how people belonging to the same group move between sites (Marcus 1995). By investigating how researchers from the same type of PhD training program move and experience different academic workplaces in different geographic locations, we will explore analytically how transnational academic mobility is contextual. The comparative analysis is informed by “cautious comparativism” (Loomba 2009, 518). This means that large patterns of similarity, as well as inconsistencies, ruptures and differences within and between the samples and contexts will be regarded as important results. The data cover PhD graduates and candidates in Sida’s bilateral programs to support research capacity building in Mozambique between 13

The training plan has a fairly equal distribution among scientific disciplines, with a bias towards natural science (15%), engineering and technology (20%), medical sciences (20%), agronomical sciences (20%), social sciences (12.5%) and the humanities (12.5%). It is not clear whether the human resource development plan aims at the training of only PhD graduates, or if other degrees qualify for the “researcher” designation.

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1990 and 2013. The year 1990 was chosen as a starting point because it marks the beginning of the major changes associated with commodification, privatization and massification in the African higher education and research systems (GUNI 2008). The total dataset consists of 159 individuals, mainly traced through existing alumni lists of graduates at UEM, registers and supervisors at relevant institutions and departments in Sweden and South Africa, and social and professional networks of graduates in different disciplines. A web-based questionnaire was sent to all traced individuals. The response rate was 51.6% (82 individuals).14 The data were processed in SPSS. From the sample, 22 PhD graduates were strategically selected for in-depth interviews, which were conducted as “mobility biographies”, designed to map and explore researchers’ trajectories over time, space and place (Kenway and Fahey 2011). Information to supplement the questionnaire and the in-depth interviews was retrieved from “informant interviews” with staff in strategic positions at university and government level. All interviews were recorded, transcribed and processed with NVivo software.

Results The results are presented in two mutually connected parts. The first part aims to display international and sectoral mobility since graduation. The second part will deal with vertical mobility, current positions and working conditions of the selected graduates.

International and Sectoral Mobility The results from the surveys show a generally low degree of international mobility. Merely 14.3% of the respondents reported having been internationally mobile since graduation. As Table 9.2 shows, graduates in medicine, science and agricultural science reported a slightly higher frequency than other disciplines, with social science and the humanities at the low end of the scale. Because of longitudinal limitations in the data, it was not possible to deduce variances in international mobility between PhD graduates from different time periods of graduation, but a notably higher frequency of mobility was reported among more recent graduates, with the data showing a markedly higher frequency of mobility among 14

The response rate for similar studies of European PhD graduates is much lower (11% in the MORE project).

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graduates from 2000 and later than among those who graduated in the 1990s. Table 9.2: Frequency in international mobility after graduation, by scientific discipline (%) Discipline/ Frequency Medicine Science Social science Humanities Technology Agricultural science

No mobility 81.9 83.4 88.2 93.4 85.1 83.4

1 2 3 4 5 ‹5 time times times times times times 12.7 3.4 0.5 1.5 0 0 10.3 3.3 1.7 1.3 0 0 7.2 2.1 1.8 0.7 0 0 4.5 2.1 0 0 0 0 7.1 1.9 4.6 1.3 0 0 9.5

1.9

1.6

0

0

0.6

Africa and Europe are dominant as regions of destination for the greater part of the PhD graduates who report international mobility (Table 9.3). Notable variances could be observed at the disciplinary level with regard to frequency in mobility to Africa and Europe. Europe is twice as common a destination among graduates in medicine and science as is Africa; while the opposite is the case for social science and humanities. Despite a growing Asian presence in Mozambique (primarily China and India), mobility to Asia is still peripheral (with some notable exceptions in the disciplines of technology and science). Table 9.3: Geographic direction in international mobility since graduation, by scientific discipline (%) Scientific discipline/ Region Africa Europe North America Latin America Asia Medicine

27.1

64.5

1.3

7.1

0

Science

23.9

66.3

1.2

7.3

1.3

Social science

66.4

24.4

1.3

7.9

0

Humanities

73.2

22.1

0

4.7

0

Technology

57.1

33.5

0

5.5

3.9

Agricultural science

65.5

30.1

0

4.4

0

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The degree of mobility among responding graduates was generally low with regard to international and sectoral mobility. The great majority (76.1%) reported having had fewer than three positions since graduation. Less than 18% reported having three or four positions; and 11% reported five to six positions. Mobility in terms of the number of positions since graduation seems to be greater among men. The representation of women in the upper categories is significantly lower. The results indicate no significant variation when controlling for discipline.15 In order to gain a better understanding of the incentives behind geographical mobility, respondents were asked to rate a number of aspects believed to be of importance in any decision to work abroad. The results show that working conditions, salary and career-development opportunities were rated as very important aspects. Development opportunities for family members, as well as language/culture, were largely rated as unimportant or of minor importance. Sectoral mobility among graduates surveyed was low as well, and the great majority had remained at university since graduation. A few reported having tried other employment outside university, but many of them had returned or had maintained links. Of those who reported sectoral mobility since graduation, 53.6% reported having worked in other government sectors, usually positions in ministries and agencies. A significant share had also worked in the private sector (16.2%) and for international donors (11.8%). Another 10.2% reported having been selfemployed, with a business of their own, generally a consultancy. Sectoral mobility among women was significantly lower than among men. The factors at play behind this result remain to be investigated. A notable theme that emerged in the in-depth interviews was a strong desire to remain in academia, despite reported poor working conditions. The themes of giving something back, of appreciating what they had once been given and of contributing to capacity building were repeatedly brought up and acknowledged by the respondents. The following quote reveals feelings of loyalty toward the institution, which had clearly had an impact on the informant’s career choice: I would have preferred to stay 100% at the university, but with my involvement in state politics it was not possible. University teaching is my only way of staying in contact with an academic career and I think I have something valuable to give to the students … But it is hard, you feel like 15

For obvious reasons, there is a comparison bias in the result base: since no distinction has been made on the basis of year of graduation, the results apply equally to new graduates and to graduates from, say, the early 1990s.

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you give and give and sometimes you feel exhausted ... In Mozambique, unfortunately, if you are educated there are so many gaps to fill, where I am now at the ministry I have to do my own job at the same time as I train others. (Woman, social sciences).

The quote underscores the strategically important positions that PhD holders have at the university, as well as in other sectors of society. While these descriptions were accompanied by feelings of pride and satisfaction, they also revealed the tremendous workload and onus of responsibility perceived by respondents, and the associated feelings of exhaustion and frustration.

Vertical Mobility: Current Employment Positions and Working Conditions The survey results indicate a significant correlation between fields of employment and the overall research capacity-building objective of PhD training. In 2013, the great majority (72%) of respondents were employed at UEM. Despite the rapid expansion of higher education institutions, other universities in the country employed only 7.1% of the graduates who responded. Notably, the generally higher salaries paid by the expanding, market-driven private universities do not seem to have influenced the choice of workplace among those graduates still in the academic sector. Other government or public actors and private companies in Mozambique have been offering alternative employment markets for PhD graduates, but only to a small extent. Women tend to have a stronger preference for remaining at UEM, at the expense of their representation in all other employment categories. No significant variation was found among graduates from different academic disciplines. Overall, quite a few graduates had attained high positions within the university and in other sectors of society, but many had remained in the position they held before entering the PhD training program (Figure 9.1). Many respondents brought up the fact that the training had not led to any notable career advancement. However, this had little to do with thwarted ambitions. Instead, continuance in the position of lecturer turned out to be a deliberate choice, based on having more time for research. Many responding lecturers asserted that the PhD degree had served an important function by increasing their status as researchers; and, given the limited time and resources available for research, a lectureship was the closest to research. The positions of rector, vice dean, dean or head of department were viewed as administrative and as stepping away from the role of researcher:

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Figure 9.1: Percentage of graduates for each type of position

–Š‡” ‡’Ž‘›‡† ‡ŽˆǦ‡’Ž‘›‡–ǡ‘™ „—•‹‡••Ȁ…‘•—Ž–ƒ–

”‹˜ƒ–‡•‡…–‘” …‘’ƒ›Ȁ‘”‰ƒ‹œƒ–‹‘Ȁƒ…–‘”ǥ

–‡”ƒ–‹‘ƒŽ†‘‘”Ȁƒ‹† ‘”‰ƒ‹œƒ–‹‘Ȁ ‹‘œƒ„‹“—‡ ”‹˜ƒ–‡•‡…–‘” …‘’ƒ›Ȁ‘”‰ƒ‹œƒ–‹‘Ȁƒ…–‘”‹ǥ

–Š‡”—‹˜‡”•‹–›‘—–•‹†‡ ‘œƒ„‹“—‡ –Š‡”—‹˜‡”•‹–›‹‘œƒ„‹“—‡ †—ƒ”†‘‘†Žƒ‡‹˜‡”•‹–› Ͳ

ʹͲ

ͶͲ

͸Ͳ

ͺͲ

Wheree Have All the Researchers R Goone?

205

The results show a relativvely low proportion of wom men in higher positions in academia: they makee up only a third of proofessorships, heads of department or associate professorships p s (Figure 9.2). Figure 9.2: Peercentage of graaduates per possition by genderr

–Š Š‡” ‘•—Ž–ƒƒ–

‹‰Š‘ˆˆˆ‹…‹ƒŽȀ‘ˆˆ‹…‹ƒŽŽ ‰‘˜‡”‡ –‘”‰ƒ‹œƒ–‹‘ǡǥ ”‘ˆ‡••‹‘ƒƒŽ•–ƒˆˆȋ‡†‹‹…ƒŽ †‘…–‘”ǡƒ‰”‘‘‹•–ǡǥ ǥ

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‡…–—”‡” ‡ƒ† †‘ˆ†‡’ƒ”–‡‡– ••‘ ‘…‹ƒ–‡’”‘ˆ‡•••‘” ”‘ˆ‡•••‘” š‡…—–‹˜‡ȋ  ‹‹•–‡”ǡ†‹”‡……–‘” ‰‡‡””ƒŽǡ‡–…ǤȌ Ͳ

ͷ

ͳͲ ͳͷ ʹͲ Ͳ ʹͷ ͵Ͳ

Working coonditions at thhe university were generaally described as poor, specifically regarding sallary and access to infrastruucture. Some 68.4% of respondentss mentioned a need for som me source of ssupplementary y income,

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mainly through consultancy work, in combination with teaching at private universities: “If I didn’t do consultancy, my private life would be very difficult, yes, very difficult. You cannot survive on the salaries paid here at the university” (Man, engineering). The need for supplementary income was evident in all academic fields and for both genders. Another dominant theme was about consultancy work being, to various degrees, integrated into the infrastructure of universities. This means that individual researchers, as well as university departments, can be the main recipients of these assignments. Differences emerged between academic fields as regards the ease or difficulty of finding extra income. Applied disciplines, such as veterinary sciences, were reportedly better placed in this respect than disciplines such as the fine arts. The great majority of respondents (82.4%) had continued to do research after graduation, but the results displayed a notably weak correlation between the PhD training undergone and increased research productivity, measured in time allocated for research.16 Some 67.3% of respondents reported that the PhD training had not resulted in any extension of the time available for research activities. Generally, the situation had nothing to do with lack of commitment, but was explained by the increasingly heavy workload in other required duties, such as lecturing, supervision and administration: I’m aware of the expectations on my role as a trained researcher. Entering into the Sida PhD programme was of course very personal to me, but I knew that I was part of a bigger plan to create better conditions for research at the university… Because of the Sida support we are now quite a few PhD holders at my department, but I have to say that research activities have not increased substantially and this is not because of lack of engagement, we all really want to do research. No, the main reason is the heavy teaching load put on all of us … The current situation of mass intake of students and the administrative burden following on this is really working against the building of the research capacity at this university. (Mozambican PhD graduate in social science).

16

It may be self-evident, but in any scientific and capacity-building context, such as is in the scope of this article in particular, time allocated for research is a basic prerequisite for the development of successful research. The time factor is a feature of all parts of the research process (formulation and application, to implementation and publishing).

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Table 9.4: Percentage of time for research after graduation, by scientific discipline (%) Discipline/ Percentages of time Science

Not at all

Less than 25% of full-time

25% of full-time

50% of full-time

75% of full-time

Fulltime

3.1

34.6

52.6

7.3

1.3

1.1

Medicine

2.2

38.5

51.9

6.1

1.3

0

Social science Humanities

5.7

49.8

43.2

1.3

0

0

6.4

51.3

41.2

1.1

0

0

5.2

26.3

61.3

7.2

0

0

2.2

22.8

65.8

6.9

2.3

0

Technology Agricultural science

As Table 9.4 shows, the vast majority spend 25% or less of their working days on research; but there are some notable variations between scientific disciplines. Graduates in social sciences and the humanities reported spending significantly less time on research than was the case in other disciplines. Respondents in medicine and science reported the highest proportions of time spent on research. Lack of longitudinal data prevents us from conducting a quantifiable analysis of the development over time, but the respondents in the interviews frequently mentioned a gradual reduction in time for research after graduation.

Conclusion and Policy Implications The international mobility of researchers is recognized as a significant factor in the diffusion and improvement in quality of scientific knowledge, on both a national and a global basis. However, mobility does not follow naturally as a function of the position of PhD graduate, but is contingent on (among other things) the geopolitical preconditions for international research production, which could determine access and competitiveness for international academic positions. Mobility could also increase establishment of international research collaborations, since mobility potentially increases researchers’ exposure to new research contacts. To some extent, these views on research mobility are contested by the capacity-building approach of the Swedish development support for research training (sandwich model), which is grounded in a more

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stationary rationale, designed to build the required critical mass of researchers at the selected national universities. While there has been intense policy and academic discussion of the problem of a brain drain among highly skilled individuals from African countries, this study suggests remarkably low mobility among PhD graduates—both geographical and sectoral. This means that the donor support for PhD training is in line with the objective of building a structure for research at UEM in terms of qualified individuals. However, while a low degree of mobility means greater availability of qualified individuals at UEM, it could also mean a loss of the competencies, experience and contacts that would have been acquired through mobility. In this regard, it has been suggested that the mobility of researchers is an indicator of their competence and flexibility (MORE 2010). Lack of attractive offers for career development abroad or in other sectors of Mozambican society and feelings of loyalty toward UEM were given as explanations for the relative lack of mobility. Another explanation could be that low research activity per se has hampered participation in international research programs and networks, which in turn has resulted in less exposure to positions abroad, and less incentive to seek out such positions. In any event, the factors underlying low mobility need to be further studied, as do the conditions for mobility within this group. Regardless of gender and academic discipline, a significant proportion of the researchers who underwent training on the program in the years 1990–2012 have remained at UEM. Despite reportedly inadequate salaries and increasing workloads, UEM still constitutes the most attractive workplace for the majority of graduates. The fact that all held staff positions at the time of recruitment to the PhD program may be an explanation for this. The relatively low number of staff members with PhD degrees at UEM implied rapid career development for some of the graduates, both in their departments and in the university administration. Notably, women represent a significantly lower share of those who have achieved high positions at UEM. This confirms the results from earlier studies of women’s career development in academia, which indicated a significantly higher presence of women in lower positions. The results of this study highlight imbalances in the working conditions of researchers at their academic workplaces. The current trend toward massification in higher education seems to militate against the development of research—and consequently also against the basic idea of capacity development through the training of researchers, as emphasized and supported by Swedish development aid and other donors. The results provide some cause for concern, given that UEM was once thought to

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offer the best breeding ground for research. However, despite the unfavorable conditions for research, the degree of mobility was low among all researchers, irrespective of scientific discipline. Even the expansion of private higher education institutions that offer no research facilities but higher salaries does not seem to provide a strong incentive for moving. On the contrary, respondents stressed a strong willingness to remain at the national university because of its reputation for occupying a premier position in the hierarchy of academic institutions. There is cause for concern regarding the low mobility among graduates. In the global competition between universities, the degree of internationalization has become a crucial element in success and positioning. A high degree of mobility among students and researchers is perhaps the most important factor for successful internationalization, since a high inflow and outflow of researchers and students is assumed to increase the quality of the institution’s activities. To prevent UEM from becoming isolated from the international sphere of higher education and research, there is a need to acknowledge the problem of low mobility. The establishment of different postdoctoral and sabbatical programs could be a way of increasing mobility and, ultimately, the quality of research activities at UEM.

References Allwood, Carl M. 2004. Perspektiv på den Kvalitativa Idétraditionen [Perspective on the Qualitative Idea Tradition]. In Perspektiv på Kvalitativ Metod, edited by C. M. Allwood. Lund: Studentlitteratur. Altbach, Peter. 2013. The Global Brain Race – Robbing Developing Countries. University World News Global Edition, Issue 268. —. 2007. “Peripheries and Centres: Research Universities in the Developing Countries.” Higher Education Management and Policy 19:110–134. Auriol, Laudeline, Martin Schaaper, and Bernard Felix. 2012. Mapping Careers and Mobility of Doctorate Holders: Draft Guidelines, Model Questionnaire and Indicators – Third Edition. OECD Science, Technology and Industry Working Papers, 2012/07. Paris: OECD. Auriol, Laudeline. 2010. Careers of Doctorate Holders: Employment and Mobility Patterns. STI Working Paper 2010/4. Statistical Analysis of Science, Technology and Industry. OECD, Paris. Bhagavan, M. R. 1992. The SAREC model: Institutional Cooperation and the Strengthening of National Research Capacity in Developing Countries. SAREC Report 1992/1. Stockholm: SIDA.

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Bloom, David, David Canning, and Kevin Chan. 2005. Higher Education and Economic Development in Africa. Cambridge M.A.: Harvard UP. Castles, Steve, and Marl J. Miller. 2009. The Age of Migration. Hampshire, London; Houndsmill. Docquier, Frederic and Abdeslam Marfouk. 2006. “International Migration by Educational Attainment.” In International Migration, Remittances and Development, edited by Caglar Ozden and Maurice Schiff, 151–200. New York: Palgrave MacMillan. European Union. 2010. Europe 2020: A Strategy for Smart, Sustainable and Inclusive growth. Communication from the Commission, Brussels. Fellesson, Mans and Paula Mählck. 2013. Academics on the Move: Mobility and Institutional Change in the Swedish Development Support to Research Capacity Building in Mozambique. NAI Current African Issues 55. Uppsala: The Nordic Africa Institute. Fitzgerald, Tanja. 2014. Advancing Knowledge in Higher Education: Universities in Turbulent Times. Advances in Higher Education and Professional Development Book Series. Portland, O.R.: Powell Books. Franzoni, Chiara, Giuseppe Scellato, and Paula Stephan. 2012. “Patterns of International Mobility of Researchers: Evidence from the GlobSci Survey.” Paper Prepared for the international Schumpeter Society Conference, July 2012, Brisbane, Australia. GUNI (Global University Network for Innovation) 2008. Higher Education in the World: New Challenges and Emerging Roles for Human and Social Development. New York: Palgrave MacMillan. Hoffman, David M. 2009. “Changing Academic Mobility Patterns and International Migration. What Will Academic Mobility Mean in the 21st Century.” Journal of Studies in International Education 13(3):347–64. Hunter, Rosalind, Andrew J. Oswald, and B. G. Charlton. 2009. “The Elite Brain Drain.” Economic Journal 119(538):F231–F251. Jerven, Morten. 2013. Poor Numbers: How we Are Misled by African Development Statistics and What to Do About It. Ithaca, NY: Cornell University Press. Jonkers, Koen and Robert Tijssen. 2008. “Chinese Researchers Returning Home: Impacts of International Mobility on Research Collaboration and Scientific Productivity.” Scientometrics 77(2):309–333. Kenway, Jane and Johannah Fahey. 2011. “Getting Emotional about Brain Mobility.” Emotion, Space and Society 4(3):187–194. Kogan, Maurice and Ulrich Teichler (eds.). 2007. Key Challenges to the Academic Profession. Kassel: International Centre for Higher Education Research Kassel and UNESCO Forum on Higher Education,

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Research and Knowledge. Laudel, Grit. 2005. “Migration Currents Among the Scientific Elite.” Minerva 43:377–395. Levin, Sharon G. and Paula E. Stephan. 1999. “Are the Foreign Born a Source of Strength for US Science?” Science 285(5431):1213–1214. Lewis, J. 1986. “International Labour Migration and Uneven Regional Development in Labour Exporting Countries.” Economic and Social Geography 77(1):27–41. Loomba, Ania. 2009. “Race and the Possibilities of Comparative Critique.” New Literary History 40(3):501–522. Mamdani, Mahmoud. 2007. Scholars in the Marketplace: The Dilemmas of Neo-Liberal Reform at Makerere University 1989–2005. Dakar: Council for Development of Social Science Research in Africa (CODESRIA). Marcus, George E. 1995. “Ethnography in/of the World System: The Emergence of Multi-Sited Ethnography.” Annual Review of Anthropology 24:95–117. Ministry of Education (2012). Education Strategic Plan 2012–2016. Maputo: National Statistical Institute. MORE. 2010. “Study on the Mobility Patterns and Career Paths of EU Researchers.” Final Report, Prepared for the Commission Research Directorate C. Brussels: European Research Area Universities and Researchers. MOSTIS. 2006. Maputo: Republic of Mozambique. Maputo, Council of Ministers: Mozambique science, technology and innovation strategy. Nowotny, Helga, Peter Scott, and Michael Gibbons. 2001. Re-thinking Science: Knowledge and the Public in an Age of Uncertainty. Cambridge: Polity Press. ODI. 2007. Research Capacity Strengthening in Africa: Trends, Gaps and Opportunities – A Scoping Study Commissioned by DFID on Behalf of IFORD. London: Overseas Development Institute. OECD. 2007. “Mapping Careers and Mobility of Doctoral Holders: Draft Guidelines, Model Questionnaire and Indicators.” OECD Science, Technology and Industry Working Papers 2010/01. Paris: OECD. Project Atlas. 2011. Student Mobility and the Internationalization of Higher Education: National Policies and Strategies from Six World Regions. New York, N.Y.: Institute of International Education. SAREC. 1977. SAREC’s First Year Annual Report 1975/76. Stockholm: Swedish Agency for Research Cooperation with Developing Countries. —. 1986. SAREC Annual Report 1986/87. Stockholm: Swedish Agency for Research Cooperation with Developing Countries.

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—. 1992. SAREC Annual Report 1992/93. Stockholm: Swedish Agency for Research Cooperation with Developing Countries. SIDA. 2009. Tracing Research Capacities in Viet Nam: Perspectives from Vietnamese researchers, Viet Nam – Swedish research cooperation. Stockholm: Swedish International Development Cooperation Agency. —. 2003. “SIDA Support to the University Eduardo Mondlane, Mozambique.” Sida Evaluation 03/35. Stockholm: Swedish International Development Cooperation Agency, Department for Research Co-operation. Swedish Government. 2014. “Strategy for Research Collaboration and Research in the Development Cooperation 2014–2021. Bilaga till Regeringsbeslut 2014–12–18 (UF2014/80398/UD/USTYR)”. Stockholm. —. 2010. “Research for Development: Policy for Research in Swedish Development Cooperation 2010–2014 and Strategy for SIDA’s Support for Research Cooperation 2010–2014.” Stockholm: Swedish Government Offices. Taylor, Edward J. 1999. “The New Economics of Labour Migration and the Role of Remittances in the Migration Process.” International Migration 37(1):63–88. Teferra, Damtew and H. Greijn (eds.). 2010. Higher Education and Globalization: Challenges, Threats and Opportunities for Africa. Maastricht: Maastricht University. Teferra, Damtew and Peter Altbach. 2004. “African Higher Education: Challenges for the 21st Century.” Higher Education 47(1):21–50. Tremblay, Karine. 2005. “Academic Mobility and Immigration.” Journal of Studies in International Education 9(3):196–228. UNESCO. 2010. UNESCO Science Report: The Current Status of Science Around the World. Paris: UNESCO. —. 2006. Global Education Digest 2006. Montreal: UNESCO Institute for Statistics. Urama, Kevin C., Nicholas Ozor, Ousmane Kane, and Mohamed Hassan. 2010. “Sub-Saharan Africa, Chapter 14.” In UNESCO Science Report, 279-321. Paris: UNESCO. Varghese, N. V. 2004. Private Higher Education in Africa. International Institute for Educational Planning (IIEP). Geneva: UNESCO. Word Bank. 2002. Constructing Knowledge Societies: Challenges for Tertiary Education. Washington, D.C.: The World Bank.

CHAPTER TEN THE CURRENT AND PROSPECTIVE BRAIN DRAIN IN MOZAMBIQUE INÊS MACAMO RAIMUNDO1

Abstract Southern Africa is rapidly changing with migration playing a major role, particularly with respect to the brain drain. Even though the global trend of growing brain drain is evident in Mozambique, the issue is still underestimated. Hypothetically, the highly qualified people or “brains” do not fit into the small, local environments, since the government does not provide the conditions to meet their expectations. Therefore when these educated people find jobs overseas, it is in their best interest to go. In general, there is no substantive source of data able to tell us how many educated Mozambicans live in Europe or North America; nor what kind of qualifications they possess. For most educated Mozambicans, Portugal is low on their list of work destinations, compared to other destination countries. Moreover most would prefer to remain in their own country. However, if there is no work to be had in their area of expertise, these educated Mozambicans will follow the international migration trends. In this scenario, the country will experience brain drain when these professionals opt to relocate to developed western countries. In Mozambique, this exodus will result in a general reduction of skilled professionals—in education/universities, health and planning sectors, and more. Planners and decision-makers are in a tricky situation: Should they allow such people to leave the country or should they be forced to remain—with no chance of job. This chapter is supported with a literature review and recent research results.

1

Eduardo Mondlane University, Faculty of Arts and Social Sciences, Maputo, Mozambique.

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Introduction Much of the literature on migration in Mozambique is related to labor migration into neighboring countries. Such migrants include workers seeking employment in South African e.g. in mines, Zimbabwe e.g. in plantations and mines, Malawi, and Swaziland. However, since 2000, a growing number of cases studies on rural-urban migration have emerged as well as studies on cross-border traders. For example, studies by Raimundo (2005; 2010; 2011), Muanamoha (2010), Raimundo and Muanamoha (2013), and Bilale (2008) on internal migration and crossborder migration have ignited some interest in the issue. In Mozambique, most migration movements, including the brain drain, have been caused by a diverse number of events ranging from civil war to droughts, economic destabilization and natural disasters. Climatic extremes such as droughts and floods have forced thousands of Mozambicans out of rural areas and into urban areas. However, there has been a glaring neglect in the literature as to how these factors have led to brain drain, also within the borders of the country itself. Little is known for instance about how rural livelihoods have been affected and/or what the migration experience of urban-ward migrants has been. Brain drain is generally defined as the exodus of trained people caused by the lack of employment, lack of safety and/or dissatisfaction with political and economic situation. The limited research on the brain drain in Mozambique is surprising since the country has a long history of students going overseas for studies and delivering labor force to South Africa and former East Germany. This work is primarily concerned with how university students are potential brain drainers. This chapter addresses the willingness of university students to migrate either regionally or internationally. This study also examines student access to information about job opportunities outside their national borders. Focusing on the university students by course, gender and place of origin, the research will identify the likelihood of brain drain in Mozambique as well as predict the future level of brain drain in the country. Little is known about the numbers of Mozambicans living in overseas or what they have been doing following the completion of their duties— studies or work. Over the past three decades, following Mozambique’s independence in 1975, the Ministry of Education has been supporting the movements of students to various countries for training. The Ministry of Labor also encouraged many Mozambicans to move as labor to the former East Germany as well as to South Africa. As a matter of fact, the

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relationship with South Africa has shaped the labor system of both countries for more than a century. However, it seems that neither ministry has actual figures about the people who have been moving out of the country, what they have been doing or where they have gone after completion of their duties. Empirical evidence suggests the Government of Mozambique has not been much concerned with this issue. Therefore, there have been no policies formulated regarding the issue of brain drain or even migration itself. So how does this affect the level of qualification of the labor force in general? Our hypothesis is that the majority of students who migrated to other countries did not return to the country; that even though they were tightly controlled in Eastern Europe they were able to escape into western countries. It is based on the results of the education policy of the then Government of Mozambique immediately after independence2. That policy was based on the following statement: “Let´s make school a place where people will have foundation for taking over the power”. Thus, through international cooperation with eastern European countries e.g. former East Germany, the government sent thousands of young Mozambicans to study and work abroad – also in South Africa. After 40 years of independence, the country is still missing individuals trained in different skills.

Understanding the Brain Drain The migration of professionals or skilled people, known generally as the brain drain, has been the subject of many debates since 1960s. These debates come at the same time as the New Economic International Order, decolonization of African countries, the oil crisis, the Cold War, environmental issues, political instability and Structural Adjustment Programs, to name just a few of the issues of concern. It is difficult to differentiate between the different types of migrants: Economic migrants, refugees, internally displaced persons, rural-urban migration, cross-border traders, and regular and irregular migrations are all found across the continent. These flows originate from several factors forcing people to leave their original places of residence. Civil wars, coups d’état, lack of democracy, natural hazards and economic declines, can all make the continent undesirable to live in. People who leave the continent include both highly skilled and non-skilled individuals. It is 2

Mozambique, a former Portuguese colony, got independence form 25th June of 1975.

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important to mention that whatever the reason, or whoever moves there are consequences that affect both the country of origin and the destination countries. The British Royal Society, who was the first to highlight the brain drain issue, had raised concerns that neither developing countries nor the destination countries benefit from this (Shinn 2008). The debate which was primarily concerned with British scientists who left the UK to work in the US and Canada, now affects also African countries that are losing their professionals. In fact, the continent has lost its “best and brightest people” (MacDonald and Crush 2002), this is damaging, not only because of the loss of human resources but also because it is a general indicator that the country is not a desirable place to live. Many developing countries do not have ways of attracting and integrating skilled professionals because they suffer from political and economic instability, for example in the African Great Lake region, the Horn of Arica, D.R. Congo, and Zimbabwe, or are under reconstruction after civil wars such as Mozambique, Angola, Ethiopia and Uganda. This raises questions about movement restriction or control, as many societies cannot afford to dispense with their unskilled labor force or highly skilled professionals (Adepoju 2008; Oucho 2008). Manuh, Asante and Djangmah (2005) have categorized the causes of brain drain as follows: -

-

Institutional factors—these are linked with the bureaucratic structures of African universities. Human resource management—human resource systems and incentive schemes in many universities have not been managed effectively or efficiently, leading to frustration and thus increasing brain drain. Political factors—undemocratic and authoritarian political systems, instability and conflict, as well as the lack of academic freedom.

Debating brain drain is difficult for several reasons: -

3

The definition and the exact interpretation by countries of origin in the underdeveloped south is different from the countries of destination in the developed north3.

This was borrowed from Oucho (2008, 49–69) in African brain drain and gain, Diaspora and remittances: More rhetoric than action.

The Current and Prospective Brain Drain in Mozambique

-

-

217

Data sources are unreliable and erratic. Who gains and who loses at different levels in the sending and receiving countries? Oucho (2008), for instance, indicates that there is literature that emphasizes the contribution of this typology of migration regarding its contribution to trade, remittances, knowledge and foreign direct investment. Brain drain is also affected by policies that are in place in origin and destination countries.

Among these facts one issue is clear, this movement of skilled people cannot be dissociated from the fact that something “wrong” is happening in these countries of origin, or in the destination countries. From the academic perspective there are political, economic and academic “parties” that have different points of view about who gains and who loses. MacDonald and Crush (2002) mention that the brain drain, among other impacts, is a general indicator of whether a country is a desirable place to live. While Manuh, Asante and Djangmah (2005) suggest that in SubSaharan Africa the brain drain has significant negative effects on the growth rate of the source country’s economy and can potentially slow its long-term development; Oucho (2008) stresses the point that African leaders consider this human capital flight as unpatriotic and there is more rhetoric than action on the issue. This means that there is no substantial action from governments, either to attract professionals to return and to contribute to their countries. Causes and impacts of international migration for both sending and receiving countries are well studied (economic, social, political and environmental). But what has emerged, as Castle and Miller (2009, page 25) mention, is the need to recognize that whatever the type of migration under consideration, it is a complex process in which economic, political and cultural factors work together. Furthermore, the conditions are not static, but in a process of constant change; they are linked to both global factors and the way these interact with local historical and cultural patterns. In their analysis of contemporary migrations and general trends, Castle and Miller (2009) state that international migration is part of a transnational revolution (former countries of origin have become countries of destination) that is reshaping societies and politics around the globe. It is important to recognize that international migration does not happen in isolation, but in the context of prior links between the sending and receiving countries based on colonization, political influence, trade, investments or cultural ties (Castle and Miller 2009).

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Scholars maintain that the brain drain, and migration in general, occurs because of differences in production, economy, political dissatisfaction, persecution, natural hazards, and so-on. Castle and Miller (2009, page 28) say: “migration systems approach is that any migratory movement can be seen as the result of interacting macro structures (large-scale institutional factors)—and micro-structures (networks, practices and beliefs of the migrants themselves).” In Mozambique there is a need for migration studies, particularly on labor migration although data on the topic are limited and even more when it comes to the issue of analyzing the brain drain. Information about the brain drain as an independent category was extremely difficult to find in the available literature regarding Mozambique, or anywhere else in Africa. One reason is that migration studies have not garnered much attention from policymakers or academics, particularly in Portuguesespeaking countries. However, it must be said that Mozambique has been characterized by a considerable diaspora of work, as the majority of these researcher/writers live in neighboring countries. This lack of interest from “home-grown” policymakers (Raimundo 2010) is revealed in Mozambique’s Population Policy in which there is no clear line of reasoning regarding migration, particularly in relation to the brain drain. Mozambique has changed (see the revised Constitution of 1990 and 2004). Since the 1990s, democratization and other reforms have taken place: Now presidents and members of parliament are elected by the people. However, finding decent jobs, or employment in general, is still a nightmare for thousands of graduates. Finding a job of any sort is often a matter of good luck, because of this, prospective graduates are willing to work overseas.

International Migration: The Root of Brain Drain in Mozambique International migration is, for our purposes, the movement of people who cross at least one border, resulting in a change of residence. According to Peixoto (2004), it is one of several complex issues requiring study. What makes this so complex is the fact that migration is a cross-cutting subject. This means it can apply to, and shape, any field of study—demography, economics, politics, social, cultural, environmental, health, etc. Raimundo (2008) identifies internal and south-south migration as the dominant flows. This is because there is not much migration to Europe or other, similar destinations. International migration consists of a massive

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regional exodus to southern African countries, especially to South Africa. However, there is also considerable migration to Zimbabwe, Swaziland and Malawi. Migration is not a new phenomenon here either. People have always relocated in times of need and in many different directions. Further, in the case of Mozambique, the largest flow of Mozambicans abroad was estimated to be between 1976 and 1992, during the devastating civil war. In the course of those years, about 2,000,000 Mozambicans lived as refugees in neighboring countries, while about 5 million were Internally Displaced Persons. The government of Mozambique has not yet succeeded in developing policies for attracting people in diaspora back to the country or benefiting from them. A difficulty in implementing suitable migration policies is the lack of data. Raimundo and Santana (2010) say that the brain drain has recently emerged as a major policy issue in southern Africa. Although precise data on the extent of the skills exodus are lacking, all countries of the region have expressed concern about the impact of an accelerating brain drain on economic growth and development, and on the quality of service delivery in the public sector. The root causes of brain drain are many and diverse. Migration is most typically related to economic, political, environmental and/or social factors. In developing countries, where jobs and opportunities for upward progression are scarce, people opt to leave their homelands in search of better opportunities and living conditions. Sourcing migration data is difficult. It is even harder to get information related to the brain drain, as most educated people fled the country during the political instability and often prefer to live anonymously. Despite the lack of migration data, Raimundo (2010; 2008; 2005) points out that in Mozambique, migration is caused by socioeconomic and ecological factors (climatic extremes such as droughts and floods). These have forced thousands of Mozambicans out of rural areas into urban areas. It is hard to differentiate the causes for migration and those for the brain drain, as the factors acted at the same time. Yet, for a country that has experienced a diverse number of events ranging from civil war to droughts, economic destabilization and natural disasters, there has been a glaring neglect in the literature of how these factors have affected the brain drain within the borders of Mozambique itself. That is why this study was undertaken.

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Mozambicans in Foreign Countries: Trends for Brain Drain Oucho (2008) says defining the amount of brain drain or skilled emigration is generally imprecise, both conceptually and in terms of data sources. The lack of reliable data is caused by the inability of countries of origin to keep records of their emigrants. For instance, in Mozambique, Raimundo (2008) says there is a system of collecting data at the border posts, but after five years these data are discarded. Raimundo (2008) also argues that the form travelers are obliged to complete is out of date in terms of the required information. There is no differentiation between who exits and enters in the country. This is shown in Table 10.1. Table 10.1: Type of information requested by the National Directorate of Immigration from travellers during departure or arrival Republic of Mozambique 1. Surname 2. Name 3. Passport number 7. Birth day

12. Purpose of visit/trip

13. Mean of transport

Embark/ Disembarkation card

4. Validity 8. Country of permanent residence Business Visiting relatives/friends Registration plate number Foot

5. Nationality 9. Duration of days

6. Sex

Male

Female

10. Destination

11. Address of stay

Official

Tourism

Transit

Work

Miners

Others

Flight number

Train

Ship

Looking at the form above, it can hardly provide any consistent data about qualified Mozambicans leaving the country. This form provides very imprecise information. However, even without considering any data, there are definite signs of an alarming brain drain. Mozambique has lost professionals during and after their academic or professional training. With the end of the Cold War and the reunification of Germany, some Mozambicans employed in East Germany decided to not to return home. This is information sourced from my former neighbors

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and schoolmates. Some did return to Mozambique, but once they realized their needs were not being met, they went back to where they had come from, or went to South Africa. Their argument is: “The country is not able to offer anything close to our expectations. More attractive conditions exist in the countries where we currently live”. However, I have had the opportunity to speak with expats during their holidays to Mozambique. I asked them if they were comfortable with living in a foreign country. Invariably they said: “I can return home if I decide I want to do that. But I have mixed feelings. I still miss home, my food, my bed and my parents”. We can conclude that apart from the reasons that forced them to leave Mozambique: “Home is still home, no matter the circumstances or conditions”. Others said “we are living overseas because of the stomach”. This alludes to poor work conditions in Mozambique as well as the lack of good jobs that pay well enough to provide a comfortable lifestyle. MacDonald and Crush (2002) emphasize that in a comparison between the number of unskilled and forced migrants, the international movement of skilled people is still relatively small. However, its social and economic relevance outweighs its numerical significance for a number of reasons, including the loss of skilled workers in the countries of origin, resulting in the lack of a trained labor force, requiring such countries to import skilled labor to fill the gap. What makes it difficult to count people crossing borders is the fact some do not correctly declare the purpose of their stay, or change it once they reach their final destination; this obviously puts them into an illegal situation. Considering only a certain group of countries has the ability (human capability) and financial resources (with efficient laws and migration policies) to estimate international migration, in other countries this is extremely difficult to ascertain. As has been previously mentioned, there are definite signs of brain drain out of Mozambique. Data from the Institute for Employment Research (IAB) indicate that the number of skilled people (designated in Table 10.2) leaving the country were considerably higher in 2010 than in 1980. Seven destination countries were selected: Australia, Canada, France, Germany, the UK, the US and Portugal which formerly colonized Mozambique. Today, Portugal is the main destination for expatriate Mozambicans, followed by Germany and Canada.

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Table 10.2: Selected data of Mozambicans living overseas from 1980 to 2010 1980 Total Low Medium High 1985 Total Low Medium High 1990 Total Low Medium High 1995 Total Low Medium High 2000 Total Low Medium High 2005 Total Low Medium High 2010 Total Low Medium High

Australia

Canada

France

Germany

UK

Portugal

US

0 0 0 0

200 30 55 115

0 0 0 0

0 0 0 0

0 0 0 0

24,178 16,722 3,679 3,777

272 80 16 176

0 0 0 0

375 105 110 160

135 76 29 30

0 0 0 0

657 343 165 149

40,880 24,228 9,603 8,149

640 119 106 415

278 55 57 166

535 155 150 130

308 148 72 88

0 0 0 0

1,366 743 318 305

43,829 23,070 12,373 8,386

982 113 213 656

320 58 46 216

805 220 205 380

500 274 98 128

2,406 1,028 822 566

2,141 1,223 363 475

57,603 28,369 16,547 12,687

567 52 154 361

474 39 90 299

880 270 130 480

675 298 233 134

3,351 1,000 827 524

2,733 1,815 328 590

70,762 21,837 19,517 19,408

696 69 172 455

533 83 94 356

1,050 120 270 660

474 299 94 81

1,838 684 630 524

3,110 1,845 372 793

90,285 35,343 28,529 26,413

999 90 249 660

593 75 98 420

1,279 122 241 916

719 379 180 160

1,809 805 522 482

3,584 1,967 447 1,230

112,933 38,767 42,408 31,757

1,115 101 261 753

Source: Institute for Employment Research (IAB). www.iab.de/en/data/iab-braindrain-data.aspx (Accessed on 1st June 2014)

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Meanwhile, according to the IAB, there were 935 Mozambican physicians and 779 nurses living abroad. It is a fact that obtaining data regarding the skills of the Mozambican diaspora is extremely difficult, making it almost impossible to draw a profile. This is due to the inability of the relevant ministries to keep records of migrants, particularly those who received scholarships to study abroad. More recently, the Mozambican Institute of Scholarship (Instituto de Bolsas de Estudo 2014) has released some information about people who are currently in training programs abroad. The data show that, just like 20 years ago (1994), Mozambicans have been trained in numerous countries and have benefited from experiences in America, Europe, Asia and Africa. Table 10.3 indicates there were 2,883 overseas students, 1,185 females and 1,698 males. This gender imbalance reflects the situation in Mozambique, where males have more opportunity for study than females. Table 10.3: Scholarship by gender in the year of 2013 Gender Female Male Total

Total 1,185 1,698 2,883

% 41,1 58,9 100

Source: Instituto de Bolsas de Moçambique 2014

Table 10.4 illustrates the degrees in which Mozambicans are enrolled. It is clear the majority are still attending school. As for graduates, the distribution is as follows: 97 in high school; 2,429 at Licenciatura (degree level); 422 post-graduates at the Masters level, and 35 at the PhD level. Table 10.4: Scholarship students by degree Level High School Licenciatura (Degree) Master PhD Total

Male

Female

54 1,412 206 26 1,672

Source: Instituto de Bolsas de Moçambique 2014

43 1,017 216 9 1,069

Total 97 2,429 422 35 2,983

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Data from Instituto de Bolsas de Estudos indicate a slight difference between the number of students enrolled in Natural Sciences (883), and Social Sciences and Humanities (815). Females tend to study Social Sciences and Humanities while males tend to study natural Sciences (Table 10.5). Table 10.5: Scholarship students by field of study by gender Field of study Male Natural Sciences Social Sciences and Humanities Total

Gender Female 883 815

1,698

Total 498 687

1,381 1,502

1,185

2,883

Source: Instituto de Bolsas de Moçambique 2014

It remains difficult to ascertain the extent to which Mozambique has been affected by the brain drain over the 38 years since independence. This is because neither the National Census, the Ministry of Planning & Development nor the National Directorate of Immigration have kept records on who departs and who returns. As in every other African country, there is no mechanism to expand the data by documenting migrants’ educational achievements, skills or even their destinations. In fact, as Raimundo points out, scholars and government officers have only estimated the statistics. The most reliable data are those found with Foreign Affairs governmental departments of destination countries. An example of this is the Serviços de Estrangeiros Fronteira of Portugal. The Instituto de Bolsas de Moçambique only recently provided information about those who received scholarships and then returned home to Mozambique (Table 10.6). In the above-mentioned table, we can see that in 2013, only 254 returned out of 1,108 expatriated students.

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Table 10.6: Scholarship students by country, year of training and returnees País Germany Angola Argelia Australia Brazil China Korea Cuba Spain US France Netherland Hungary India United Kingdom Italy Japan Makau Malasia Marroco Portugal South Africa Russia Servia Tanzania Turkey Venezuela Vietnan Zimbabwe Total Geral

2012 6 15 168 61 14 209 6 49 1 3 1 1 1 87 0 2 7 11 64 5 119 8 116 0 103 16 23 11 1 1108

Returnees

New students

Current students

2012/2013 5 0 30 33 8 33 5 7 0 2 1 0 0 36 0 0 1 1 0 0 68 2 20 0 1 2 0 0 1 254

2013

Females 0 10 76 15 2 58 1 25 2 1 1 1 0 37 1 0 3 6 27 2 39 8 42 1 70 12 8 6 0 454

0 15 47 10 3 8 0 0 2 0 1 0 0 43 3 0 3 0 36 0 57 13 20 4 50 17 0 5 0 337

Males 1 20 109 23 7 126 0 17 1 0 0 0 1 57 2 2 6 4 73 3 69 11 74 3 82 19 15 10 0 737

Total 1 30 185 38 9 184 1 42 3 1 1 1 1 94 3 2 9 10 100 5 108 19 116 4 152 31 23 16 0 1191

Source: Instituto de Bolsas de Moçambique (2014).

Current and Prospective Brain Drain in Mozambique As has been mentioned earlier, getting brain-drain data is difficult. This is because those who left the country did so for reasons ranging from political persecution, economic breakdown, or globalization of education, as Oucho (2008) has pointed out. Mozambique, as a result of the civil war (1976–1992), undoubtedly has lost skilled professionals on a colossal

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scale. However, playing devil’s advocate, the brain drain could in fact be a mirage, since there is no strong evidence of this phenomenon even though a few international agencies have indicated some brain drain must exist. So, what lies beyond? If skilled Mozambicans are living outside the country, what kind of qualifications do they have? When did they leave and where are they now? The government of Mozambique urges students to pursue the following field of study: 1. Engineering: in all fields with a focus on biofuel, civil construction, chemical engineering, mechanics, forest, informatics, mining and environment. 2. Livestock sciences: agronomy, mechanical agriculture and veterinary 3. Education sciences: such as training for teaching. 4. Biomedical sciences: including medicine, dentistry, pharmacy and laboratories 5. Natural sciences: including physics, mathematic, chemistry and biology 6. Others: tourism, energy, infrastructures, accounting, water resources and management. Data revealing a possible brain drain came from a study undertaken by Raimundo and de Ceita in 20104 and from the study undertaken by Raimundo, Palolite and Mate in 20135. Mozambique is considered to be one of the countries most affected by the brain drain to developed countries according to the World Bank report (quoting Journal Notícias of Mozambique, 27th October 2005, page 2). This report discloses that 45% of Mozambicans with a high level of education were residing in foreign countries. This has placed Mozambique 25th on the global list of countries experiencing serious brain drain. However, excluding countries with less than five million habitants, Mozambique was in third place after Haiti and Ghana. Looking at the data Raimundo and Ceita collected in 2010 plus the data presented by IAB, there are two complex questions still to be answered: How did Mozambique get into this predicament? From the 1980s until the early 1990s, skilled and unskilled workers fled the country. This was the civil war period followed by the country’s experiment with socialism; 4

“When I Leave I Have the Desire to return and when I Return I want to leave again: Understanding the Dynamic of Brain Drain in Mozambique.” Unpublished paper. 5 “Lusophone Students’ mobility in Mozambique: Its social and economic costs to sending communities.” Unpublished paper.

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all before the multiparty system and the first democratic elections. Those who were against the socialist system feared death and opted to leave the country. We found several students who said that they would never permanently leave the country. However, are these “future qualified people” potential brain drainers? In our questionnaire, we emphasized our prediction of future emigration trends of skilled professionals. In both focus group discussions, we were assured people still “love” their country. Despite the emigration trend, respondents swore in the focus group discussions they “would not be leaving the country for good.” This was backed up by: “Because our homeland is our homeland and we would not change our country for anyone.” And they stated: “Mozambique is maningue6 nice”. This result contrasts with a similar study undertaken in Botswana, Namibia and South Africa (SAMP 2003) in which the trend for emigration was very high among students. Interestingly, we found that although there is a language barrier—Mozambique’s official language is Portuguese— respondents preferred to migrate to the UK, the US or France rather than Portugal or Brazil, where Portuguese is spoken. Like almost everyone in Mozambique, university students have relatives and friends living abroad. Historically, Mozambique has a close relationship with South Africa through labor migration and with Portugal, since it is a former colony. Additionally, there are close ties with Tanzania since it provided refuge for the guerrillas who fought for Mozambique’s independence from Portugal. Also, during the era of socialism, the government sent thousands of Mozambicans to socialist countries. These included the former Union of Soviet Socialist Republics, East Germany, Cuba, Romania, Poland, Vietnam and China. Nevertheless, during the civil war (1976–1992) many Mozambicans – approximately 2 million – found refuge in neighboring countries. Malawi became one of the countries receiving the largest number of Mozambican refugees (Raimundo 2008). Considering this historical background, it is easy to conclude prospective brain drainers want to go to Portugal, South Africa or other southern Africa countries due to kinship and existing networks. Globalization and the expeditious growth of communications have allowed Mozambicans—even those living in rural areas—to know what is happening on the other side of the world. Considering job situations in most African countries; more than a few students have declared their desire to seek job opportunities in Europe and North America. Interestingly, 6 It is a word from the Shangana language and was introduced into the Portuguese language, which means “a lot”.

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it seems Africans are no longer connected to their “colonial countries”. It does not matter what their legal status is, what they want most is to “escape from the hell”.

Trends of Possible Brain Drain among University Students Predicting future emigration of skilled and unskilled labor from a country is not an easy task. However, we know that people have moved out of Mozambique because of political instability and are mobile at time of natural hazard events. By evaluating the data gathered from interviewed students, it was possible to determine their future intentions. The study revealed approximately 80% of students had considered leaving the country after completing their studies. Factors affecting such decisions included where they would go and how long they would remain away from Mozambique. Overall, 115 (60%) students said they would remain in the country because they wanted to obtain further degrees since there were better opportunities for acquiring a PhD7 in Mozambique. Of these, 37 students (20%) said they would seek employment in their own country and another 37 students (20%) did not specify their reasons for staying. However, in interviews with these students, it was possible to deduce that they would join relatives who would advise them on what to do. Those who had given a great deal of consideration to leaving believed it would be easier for them to find employment and pursue studies outside Mozambique. The focus group discussion brought forth the following reasons as to why leaving the country was the best option: “Improvement of life conditions since Mozambique does not have the ability to absorb a qualified labor force”. Several of those studying to be doctors said: “Working conditions are poor. You can’t even find a thermometer in most health centres. Orthopedics often use their fingers to find a broken bone”. However, many students also said they would not emigrate because even though conditions were poor, the country belonged to them and they had no reason to leave: “Better days would come.” More personal reasons for remaining in Mozambique included the following: “I am not prepared to give up everything I have here. For me, everything is here in Mozambique—studies, training, family and friends”. 7

Eduardo Mondlane is the oldest university in Mozambique, granting PhDs in Linguistics and Literature, Science and Technology.

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“I like my country” “I want to improve the life conditions of my country” “When the ship is sinking, nobody has to run, just plug up the hole “Nothing interesting in the way of work has come from outside the country”. “I want to stay closer with my relatives” “There is still employment here for skilled people”

Asked what country they would be most likely to consider moving to, the following were listed by preference: the UK, the US, France, Portugal, South Africa, Australia, and finally, unspecified. Reasons for these preferences were as follows: The UK is considered the most developed country in Europe. The US was the second preference because it is “fashionable”. Many people were not interested in Portugal, even though it is the former colonial state, because it is not well developed. They had also seen programs on RTP Africa8 about xenophobic gang attacks on black migrants and gypsies. Xenophobic attacks have happened frequently in a neighborhood called “Cova da Moura” in Lisbon. “This kind of news is very frightening,” several students said. “In Porto and Coimbra9, it is common to see threatening graffiti written on walls. Slogans include: the following wards: ‘They are coming in droves and we Portuguese are suffering because of them’.” Given this assumption, we asked participating students about the riots and gang attacks in Paris where young dissidents burned cars and threw stones at the police. Why did they not have the same attitude to France? Their response was: “This is not a problem because these things happened far away from the city centres.” South Africa has recently become an undesirable country because of the xenophobic attacks against Mozambicans and Zimbabweans in May–June 2008. This situation has made potential brain drainers reconsider moving to South Africa because of the aggressiveness of the South Africans. In respect to opportunities for work in foreign countries, 170 (95%) of respondents said it did not matter which country they relocated to in terms of language, what they wanted was to get job. They argued that anybody could fit in anywhere since human beings are able to adjust. It was not a 8 9

This is the Portuguese Television for Africa channels. These are two biggest cities of Portugal after Lisbon.

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surprise when they said they would not live overseas permanently as they have relatives in Mozambique and would miss their home environment.

Conclusion Fadayomi (1996) and Adepoju (2008) state that the brain drain, as a typology of international migration, happens when a country that faces shortages in the supply of certain critical skills and experiences the emigration of people with such skills. It is also linked to globalization (Oucho 2008). Scholars, governments and institutions still dwell on the advantages and disadvantages of brain drain, and its impact on African countries. Because of that, Oucho (2008) considers this to be a debate not linked to concrete actions. Meanwhile, brain drain is difficult for African countries that do not have ways to attract or benefit from skilled citizens. The colonial background of these countries is unimportant; whether it is English, French, Spanish or Portuguese—all countries face the loss of skilled professionals. Capuano & Marfouk (2013) argue that among African Lusophone countries, Mozambique is ranked fourth in terms of brain drain as it has lost 23% of its highly skilled professionals. Within the region, it is surpassed by Cape Verde (82%), Guinea-Bissau (28%) and Sao Tome & Principe (27%). Meanwhile Raimundo, Ceita and Mate (2013) as well as Raimundo and Ceita (2010) found even though Mozambicans often go abroad once they have graduated, they tend to feel the need to return home. One interviewee said: “I can go back home if I decide to do that. I have a mixture of feelings. I miss home, my food, my bed and my parents”. Recently graduated and unemployed skilled professionals are willing to live abroad because of a lack of work opportunities at home as well as political instability looming. The biggest question is: where do they go? Interestingly, many want to go to the US, the UK, Canada or Australia—and not Portugal. Many skilled/educated Mozambicans feel it would be detrimental because they could be viewed as former colonials. Castles and Miller (2009), in their analyses of migration, point out that the movement of people takes many forms. As highly qualified specialists and entrepreneurs relocate to “greener pastures”, family members of these migrants will follow. Castles and Miller (2009) also believe international migration is part of reshaping societies. Developing countries do lose qualified people, while more developed countries gain. Thus, for the developing countries, there is economic stagnation and a waste of public funds invested in higher education. For Castles and Miller (2009), emigration of university-educated people has led to concern about the loss

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of human capital. Movement of human capital from poor to rich countries takes place not only through the “employment gate”, but also through the “academic gate”. Graduates in electronics, engineering and science are most attracted to developed foreign countries. Predicting the amount of brain drain in Mozambique is not an easy task. This is because the determining factors influencing the decision to relocate are not static. In the recent past—20 years after the civil war— people still said they were fleeing war but they actually moved for other reasons. In addition, the country has gone through several economic states in a short period of time. For instance, up until 1975 Mozambique was a colony. Between 1975 and 1987 it was a socialist country but today it is a capitalist country. All these situations have affected the decision for migration. Apart from the economy, the country was badly affected by the civil war which lasted 16 years. Additionally, cyclical natural hazards such as floods, cyclones and drought have determined the status of many citizens as Internally Displaced Persons. There are definite signs of Mozambican university students moving abroad. It also happens in other southern African countries such as Botswana and South Africa, with medical students, while in Mozambique this remains relatively low, probably because, after finishing their training programs, doctors are immediately employed. Interestingly, many respondents still want to stay in Mozambique even though jobs are scarce and their only alternative is to work in the capital city. Most of the respondents said they still love their country and would prefer not to leave it. This research has contributed to better understanding of the trends in brain drain amongst university students. There is an assumption that Mozambican university students have a high emigration potential. Yet a sense remains that some are still not willing to leave the country even though there is a lack of jobs. Mozambique has changed rapidly since the signing of General Peace Agreement in October 1992, with migration playing a major role, particularly with respect to the brain drain. In general there is a shortage of studies about the brain drain. Thus, there are no records of skilled people living outside Mozambique. The Global Bilateral Migration Database (2011) indicates that since 1980, the stock of Mozambicans living overseas increased from 480,000 in 1980 to 756,000 thousand in 2000. These large numbers should worry the policy and decision-makers of Mozambique. Thousands of skilled Mozambicans are living abroad, with terrible impacts on the economy of the country, particularly in the mineral industry, a sector that lacks skilled labor. As most of these people did not return because of unmet needs it is time to

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improve the conditions and attract these people home for the good of Mozambican development. This research has brought several issues that must be taken seriously: Data basis: There is an urgent need to improve data collection of skilled labor living abroad for monitoring purposes. This includes interacting with embassies and diplomatic representatives of the Mozambican government in the countries where the majority of these migrants live Research: It is important to do research into the real causes of the brain drain for better policy decisions. A commitment to research, including a willingness of decision-makers to fund these studies, is needed. The researchers should also commit to informing policymakers about the relevance of integrating these skilled people in development programs in Mozambique. Policymakers: Policymakers should take into account the skills that the country needs for development, particularly in the mining sector. Strong collaborative relationship with the governments of the countries where these Mozambican migrants are is also very important.

References Adepoju, Aderanti. 2008. “Perspectives on International Migration and National Development in Sub-Saharan Africa.” In International Migration and National Development in Sub-Saharan Africa: Viewpoints and Policy initiatives in the Countries of Origin, edited by Aderanti Adepoju, Ton van Naerssen, and Annelis Zoomers, 21–48. Leiden and Boston: Afrika-Studiecentrum Series, Brill. Bilale, Cecília C. 2008. Migração Feminina para a Cidade de Maputo e suas Conseqüências Sócio-Demográficas e Econômicas. Maputo: Imprensa Universitária. Capuano, Stella and Abdeslam Marfoulk. 2013. “African Brain Drain and its Impact on Source Countries: What Do we Know and What Do we Need to Know?”. MPRA Paper No. 47944. Munich: Munich Personal RePEc Archive. Castle, Stephen and Mark J. Miller. 2009. The Age of Migration: International Population Movements in the Modern World. New York: Palgrave-Macmillan. Fadayomi, T. O. 1996. “Brain Drain and Brain Gain in Africa: Causes, Dimensions and Consequences.” In International Migration in and from Africa: Dimensions, challenges and prospects, edited by Aderanti Adepoju and Tomas Hammar, 143–160. Dakar and Stockolm: PHRDA and CEIFO.

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Global Bilateral Migration Database, World Bank Group and Ç. Özden, C. Parsons, M. Schiff and T. L. Walmsley. 2011. 'Where on Earth is Everybody? The Evolution of Global Bilateral Migration, 1960-2000', World Bank Economic Review 25(1):12-56. Instituto de Bolsas de Estudo-Ministério de Educação. 2014. Relatório Anual Sobre Bolsas de Estudo. Maputo. MacDonald, David A. and Jonathan Crush. 2002. “Thinking about the Brain Drain in Southern Africa.” In Destinations Unknown: Perspectives on the Brain Drain in Southern Africa, edited by David MacDonald, and Jonathan Crush, 1–16. Pretoria: SAMP and Africancentury Publications Series no 5. Manuh, Takyiwaa, Richard Asante, and Jerome Djangmah. 2005. “The Brain Drain in the Higher Education Sector in Ghana.” In At Home in the World? International Migration and Development in Contemporary Ghana and West Africa, edited by Takyiwaa Manuh, 250–276. Legon, Accra: Sub-Saharan Publishers. Muanamoha, Ramos C. 2010. Dynamics of Undocumented Mozambican Labour Migration to South Africa. Saarbrucken: Verlag Dr. Muller. Oucho, John. 2008. “African Brain Drain and Gain, Diaspora and Remittances. More Rethoric than Action.” In International Migration and National Development in Sub-Saharan Africa: Viewpoints and Policy Initiatives in the Countries of Origin, edited by Aderanti Adepoju, Ton van Naerssen, and Annelis Zoomers, 49–69. Leiden, Boston: Brill. Peixoto, João. 2004. “As Teorias Explicativas das Migrações: Teorias Micro e Macro-Sociológicas.” Centro de Investigação em Sociologia Económica e das Organizações Instituto Superior de Economia e Gestão Universidade Técnica de Lisboa, Working Paper No 11/2004. Lisboa: SOCIUS. Raimundo, Inês M. and Dinasalda de C. Santana. 2010. “When I Leave I Have the Desire to Return and When I Return I Want to Leave Again: Understanding the Dynamic of Brain Drain in Mozambique among University Students.” Unpublished paper. Raimundo, Inês M. 2011. Causas, Consequências e Padrões da Migração Internacional de Moçambique: Questões Emergentes no Espaço da Lusofonia. Revista Internacional em Língua Portuguesa- Migrações. III Série No 24. —. 2008. Migration Management: Mozambique´s Challenges and Strategies. In International Migration and National Development in Sub-Saharan Africa: Viewpoints and Policy Initiatives in the Countries of Origin, edited by Aderanti Adepoju, Ton van Naerssen, and Annelis

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Zoomers, 91–116. Leiden, Boston: Brill. —. 2008. “Mozambican Refugees in Malawi: Did the Malawians Gain the Hell?” Unpublished Paper Presented at the International Conference on Environment, Forced Migration & Social Vulnerability. United Nations University, Bonn, Germany, 9–11 October 2008. —. 2005. From Civil War to Floods: International Migration in Gaza Province, London: Zed Books. —. 2010. Gender, Choice and Migration: Household Dynamics and Urbanisation in Mozambique. Saarbrucken: Verlag Dr. Muller. Raimundo, Inês M. and Ramos C. Muanamoha, 2013. “A Dinâmica Migratória em Moçambique.” In Dinâmicas da População e Saúde em Moçambique, edited by Carlos Arnaldo and Boaventura Cau, 157–182. Maputo: CEPSA. Shinn David H. 2008. “African migration and the brain drain”. Paper Presented at the Institute for African Studies and Slovenia Global Action, Ljubljana, Slovenia, 20 June 2008.

PART IV: NORTH-SOUTH AND SOUTH-SOUTH COOPERATION

CHAPTER ELEVEN PROMOTING PEACE AND STABILITY THROUGH EXPORTED POSTGRADUATE EDUCATION IN ETHIOPIA PAULA-LOUISE MACPHEE1 AND ANN FITZ-GERALD2

Abstract Higher education in developing countries has long been discussed among international donor and funding institutions. Over the past 50 years international development funds assigned to higher education have suffered as primary education emerged as a principal focus for the international development community. However, recent years have seen increased interest in understanding the impact of higher education, not only on economic growth but on the wider political and social benefits it brings to developing countries. This chapter considers the place of higher education in the global development agenda and considers the renewed focus on the benefits higher education brings to national development. With questions arising on the extent to which institutional leaders of postconflict or developing countries have access to the necessary knowledge and skill sets required to support the advancement of systems of governance, this chapter will use the case of a postgraduate program in Security Sector Management, exported from the UK to Ethiopia, to argue that higher education helps enable these countries to achieve the development goals set out by internal and external actors. Finally, the chapter will examine challenges to the funding, management and delivery of said postgraduate program, provided to government officials of Ethiopia in Addis Ababa. 1 2

Security Sector Management Programme, Cranfield University, Shrivenham, UK Security Sector Management Programme, Cranfield University, Shrivenham, UK

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Introduction Despite a growing interest in the benefits of higher education on economic growth and development, the international development community— defined for the purpose of this chapter as the Bretton Woods institutions, United Nations (UN) multilateral donor agencies and individual donor countries—is far from placing higher education at the top of its strategic priorities for education. The limited focus on higher education has not been helped by scant evidence to communicate the broader benefits of higher education for developing countries. As a recent publication by the Institute of Education confirmed, “…the extent and nature of the impact of tertiary education on development remains unclear.” (Oketch, McCowan and Schendel 2013, 1). The body of research which does exist in this area is not only limited in size but also varied in terms of the research outputs, often lacking in the provision of analytical frameworks. What is clear from the research is that the international development community has significantly influenced the position of higher education in low-income countries over the past 55 years. The first section of this chapter will examine the way in which the international agenda has influenced thinking on the position of higher education. Against the backdrop of literature calling for a renewed focus on understanding the development gains that higher education brings, the chapter draws on a single case study of a donor-funded higher education program in Ethiopia. This case study draws upon the experience of Cranfield University in delivering a transnational donor-funded Master of Science in Security Sector Management (MSc SSM) to officials working within the Ethiopia government. It discusses the management, administrative and delivery challenges involved in establishing a transnational education program as well as the challenges which can affect the sustainability of such a program.

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Overview of the Education Agenda of the International Development Community Crossly and Watson (2003) refer to five factors3 which are relevant to understand the early stages of the international development community’s role in education within developing countries. For the purpose of this chapter, there is an additional important factor, which is the United Nations Educational, Scientific and Cultural Organization’s (UNESCO) launch of regional conferences on compulsory education which took place in Karachi, Beirut and Addis Ababa between 1960 and 1961. The 1961 conference held in Addis Ababa, convened by both UNESCO and the United Nations Economic Commission for Africa (UNECA) is noteworthy as it was the first time that the global community focused on establishing targets for universal primary education (UPE) (King and McGrath 2012), which over the years have come to dominate the international community’s education agenda. The conference agreed on short-term (1961–1966) and long-term (1961–1980) targets which ultimately aimed for 100% UPE within 20 years. This was a very ambitious target given that, of the 39 African States attending the conference, “...in the majority of cases, the proportion of children out of school exceeded 80 per cent of the school age population.” (UNESCO/UNECA 1961, 3). It was even more of a challenging goal given that national and international priorities for education in the 1950s and early 1960s were focused at the higher end of the educational spectrum. The ambitious targets for UPE, agreed at the 1961 conference, were set at a time when many countries were establishing independence from colonial rule and embarking on building an independent state for the future. There was recognition not only from the African states but also from the international development community that financial investment in technical skills and university was seen as essential if the newly formed states were to equal the rest of the world (Coleman and Court 1993). At 3.

1) The creation of UNESCO in 1945 as a key United Nations agency for responsibility for education. 2) The signing of the UN Declaration of Human Rights in 1948, which identified education as a basic and human right. 3) The process of decolonisation which began in the late 1940s through to the 1960s, resulting in former colonial powers supporting the education systems in the newly formed nations. 4) The formation of many bilateral aid agencies in Europe and North America during the 1960s, which the UN designated as the first development decade. Education was among the development priorities. 5) The publication of the World Bank’s first Education Sector Working Paper in 1971. (Crossly and Watson 2003: 85).

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the same time, the emergence of Human Capital Theory, developed by prominent economist Theodore Schultz (1961), became the basis for decision making within the Bretton Woods institutions and UNESCO (Negash 2006). Negash (2006) argues that the quantity and level of education needed to produce an impact on the development of society was contested among the development community, with education economists stressing the importance of secondary and higher education and sociologists of education focusing more on primary education. Taking the view of the economists, during the first part of the 1960s, the World Bank focused on supporting educational reforms within the secondary, postsecondary and tertiary levels to boost skills which it argued would support economic development and growth. The World Bank allocated only 1.1% of its International Development Assistance (IDA) education lending to primary education between 1963 and 1971 (World Bank 1971, 32). This allocation did not align with the significant investment needed to meet the 1961 declaration which aimed to achieve 100% UPE within 20 years. It wasn’t until the World Bank education sector working papers of 1974 and 1980 were published that the change in investment priorities was made clear. The 1974 World Bank working paper outlines a significant shift in policy planning by encouraging a “rationing of secondary and higher education” (World Bank 1974, 28). The vast expansion in secondary, tertiary and adult level education in the 1960s led to unforeseen problems of high levels of unemployment among educated youth, which the World Bank stated was “...the result of an over-expansion of the education system, particularly at the higher level.” (World Bank 1974, 22). It is quite clear that World Bank policy was changing to focus more on primary levels of education, and as a result, the funds available for each level of the sector were also changing. The direction of travel for the World Bank in the mid-1970s, which influenced the agenda for the broader international development community, was to move away from prioritizing higher education, in favor of investing in education at the primary level. This shift came at a time when the global economies were facing severe financial problems following the global energy crisis of 1973, which not only reduced available funds from bilateral donor countries, but also that of the World Bank itself. With the second energy crisis hitting in 1979, the debt crisis took hold of the stagnant donor economies throughout the latter part of the 1970s and the 1980s. With fewer funds available for aggressive reforms within developing countries, economists looked increasingly at the economics of education, specifically the return on investment within the sector. The publication of two comparative studies on rate of return

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analysis, by World Bank economist George Psacharopoulos (1973, 1981), claimed that primary education in low-income countries yielded greater return on investment than secondary or higher education. These studies had significant effect on further influencing the shifting policy direction of the World Bank towards investing in primary education. Jones (1997) argues that the World Bank used this analysis not only to justify its own shift in policy making within developing countries but also to influence the investment from the wider donor community to follow the trend. This was also later confirmed by the Task Force on Higher Education and Society4 which stated that: “The World Bank’s stance has been influential, and many other donors have also emphasized primary, and to some extent, secondary education as instruments for promoting economic and social development.” (The Task Force on Higher Education and Society 2000, 39)

The austerity of the 1980s across the international economy led the Eighties to be known as the “lost decade of development’. Following the end of the Cold War, however, when a new world order was being established, multilateral and bilateral donors came together to address the worsening situation of basic education among some of the world’s poorest countries. Despite efforts since the 1960s to improve basic education, the absolute number of out-of-school children and illiterate adults had also increased dramatically over the 30-year period (UNESCO 1990, 4). This led to a global conference, convened by not only UNESCO and the World Bank, but also the United Nations Development Program (UNDP) and the United Nations Children’s Fund (UNICEF) in Jomtien, Thailand. The Conference, titled “Education for All”, which took place in 1990, provided a stage for the donor community to reassert itself as a leading voice on education policy development, taking into account economically driven policies but presenting them around social drivers for education reform (Chabbott 1998). The Jomtien conference significantly influenced education policy in developing countries and prepared the way for the World Bank and UNESCO to recognize the importance of higher education in its contribution to the knowledge economy in the late 1990s. The priority given to basic and primary education at Jomtien was further endorsed by the international development community by its inclusion in the Millennium Development Goals (MDGs) in 2000. Despite primary education becoming the main focus of the development 4.

In 1998, the World Bank and UNESCO convened a Task Force to carry out extensive research into the future of higher education in developing countries.

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community, the late 1990s saw a growing interest once again to understand the benefits of higher education in developing countries. Over the past 15 years, the literature linking higher education and development—while limited—has called for more research into the development gains which higher education can bring to a country in transition. A literature review, funded by the UK Department for International Development (DFID), carried out by the Institute of Education (Oketch, McCowan and Schendel 2013), captured the outcomes of prior studies arguing the benefit of higher education for development. The review sought to answer the question: “What is the impact of tertiary education (TE) on economic growth and development in low and lower-middle-income countries (LLMICs)?” (Oketch, McCowan and Schendel 2013, 4). The work drew three main conclusions from its findings: 1. There is a significant lack of research into the impact of TE on development. Studies are needed, in particular, to show how inputs and interventions to TE institutions and systems are related to different forms of outcome and levels of impact. 2. The returns to TE have been underestimated. There is evidence to suggest that TE may provide greater impact on economic growth than lower levels of education. However, all educational levels are interdependent and must be addressed holistically. 3. TE provides a range of broader, measurable benefits to graduates, relating to health, gender equality and democracy, among other areas. In addition, it contributes to the strengthening of institutions, and the forming of professionals in key areas such as education and healthcare. The diverse functions of the university, in addition to its direct impact on economic growth, should be acknowledged and supported. (Oketch, McCowan and Schendel 2013, 3). It is not through a lack of recognition that higher education has an important role to play in a country’s development, but it appears that the dominance of the Millennium Development Goals in terms of attracting funding as well as the difficulty in measuring the impact of higher education hindered greater investment in this area from the international development community. The impact measured to date aligns primarily with the issue of economic growth and not the broader impact on development. While important, it could be argued that this single-focused analysis limits the sort of multidisciplinary-type analysis from which the MDG-driven primary educational investment benefited, and which could better identify with the multi-faceted agenda of most global organizations.

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The following section will examine the single case study of a donorfunded higher education program delivered in Ethiopia with a view to understanding the extent to which the observations made above in relation to the global agenda and the impact of education can be identified in this case study.

The Call for Higher Education in Ethiopia Through both the Government of Ethiopia’s Sustainable Development and Poverty Reduction Program (SDPRP), and its Growth and Transformation Program, Ethiopia has demonstrated a real commitment to reaching its MDGs. As such, the Government of Ethiopia has determined that education, including higher education, must take an active part in this achievement (Ashcroft 2014). In the Ethiopian context, Ashcroft also states specific links have been drawn between higher education and the following four MDGs: x Integrate the principles of sustainable development into country policies and programs and reverse the loss of environmental resources. x Develop further an open, rule-based, predictable, nondiscriminatory trading and financial system (includes a commitment to good governance, development, and poverty reduction—both nationally and internationally). x Develop and implement strategies for decent and productive work for youth. x Eliminate gender disparity in primary and secondary education preferably by 2005 and in all levels of education no later than 2015 (ibid, 18). At the same time, a range of new and existing external and internal pressures, a new strategic direction which prioritized economic development and a queue of donor governments and foreign direct investors keen to see Ethiopia achieve regional peace and national development for the purposes of wider continental stability, stimulated the desire to reform the security sector in a suitable way to support the country’s wider national policies (Macphee and Fitz-Gerald 2013). The relevant connections and interdependencies had already been recognized in the 2002 National Security Strategy which focused primarily on the eradication of poverty, sustainable development and democratization—a significant shift away from the traditional security focus on external

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threats thought to be emanating from terrorist groups and neighboring states.5 As part of the institutional reaction to the Government’s interest in the wider security agenda—and the priorities in capacity development to support that agenda—the Ethiopian Ministry of National Defense (EMOND) tasked its Defense Transformation Research Unit to identify a postgraduate program which could simultaneously address the social science knowledge deficit as well as the need for a set of tailored management skills required to support institutional reform. These requests were first promulgated with Cranfield University in July 2006, and continued until the government of Ethiopia and the British Embassy’s defense section could commit the resources required to support a first cohort of Cranfield University’s MSc in Security Sector Management. Once funding had been confirmed, Cranfield University’s course director was also required to follow the relevant university senate approval procedures supporting the delivery of an award-bearing export variant of an existing MSc in SSM in Ethiopia. These procedures necessitated such things as a visit on site, letters of commitment in principle from the sponsor, the development and submission of a proposal detailing the modalities of the exported delivery and the commitment from the entire MSc SSM course team to support the proposed “flying faculty”-modeled program. Once senate approval procedures were completed and funding was in place for the delivery of the Ethiopian-based MSc SSM, student applications were processed and offer letters sent out to approximately 27 students who formed the initial Cohort. Following receipt of student offer letters, all necessary information was sent out to students including program timetables, course handbooks, pre-readings for the initial residential week, course syllabi, biographies of all module managers and a letter from the course director. Core textbooks for each module and laptop computers were also provided. Lastly, a virtual learning platform dedicated to the course and modeled on the existing platform which supported the UK variant, was also developed. The students’ initial residential week was held in October 2009. This week featured the course induction as well as the first foundational module entitled “Issues in International Security, Development and Conflict”. The week was also used more broadly by the course administrative team to issue library and computer user identifications and passwords, as well as 5.

Based on discussions with the government of Ethiopia’s national security adviser, November 15, 2012.

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facilitating a mock assignment submission through the University’s plagiarism software, TURNITIN. In short, the induction week, and the time spent on the margins around the delivery of the first module, helped ensure that all capacities and skill sets supporting the remote learning needs of the students were met. In addition to the first foundational module, the MSc SSM program features the following 11 other required modules: x x x x x x x x x x x

Study Skills and Research Methodology Strategic Planning for Security and Development Governance and Oversight Managing and Measuring Security Sector Resources Managing Risk Change Management and Leadership Managing Security Sector Projects and Programs Building State Capacity Managing Public Security and the Rule of Law Managing Intelligence Reform Economics of Security

These remaining modules were delivered according to seven-day residential weeks held every three months following the delivery of the first residential week. This schedule required any individual course assignments to be submitted prior to the start of each subsequent residential week, and for any relevant exams to be held on the morning of the first day of the subsequent residential week. Through this delivery strategy, the teaching phase of the course—which amounted to the completion of a postgraduate diploma in SSM—took approximately 18 months. This left a six to twelve month period for students to complete their 20,000-word dissertations. It should be noted that the dissertation phase was also supported by the issuance of research grants which enabled many students to carry out empirical research in remote areas of Ethiopia and the greater Horn of Africa region. Due to the leadership exercised by the EMOND in initiating the exported MSc program, and in demonstrating a willingness to contribute financially to the program, initial funding for the first cohort was secured based on a collaborative arrangement between the British embassy’s defense section and the EMOND. However, the Government of Ethiopia’s desire to expand the program to include representatives from across the wider security sector (the initial cohort was limited to representatives from EMOND, the Ethiopian Federal Police, one candidate from the Prime

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Minister’s Office and one member of civil society) captured the interest of the UK Government’s Department of International Development (DFID), which had a mandate for support to security sector development, and which, prior to and during this period, had also been championing the global “security sector reform debate” (Hendrickson 1999; Bryden and Hanggi 2004). In this context, and through the facilitation of the British Embassy’s defense section, discussions commenced between Cranfield University and DFID to seek funding for a second cohort to join the SSM program in Addis Ababa. A business case was approved for DFID Ethiopia to fund the second cohort under the framework of an accountable grant. Following a successful independent review of the program, carried out in September 2011, and through a subsequent accountable grant, DFID committed further cross-sectoral, multi-year funding to support the delivery of three further cohorts between 2012 and 2017. A capacitybuilding program, which featured a “partnership” arrangement between the Ethiopian Civil Service University and Cranfield University,6 was also factored into the budget.

Funding Obtaining funding through DFID for the proposed postgraduate education program did not take the expected route through the education sector team. As a percentage spent on higher education development assistance, the UK has one of the lowest averages across all OECD countries, averaging 2.3% of all education aid between 1995 and 1999; 3.8% between 2000 and 2004; and 3.3% between 2005 and 2009 (Brannelly, Lewis and Ndaruhutse 2011, 8). This is because DFID, like many other bilateral donors, has followed the global trend set by the multilateral donors and funding institutions to prioritize primary education. DFID’s overall strategic direction within the education sector is outlined in “Learning for All 2010–

6.

This capacity-building partnership arrangement is designed to support the direction being taken by the Ethiopian government to develop the Civil Service University (CSU) to become the main provider of security sector management education—thus catering for education and training institutions such as the defense and police staff colleges—in the future. The collaborative arrangement included funding for an academic conference, for members of the CSU to be hosted for a UK academic study tour, for candidates to the MSc program to be supported as CSU doctoral candidates, and—for the duration of the teaching phase of the MSc program—for CSU academics to be “twinned” with partner Cranfield scholars working in the same field.

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2015”. While there are some elements of investment in higher education, the overwhelming focus of DFID’s investment rests in primary education: “We will ensure that our education aid is well aligned to the education MDGs and the broader EFA goals. About 70% of our education aid will be allocated to basic education, as defined by UNESCO’s Global Monitoring Report on Education for All and as measured by the OECD’s Development Assistance Committee.” (DFID 2010, 22)

This statement shows the extent to which DFID’s education strategy is linked to the global agenda initiated at the Jomtien Education for All conference, and subsequently with the Millennium Development Goals. It also emphasizes the extent to which the bilateral development community is monitored and measured with a view to progress towards these global targets. Ethiopia is no exception to the UK’s overall strategic direction in international cooperation within the education sector. The current operational plan for DFID Ethiopia is for the period 2011–2015 (last updated June 2013). The vision is summarized by three objectives: i. to protect the most vulnerable ii. to consolidate recent gains to help achieve the MDGs iii. to make the impact of the UK’s support more transformational. The operational plan is underpinned by a results framework which monitors and measures progress against key outputs and outcomes (see Figure 11.1). Following the global push for more accountability of aid, DFID Ethiopia’s plan states that each individual project will be measured against pre-defined results that support evidence-based “theories of change”. Within the eight DFID pillars/strategic priorities are: Wealth Creation, Climate Change, Governance and Security, Education, Health, Water and Sanitation, Poverty, Hunger and Vulnerability, Humanitarian. The graph below shows the program spending for each of the pillars.

Promoting Peace and Stability S through h Exported Posttgraduate Educcation 247 Figure 11.1: P Program spend for DFID Ethio opia

350,000 300,000 250,000 200,000 150,000 100,000 50,000 -

Total Resoource 2010 - 2015 2 £'000 Total Capiital 2010 - 201 15 £'000

*Figures incluude actual outtuurn, provisionall outturn and pllanned budgets.. Source: Depaartment for Interrnational Devellopment 2013.

There are fivve main educaation projects which are acttive: 1. Proteection of basicc services program phase IIII (support tw wo million childdren in primaryy school of wh hom at least 550% are girls). 2. To suupport the genneral education n quality imprrovement in Ethiopia. E 3. Peacee and developpment program m. 4. Pilot project of ressults based aid d in the educattion sector in Ethiopia. 5. End cchild marriagees program. Of the five active projeccts, the first four f specificaally contributee towards meeting thee MDGs. Whhile there is an a element off funding for research under the seecond program m, the research h aims to imprrove general education e quality and is not specific to building research capaacity within th he higher education seector. The cleear alignmentt between bilateral counntry practice and the overarching global agennda on education within developing countries meant that tthere was limited scope to apply for funnding for the Cranfield

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postgraduate program under the education funding stream. Instead, the Governance and Security Sector Team made a business case to fund the program, on the basis that the outcome of funding an MSc in Security Sector Management for Ethiopian government officials would lead to a better security policy environment, which, in turn, is liable to lead to a more secure environment for people (especially the disadvantaged) in which their access to services and livelihoods will be improved.

Impact There are no international comparative frameworks which capture the impact and the wider benefits of a postgraduate program. An independent evaluation of the program was conducted in 2011, during which time focus groups and one-to-one semi-structured interviews were used. The findings of the evaluation made it clear that the MSc course content had fed through into the three new strategic policy objectives (poverty eradication, sustainable development and good governance) of Ethiopia’s security strategy, and was having a direct impact on development. Cranfield University also carried out focus group interviews which revealed a number of positive effects. “Most importantly, the students had acquired valuable skill-sets to critically analyze evidence-based issues, risks, trends and problems, learned and practised in a permissive environment but applied to the challenges of their day job.” (Macphee and Fitz-Gerald 2014, 13)

The specific benefit of the postgraduate program, as opposed to an undergraduate program, is the emphasis placed on developing critical thinking skills. As identified by Schendel (2013), the benefit of developing critical thinking is that it is a generic skill to manage information and effectively generate solutions to problems. A further benefit of the higher education program is creating informal networks across different government departments. Due to the nature of the cohort, people from different parts of the security sector who traditionally have not been likely to interact together, are coming together in both formal and informal ways.7 The students who make up these formal and informal networks

7.

For example, in 2012 the government of Ethiopia created a National Security Council which included three members of the program’s Cohort 1 and 2 students. A “justice cluster” now also exists which includes the heads of ministries and offices which contribute to the justice sector development.

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indicate that the classroom environment breaks down the constraints of rank, hierarchy and status.8 Students also stated that a number of management-related programs and management-based systems had been instituted as a result of the skill sets and the various systems and methodologies learned in class. For example, students from the Ethiopian Revenue and Customs Authority discussed details of new change management programs that had been using ideas and frameworks from the various change management models and theories discussed in class. Other ministerial representatives provided examples of where different strategic planning models had been applied to support wider institutional and macro-environmental analysis, as well as the use of multi-criteria decision-making models which had supported strategic decision-making approaches used by groups choosing across a range of different options. Perhaps one of the greatest areas of impact was observed in the students’ ability to be critical and objective about the policies and systems of their own institutions. Through focus group interviews and assignment data, the Course Team observed a marked difference in the students’ ability to undertake evidence-based objective analysis between the beginning and the end of the program. As such, and as indicated in discussions with the students, the flexibility offered in a number of the assignment topics enabled the students to critically review some of the projects and programs that their institutions—or, indeed, they themselves—were involved in. Students can carry out this critical analysis in a “safe environment” either through class-based work or written assignments.

Challenges The following section outlines challenges that the course team was faced with in delivering and managing the exported master’s degree and a capacity building program in Ethiopia. In reading the section, it is important to note that a combination of limited experience in exporting postgraduate variants of home-based programs to developing countries (for Cranfield University but also for universities more generally)—and limited international development donor experience in supporting tertiary education—meant that ongoing lesson identification and learning was

8.

Based on authors’ discussions with students on MSc course in Ethiopia and through focus group discussions, July 2012.

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inevitable. Addressing these challenges will improve the sustainability of such a program within international development-funded higher education.

Capacity Building for Teaching and Research As the MSc program is a UK higher education program imported to Ethiopia, there are implications for local alternative courses that should be filling this space. In this context, the sponsor was very clear that a capacity building program working with local partners would need to run parallel to any provision of UK accredited training. Cranfield University has established a memorandum of understanding with the Ethiopian Civil Service University (ECSU) according to which, academics from ECSU are paired with Cranfield University academics based on subject area specialism. While Cranfield University academics remain the principle deliverer of course material, ECSU academics are invited to observe the class, give guest lectures and participate in the delivery of group exercises. The academic partnership is one which continues throughout the year at a distance as Cranfield academics revise course structures, course assessments and course content. In addition to the academic partnership, the capacity building program also includes academic support for local PhD supervisors to help enrich the research student experience and contribute to the research quality in local universities. The Cranfield course team has identified that there is a tendency for developing governments, including Ethiopia, to expect important research which informs policymaking, to be done by outsiders, normally from donor countries. This results in a lack of connection between the local academic institutions and the government. While efforts in Ethiopia have now begun to form “partnerships” between the government and various academic institutions, the DFID-sponsored capacity building program has tried to address this by raising the profile of good quality research being carried out by local researchers in Ethiopia. Cranfield University and the ECSU co-hosted an academic conference in November 2013 in Addis Ababa, which brought together academics and students from both hosting universities, as well as other Ethiopian universities from outside the capital. Government officials, some of whom are Cranfield University students and alumni, also participated in the event. As noted by Crossley (2014), building research capacity is important within the field of international development. There is, however, a growing literature that criticizes the inequity between the collaborating research partners from northern and southern institutions, suggesting that northern expertise and northern approaches to research tend to dominate partnerships (Tikly

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2004). In the case of the capacity-building initiative between Cranfield University and ECSU, the joint academic conference was very much a balanced partnership in terms of management, control and implementation. The event featured 19 papers and 20 presenters, the outputs of which will be published in a local journal, and will adhere to that journal’s guidelines. Establishing a truly equitable partnership for the capacity building program, which allows capacity to be built so as to be in line with local context, is proving to be key to the success in building a sustainable quality research function within ECSU. If not considered carefully, international education programs in developing states can have unintended consequences if local university capacity is not developed alongside these programs, with a view to becoming the main providers in the future. As Tierney underscores: “Students now have options to study at a “foreign” university on their own soil, or to take classes via the internet from an institution that resides halfway around the world. Universities now also want to compete with one another for excellence.” (Tierney 2011, 128)

Transnational higher education programs need to understand the local higher education sector of the host country and carefully consider how to contribute to the development of local capacity as well as ensuring that developing countries build local academic institutions which can respond to the needs of the country.

Internationalization of the Curriculum Internationalization for higher education is becoming increasingly important, not only for programs delivered in a different country from the awarding institution, but also for home-based universities who have “internationalized” by way of recruiting international students. In preparation for learning, teaching and assessing a cohort of Ethiopian students from a curriculum which had been established for a number of years on a UK-based master’s program, the course director arranged for an Ethiopian scholar, who also had a good understanding of higher education in the UK, to brief the course team. The briefing consisted of a general overview of the country, an academic overview of the Ethiopian education sector, different styles of pedagogy and expected classroom behavior based on social, cultural and political context. While this was only a short preparatory program, it allowed the Cranfield academics to consider the intercultural sensitivities as they planned the delivery of their teaching strategies. While some academics were quicker

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to critically review their module content than others, student feedback over the past three academic years would suggest that the internationalization of the curricula in terms of teaching material has improved significantly. The success in adapting teaching styles and teaching material, for example the use of a diverse range of case studies, can also be attributable to having a culturally diverse course team of academics who live and teach in different universities around the world – this has naturally “internationalized” the curricula. Furthermore, the course director of the program makes regular attempts to carry out focus-group meetings with students to solicit formal and informal feedback on the content and teaching experiences throughout the course. Students on the Ethiopian program expressed a need for not only being exposed to paradigms local to the African region but they also emphasized the importance of maintaining awareness of Western paradigms to understand the thinking behind Western donors and funding organizations. Exporting an existing UK-based postgraduate degree to Ethiopia has generated a wealth of research opportunities for flying faculty academics who have used the material researched and developed for Ethiopia to enrich and internationalize the curriculum on the UK variant of the course. The UK-based students, who include a number of African students, or European students working in Africa, have benefited from the efforts to internationalize the curriculum for the African-based degree. Betty Leask wrote that: “Internationalisation of the curriculum is the incorporation of an international and intercultural dimension into the content of the curriculum as well as the teaching and learning processes and support services of a programme of study.” (Leask 2009, 209)

While the Cranfield University flying faculty program in Ethiopia has facilitated academics with the internationalization of the teaching and learning processes, internationalizing the support services has provided a different set of challenges. Taking academic administration as a key part of student support services, processes are bound by a tight regulatory and reporting environment in the United Kingdom. This has presented challenges to providing support that meets the needs of the awarding institution and the international student who lives and studies in his or her home environment. Challenges regarding the provision of appropriate documentary evidence to support admissions or interruptions to studies requires significant understanding of the local context, local bureaucracy and local forms of communication. Learning from this experience, the course director has provided briefing sessions for the wider university. As

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the wider support structure of the university does not form part of the flying faculty, there is a risk of disconnection between UK-based administrative offices and the administrative processes “mediated on the ground” (Kenway & Fahey 2006, 267).

Conclusion Given the emerging literature linking the benefits of higher education to economic, political and social development, it is interesting to note that the 2012 World Bank financing of higher education as a percentage of the overall education lending for Africa is at an all-time low. This is not a surprising position considering the backdrop of the global agenda in education and the intense focus of the international development community and national governments on meeting the MDGs. The analysis carried out in this chapter has demonstrated the increasingly prominent position of primary education in terms of funding priorities. This trend has been largely driven by the multilateral institutions, namely UNESCO and the World Bank. The inter-agency conference in Jomtien in 1990 was a defining point in placing the “Education For All” agenda at the forefront of education policy within the developing world and was further endorsed by the agreement on the Millennium Development Goals. The time-bound targets of the MDGs and the aspiration of donors of not wanting to fail the developing world has resulted in an intense focus on investment in primary education to the detriment of higher education over the past 35 years. Funding within the education sector does not have to be a zero-sum game, but it is unlikely to balance out with the MDG target of 2015 looming. As argued in this chapter, this is a trend which is not limited to multilateral development agencies but also closely mirrored in the UK government’s bilateral international development education strategy in Ethiopia. Evidence from Cranfield University’s higher education and capacity building program in Ethiopia is an example of an international development program aimed at the higher education sector. Not being financed through the DFID education sector team has given the program more scope for creativity in terms of education outcomes and ultimate goals. The impact of the higher education program is benefiting Ethiopian society by developing a safe environment to discuss contentious issues, build informal networks, develop skill sets to help appraise and formulate policies and also to develop research capacities by bringing academia and government officials closer together.

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Despite the positive impact of the Cranfield University higher education program in Ethiopia, it is not without its challenges, which relate primarily to the need to develop capacities within local academic institutions, the need for a localized delivery, an internationalized curriculum and an administrative system at the home-based university that can adapt according to environmental realities on the ground at the same time as meeting home-based regulatory and reporting requirements. Without an internationally “acceptable” analytical framework to measure impact of a postgraduate program it is difficult to envisage widespread funding of such programs emanating from within the education sector of development assistance programs. The strong emphasis on measuring, monitoring and evaluating performance is driving international comparative research in education more and more towards a quantitative approach which, as yet, does not adequately capture and present the benefits of higher education for developing countries. The question is whether there is a way in which recipient countries can increase and improve the provision of higher education in a way to meet their own internal development objectives as well as those of the external donor community.

References Ashcroft, Kate. 2014. “13 New Higher Education Institutions for Ethiopia: Analysis and Discussion of Curriculum, Resource and Organizational Issues.” Accessed May 20th 2013: http://www.higher.edu.et. Laura Brannelly, Laura Lewis, and Susy Ndaruhutse. 2011. Higher Education and the Formation of the Developmental Elites: A Literature Review and Preliminary Data Analysis. The Developmental Leadership Program Research Paper 10. London: CFBT Education Trust. Bryden Alan and Heiner Hanggi 2004. Reform and Reconstruction of the Security Sector. Geneva: Geneva Centre for the Democratic Control of Armed Forces. Chabbott, Colette. 1998. “Constructing Educational Consensus: International Development Professionals and the World Conference on Education For All.” International Journal of Educational Development 18(3):207–218. Coleman, James S. and David Court. 1993. University Development in the Third World: The Rockefeller Foundation Experience. Oxford: Pergamon. Crossley, Michael and Keith Watson. 2003. Comparative and International Research in Education. Globalisation, Context and Difference. London:

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Routledge. Crossley, Michael. 2014. “Global League Tables, Big Data and the International Transfer of Educational Research Modalities” Comparative Education 50(1):15–26. Department for International Development. 2010. Learning for All: DFID’s Education Strategy 2010–2015. London: DFID. —. 2013. “DFID Ethiopia Operational Plan 2011–2015.” Accessed 15th March 2014. https://www.gov.uk/government/uploads/system/uploads/attachment_d ata/file/208967/Ethiopia.pdf Hendrickson, Dylan. 1999. “A Review of Security Sector Reform.” Conflict, Security and Development Working Paper Series, Number 1. London: Centre for Defence Studies, King’s College, University of London. Jones, P. W. 1997. “On World Bank Education Financing.” Comparative Education 33(1):117–130. Kenway, Jane and Johannah. Fahey. 2006. “The research Imagination in a World on the Move.” Globalisation, Societies and Education 4(2):261– 274. King, Kenneth and Simon McGrath. 2012. Education and Development in Africa: Lessons of the Past 50 Years for Beyond 2015, Presentation at CAS@50, Centre of African Studies, University of Edinburgh, Accessed 3rd April 2015. http://eprints.nottingham.ac.uk/1640/1/Kenneth.King%26Simon.McGr [email protected] Leask, Betty. 2009. “Using Formal and Informal Curricula to Improve Interactions Between Home and International Students.” Journal of Studies in International Education 13(2):205–221. Macphee, Paula-Louise and Ann Fitz-Gerald. 2014. “Multiplying a Force for Good? The impact of Security Sector Management Postgraduate Education in Ethiopia.” Journal of Peace Education 11(2): 208-224. Negash, Tekeste. 2006. Education in Ethiopia: From Crisis to Brink of Collapse. Nordic African Institute Discussion Papers 33. Uppsala, Sweden: Nordic African Institute. Oketch, Moses, Tristan McCowan, and Rebecca Schendel, Mukdarut Bangpan, Mayumi Terano, Alison Marston, and Shenila Rawal. 2013. The impact of Tertiary Education on Development: A Rigorous Literature Review. London: Department for International Development DFID. Psacharopoulos, George. 1973. Returns to Education: An International Comparison. Amsterdam: Elsevier.

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—. 1981. “Returns to Education: An Updated International Comparison.” Comparative Education 17:321–341. Schendel, Rebecca. 2013. “A Critical Missing Element: Critical Thinking at Rwanda’s Public Universities and the Implications for Higher Education Reform.” PhD diss. University College London: Institute of Education. Schultz, Theodore. 1961. “Investment in Human Capital.” American Economic Review 51:1. Tierney, William G. 2011. “The Role of Tertiary Education in Fixing Failed States: Globalization and Public Goods.” Journal of Peace Education 8(2):127–142. Tikly, Leon. 2004. “Education and the New Imperialism.” Comparative Education 40:173–198. The Task Force on Higher Education and Society (TFHE). 2000. Higher Education in Developing Countries: Peril and Promise. Washington D.C.: World Bank. UNESCO and UNECA. 1961. “Final Report.” Report Presented at the Conference of African States on the Development of Education in Africa, Addis Ababa, May 15–25. UNESCO. 1990. “World Conference on EFA” Accessed 3rd April 2015: http://www.unesco.org/en/efa/the-efa-movement/jomtien-1990/ —. 2004. Higher Education in a Globalised Society. Paris: UNESCO Publishing. World Bank. 1971. Education Sector Working Paper. Washington D.C.: World Bank. —. 1974. Education Sector Working Paper. Washington D.C.: World Bank. —. 1980. Education Sector Working Paper: a World Bank Country Study. Washington D.C.: World Bank.

CHAPTER TWELVE ACTION LEARNING IN A REAL-WORLD SETTING IN UGANDA: EMPOWERING STUDENTS TO EXPLORE THEIR FUTURE ROLES AS RESPONSIBLE ACTORS FOR SUSTAINABLE DEVELOPMENT LORENZ PROBST,1 VERENA PFLUG,2 CHRISTIANE BRANDENBURG,3 THOMAS GUGGENBERGER,4 AXEL MENTLER5 AND MARIA WURZINGER6

Abstract Considering the fundamental challenges society faces today, university graduates will play a central role as decision makers in the necessary transition towards social, ecological and economic sustainability. Courses for educating sustainability agents have to accommodate diverse academic 1 Corresponding author, University of Natural Resources and Life Sciences, Centre for Development Research, Vienna, Austria. 2 University of Natural Resources and Life Sciences, Centre for Development Research, Vienna, Austria. 3 University of Natural Resources and Life Sciences, Institute of Landscape Development, Recreation and Conservation Planning, Vienna, Austria, 4 University of Natural Resources and Life Sciences, (1) Centre for Development Research, and (2) Quality Management, Vienna, Austria. 5 University of Natural Resources and Life Sciences, (1) Centre for Development Research, and (2) Institute of Soil Research, Vienna, Austria. 6 University of Natural Resources and Life Sciences, (1) Centre for Development Research, and (2) Division of Livestock Sciences, Vienna, Austria.

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and practical learning needs, build values and attitudes, and apply the latest insights in learning theory and didactic practice. Using qualitative methods, we study a transdisciplinary university course in Uganda to understand how and to what extent these demands can be integrated. We show that working in an action research mode can create multi-level learning opportunities corresponding to the students’ talents and future professional roles. Experiencing epistemological conflict in a transdisciplinary setting required students to handle situations of uncertainty. Affective learning was driven by students’ realization that sustainability challenges were important for stakeholders. Implementing transdisciplinary courses demanded specific skills from facilitators and external funding; moreover, these courses questioned disciplinary realms, which created institutional resistance. We conclude that universities should radically reconsider standard learning designs and strengthen transdisciplinary action learning as a central course format. Further comparative research will be necessary to rigorously assess which formats can most effectively and efficiently educate sustainability agents.

Higher Education: Training for the Profession versus Education through Research Over the past several years, the university landscape has faced fundamental challenges to established modes of knowledge production and teaching. In Europe, the related policy development is subsumed under the term “Bologna Process”; in Africa, attempts to create an African Higher Education and Research Space are gaining momentum (Vögtle and Martens 2014; Woldegiorgis, Jonck, and Goujon 2015). Researchers discuss controversially whether these processes are responses to underlying societal trends or actual causes of transformation (Nickel 2011; Clark 1998; Ash 2012; Vukasovic 2013). Starting in 1999, the Bologna Process has aimed at increasing the mobility, employability, and competitiveness of European university graduates (Bologna Process 1999). To meet these requirements, universities have had to reorganize and standardize curricula and are now competing for students in a market of universities (Nickel 2011; Loprieno 2012). In Africa, reform initiatives are being implemented mainly at university or regional level, but mainly have the same characteristics (Khelfaoui 2009; Vögtle and Martens 2014). Critical voices in Europe and Africa identify the main driver of this change as being the interest in increasing economic productivity and competitiveness (Burbules and Torres 2000; Häyrinen-Alestalo and Peltola 2006; Obasi and Olutayo

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2009). Moreover, though emulating an international standard model of university education in Africa can increase mobility, it may also trigger a brain drain (Obasi and Olutayo 2009). Generally, Välimaa and Hoffman (2008) diagnose that society is attributing growing importance to knowledge and research. Public universities have become key actors in mass higher education in the “knowledge society”. Indeed, student numbers have increased tremendously in Africa and Europe. At the University of Natural Resources and Life Sciences (Vienna), which provides a case study for this analysis, student numbers have tripled in the past ten years (Statistik Austria 2014). At the same time, however, employers report difficulties in filling entry-level positions due to a lack of graduates with applicable skills. This gap may become the biggest business challenge of the coming decade (Mourshed, Farrell, and Barton 2012). Such reports explain why reform processes in higher education are understood as a call for graduate employability; current discourses on education therefore share many characteristics with that to which Humboldt contributed in the 19th century: training for the profession is discussed as opposed to education through research (Lenzen 2012; Humboldt-Gesellschaft 2009; Humboldt-Gesellschaft 2010) We thus observe that the role, design, and funding of higher education continue to be vigorously contested. Practically speaking, universities have to cope with rising numbers of students with very diverse learning needs and financial constraints, which tend to lead to didactic and organizational challenges.

The Need for Sustainability Agents University graduates will play a crucial role as future decision makers, given that societies are confronted with urgent pressures on socioecological systems: population dynamics and urbanization (UN 2011; Dáugosz 2011); globalization (Guillén 2001); climate change and depletion or degradation of natural resources (IPCC 2014; Prior et al. 2012). Graduates will require a deep and contextualized understanding of the social, economic, and ecological dimensions of such complex adaptive systems (Webster 2007; Smit and Smithers 1994; Tittonell 2014). To complement their knowledge, they will also need a strong capacity to facilitate societal innovation (WBGU 2012; Brown, Bransford, and Cocking 2000). A central skill will be the ability to cross boundaries between disciplinary knowledge, cultures, and theory and practice (Fortuin and Bush 2010).

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Discussions on how to facilitate sustainability learning in higher education have gained momentum in the past several years (Tàbara and Pahl-Wostl 2007; Shephard 2008; UNESCO 2005; Wright and Horst 2013). As universities educate the future decision makers, they have a key responsibility for the necessary transition to sustainability (Shephard 2008; Gadotti 2008; Ciurana and Filho 2006; Moore 2005; Stephens et al. 2008; Mochizuki and Fadeeva 2010). In turn, we can argue with Gadotti (2008) that higher education today is one of the contributors to unsustainable societies. Krizek et al. (2012) and Beringer (2007) underline that the university as an institution with all its components has to undergo a sustainability transition; changes to the curricula alone are not sufficient. At a fundamental level, sustainability learning is related to environmental psychology—the study of the reciprocal interaction between person and environment, embedded in a social setting (Cassidy 1997). Environmental psychology emerged in the early 20th century and became more prominent in the 1970s (Allesch 2003). The analysis of environmental behavior narrows the inquiry to a particular quality of human interaction with the environment, asking what shapes pro-environmental behavior (e.g. Kollmuss and Agyeman 2002). Although Zeegers and Clark (2014) argue that pro-sustainability actions in socio-ecological systems cannot be reduced to pro-environmental behavior, we follow the summary of different behavioral models by Scheuthle and Kaiser (2008): the interaction with the environment is driven by internal and external factors. Values and attitudes are fundamental internal factors, implying that education for sustainability intentionally has to create affective learning opportunities.

Learning for Sustainability at Universities The actual practice of teaching at universities is often in dissonance with espoused learning theory and empirical insights into learning processes (Phillips 2005; Lasry, Mazur, and Watkins 2008; Fagen, Crouch, and Mazur 2002). Research on sustainability learning calls for an emancipatory pedagogy that promotes critical thinking and reflection—yet, learning designs in higher education remain mostly teacher-centered and based on the assumption of an objective reality that can be understood and imparted to students (Vare and Scott 2007; Wals 2011; Qablan et al. 2009; Shephard 2008). Knowledge is controlled and “banked” by teachers, stressing the instrumental value of learning (Freire 2000; Phillips 2005; Wals 2011). This runs counter to the need to achieve affective learning

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outcomes, given that that sustainability learning cannot be “delivered” as knowledge (DuPuis and Ball 2013; Zeegers and Clark 2014). At a didactic level, technical evolution brings into question the classic format of lecture and exam: with massive amounts of materials offered online at any one time, pragmatic students do not see the necessity of attending scheduled frontal presentations. Moreover, because of the rising numbers of students, learning designs need to allow for large groups and to efficiently integrate physical and virtual learning spaces (Evans and Matthew 2012).

What Type of Course is Needed? Summarizing the introductory remarks, courses for educating responsible actors for sustainable development will have to: (1) provide learning opportunities for large groups of students with diverse backgrounds; (2) allow for deep and contextualized learning experiences to build values and attitudes for sustainability; (3) take a learner-centered perspective and follow latest insights in learning theory and practice. Fadeeva and Galkute (2012) suggest that education for sustainable development and current efforts to reform higher education can fruitfully integrate. However, there is a need for reflection on such integration at course level and based on current learning theory. Accordingly, we examine a university training course focusing on sustainability learning in Uganda (International Training Course on Organic Agriculture). We triangulate our findings with similar courses on rural development (Nicaragua) and landscape planning (Italy). All courses were implemented in cooperation with the University of Natural Resources and Life Sciences, Vienna. Course designers explicitly aimed to create opportunities for sustainability learning and adhere to the “Bologna design” principles. Our research interest lies in studying how, and to what extent, the courses meet the formulated criteria.

Theoretical Considerations Theoretically, we base our considerations on Illeris’ (2009) generic model of learning dimensions (Figure 12.1). A learning process centers on a specific subject (content), and is fueled by mental energy (incentive). The process is triggered by impulses from the outside (integration). To make the content and incentive dimensions tangible for empirical reflection, we use the taxonomy of cognitive and affective learning outcomes introduced by Bloom et al. (1956). The taxonomy has been

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continuously refined and has become a standard framework in education design (Kennedy, Hyland, and Ryan 2006). The cognitive domain of Bloom’s taxonomy is widely used, whereas university teachers see a challenge in defining affective learning outcomes and avoid making explicit the values underlying their work (Shephard 2008). Figure 12.1: Theoretical framework, integrating learning outcomes, aspects of Systems Action Education and transformative learning into a general learning model Evaluation Synthesis Analysis Application Comprehension Knowledge

Learning outcomes (Bloom)

Content

Characterisation Organisation Valuing Responding Receiving

Incentive

Transformative learning (Mezirow) Dimensions of learning (Ileris)

Integration

Systems Action Education (Francis, Lieblein, etc.)

Source: authors’ own compilation based on: Kennedy, Hyland, and Ryan 2006; Illeris 2009; Mezirow 2009; Francis, Moncure et al. 2012; Bloom et al. 1956; Lieblein et al. 2012.

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For the specification of the integration domain, we include the concept of Systems Action Education (Francis, Breland et al. 2012; Francis, Moncure et al. 2012; Lieblein et al. 2012). Systems Action Education is rooted in experiential and emancipatory learning theory, with reference to scholars such as Dewey, Freire, Hahn, and Kolb. In learning designs following Systems Action Education, students face real-world challenges and engage with stakeholders to jointly observe, reflect, and design possible pathways for the future. Systems Action Education attempts to balance deep sense experience and abstract conceptual thinking. Considering the identified need for a sustainability transition, we again refer to Webster (2007) and argue that such a transition requires a reframing of mindsets and the way we make meaning of the world. A current attempt to capture this process is the theory of transformative learning advanced mainly by Mezirow (2009). We add aspects of this theory to characterize the type of learning that takes place in the course.

The Case: International Training Course on Organic Agriculture (ITCOA) ITCOA is a program organized annually for three weeks in Uganda. It is a joint initiative of Makerere University Kampala (Uganda), Sokoine University of Agriculture (Tanzania), the University of Nairobi (Kenya), Bahir Dar University (Ethiopia), and the University of Natural Resources and Life Sciences Vienna (Austria). Each participating university nominates eight excellent undergraduate students from different disciplines for the course. Prior to meeting in Uganda for the field learning, students engage in synchronized seminars on organic agriculture, socio-ecological systems, and indicator theory. In guided online activities, the students debate on seminar results and start to build a group identity. Once in Uganda, the participants go through an orientation phase in class and on an organic farm, focusing on practical aspects of farming. In this way, students revise their concepts of the social, economic, and ecological dimensions of socio-ecological systems and develop a set of research instruments to assess system health in a participatory mode with stakeholders and farmers. For one week, student teams cooperate with farmer groups to study the status of socio-ecological systems at farm and local level. To summarize their results, the students sit down again with farmers to discuss these results and future pathways for improving system health. In the final phase, the students and the course facilitators organize a public workshop offering sessions that involve policy makers, farmers, academics, NGO activists, and private sector representatives. The sessions

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draw from the field week results and are complemented with keynote addresses and presentations on an annual overall theme. The ITCOA integrates social and intercultural learning in student groups and with “real-world” actors; students experience facets of systems action such as participatory research, facilitation of communication among stakeholders, and formulation of policy messages.

Cases for Triangulation: Departir and the Landscape Ecology Field Course Departir is a six-week course offered every year at the Agricultural University of Nicaragua for students of all disciplines. Learning initially focuses on participatory research and analytic tools. After this preparation phase, the students stay with families in rural communities, conducting socio-economic surveys and analyzing soil and water. Integrating the information gathered in a report, the students discuss farming system challenges with community members. Community members, students, and course facilitators then jointly develop potential solutions and select specific small projects for implementation. In the Landscape Ecology Field Course (Italy), scientists and students of different disciplines (e.g., botany, nature conservation, climatology) together obtain a thorough understanding of the genesis and current situation of a landscape. In a preparation phase, students and facilitators develop a set of interdisciplinary research questions. On site, the research questions are adapted in small teams, involving local scientists. As they report on their findings, the students reflect on subject-specific and interdisciplinary results in the light of the scientific literature.

Data Collection and Analysis We applied complementary qualitative data collection tools to derive empirical evidence from project planning and proposal documents, the anonymous student feedback mechanisms, project evaluation reports, and facilitators’ reflections recorded in group discussions. As the ITCOA and Departir were third party funded projects, comprehensive proposals to potential donors had been developed. We used these proposals and various project management documents to gain an insight into the evolution of the learning design and underlying paradigms. Every year, the participants of the courses provided anonymous feedback on the learning process, group dynamics, and content. We integrated available feedback from participants of the years 2011–2014

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into our data set (ITCOA: N=152). For ITCOA and Departir, evaluation reports to the donors provided additional information. Finally, facilitators of all courses participated in group discussions and jointly reflected on their experiences. We compiled all texts into a hermeneutic unit. The categories of the theoretical framework and the research questions were applied as codes. For interpretation, we grouped the selected citations according to the codes.

Findings and Discussion: Learning Outcomes for Diverse and Large Student Groups Designed around the principles of transdisciplinary action research projects, ITCOA required the students to take up multiple roles, which in turn made it necessary to acquire, use, and critically reflect on different bodies of knowledge and skills. In the course, each participant was part of a socio-ecological system domain team (ecological, economic, or social) and a field team. Field teams comprised a maximum of four students, balancing socio-ecological system domain, gender, and nationality. In the field team, students were required to design and conduct peer trainings in their domain so that each team member had the skills to apply the research instruments of all domains. Moreover, the formal roles in the team had to rotate (facilitator, observer, soil analyst, etc.), encouraging the students to explore their talents beyond individual preferences; informally, though, each field team established more or less harmonic hierarchies and role structures. [I had to be] able to live, interact and share with a great diversity of people and minds. Research work involves interacting with others to obtain meaningful information (ITCOA participant 2013a)

As the students advanced through the different stages of the course, they were constantly confronted with “disorienting dilemmas” demanding the specification of the problem at hand and a collective search for solutions. The students consulted peers, facilitators, external stakeholders, and any source of information available. This approach created highly individual, demand-based learning opportunities, which was confirmed by experiences in the Landscape Ecology Field Course and Departir. Social learning within the student group proved to be an effective mechanism. As a participant of the Landscape Ecology Field Course explained:

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Chapter Twelve At the same time, the experienced students were able to share a lot of their knowledge with us (I remember two experts for birds and one for plants) (LEFC participant 2010b)

While the ITCOA created exceptional learning opportunities, the necessary investment of time and money was also seen as very high by the facilitators. Financially, ITCOA required external funding and varying fee contributions by participants. Despite the strategy of splitting student groups into teams of varying sizes, the facilitators observed that meaningful integration was not possible if the total number of participants exceeded forty. The travel necessary for implementing the course was a major cost factor and also a cause for environmental concern. The complexity of the transdisciplinary learning setup required a large course team and incurred high workloads. The facilitators agreed that they organized the course because they believed in its mission and values, but that the standard incentive mechanisms of their institutions did not reward their involvement. The research project character of ITCOA required the students to constantly step up and down Bloom’s hierarchy of learning outcomes in the cognitive (content) and affective domain (incentives). At the different levels of the hierarchy, participants found individual entry points for their learning process. In addition, we found that the described role switching increased the ratio of mastery-oriented students, as each student could build on prior knowledge and talents while exploring new areas. As such, role switching in a protected space was a major motivational factor for participants. This experience supports the claim by Wals (2011) that switching between different perspectives (disciplinary, spatial, temporal, and cultural) enables students to develop systemic perspectives of complex phenomena, which is a key component of sustainability learning. Working in a diverse team with a clear outcome orientation was a more realistic scenario of future work life than standard lecture formats (Lund et al. 2013). Courses based on action research principles are thus an opportunity to create integrated learning opportunities for students with diverse learning styles and needs. Sustainability learning for diverse student groups would require the introduction of more of such courses in standard study programs; yet, only a few institutions have redesigned entire curricula around these principles (Scholz et al. 2006; Harpe and Thomas 2009; Lund et al. 2013; Wiek and Xiong 2014). As the funding of higher education is competitive (Stephens et al. 2008), arguments voiced against the proposed type of course are the high costs, intensive supervision needs, and the limited number of possible

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participants. While these concerns are pertinent considering rising student numbers and shrinking funds for teaching (Wright and Horst 2013), not enough research has gone into comparing the effectiveness and efficiency of standard course designs to alternative transdisciplinary action learning. If universities seriously pursue the mission of education for sustainability, careful judgment is necessary to determine which formats can most effectively and efficiently educate sustainability agents. Statements about the real cost of learning formats can then be made. The measurement and assessment of student learning have been debated for a long time (Royce Sadler 2014); by their very nature, affective and transformative learning are even less amenable to assessment and grading (Buissink-Smith, Mann, and Shephard 2011). It is such learning, though, that is central to a sustainability transition, implying that ways of giving academic credit to affective learning need to be explored (Shephard 2008).

Findings and Discussion: Deep and Contextualized Experiences for Sustainability Learning One of the main objectives of the courses was to create affective learning opportunities by supporting positive group dynamics, allowing for uncertainty and involving real-world stakeholders. Initially, the participants of ITCOA had a high level of motivation based on the expected content and the opportunity for intercultural experience. In the course of the project, continuous exercises created space for voicing frustration with the content and the learning process; at the same time, room was made for suggestions for improvement. In this way, the exercises helped the students to take ownership of the course and assume responsibility for their own learning process. Binding rules were jointly established, concerning, for example, organizational support by students, participation, conduct, safety, and health. These rules were laid down in team contracts. To allow for uncertainty, the transdisciplinary design of the courses introduced different ways of knowing about a subject and required students to make theoretical and methodical choices that needed justification. The fact that no one “correct” solution existed was a major cause of insecurity for several participants, who doubted their competence and questioned the learning approach of the courses: I did not really learn methods that can be used in the field because the indicators and questionnaires we developed were not scientific (ITCOA participant 2014a)

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The main characteristic of ITCOA and the other courses was the social interaction with facilitators and non-academic stakeholders around a specific phenomenon: organic farming in Uganda, the ecology of a landscape in Italy, and rural communities in Nicaragua. Students experienced that the phenomenon their research focused on was deeply relevant for real people; seeing this relevance in the faces of farmers in Uganda, for example, created a connection and particular commitment among students. The perceived value for others was then integrated as a strong incentive by the participants. The interaction with farmers and stakeholders is a big challenge for us, but farmers benefit and we learn practically. (ITCOA participant 2011a)

Beyond these “smaller” transformative moments, more fundamental experiences are represented in students’ reflections: I have learned that in order to change the system, it has to start with me. This is contrary to my earlier thinking that change has to be brought from a higher level (ITCOA participant 2013e) The idea to start an organic farm has been strengthened. I am also strengthened to join an organic agriculture movement, and I still have the desire to become an official in the same (ITCOA participant 2013c).

A belief and value assessment conducted prior to and after the ITCOA courses showed that what participants mainly saw strengthened were their capacities and the possibility to bring about societal change. Alumni of the ITCOA course have established NGOs in Uganda, Kenya, and Tanzania to promote organic agriculture among youth and young professionals. Promoting critical thinking and creating a self-conception of being an adult co-learner teaming up with facilitators and other stakeholders is essential in sustainability education (Barth et al. 2007). In turn, this requires facilitators to carefully plan and protect the learning process so that truthful communication and exploration can take place (Fortuin and Bush 2010). The facilitators have to justify their arrangements and decisions, as students start to question the learning process itself. This indicates that a primary challenge for facilitators in action learning settings is to balance open, creative learning with process structure and scientific rigor. Being guided by transdisciplinary teams of facilitators in the ITCOA, students could critically observe potential role models in multiple

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academic and non-academic fields, which is a main element of affective and social learning (Shephard 2008; Wals 2011). The fact that facilitators also made contradicting statements leveled the hierarchy between “the knowing lecturer” and “the ignorant student”; this resonates with constructivist learning theory and the experiences of Mulder (2010) and Lieblein et al. (2012). Although the course structures framed such disorienting moments, a large number of students were not accustomed to being “left in the dark” and, during their feedback, asked to “be taught” applicable and more technical skills. This is in line with findings by Fortuin and Bush (2010). Generally, and despite the explicit concept of colearning of facilitators, students, and other stakeholders, it was difficult for many students to come up with and justify their own research questions or design research instruments. Concerns that their work and thinking were “unscientific” suggest that students did not see their experience and contribution as valid and relevant. These uncertainties can be a major barrier to learning, but when overcome, they can also be a source of confidence (Francis et al. 2013). Considering the results by Darnon, Butera, and Harackiewicz (2007)—that epistemological conflict and uncertainty stimulate mastery learning—our findings underline the need to establish further learning designs which explicitly and carefully allow for uncertainty. Coping with uncertainty will be a key competence for sustainability agents (Wals 2011). In line with other studies on sustainability education, we suggest that the feeling that something matters to others strongly inspires affective learning (Elliott 2010; Wals 2011; Francis et al. 2013). Personal contact is necessary to experience how much a farmer cares about her farm and her livelihood; this affective element cannot be reproduced in the classroom. While many teachers still feel unease regarding affective learning outcomes, phenomenon-based learning offers an opportunity to openly discuss values and beliefs while working on a specific problem (Mulder 2010). For that, the academic facilitators have to leave the comfort zone of lecturing, as the discussion takes an epistemological character rather than establishing “right” and “wrong” based on hierarchy. Mochizuki and Fadeeva (2010) underline that the relevance of learning can only be established in a situated process that specifies competencies needed in a certain context. Experiencing how a specific challenge can be analyzed and addressed can be an important step towards becoming responsible sustainability agents (Francis, Breland et al. 2012), as “situated selfesteem” is created (Beard, Clegg, and Smith 2007). The responsibility of universities in educating future sustainability agents was indicated earlier; however, the impact of university courses is

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difficult to assess, and the course setting is only one of many aspects of the students’ life worlds pertaining to sustainability (Arbuthnott 2009; Sahin, Ertepinar, and Teksoz 2012). Student biographies are not characterized by linear causalities, and even the students themselves may not easily identify transformative learning moments. While there is a need for further rigorous comparison of different teaching methods regarding their potential to invigorate learning for sustainability, analyzing the relative performance of course formats seems useful. Here, we do not see an alternative to action learning in the “real world” and suggest that university education has to fundamentally reconsider its inclination towards the reproduction of “objective” knowledge by students.

Findings and Discussion: Didactics, Learning Theory and Institutional Resistance The three courses required students and facilitators to take up roles which were profoundly different from the standard concepts of lecturer and learner. For the facilitators, organizing a transdisciplinary course was a rare and appreciated opportunity to work jointly on phenomena and to learn from other disciplines. At the same time, facilitators were confronted with their own disorienting dilemmas, as the required competencies for managing such courses go beyond presenting knowledge in a classroom environment. Key competencies included securing of funds; establishing relations with local stakeholders; organizing transport, accommodation and catering; managing the health, safety and well-being of participants; guiding group dynamics and learning processes; delegating responsibilities and establishing authority. The didactical skills required were also varied and the facilitators made use of tools derived from, for example, Participatory Rural Appraisal, coaching and topic-centered interaction. The main didactic strategy, however, was taking part and having an interest in the research the students were conducting. Working in a transdisciplinary setting prompted resistance within the involved institutes, and mistrust and competition among the facilitators at the beginning of the courses. Facilitators were concerned that learning across disciplines might be superficial, and not sufficient for mastering a subject. Generally, the courses did not fit into the “normal” academic calendar of the university. The courses also required third party funding or substantial fees, which reduced accessibility for students and increased the workload for the facilitators due to reporting and accounting requirements by donors.

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The course designs and the didactical tools used are well in line with current theories of adult learning (Illeris 2009); the integration of the courses into real-world phenomena provided rich opportunities for experiential and social learning. Intuitively, the facilitators espoused constructivist theory by allowing for multiple disciplinary perspectives and roles in the learning process. Transformative elements are explicitly integrated, and the courses use the communicative principles that are also part of the course content (Mezirow 2009). Disorienting dilemmas and integration exercises were included as didactical tools. Accordingly, the courses are typical examples of Systems Action Education, as proposed mainly in the field of agro-ecology (Lieblein et al. 2012). We suggest, however, that the course design can be useful for framing learning in a wide variety of subjects: the meaning given by a “real” problem can inspire informational and instrumental learning in even basic subjects at undergraduate level. By its nature, problem-based learning is largely student-centered, which has been a core aspect of recent reforms of higher education at a course level. Establishing such courses at a university is a controversial and largely political process. Changing established “rules of the game” touches upon the interests of many players, and alternative forms of learning have remained niche initiatives by individual faculties. To introduce more such courses, we need to reconsider the assumptions behind university education and the explicit didactical forms.

Conclusion Universities play a key role in educating responsible actors for a sustainability transition. At the same time, students have increasingly diverse learning needs and policy, and markets expect graduates to be equipped with instrumental as well as critical, reflective abilities. We analyzed a problem-centered, transdisciplinary course in Uganda that explicitly aims at responding to these demands. We triangulated our findings by looking at similarly designed courses on rural development (Nicaragua) and landscape planning (Italy). We found that working on “real challenges” created learning opportunities corresponding to the students’ talents and possible future professional roles. In the transdisciplinary settings, different actors could be critically observed as role models, and handling uncertainty was trained as a key competence. Student recognition that societal, economic, and environmental challenges were of deep concern for stakeholders was a major motivational factor and a driver of affective learning. The learning

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design created spaces of co-learning, in which facilitating scientists also had to justify the proposed solutions. Organizing courses based on action research projects demanded that facilitators master didactical, organizational, and social processes; in turn, cooperating across disciplines also created unique learning opportunities for the involved scientists. At the institutional level, we found that unconventional course projects which question carefully protected disciplinary realms can be met by strong resistance. Financially, the courses were dependent on special fees and third party funds. We conclude that in order to (1) contribute to a sustainability transition through higher education; to (2) overcome the learning barriers of the teacher-student dichotomy, and to (3) balance theoretical and practical learning outcomes, university teaching needs to radically reconsider its standard forms. We propose a fundamental shift towards action learning in real-world settings, empowering students to become responsible sustainability agents.

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CHAPTER THIRTEEN INTER-AFRICAN CROSS-CULTURAL DIALOGUE: ACCOUNTS OF SOUTH-SOUTH DIALOGUE BETWEEN THE AMERICAN UNIVERSITY IN CAIRO (AUC) AND AFRICAN UNIVERSITIES MOHAMED I. FAHMY MENZA1 AND AHMAD A. ELZORKANI2

Abstract Cross-cultural pedagogical exchange is one of the fastest developing approaches utilized in higher education. This mode of interactive learning has gained more relevance over the past decade in light of the increasing need for an expanding global learning environment. This paper aims to reflect on the experiences of cross-cultural dialogue among higher educational institutions involved in face-to-face and teleconference dialogue in several African countries, with a special focus on the “Global South” dialogue course which has been implemented under the auspices of the AUC Core Curriculum Program since the spring of 2012. The course involves partnerships between a number of higher education institutions in Egypt, South Africa, Nigeria and a host of other less developed countries. The methodology of the research depends on an amalgam of desktop research and primary sources of information, including anonymous surveys and confidential questionnaires conducted with students, faculty and staff members involved in cross-cultural activities. The paper addresses questions dealing with the implications of activities regarding the development of curricula in various disciplines, the prospects of 1 2

Core Curriculum, ODUS, American University in Cairo. CLT, American University in Cairo.

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cooperation between institutions of higher education in the less developed world and the prime lessons learned regarding such venues of exchange between teachers and students in the universities of the Global South, with a special emphasis on the African continent. In doing so, the writing also attempts to reflect on the differences between cross-cultural education and other educational experiences in regular classroom settings. The purpose of the paper is to present an overview and shed some light on some of these initiatives rather than assess or evaluate their impact, with the hope that such effort could be built upon in the realm of developing crosscultural means of educational development.

Introduction and Conceptual Framework3 The definition of dialogue used throughout this study is based primarily on Mikhail Bakhtin’s conception of dialogue. Bakhtin viewed dialogue as an ongoing process of responsive understanding, which engages both the hearts and the minds of the participants. Bakhtin (1895í1975) is arguably the most important dialogue theorist because his work focuses on cultural production (the arts) and language (dialogue), and also makes use of musical terminology (polyphony, tact). Bakhtin’s work has been described as “a meditation on how we know” (Holmquist 1990, 18). Bakhtin’s study of the arts and dialogue led him to the theory of dialogism, which he defined as the “open-ended possibilities generated by all discursive (conversational/theoretical) practices of a culture” (Stam 1988, 132). For Bakhtin, the discovery of truth was not a focus of dialogue, nor was a specific outcome certain. Rather, he saw the goal of dialogue as “responsive understanding” (Romney 2005, 62)

Bakhtin also viewed dialogue as a “systemic” and “relational” process. In this light, he perceived that there is nothing such as the solitary self, which 3

The authors would like to express their gratitude for the priceless contributions of a number of people without whom the continuity of this program would have been virtually impossible. From AUC, Dean Robert Switzer, Professor Abdelaziz Ezzelarab, Dr Mike Lattanzi, Dr Hoda Grant, Mr Mourad Sinot and Ms Salma Abousenna were the pioneers, visionaries and leaders who epitomized the essence of cross-cultural dialogue through their hard work and passionate commitment. In the milieu of this study, and the Global South course at large, no words can describe the sincere dedication of the faculty partners, Prof Joelien Pretorius from the University of Western Cape (UWC) and Prof Agatha Ukata from the American University of Nigeria (AUN) who both played an immense role in nurturing and developing this course in order for it to reach the stage it did at the time of this study.

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means that, more often than not, the consciousness of the individual evolves in the context of others. Therefore, even in one’s mind, there are series of internal dialogues. Such dialogues are not merely individual conversations, but actually renditions of the voices of the people and the relevant experiences that have influenced the formation of our consciousness (or personality) along the years (Bakhtin 1981). Contextualizing the notion of “power” is also crucial in order to attain a full understanding of dialogue in Bakhtin’s conceptualizations. Bakhtin (1981) noted the significant impact that power relations between dialogue participants may have on the structure of the dialogue process and the subsequent mechanisms and tools deployed by the dialoguers in order to portray certain viewpoints or arguments. As such, the choice of the language used in dialogue (terms, accents…etc.) depends to a great extent on the beliefs, convictions, as well as the socioeconomic and cultural backgrounds of the participants. Here, what actually formulates is a “heteroglossia” in which “competing languages and discourses: the dialogically-interrelated speech practices operative in a given society at a given moment, wherein the idioms of different classes, races, genders, generations, and locales compete for ascendancy” (Stam 1988, 121). Thus, not only do the different groups involved in the dialogue process speak in different languages—as a result of their diverse backgrounds— but they also tend to utilize language as a tool in the competition to define the terms of the dialogue itself. This feature is usually noticeable in crosscultural dialogues between groups that have some history of conflict between them. For example, dialogue between the Arabs and the Israelis often witnesses tension over the terms used to describe territorial entitlements. Whereas the Arabs would insist on using the term “occupied territories” to describe the West Bank, the Israelis/Zionists, on the other hand, would describe them as “Judea and Samaria”, the biblical names that connote the Jewishness of these territories.

Intergroup Dialogue Intergroup dialogue is perhaps the typology of cross-cultural dialogue that is most relevant for the purpose of the study at hand. This genre “pays particular attention to the identity of facilitators, seeking always to have facilitators who mirror the social identities of the groups involved in the dialogue…[It] is also characterized by the building of relationships among dialogue participants” (Romney 2005, 64). As such, in addition to the importance of good questions as stimulants of active dialogue, structured

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experiential exercises that reinvigorate reflection and questioning among participants are also essential for a viable dialogue to be orchestrated. Synthesizing some of the research tackling the theme of crosscultural dialogue, Romney (2005, 64) says that in order for the typology of dialogue defined by Bakhtin to take place, a certain set of prerequisites/features need to be taken into consideration: 1) people participate in dialogue both as individuals and as group-members; 2) power, privilege, and culture are underlying themes that impact dialogue; 3) transition of dialoguers from the polite/angry mode to meaningful engagement in dialogue is possible with continuous reflection on one’s own thoughts and feelings; and 4) dialogue facilitators are not supposed to be neutral and should catalyze active participation.

Cross-Cultural Exchange and Educational Development An array of researchers dealing with the theme of educational development argued for the importance of intercultural and cross-cultural exchange as tools for pedagogical development. Logically, in order for the instructors/facilitators to be able to deal with diverse groups of students with different cultural backgrounds, it is critical that they acknowledge and recognize their own worldviews because this is the only way that the teacher/facilitator can identify with the worldviews and cultural views, norms, values and biases of his/her students. “Researchers assert that in order for teachers to interact effectively with their students they must confront their own racism and biases…learn about their students' cultures, and perceive the world through diverse cultural lenses” (McAllister and Irvine 2000, 4). Ultimately, the instructors involved in cross-cultural dialogue should have an intercultural persona that allows them to accept and appreciate the differences between people coming from different backgrounds and cultures. Bennett also adds to this the conviction concerning the importance of combating racism and "all forms of prejudice and discrimination through the development of appropriate understanding attitudes and social action skills" (McAllister and Irvine 2000, 4). Hill (2006) also notes that there are several overlapping features that contribute to the effectiveness of intercultural dialogue programs, including constant exposure to cultural diversity within the educational institution, an emphasis on the role of the instructors as exemplars of multicultural acceptance and tolerance, well-structured syllabi with an international/global perspective, management practices that are value consistent with the philosophy of multicultural international education,

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and mechanisms that encourage and support continuous interactions with themes of cultural diversity outside the boundaries of the educational institution. It could be argued that there is still a considerable gap in the literature as well as in the practice of cross-cultural education in the majority of higher educational institutions today, both in less developed as well as more developed countries. Most extant models of professional teacher training and development in these institutions do not focus on the sort of cross-cultural competence emphasized by Bennett, Gudykunst and Kim, among others. In particular, process-oriented models and activities are often discarded when it comes to teachers’ trainings. One conceptual framework that has not been thoroughly examined in multicultural teacher education research is process-oriented models. Some of these models have been used in the fields of counseling and intercultural relations to describe the cognitive, behavioral, and affective changes related to how adults develop cross-cultural competence…The infusion of these models into teacher education [is essential] to assist teachers in becoming more effective with their diverse learners…Processoriented models offer a framework for understanding resistance as well as providing appropriate support for effective interventions. (McAllister and Irvine 2000, 5)

In this regard, it may be recommendable to infuse these models into programs of teachers’ education in order to support instructors/facilitators in becoming more effective in dealing with diverse multicultural groups.

Socratic Circles One of the mechanisms that has proven to have a considerable degree of success in cross-cultural dialogues is “Socratic Circles”. Based on Socrates’ Theory of Knowledge, which entails learning often being actualized via streamlined and organized dialogue, Socratic circles emphasize discussion of issues through the exploration of texts. The practice was developed by Matt Copeland who created this methodology in an attempt to tackle the disengagement of his students. The approach depends on a special seating arrangement in which the students are divided into two circles: an inner circle and an outer one. As the discussion starts, the inner circle begins by responding to the questions and the outer one takes notes regarding the answers and the points made by the students in the inner circle so that they can share their feedback with them after they are done with the questions for discussion. All students in both circles are expected to participate in the discussion. As

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such, Socratic circles allow dialogue participants to have “control over the content of discussions and second, the method, including a component of immediate feedback, creates a heightened level of awareness and quality of practice of the characteristics of respectful and competent communication” (Staples et al. 2010, 70).

Limitations When tackling the meaningfulness and subsequent positive impact of intercultural dialogue and cross-cultural exchange, one also has to take note of the limitations facing the application of some of the approaches and respective models. Jones (1999, 300) states: “as a teacher, I ask what if ‘togetherness’ and dialogue…fail to hold a compellingly positive meaning for subordinate ethnic groups? What if the ‘other’ fails to find interesting the idea of their empathetic understanding of the powerful, which is theoretically demanded by dialogic encounters? What happens when the other refuses to join in the ‘multiple voices for mutually empowering conversation’?” Indeed there exists a plethora of challenges and limitations concerning the practical implementation of the majority of the cross-cultural dialogue models; however, that does not negate the fact that a lot of these initiatives have a track record of positive impacts on the educational process. It is of great importance, nonetheless, to take into consideration such limitations when assessing the validity of intercultural education in order to absorb the lessons learned and enhance the quality of the process and the respective outcomes.

Methodology The methodology followed in developing this paper mainly depends on a combination of desktop research and primary sources of information, including anonymous surveys and confidential questionnaires conducted with relevant stakeholders such as students, faculty and staff members involved in cross-cultural dialogues between AUC and partnering institutions. The surveyed samples consisted of more than 50 students and around 10 faculty and staff from AUC, University of the Western Cape (UWC) and the American University of Nigeria (AUN). Annex 1 shows the specific questions upon which the qualitative and quantitative questionnaires were based, denoting the various groups of respondents along with the typologies of questions directed towards them. It also portrays an overview of the answers given by the students in response to the quantitative questions.

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Dialogue Courses at AUC In its efforts to expand the spectrum of liberal arts education, the American University in Cairo (AUC) Core Curriculum Program has been active in supporting and further developing academic courses that are mainly based on dialogue since the start of the 21st century. In the wake of the events of September 11, 2001, the Core Curriculum sponsored a special project designed to use Internet videoconference technology and other forms of communication to promote dialogues between AUC students and their counterparts from a host of backgrounds and disciplines from all over the world. An informally dubbed “Dialogue Project” evolved in a number of different directions, the most significant being the establishment of a three-credit-hour course focused upon a weekly videoconference. The Dialogue Project also sponsored a special topics course titled “Arab and American Identities in Tension” which brought students from AUC, the American University of Beirut and the University of Washington together in a small village in Cyprus for two-three weeks each summer to live together and discuss issues pertaining to the relationship between the United States and the Arab World. With the outburst of the ‘Arab Spring’ in 2011, the Project also introduced two new academic courses that were mainly based on partnering with universities from the Arab World and the Global South—‘The Arab Spring in Arab Eyes’ and ‘South–South Dialogue’. The following section starts with an overview of the technical features of the videoconferencing component of the Project before moving on to elaborate further on the South–South dialogue course.

Multimedia: Technicalities and Challenges4 Around the year 2000, a two-man team at the Network department in AUC started experimenting with videoconferencing technologies. At the time the internet speed was still too slow to adequately carry video and audio. The videoconferencing technology was based on Integrated Services Digital Network (ISDN) lines; it was a technology designed to allow digital transmission of voice, video and data over ordinary telephone copper wires. It combines two telephone lines to use for upstream and downstream communications. A small system was set up as a pilot in a small meeting room within the department. Testing commenced with the vendor headquarters in Cairo, and then with a system 4

See Annex 2 for further details on technicalities of videoconferencing.

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in Alexandria, a few hundred kilometers from Cairo. The system proved to be successful for holding one-to-one videoconferencing, and tests with European- and US- based sites were proceeding successfully towards the end of 2001. When the attacks of September 11, 2001 triggered the initiation of the Dialogue Project as mentioned earlier, the success of that endeavor resulted in AUC preparing two rooms dedicated to videoconferencing in the fall of 2002. Each of these rooms had two large screens set up side by side; the students were able to see themselves in one and see the remote students in the other. The videoconferencing systems used included a sound system with echo-cancellation enabling participants and students to carry on their conversation as if they were physically present in the same place. Until then most videoconferencing conducted was still based on ISDN lines, which was limiting in two ways. The first was that conducting a smooth successful videoconference required finding a partner institution with videoconferencing equipment that supports ISDN lines, which meant a lesser array of potential partners to work with. In addition, the usage of ISDN lines, which are basically phone lines, incurred a considerable cost for long international calls. Each call used between two or three ISDN lines, and each of these lines was composed of two phone lines. This meant that an hour-long videoconferencing session would be the equivalent of making four to six hours of calls at the international rate. Although Internet connectivity was becoming faster and more reliable over time, it was still not fully adequate to support videoconferencing at AUC. To further complicate the matter, the internet community and in turn network administrators everywhere were beginning to realize the importance of internet security. The result of this was a few more firewalls and security layers between endpoints. In the subsequent phase, AUC underwent an eight-month intensive testing period to tackle the aforementioned obstacles in order to enhance the quality of internet-based videoconferencing. The solution was to create a separate network that is utilized solely for videoconferencing, a network that has its own dedicated bandwidth as well as its own security measures. Internet connectivity has come a long way over the years and now it is so suitable and reliable that almost all videoconferencing sessions are successful and seamless.

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A Glimpse at the Software Desktop videoconferencing software has been greatly upgraded and improved in recent years. Accessibility to software has also increased and now software can be run on most personal computers equipped for basic video chatting. Such applications are normally engineered for home use and family communications. They work well most of the time but are not reliable enough to depend on when scheduling a meeting of two classrooms on opposite sides of the globe. It is worth noting that many lessons were learned in the years since videoconferencing was introduced at AUC. The first and most recurring is adequate attention to time-zone differences and daylight savings. Furthermore, lighting in the classroom should be facing the faces of students and not placed behind them. Camera zooming on the speaker while he/she talks, then zooming out afterwards, is also recommendable in order to provide a synchronized experience. Finally, testing before every single videoconference session was found to be imperative and highly recommended, as it is the only way to ensure that no unanticipated problems occur at the time of the actual session.

South–South Dialogue The South–South dialogue course, also referred to as the “Global South” course, was first offered in the spring semester of 2012. It came at a time when the need for an academic forum that connects between students from AUC and their counterparts from various developing countries was not met with relevant available opportunities. The course was placed as a ‘capstone level’ requirement under the Core Curriculum which meant that it was available for all university students who were in need of fulfilling the final level of their Core requirements, especially those in their junior and senior years. The Core Curriculum offers different levels of multidisciplinary courses that are mandatory for all university students to fulfill prior to their graduation. The students are then able to choose from a variety of course offerings under each level, and the capstone level is the most advanced level to fulfill after the successful completion of the introductory and intermediate level requirements. As such, the course was designed to cater to a diverse set of students from a wide variety of academic disciplines, which entailed developing a multidisciplinary syllabus that took into consideration the mosaic of the backgrounds and interests of the students targeted. In the context of the course, the terms “South” and “Global South” were defined mostly in

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terms of relevant topics/themes rather than strict geographical locales. This aided the instructor in having a considerable degree of flexibility and freedom with regard to the selection of the topics/themes and the respective partners. To date, the course has created partnerships with universities and academic institutions in Nigeria, South Africa, Senegal, Tunisia, Palestine, Cambodia, Indonesia, Brazil, India, Hong Kong, among a host of other developing countries. The following section displays an overview of the experiences shared with two of the standing African partners that have constantly participated in the course since its inception, the University of the Western Cape (UWC), South Africa, and the American University of Nigeria (AUN).

Course Evolution and Topics/Themes The partnership between AUC and UWC started in the spring semester of 2012 and has continued ever since. The partnering entity in UWC was the Department of Political Studies; this was a logical choice given the political transformation and subsequent sociopolitical upheaval that was ignited in Egypt and the Arab World at the time and the respective growing interest in several African universities in shedding more light on the events taking place in the Arab region. Yet the partnership was mutually beneficial as it also gave AUC the opportunity to create a sound link with an institution that was obviously committed to the ethos of cross-cultural exchange and dialogue and was also willing to share the experiences of social and political transformation and change witnessed in South Africa a decade and a half earlier. Therefore, notwithstanding the contextual differences between the experiences of the two countries in that respect, the main theme of the first joint session was entitled “Socioeconomic and political ramifications of Arab Spring”. As time went on, the range of topics/themes for discussions expanded to include titles such as “The Rise of China and India”, “African Integration and Arab-African Relations” and “Development and Democracy in Egypt and South Africa” along with a wide variety of other themes, which all shared elements of relevant and somewhat common experiences on both sides. On the other hand, the partnership with AUN came after a period of continuous consultations and communications that involved some discussion on the relevant academic material that can be used as common reading for both groups before the session is actually conducted. The student group on the side of AUN mostly consisted of undergraduate students. As shown later, unlike UWC, most of the AUN students that

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took part in the activity did it as a “formal” academic commitment or, in other words, as part of their coursework. This sense of “formality”, or lack thereof in the case of UWC, did not necessarily affect the quality of the experience or the level of the commitment of the partnering students. The course that AUC partnered with in AUN is a literature studies class, which helped add another dimension to the multidisciplinary features of the AUC course. The themes tackled in the sessions were quite diverse and ranged from gender disparities and women’s rights to culture, language, religion and socioeconomic development.

Overlap between Regular In-Class Sessions and Videoconferences The videoconferencing dialogue sessions have in many ways affected how the correspondent in-class sessions are being structured and perceived by students and instructors alike. In most of the participant universities the videoconference session is preceded with a regular in-class session where the instructor gets the opportunity to lecture and present the relevant reading material (which is also shared across both sides of the dialogue). According to Joelien Pretorius, Professor of Political Science at UWC: The dialogue is used as a postgraduate seminar session in addition to normal classes. It is not attached to a specific course and therefore postgrad students and interested staff members can participate. However, this semester one of topics (the one on patriotism in Egypt and apartheid in South Africa) related to the postgrad module “Security Studies” and students were given this topic as an essay option in the exam. Students who chose this topic were present in the dialogue session and used the readings prescribed for the session in their answers—suggesting that the session facilitated their interest and knowledge on the topic (Pretorius 2014)

In fact, a few other universities utilized the dialogue sessions in a way similar to UWC. Despite the fact that these sessions were not necessarily scheduled as “formal” course requirements in these institutions, they were nonetheless linked to already existing academic activities and courses. For AUN, the dialogue was an opportunity for the students to “rub minds” with their AUC partners, in the words of Agatha Ukata, Professor of Literature at AUN. “Videoconferencing portends something good for Nigeria’s educational sector...It creates an exposure for the learners and their instructors to compare notes on global standards and research abilities as a way of propelling themselves more meaningfully into the future” (Ukata 2014). As such, the dialogue could be considered as a

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connecting link that helps learners develop their research abilities in dealing with regional and global issues. “With the upsurge of modernist challenges like terrorism, kidnappings, and other forms of political instability in the wake of globalization,” the cross-cultural academic engagements facilitated by this typology of dialogues is a step in the right direction for Nigerian students in order for them to think outside the box, yet alongside competing arguments tackling topical issues (Ukata 2014). In the milieu of the dialogue sessions, several experiences were gained from the cross-cultural interactions taking place via videoconferences for both the students and the instructors. “The comparative nature in which topics are often dealt with broadens the academic horizon of students. It is one thing to read about Egypt and the MENA region and quite another to hear students share their experiences and opinions. As an instructor it was very insightful to hear young people's views in Egypt and also interesting to see how UWC students react to questions from the other side” (Pretorius 2014). The impact that the experience has had on the students was described by Ukata as follows: Some students see it as a mind-blowing experience where they can actually exchange ideas with their counterparts in Egypt. A good number of them see it as a breakaway from the normal classroom experience to a collaborative venue of shared ideas that could help in sharpening (and questioning) their own ideas further. Most of the students learn a lot from the readings and the research experience as the responses and debates that come with the videoconferences are usually indelible in their memory, especially when related to the readings. To others, the dialogue with AUC is literally their first opportunity to share and compare notes with students from other academic institutions (Ukata 2014)

Of course there is always room for improvement and ideas of additional/different ways in which the videoconference format could be utilized to better foster dialogue and improve class experience. UWC note that the current format works well for them as the sessions are not formally linked to a specific course, but are considered as a supplementary resource for the students to capitalize upon. Too much (compulsory) reading may end up being a disincentive for the students. Alternatively, designating a smaller number of readings, and making only two or three of them mandatory, seems to work well with the students. Both AUN and UWC expressed similar impressions as per the preparation for the sessions. In both cases, it appears that asking the

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students to prepare some questions for discussion before the actual dialogue often helps in attaining a well-structured flow of ideas among participants. Sometimes “briefing” them beforehand “oils” discussions a bit as well. “One concern is that there are often a handful of students who don't say anything and a few students who comment continuously. Although it helps to have a talkative student to break the silence, I am wondering if there is mechanism that we can use to get those who normally don't speak to engage as well” (Pretorius 2014).

New Ideas/Pilots One of the new ideas tested in other genres of the Core Dialogue courses but not yet utilized in the context of the Global South course is the threeway dialogue format. This mode is still being experimented in other courses such as the ‘Arab Spring’ course, which in spring 2015 witnessed the conduction of the first 3-way dialogue between AUC, King Fahd University and University of Balamand in Lebanon. The structure of the session was quite similar to the regular 2-way videoconference in terms of technicalities but required further scrutiny between the 3 partnering institutions beforehand and also during the session itself. Throughout the session, which had to extend for a longer period (90 minutes which is longer than the usual 75 minutes of class-time dedicated to the 2-way dialogue) each class was dedicated a timeslot to share its questions and reflections in the first half of the session. The second half was more open to input from all 3 institutions and the moderating instructors had to move relatively swiftly from one group to another in order to ensure the fluidity and liveliness of the dialogue. Of course there were several lessons learnt from that pilot and it is plausible that its prospective application in the ‘Global South’ course could bring about an even more vivid experience depending on the theme and the respective partners.

Findings and Concluding Remarks The cross-cultural dialogue courses organized at AUC since 2003 have met various degrees of successes and limitations since their foundation. The focus of the paper at hand is dedicated mostly to the lessons learned from the South-South dialogue course; nonetheless there is a plethora of similar and cross-cutting features, opportunities and risks that are shared between all the various thematic dialogue courses previously mentioned. The basic structure of all of these courses is similar in terms of the substantive and procedural preparations and the main differences that

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distinguish them are the nature (i.e. university, NGO…etc.) and cultural background of the involved partners. This paper attempts to present a snapshot of the dialogue courses in general, and the Global South in particular, with the hope that some of these opened venues/subtopics will be further scrutinized and analyzed in future endeavors. In the words of Mike Lattanzi, one of the founding faculty-members of the Core Dialogue Project, these dialogues represent an ongoing learning process of sorts to all parties involved, including faculty. One of the most important outcomes in this regard is the emphasis on critical thinking: The most important thing that students do in university in general is learn critical thinking and one of the great things about this course is that it’s a fantastic aid to that. One of the best ways to learn how to question your own views is to sort of use someone of different views to raise those questions, right? In this light, dialogue could be one of the very best ways to accomplish an important task we have in education. I often say that there is a connection between dialogue and philosophy. Philosophy to me is exactly the habit of questioning one’s own views and I think dialogue helps you through in every way…sometimes meeting other people is exactly the way of helping you along this path. (Lattanzi 2014)

In addition to the fact that cross-cultural dialogue helps the students in knowing more about the “other”, it also plays an important role in allowing the students (and faculty) the opportunity to know more about themselves and their respective cultures. Most of the students surveyed shared the opinion that it was mainly through the similarities (and differences) they saw being expressed by the partners that they also started seeing their own realities in a clearer and perhaps also fresher or different way. One of the most relevant findings relating to the conduction of the dialogue classes is the essentiality of the role of the students as proactive “owners” of the dialogue process who should be empowered (by the facilitator/instructor) to lead the way especially during the videoconference itself. Most of the faculty members surveyed asserted that the role of the students as the actual leaders of the dialogue process is extremely important. The instructor may introduce and explain the subject matter in the regular class session but when the second (dialogue) session takes place, it may be better for him/her to try to minimize intervention in the session in terms of expressing opinion or directing the discussion, unless there is an urgent and pressing need for that. Dialogues reflect studentstudent interactions so it is a very important thing for the professor to

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learn to trust the students. “I think it’s a hard thing to think that you (as an instructor) have to, sometimes, shut up. This is something learnt when using this technology for the purpose of dialogue” (Lattanzi 2014).

Technology: A Constant Blessing? It is true that there has been a directly proportional relationship between the immense development witnessed in the IT sector over the past decade or so and the constant growth of the videoconferencing dialogue courses. Yet unless the course is continuously upgraded to better accommodate the ever-changing technologies and newly introduced tools in the field of internet and satellite connectivity, this positive relationship may actually turn into a gap. Further to the group-to-group format, which is still a relevant and potent mechanism to conduct dialogue according to most of the responding students and faculty, the utilization of more personalized web applications and social networking tools is also important to keep the students engaged. In late 2013 a Facebook page was created for that purpose and since its creation a lot of students have started using it for course-related discussions and activities. In addition to the possible technical limitations, other administrative and financial challenges may also arise especially if the cross-cultural dialogue initiative is based on the interest and/or commitment of a limited number of faculty members in the participating institutions. This means that this growing activity needs also to take shape in terms of institutional presence (i.e., a center, program…etc.) This way such dialogue initiatives may be able to increase their human resources (faculty and staff alike) and subsequently maintain, solidify and expand the scope and magnitude of the cross-cultural academic encounters by adding more sections/classes and attracting more students.

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References Bakhtin, Mikahil. 1981. The Dialogic Imagination: Four Essays. Austin: University of Texas Press. Hill, Ian. 2006. “Student Types, School Types and their Combined Influence on the Development of Intercultural Understanding.” Journal of Research in International Education 5(1):5–33. Jones, Allison. 1999. “The Limits of Cross-Cultural Dialogue: Pedagogy, Desire and Absolution in the Classroom.” Educational Theory 49:299– 316. McAllister, Gretchen and Jacqueline Irvine. 2000. “Cross Cultural Competency and Multicultural Teacher Education.” Review of Educational Research 70(1):3–24. Romney, Patricia. 2005. “The Art of Dialogue.” In Civic Dialogue, Arts & Culture: Findings from Animating Democracy, edited by Pam Korza, Barbara Schaffer Bacon, and Andrea Assaf, 57–78. Washington, D.C.: Americans for the Arts. Stam, Robert. 1988. “Mikhail Bakhtin and Critical Left Pedagogy.” In Postmodernism and its Discontents, edited by Ann Kaplan, 116–145. New York: Verso. Staples, Adam, Catherine Devine and Judith Chapman. 2010. “Education and Diversity: Values Education and Cross-cultural Learning Through Socratic Dialogue and the Visual Arts.” In International Research Handbook on Values Education and Student Wellbeing, edited by Ed. T. Lovat et al. Dordrecht, Heidelberg, London, New York: Springer.

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Annex 1: Survey Questions Qs for instructors Quantitative (Strongly Agree Strongly Disagree) -The purpose of using the videoconferencing technology is clear to the students. -The use of videoconferencing technology in this course encourages the students to continue discussions. -I am comfortable using the videoconferencing format to generate questions and facilitate discussions. -I’d have felt more engaged with the students in a normal class setting -The videoconferencing technology is a barrier to my interaction with the students -The students are able to use videoconferencing technology appropriately -I would recommend this course using this technology to other instructors -The videoconference dialogues have helped the students to improve their critical thinking skills. -The videoconference dialogues have caused me to question my teaching methodology. -Through the videoconference dialogues, I now feel that the students have a better understanding of the perspectives of those from other cultures. -The videoconference dialogues have made students more interested in learning about other cultures and perspectives. -The videoconference dialogues have increased my teaching resources. Qualitative (Open ended) -In your opinion, are there any additional/different ways videoconference format could be utilized to better foster improve class experience? -What are the most important experiences gained from this interaction, first, for students and, second, for instructors? -In your opinion, are there any additional/different ways videoconference format could be utilized to better foster improve class experience?

in which the dialogue and cross-cultural in which the dialogue and

Qs for students Quantitative (Strongly Agree Strongly Disagree) -The purpose of using the videoconferencing technology is clear to me. -The use of videoconferencing technology in this course encourages me to continue discussions. -I am comfortable asking questions using the videoconferencing format

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-I would have felt more engaged in a normal class setting -The videoconferencing technology is a barrier to my interaction with the instructor -The instructor uses videoconferencing technology appropriately -I would recommend this course using this technology -The videoconference dialogues have helped me to improve my critical thinking skills. -The videoconference dialogues have caused me to question some of my views. -The videoconference dialogues have strengthened some of my views. -Through the videoconference dialogues, I now feel that I have a better understanding of the perspectives of those from other cultures. -The videoconference dialogues have taught me how to communicate across cultures. -The videoconference dialogues have made me more interested in learning about other cultures and perspectives. -The videoconference dialogues have increased my self-confidence. Qualitative (Open ended) -In your opinion, are there any additional/different ways in which the videoconference format could be utilized to better foster dialogue and improve class experience?

Annex Table 13.1 (next page). Answers to the questionnaires

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Surveys, Questionnaires and Focus Groups Agatha Ukata, Q & A, May–June 2014 Joelien Pretorius, Q & A, May–June 2014 Mike Lattanzi, Ahmad Zorkani and Mohamed Fahmy Menza, Focus Group Discussion, June 11 2014 Faculty Survey. Survey Monkey. May–June 2014. Student Survey. Survey Monkey. May–June 2014.

Annex 2: IT Technicalities Security Barriers in the initial phases (2000–2002) To understand the implication of firewalls on videoconferencing, one needs to know that Internet-based communications are based on packets of data (video, voice, or protocols) being sent from one videoconferencing system to another endpoint. The quality of such endpoints depends very much on how fast, in fractions of seconds, each of those packets are in terms of getting data transferred from one endpoint to the other. Additionally, each security layer is located where those packets are checked, and are subsequently slowed down. If blocked by a firewall, the communication fails and the videoconference does not take place, but even when each packet is allowed through, it still gets slowed down enough for the quality of the communication to decrease. During that testing phase, it was discovered that in addition to the impact of security barriers, there was also the obstructing impact caused by the videoconferencing equipment sharing the same network bandwidth with the rest of the services at AUC. For example, it was found that during peak network usage times such as midterms, semester registration intervals and finals, the entire community was using most of the available bandwidth, which negatively affected the quality of videoconferencing. From that time onwards, videoconferencing at AUC gradually phased out the usage of ISDN lines, but the functionality was kept to accommodate partners that still used that system. Glimpse at the Software When group-to-group dialogue is to be conducted between different universities, the fact remains that a larger number of individuals are involved in the planning and implementation phases, meaning that room reservations are needed and bigger groups of end-users of students and instructors are also targeted. So the market mandated that those manufacturers of videoconferencing hardware, like the ones utilized at AUC, start creating software programs that can use the same protocols as

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the hardware. When these programs were first introduced, their immediate added value was to exponentially increase the scalability of potential partners, in the same way that moving from ISDN based to Internet based videoconferencing has significantly increased the number of potential partners.

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Annex Figure 13.1: A course flyer

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Annex 3: Facts and Figures Annex Table 13.2. Facts and Figures about the Core Dialogue Project FACTS Size/Scope of activities

3 courses/4 sections (“EastWest”, “Arab Spring” and “Global South”) + extracurricular (face-to-face and vc’s)

Human Resources

Faculty members + staff (dialogue coordinator) + technical staff (Multimedia Services)

FIGURES 150

24

Average # of AUC students who enroll in dialogue courses annually # of countries partnered with since 2001

49

# of universities

5

# of continents in which established contacts exist

9

# of Dialogue Coordinators since 2001

CHAPTER FOURTEEN NEGOTIATING FORMS OF CAPITAL IN THE SOCIAL FIELD OF INTERNATIONAL DOCTORAL RESEARCH TRAINING BETWEEN EUROPE AND AFRICA CHRISTINE SCHERER1,2

Abstract This article deals with collaboration and partnership in higher education between Africa and Europe. By looking at the micro-level of international collaboration in the context of PhD training, it embeds academic collaboration and partnership at the doctoral level into the theoretical framework of academia as a social field and conceptualizes existing and emerging forms of capital in the setting of international doctoral research training. In spite of the widespread understanding that higher education systems in Africa are marginalized in the global knowledge economy, universities in Africa in fact appear to be highly international in terms of collaboration and strategic partnership. By analyzing strategic partnership in the context of the Bayreuth International Graduate School of African Studies (BIGSAS), it will be argued that the specific learning and study approach offers a wide range of opportunities for participating individuals and institutions by supporting national higher education strategies in Europe on the macro level, on the one hand, and by improving the search for talented researchers on the other. In the course of these strategies, 1

University of Bayreuth, Germany. I would like to thank Dymitr Ibriszimow for discussing this paper. As a founder of the graduate school, he never hesitates to support the next generation of scholars in exploring their potential. Furthermore, I thank Stephanie Jost for her overall support—not only for the proof-reading of this article, my colleague Emnet Woldegiorgis and Max Haller for their valuable comments.

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partnership enhances the dissertation project process itself, assures quality of research in area studies, increases international reputation and visibility and, by enhancing knowledge transfer and community engagement, creates an academic generation of highly skilled knowledge brokers. The article concludes with the argument that European higher education collaboration with Africa is by no means a field for new paths of development aid.

Introduction Collaboration with Africa has long been a marginal aspect of international collaboration in higher education. Only recently, since the first decade of the new millennium, has higher education collaboration with Africa received growing attention on the global map of research collaboration, indicated by the numbers of collaborative research or co-publications (Adams et al. 2013). In European countries, higher education initiatives and a diversity of funding programmes are on the rise as part of large regional cooperation strategies like the Joint Africa-Europe Strategy (JAES) and “Horizon 2020,” the European Union Framework Programme for Research and Innovation. In addition to Europe and European countries seeking to partner with Africa, many countries worldwide create opportunities to and/or interact with the higher education sector in African countries at all levels. Increasingly also Asian nations foster cooperation with public and private institutions of higher education in many African countries (Grant Lewis et al. 2010). However, as positive as this intensified interest for collaboration and partnership may seem, scholarly perspectives also hint at the inherent imbalances of donor-receiver structures and critically reflect the “tyranny of partnership” that dictates not only the structural frameworks of collaboration but also influences large-scale research directions via funding priorities for specific research themes (Landau 2012). Despite, or even against, the knowledgeable input and distinctly articulated desiderata from the collaboration partners in higher education in Africa, such patronizing approaches foster “partnership fatigue”, particularly towards European stakeholders who, from the perspective of scholars in higher education research in African countries, connect cooperation with the imposition of their own requirements. Distinctive national policies, like China’s, for example, follow a strategy of non-interference (King 2014),

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and have a clear desideratum of gaining from such collaborative structures.3 For Africa to take the lead in higher education agency, the first African Higher Education Summit was held from 10–12 March 2015 in Dakar, Senegal. This summit gathered approximately 500 experts under the title “Revitalizing Higher Education for Africa’s Future” with the following vision articulated in the Declaration and Action Plan: •

•

Develop a high quality, massive, vibrant, diverse, differentiated, innovative, autonomous and socially responsible higher education sector that will be a driving force to achieving the vision outlined in Agenda 2063 by the African Union with commitment to “A shared strategic framework for inclusive growth and sustainable development and a global strategy to optimize the use of Africa’s resources for the benefit of all Africans”. Produce the human capital required for the continent’s inclusive and sustainable development, democratic citizenship, and repositioning as a major global actor.4

The summit was organized by TrustAfrica, African Union Commission (AUC), Council for the Development of Social Science Research in Africa (CODESRIA), United Nations Africa Institute for Development and Economic Planning (IDEP), Association for the Development of Education in Africa (ADEA), Association of African Universities (AAU) and the African Development Bank (AfDB). Other partners were the Government of Senegal which served as the host and the National Research Foundation (NRF) of South Africa. International partners were the Carnegie Corporation of New York (CCNY), MasterCard Foundation and the World Bank. This shows the importance African and international stake holders attach to higher education in Africa as an encompassing framework and means for inclusive growth and sustainable development of the continent. One challenge in higher education in Africa has been identified in the PhD or the doctoral research and training phase after graduation. This “missing link” as I would call it is certainly a continent-wide problem. As 3

In December 2015 Chinese President Xi Jinping announced US$60 billion in funding support to the continent over the next three years, and agreement on growing China-Africa relations through a comprehensive strategic cooperative partnership. See Ngalomba (2015). 4 See www.africa-platform.org/resources/draft-declaration-and-action-plan-1st-africanhigher-education-summit-revitalizing-higher (accessed 15 Dec 2015).

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Hayward (2010, 32) observes: “There are pockets of strength in postgraduate training in sub-Saharan Africa, especially in South Africa, and both the number and the size of programs are increasing.” However, for the continent at large he states: “In many respects, postgraduate studies are hostage to the expansion of undergraduate training far beyond the human and physical capacities of institutions”. Another problem is the vicious circle of insufficient supervision capacities for doctoral students. This gap could only be closed within Africa by the production of more PhDs or doctoral students (MacGregor, 2013), a strategy that inner-African networks increasingly follow jointly as can be observed. An example is the Addis Ababa University (AAU) in Ethiopia that collaborates with the University of KwaZulu-Natal (UKZN) in Durban in this respect and intends to send doctoral students from different disciplines to be trained in South Africa where the national aim is to train 6.000 PhDs per annum.5 Another sign for supporting international agency in Africa is the increasing number of, and the push for, joint training structures like sandwich programs or sur place stipends and new doctoral programs opening at universities in Africa in collaboration with universities worldwide. The University of Bayreuth in Germany has collaborated for several decades with universities in Africa. In particular, joint research in the humanities and social sciences and doctoral training experience in the field has become a strong branch of the Institute of African Studies (IAS). Research on Africa has been a focus and priority field since the university was founded in 1975. Through the establishment of several collaborative research centers and via the early implementation of PhD training structures, researchers became convinced that “research on Africa is only possible with Africa”. The numbers of doctoral students from Africa have increased in two consecutive collaborative research centers,6 and the institution’s structures have benefited from a collaborative network of more than 30 universities in Africa. This long-lasting network and the international collaborative experiences with colleagues and institutions in Africa finally led to the founding of the Bayreuth International Graduate School of African Studies (BIGSAS) in 2007. BIGSAS, here conceptualized as a social field of international collaboration on the level of research training and mentoring of doctoral students, offers the empirical basis of the analysis. 5

Interview with UKZN Vice Chancellor Malegapuru W. Makgoba, 5 May 2014. The collaborative research centers were “Identity in Africa” (1984–1997) and “Local Agency in Africa in the Context of Global Influences in Africa” (2000– 2007).

6

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An International Sphere of Higher Education as Social Field The Bayreuth International Graduate School of African Studies (BIGSAS) exists since November 2007 and comprises today a strategic network of seven universities in two continents. As such, I conceptualize the academic environment for the context of this article as a “social field”, a conceptual framework formulated by the French sociologist Pierre Bourdieu. The physical loci of this specific social field, the seven universities, are connected formally via a bi-lateral Memoranda of Understanding (MoU) and representatives of research and management meet physically on occasion of joint events. Before the universities became a network for recruitment, training and mentoring of doctoral students collaboration was carried by individual researchers of the universities. Originally, they triggered and maintained the academic collaboration based on their personal research and motivation in single disciplines, research projects or funded programs. From this starting point many collaborations began. In the larger framework of the graduate school, the former individually maintained collaboration partners were seen as a prerequisite for the strategic partnerships that are today closely tied to the universities’ top-level management, in addition to the links that single researchers still maintain. Longstanding individual relationships through collaboration in research projects and thus acknowledgement of the excellence of the universities guided the establishment of the network. Universities in the following countries are members of it: Partner Universities

Country

Addis Ababa University Université Abomey-Calavi Moi University Universidade Eduardo Mondlane University of KwaZulu-Natal Université Mohammed V de Rabat

Addis Ababa, Ethiopia7 Cotonou, Benin8 Eldoret, Kenya9 Maputo, Mozambique10 Durban, South Africa Rabat, Morocco11

7

See www.aau.edu.et/. Further information on the official website www.uac.bj/public/index.php/fr/. 9 See https://www.mu.ac.ke/. 10 See www.uem.mz/. 11 See www.um5a.ac.ma/index.php/en/. 8

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The academic setting of BIGSAS accommodates doctoral studies in the humanities and has the following provision: multidisciplinary mentorship; structured individual research, training and coaching; integration of employment-oriented transferable skills; individual career planning; and early visibility of young scholars in the international academic communities, as well as assistance in academic and organizational matters. Three research areas in a multi-disciplinary environment offer fundamental and applied research. The doctoral students, called Junior Fellows, are guided by the expertise of established researchers, the Senior Fellows. Currently 170 young academics have been admitted from more than 1,200 applications between 2007 and 2015. Junior Fellows from all over the world are brought together to work jointly in the field of African studies after a five-stage selection process. One objective of BIGSAS is to bring together excellent African and non-African doctoral students in the field of African studies and thus foster intellectual and intercultural exchange on fundamental and applied research. Another important objective is to foster an inner-African network of partner institutions where each institution contributes to the establishment of multilateral academic exchange at distinct locations within Africa. A third aim is to offer mutual advice and benchmarking for important questions that may be reflected in decision-taking for the benefit of internationalization of academic structures and research. The heterogeneity of BIGSAS unfolds in a highly diverse academic culture: as of January 2016, 53% of the doctoral researchers are from Africa, 42% from Europe and 5% from Asia and the Americas. The diverse academic setting of the graduate school and network serves as a reference point and the empirical basis for elaborating a theoretically guided analysis of the following main questions: how do individual and institutional actors position themselves in relation to each other and within an international academic knowledge economy in general? What are the particular challenges of international collaboration in the training of doctoral students between Africa and Europe? In relation to the first two questions: what are the forms of social capital that inform such academic interaction? What are valuable insights for future collaborative contexts in higher education between Europe and Africa? As mentioned, the University of Bayreuth established itself in the context of the policy-driven German “Initiative for Excellence” by the German federal states and the state government. The national initiative itself aimed to promote globally competitive higher education in Germany and to foster top-level research and international research structures on all

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levels throughout Germany.12 In the process of selection, 440 international scholars were active as assessors (Möller et al. 2012). With the inception of BIGSAS, the University of Bayreuth as host institution was awarded the financial means of funding for the graduate school: economic capital. During the approved funding period of ten years between 2007 and 2017, BIGSAS received financial support of approximately 15 million euros. With the award of excellence came also the prestige: to be on the map of the national and highly competitive (as well as politically contested) Initiative of Excellence.

Connecting Practice and Theory The empirical starting point for the following is tied to “daily business” (Küpers 2015). “Daily businesses” or “practices” have always also been a focal point of Pierre Bourdieu’s conceptualization of the social world. The relations between the social agents in the respective social field define the positions individual and institutional actors take. As such, individual or institutional actors produce, reproduce and sometimes also challenge existing rules that govern the field in a relational perspective. Emirbayer and Johnson (2008) have hinted at the fact that the ideas and theory of Pierre Bourdieu can be transposed fruitfully into “new intellectual and professional terrains”. However, the authors point out that an analysis “has yet to exploit fully the theoretical and empirical possibilities inherent in a relational perspective upon the social world. In particular, it has yet to explore in systematic fashion the implications for organization studies of the writings of Pierre Bourdieu, perhaps the most important of all recent contributors to the project of a relational sociology” (2008, 2). Bourdieu’s intellectual program throughout his scholarly work was to link theory closely to practice. His lines of thought originate from sociology and anthropology, and came together in the “outline of the theory of practice” (Bourdieu 1977) which he used for the study of modern society. The essential concepts in his related body of work are “social field”, “habitus” and “capital”; the latter extended the understanding of economic capital and using key terms differentiated cultural capital, social capital and symbolic capital. In the following the basic theoretical concepts are mentioned briefly.

12

For a critical examination of the Excellence Initiative see Münch (2014).

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Social Field, Habitus and the Forms of Capital13 Essential for Bourdieu’s way of thinking about the social world is the concept of the social field where diverse forms of capital exist and are frequently negotiated. From his point of view, the dynamics in the relational negotiation of forms of capital by agents define positions in respective social fields and describe how power relations are shaped and changed over time. The social field is defined by relations between and among agents. The relations determine and also change the positions that agents hold within the field. The individual or any individual position in a social field has to be described via the relations that exist between the distinct positions that agents hold in the field. Within the respective sphere of relations, for example, in an international organization like a university, agents in their positions are related to each other via a constant exchange of distinct forms of capital. Through the accumulation of capital individuals and institutional agents can acquire power in a respective social field or vice versa. To possess power to reproduce the social field means that several forms of capital can be accumulated in parallel. The concept of habitus is not only one of the most popular terms in the context of Bourdieu’s writings but also the one which is discussed most controversially (Bittlingmayer 2006, Peter 2006, Bourdieu 1979/1999, Bourdieu 1992, Bourdieu and Wacquant 1996). The habitus can be sketched as subjective and practical know-how that an individual possesses or believes to possess about a particular social field. As implicit practice is both non-conscious and also applied non-consciously; it is a form of implicit “knowing”: knowing how to express one’s ideas in a certain academic environment (or more narrowly, e.g., in the natural sciences or the humanities) can only be acquired over time. It is furthermore an acquisition of the field’s knowledge (about the academic system, its structures and hierarchical rules, etc.) and the field’s knowledge (e.g., the “seminal” literature, the canonized theoretical and methodologies, etc.). Habitus in the academic environment of the humanities relies on the acquisition of the respective disciplinary jargon or on familiarity with academic trends and fashions. A specific academic habitus therefore develops in the course of a socialization process or a process of “enculturation” of the experience of a daily and practical reality. As the latter builds on cognition or cognitive structures, the arbitrariness of the conditions of these structures is received 13 For a more thorough reading see the original works of Bourdieu. For an insightful overview see Reed-Danahay (2005) and Hilgers and Mangez (2014).

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not as arbitrary but as natural or valid conditions or conventions. These conventions again underlie the schemes of perception and assessment that determine the habitus (Bonz 2006). The habitus is thus a premise for and consequence of participation in a specific social field, and a specific social field maintains itself via the habitus of its participants. Consequently, the habitus triggers the practices of accumulation of forms of capital and legitimates a position in the field. Bourdieu acknowledges the importance of economic capital in given social fields, but he extends the way of conceptualizing the term “capital”. Since it is based on an extended understanding—he alternatively refers to it as “social energy” (Bourdieu 1979/1999, 194) that can be operationalized beyond the usual framework of classical economic approaches and describe processes of production, appropriation, expenditure or dissemination and consumption of “social energy” via distinct forms of capital that can—at certain points—be converted into money and wealth. The latter can be owned by a person or an organization but in any given social context further forms of capital are to be considered and function as analytical tools: cultural capital, social capital and symbolic capital. These will briefly be sketched below. Cultural capital can be incorporated, objectivized or institutionalized. Incorporated cultural capital is the knowledge and capacity that is immanent in an individual, for example, acquired education, professional experience and skills including “soft skills”. Characteristically, incorporated cultural capital can only be accumulated by personal efforts over time and only for oneself, never for someone else. Objectivized cultural capital is based on the knowledge and use of specific cultural achievements in a given social context and comprises, for example, literacy, language and art (works) in all forms, books and technologies. Institutionalized cultural capital is for example an awarded title and certificate that legitimates an individual to participate in a certain professional context and admits a person to a certain profession or position. Social capital refers to membership or affiliation to a social group or community, a formal or informal personal network in which an individual is embedded via friendships, trustful relations, but also as a business partner or colleague. Social capital is based on mutual acknowledgement and esteem which is usually able to offer and give support. Furthermore, it has to be frequently maintained and taken care of, otherwise it will shrink and be reduced. The investment in social capital is time-intensive and aims consciously or unconsciously to create personal relationships that might eventually be useful for accumulation of other forms of capital.

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Symbolic capital can be illustrated by the terms acceptance, recognition and prestige. Especially in his later works, Bourdieu offers an anthropological approach for modern (Western) societies in saying that symbolic capital is what humans strive for by constantly trying to increase other forms of capital. As an example he uses the academic field with the citation index or the Nobel Prize. Awards for an excellent thesis are emblematic of such a form of capital in BIGSAS. In order to achieve symbolic capital in a social field, cultural as much as symbolic capital has to be accumulated and can then be converted into social meaningfulness like acknowledgement in a given scientific community, sometimes culminating in science as an aim of life in a Weberian sense.

Conceptualizing Bourdieu for International Higher Education Collaboration Bourdieu has often been described as the ethnographer of modernity. Ethnography seeks to describe and analyze social worlds, entities, communities, etc., to explain their inner logic and how they work. In his book “Homo academicus” (1992) Pierre Bourdieu has written about the specific social field of French academia of which he himself was part. Like any social field, the academic field did not exist autonomously but was part of the field of power. Each field is subject to two opposing principles of hierarchization: “an external or heteronomous principle of hierarchization that applies to the field the hierarchy prevailing in the field of power and an internal or autonomous principle that hierarchizes in accordance with the values specific to the field” (Mounier 2001, 7l). The “field of power” is thus a sphere of relations between agents or between institutions that possess the necessary capital to occupy “dominant positions in the different fields” (Bourdieu 1992/2001). The field of power in the context of the article is thus the European-African sphere of higher education. What Loïc Wacquant (1989, 2) writes on Bourdieu’s thoughts on the academic field is also transferable to the bigger picture. As Wacquant states: “There should be no mistake about the implications of his inquiry: while Bourdieu writes about French professors, the concepts, methodology, and theoretical model he puts forth have a great deal to reveal about academics and other intellectuals […].” Since “knowledge” in its broadest sense and particularly scientific and/or academic knowledge is the basis of the “knowledge society” postulated today, it should be kept in mind that societies defined as being based on knowledge possess not only economic capital but power. In this extended sense, I will describe and analyze the social field from the micro- to the macro-level.

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The Partner Universities in a Collaborative Research and Training Setting Comprehensible measures of internationalization14 that add value to the training of doctoral students and the academic environment were one of the constitutive elements of a potentially successful proposal for a graduate school in the Initiative for Excellence. To accommodate this, it was only necessary to build on a network of more than 30 universities in Africa with which the University of Bayreuth has memoranda of understanding. Of these, the BIGSAS network comprises seven universities that signed a supplement concerning collaboration on the doctoral level: the University of Bayreuth, Germany15, Addis Ababa University (AAU) in Addis Ababa, Ethiopia; Université Abomey-Calavi (UAC) in Cotonou, Benin; Moi University (MU) in Eldoret, Kenya; Université Mohammed V in Rabat, Morocco; Universidade Eduardo Mondlane (UEM) in Maputo, Mozambique and the University of KwaZulu-Natal (UKZN) in Durban, South Africa. Within BIGSAS, an individually created network was thus established as a strategic network with one partnership spokesperson or “coordinator” nominated to BIGSAS by the management of the university maintaining the links. Since the start of BIGSAS the universities in the network have organized around one thematic conference per year at one of the Partner Universities on the African continent. The conferences, usually dedicated to a specific interdisciplinary theme in the humanities, have aimed at bringing senior researchers and Junior Fellows from all the participating institutions together. The academic exchange has fostered intra-African connections among researchers and deepened the understanding of the joint idea of BIGSAS as a doctoral training institution. Besides the conferences, two major structural conferences were held in Bayreuth starting with “Building Partnership” (2008) and followed by “Living Partnership” (2009). The network again came together in the year 2014 to

14

“Internationalization” is defined here as the “intentional process of integrating an international, intercultural or global dimension into the purpose, functions and delivery of post-secondary education, in order to enhance the quality of education and research for all students and staff, and to make a meaningful contribution to society” (de Witt, 2015, paper on the INQAAHE conference, Chicago, U.S. ; see: http://inqaahe.org/admin/files/assets/subsites/1/documenten/1429530892_inqaahekeynote-dewit.pdf ; accessed 30th Dec 2015). 15 See www.uni-bayreuth.de.

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award an honorary doctorate to the author NgNJgƭ wa Thiong’o and to sign a declaration to maintain the network.16 In all the cases the presidents, rectors and vice-chancellors from the partner institution visited the location in Bayreuth. They not only showed commitment but discussed existing challenges and potential solutions for example, for legal problems with joint degrees, or the implementation of sandwich programs. Another mutual benefit were the insights into the range of diversity of the universities’ structures and management, leading in 2015 to the jointly prepared conference “Gender Matters: Visions from Africa for the Internationalization of Higher Education” that took place in Germany. Representatives of all institutions presented best practice models of their institution and supported a declaration on the issue as a political means and for the benefit of the network. As mentioned before, the Memoranda of Understanding (MoU) is the legal basis for collaboration and the supplement concerning the intake of doctoral students into BIGSAS.17 Two high level management meetings between the vice-chancellors, rectors and presidents of the respective universities served to evaluate the joint network between 2007 and 2014 and to define new objectives until 2017. Several interdisciplinary thematic conferences since 2007 which rotated in the collaborating institutions in Africa brought the senior and Junior Fellows from the five regions of the continents together. As of December 2015 the graduate school numbers 77 alumni and hosts 94 doctoral students.

Empirical Implications, Methodology and Theoretical Approach After contextualizing the empirical ground some remarks on the method are important. The reflections presented stem from eight years of practice as a manager of the graduate school informed by the classical of anthropological method of participant observation. The professional task was to support the implementation of BIGSAS from scratch in all procedures from application to submission of the proposal and later the implementation of structures, procedures and organization on all structural levels in a service-oriented unit that assists the senior researchers in supervising and mentoring the doctoral process in the best manner 16 Exactly 30 years before the author wrote one of his seminal publications “Decolonizing the mind” during a stay at the Africa Research Priority of the University of Bayreuth. 17 Unpublished documents of the Bayreuth International Graduate School of African Studies, and the International Office, University of Bayreuth.

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possible. However, the approach chosen here is not simply a subjective description of a “lived practice”. It operates within the framework of “participant objectivation” (Bourdieu 2003, 282) based on professional experience and conscious observation, systematic personal notes of collaborative micro-interactions and processual developments, official concepts and memos of organizational development. This framework has led to a systematic analysis of the collaborative field as practiced by the members in the international setting that BIGSAS provides. Anthropological approaches towards the study of higher education as a social field or universities as academic organizations of internationally collaborating individual or institutional actors are still rare. More common are studies of (international) organizations as firstly described by William Lloyd Warner (1898–1970) and Max Gluckman (1911–1975). Recent anthropological studies examine, for example, development aid contexts where “tribes” of practicing experts are put under scrutiny,18 or knowledge production in natural sciences.19 The rapid global developments of higher education and its social implications suggest that the respective social field is an important and multi-disciplinary research field which—in a reflexive form—can be approached from all angles from a macro perspective or system level to micro-studies at grassroots level.20 One important gain could be to better understand how and why knowledge is produced and used or canonized in distinct and/or connected social fields, of which the university as a site and academia as a field is only one.

The Social Field of the Bayreuth International Graduate School of African Studies In Reflexive Anthropology (1996, 262) Bourdieu et al. state21 that the term “social field” functions as mnemonic trick: “I have to understand that the research object which I want to examine is entangled in a net of (social) relations, and I have to ask whether and to what extent this object

18

See e.g., Hüsken (2006) and Rottenburg (2002). The highly enlightening publication of anthropologist Knorr-Cetina (1999) describes knowledge production in the sciences—therefore not from within but also from a distance. 20 Social anthropology is increasingly practiced as globally operating microsociology, Bierschenk et al. (2013) identify growing convergence between anthropology and political science. 21 Translated from the German language by the author. 19

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owes its characteristics to this net of relations.”22 The following will trace this with regard to BIGSAS23 as a research object in which actors possess distinct positions in relation to each other. The institutional home of BIGSAS is embedded within a research priority framed by the Institute of African Studies which hosts 66 scholars in currently 26 disciplines, all of whom work on research questions related to Africa. BIGSAS is responsible for the structured interdisciplinary doctoral research training24 in African Studies, and the Bayreuth Academy for Advanced African Studies (BAAS) supports the postdoctoral level. Since 2012 the academic body of senior fellows has expanded beyond the humanities including collaborating with sciences to initiate the Junior Professorship “Culture and Technology”. This extension or complementation was directly influenced by the fact that many applicants to BIGSAS posed research questions that can only be guided by both researchers from the humanities and from the sciences. Applicants direct their PhD project proposal into one of three research areas (RA) based on the expertise of the Senior Fellows located at Bayreuth University. These RAs are 1) Uncertainty, Innovation and Competing Orders in Africa; 2) Knowledge, Communication and Communities in Motion; and 3) Negotiation Change: Discourses, Politics and Practices of Development. A mentoring group of three Senior Fellows guides a Junior Fellow; ideally based in different disciplines; very often scholars from African partner universities supervise jointly with scholars at the University of Bayreuth. Thus, BIGSAS counts 84 associated international scholars who collaborate closely with scholars in Bayreuth for the time of doctoral supervision.

Academic Members The core academic environment of BIGSAS comprises the 26 Senior Fellows or Principal Investigators (PI) who established the graduate school as faculty members or staff of the University of Bayreuth. Eightyfour Senior Fellows who are anchored internationally complement the expertise for the guidance of Junior Fellows who number 97 at the beginning of 2016. The 78 alumni form a further group that has already obtained a doctoral degree and now, as lecturers or senior fellows at their respective home institution, remain in contact with the BIGSAS network. 22 In this sense the thoughts of Bourdieu can be read in the line of important representatives of structuralism in anthropology, linguistics and history. 23 See www.bigsas.uni-bayreuth.de/en/index.html. 24 However, it is still possible to conduct an individual doctorate only connected with a supervisor in a faculty.

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The overall gender ratio among the Junior Fellows and alumni is nearly balanced in BIGSAS. However, related to gender we observe a major difference in the career courses in advance of admission to BIGSAS: whereas male doctoral students from Africa are often given leave by their academic home institution, female doctoral students apply for the doctorate without having a position. Usually women apply after the Master’s degree or they even have to quit their job in order to pursue the doctorate. Another difference is that male doctoral students usually have a wife and children, whereas the female counterparts usually do not have a family. In cases where female Junior Fellows do have a family and kids, these are, depending on their age (as a rule with notable exceptions), left with the grandmothers or in one case, with the husband and father of the children. For both sexes, the distance to family causes conflicts that affect the process of the doctorate in different ways. As evidence shows, primarily male BIGSAS Junior Fellows from Africa tend to bring their core family, wife and children to Bayreuth while conducting the dissertation project and caring for the relatives at the same time. The following offers basic insights in the complex structure and the developments of BIGSAS as a social field of international doctoral training. Since the majority of the Junior Fellows spend most of their study time (excluding the average time of fieldwork of nine months) at the University of Bayreuth, the statistical data presented relate to the respective location.

The Junior Fellows in Facts and Figures The figures below highlight some of the structural developments in BIGSAS related to the Junior Fellows from the application with a dissertation project proposal to the thesis defense after submission. The application process itself is a five-stage process; the partner universities support the selection procedure when necessary by compiling a commission and ranking the candidates interviewed. While male applicants during the last eight years have grown considerably and always outnumbered women, at the level of intake the proportion between male and female doctoral students is more balanced. Since the founding of BIGSAS in November 2007, there have been more than 1,200 applications via the online application platform of the graduate school. The number of applications to BIGSAS from African countries is growing.

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Figure 14.1: A Applications peer annum to BIG GSAS from 20008 to 2015

350 300 250 200

Women W

150

Men M

100 50 0 22008 2009 22010 2011 20 012 2013 20014 2015 Figure 14.2: G Gender ratio at the level of app plications betweeen men and women

320 women 28% 836 m men 72%

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Top-ten countriies of applicatio ons to BIGSAS Figure 14.3: T

180 160 140 120 100 80 60 40 20 0

153

Women 73

Men

81 62

399 35

58

43 23

19

18

16 1

29 223 12 11

811

82

72

Figure 14.4: IIntake of Juniorr Fellows in totaal since 2008 un until 201525

105 men 56%

25

82 womenn 44%

Since BIGS SAS has no quoota, the high pro oportion of fem male Junior Felllows in the intake relativee to the much lower l applicatio on number is ann interesting fact that can be interpretedd as a sign for thhe excellent skiills of female appplicants.

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By 2016, 778 Junior Feellows in totaal had successsfully defend ded their dissertation project and become b alumn ni of the graduuate school. Figure 14.5: A Alumni in total until January 2016 2

35 women w 45% 4

43 men 55%

Figure 14.6: T The number of alumni per ann num

25 2 20 2

23

15 1

18

17

20013

2014

10 1 5

10 2

1

5

2

2008

2009

20 010

2011

0 2012

2015

Especially nnon-Europeann doctoral stu udents in BIG GSAS are succcessful in limiting theeir time-to-deegree. The sttatistics in B IGSAS show w that on average BIG GSAS Juniorr Fellows com mplete a disseertation projeect in 4.2 years. How wever, in coomparison to o the Europpean Junior Fellows’ completion of projects inn 5.1 years th his is relatively ly fast. There are three reasons for that: firstly, their t home un niversities in A African counttries have allowed onlly a limited tiime of leave for the comp letion of the doctorate and urgentlly expect theem to return n for teachinng after receiiving the doctorate. S Secondly, funnding pressures incentivizee finishing within w the

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time of the awarded grant.26 Furthermore, the family is often desperately waiting for the alumnus or the alumna to return home.

Funding, Institutional Exchange and Decision Making The doctoral students in BIGSAS receive distinct forms of funding via the Excellence Initiative running until 2017. More than 70% of the budget allocated to the graduate school between 2007 and 2017 directly benefits the young researchers; less than 30% flows into staff, workshops or partnership and collaboration as indirect means. The most important funding measures are dedicated to field research, conference and summer school participation, workshops and conferences. The steering committee (Academic Committee) makes the decisions and the executive committee (Management Board) carries them out. BIGSAS allocates specific funds for collaboration with the partner universities like joint conferences, visiting professorships and teaching engagements, etc. In order to maintain all collaborative activities in BIGSAS, each partner university in Africa nominates a coordinator who takes care of the collaboration. As noted, this collaboration includes recruitment, selection, supervision of PhD students and joint training. Representatives to BIGSAS of the Partner Universities (PU) can stay up to six months and contribute to the steering of BIGSAS. This is a novelty in the German academic landscape, since the PU-coordinators are not German-based but researchers in their home institutions where they were also serving as department heads, quality assurance managers, deans or even deputy vice chancellors. Thus, the integration of experienced representatives from six universities based in different regions in Africa benefits the graduate school as a whole.

Academic Degrees and Further Achievements BIGSAS awards the title of a “Dr. phil.” and a “Dr. rer. nat.” either as single degree by the University of Bayreuth or as a double or joint degree in collaboration with another university. In the case of the latter, this collaboration manifests legally in a MoU between the University of Bayreuth and the partner university. The core unit of guidance during the doctorate is the mentoring group. In addition to the Junior Fellow, it 26

The most important funding institution for non-German academics is the German Academic Exchange Service (DAAD) which offers stipends for a threeyear doctorate plus a compulsory German language course in advance of the PhD training.

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comprises the supervisor and two mentors. All ideally guide the Junior Fellow not only in content matters but also by supporting them through their own network and, for example, introducing them to the respective scientific community. The advantage of this early connection fosters independent networking with scholars worldwide which again helps to build a personal network for future postdoctoral research and collaboration. The most important achievement is the doctoral title. Since a doctoral researcher is free from other obligations such as a parallel position or teaching loads, the workload is exclusively dedicated to the accomplishment of the doctorate. However, since many Junior Fellows in BIGSAS have experience in teaching, they offer their competences in accordance with the supervisor and lecture or give courses. While this extra workload added to the normal stress of doctoral students, some alumni retrospectively stated that if they had known the burden of work after the doctorate they would not have considered the process as a burden but a privilege.

Scrutinizing Forms of Capital in International Collaborative Doctoral Training The following looks at the international social context of collaborative doctoral training between Europe and Africa. By differentiating the aforementioned forms of capital that individual agents accumulate in the relational process of positioning in the field, this chapter examines the micro-level of international doctoral training within the framework of Bourdieu’s theoretical approach. It must be borne in mind that the field of academic knowledge production in higher education collaboration between Europe and Africa is itself what Bourdieu would understand as “a field of power”. As mentioned before, any social field including the academic field does not exist autonomously but forms part of the “field of power”. The “field of power” in its respective context is thus a sphere of relations in higher education collaboration between Europe and Africa in which agents possess the necessary capital to occupy distinct positions. Thus, the social field of BIGSAS (as an international collaborative network) is operationalized as a social field in a multidimensional sphere, where personal and institutional agents act and relate through their agency in various ways both hierarchically and heterarchically. These rules define and redefine the positions in the field that offer structures of “objective possibilities” (Bourdieu 1977) to all agents and unveil the existing ways of thinking. Changes in the respective field, or better, the sphere of

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possibilities, depend on internal relations and, can only change or innovate the field in accordance with a change of the relations in the field of power. The German National Initiative for Excellence constitutes another “field of power” of which BIGSAS forms a part. When BIGSAS started within the framework of the Initiative for Excellence, the postgraduate academic qualification in Europe was seen to be in a general crisis. This notion applied also to Germany: in addition to the “brain drain” of young academics in Germany to the United States, the worst case scenarios pointed to individual and often isolated dissertation research and writing processes in Germany. In connection with inadequate supervision and lack of personal or financial support, doctorates became long-term projects or even remained uncompleted after many years. The accumulation of the necessary forms of capital to position oneself in academia failed. Once the deficit was recognized, the pendulum swung in the opposite direction. The doctorate in a structured doctoral program of a graduate school was framed by the national policy of three years’ time-todegree. African doctoral education, and here particularly sub-Saharan doctoral training on research, has been in a similarly severe crisis for some time (Hayward 2010). By 1970 enrolments on the Master’s and doctoral level were under 200,000—today 10 million young academics seek to accomplish an MA or a PhD. While in 1997 reliable figures of enrolment for both academic levels of Master’s and PhDs represented 6.9% of the total enrolment, these figures have increased to 74% in 2007. This development has to be seen against the loss of faculty staff to overseas. Therefore, many universities in Africa currently strive to prioritize PhD training on local, national and international levels via distinct models of joint international training programs. This is one of the reasons why collaboration at present is rising not only between Europe and Africa but also between Asia and Africa, and very importantly also the South-South collaborative level within Africa, as mentioned before. The examination of distinct forms of capital in an interculturally diverse and internationally informed and guided dissertation process sheds light on how agents gain capital.

Forms of Capital and the Doctoral Process An application to an international graduate school of African Studies in the humanities needs to be based on knowledge of the region from a specific academic perspective. Any applicant in current academia must have both the awareness of the respective methodological tools of his/her

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discipline to examine the research questions and also show complex awareness of thematic questions in the geographical area of Africa and its diaspora. This is manifested in an academic degree and a certificate, which is the prerequisite for an admission and a documented form of entry into the field. To relate it to Bourdieu: a pertinent certificate is necessary cultural capital. Any application procedure and a successful admission in academia underlies this specific rule. In BIGSAS, the selection process starts with the formal completeness of a set of certificates that applicants must hand in via the online-application platform. This fact might seem trivial, but it is in fact crucial for the applicant and, as I will show, for the academic field and its successful continuation or change. The experience in BIGSAS shows that an applicant—and certainly not only candidates from Africa—may, despite all efforts, not be able to deliver documents like, for example, a Master’s certificate on time. It may also happen that complex websites do not allow for a successful application on time. An institution with international literacy will consider such aspects and react by offering, for example, the possibility of considering a delayed submission of documents or an online application platform that considers simplicity and is easy to work with for users worldwide. After the 12 application procedures in BIGSAS so far, an awareness of such basic aspects has helped to become more sensitive towards the necessities of developing further measures to foster internationalization on a technical level. The next step of the application procedure is the evaluations of the proposals. After a positive evaluation, BIGSAS as an institution invites applicants for an interview. This interview can be a personal interview in Bayreuth, a Skype interview, a telephone interview, or a personal interview of the candidate by a commission coming together at one of the partner universities. The latter process is undertaken should several applicants come from a similar region in Africa. The applicants then make their way to the respective university and present their dissertation project to the commission. The commission ranks the candidates and sends its ranking as well as the minutes of the interviews to the University of Bayreuth, where the last step of the selection is taken by the Academic Committee, which is the steering committee. In such selection procedures of the BIGSAS network, international academic responsibility takes the form of institutional social capital as articulated by Bourdieu that is based on acknowledgement and esteem. This form of social capital encompasses mutual trust. It has to be frequently maintained, managed and taken care of as an important basis for further academic measurement of joint commitment in the social field

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of the BIGSAS network. Otherwise, the commitment in the network shrinks. As the commissions of the partner universities only pre-select, it might be argued that the collaboration is determined by the Europeanbased institution that is the one eligible for funding, thus economic capital. The fact that the current guidelines of the national and European funding organizations do not allow the same position to all involved institutions and require one lead institution based in Europe has administrative and legal reasons. However, what it also tells is that the “field of power” has its center of gravity in Europe. In the parlance of Bourdieu, this a sign of the existing hierarchy of those forms of capital that determine current collaboration structures in joint European-African higher education settings where the European-based institution receives the funding for collaboration. The question remains when the field is prepared to see partners in Africa as centers of gravity as well. Certainly a shift in this regard would also need go along with shared funding responsibilities. In general, being accepted at an international graduate school means an immediate strengthening lift of the position through access to distinct forms of capital that can be developed and accumulated in the course of time.27 Economic capital rises via the stipend or scholarship offered by the home institution or a funding institution, a scholarship or by a position and grows practically, for example, due to the acknowledgement of skills in the event of an award, for example, for an excellent dissertation as a member of the environment. Symbolic capital accumulates via the acknowledgement of the academic environment and network for an excellent proposal at the beginning of the studies and one’s own membership in the respective environment. It grows further due to the award for an excellent dissertation and can be measured in economic capital, for instance, due to an immediate job offer based on the acknowledged expertise that reflects back on economic capital and its potential accumulation. Social capital indicates reliable structural and personal networks. The encompassing possibilities for the building and maintaining of such networks are certainly another powerful signal 27

This is an important indicator for the quality of the doctorate. While the relatively short and policy-driven time-to-degree was a bone of contention for many professors before the graduate school started, the experience in BIGSAS shows today that the average time-to-degree for all doctoral students is more or less four years. The notion that a well conducted doctorate is difficult to accomplish in three years, as initially requested by the Initiative for Excellence, has also been gaining ground in the academic field in Germany, with many of the graduate schools in Germany hinting clearly at this fact through their statistics.

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offered by a structure like BIGSAS. More than 80 internationally associated scholars have provided their expertise to doctoral dissertation supervision and mentoring. This includes the diversity of cultures in the environment, where representatives of multiple nationalities foster intercultural literacy as an essential competence. Diversity calls for reflexivity of the individual position in the field. Cultural capital is involved and can only be accumulated over time: language skills, knowledge of cultural production in the host country, for example, visual arts, literature, music and other forms of cultural production. An engagement offers new paths of access to gain social capital by potential new exchanges with members of the personal environment that expand the possible relations of academia towards possible relations to other social fields. In this context, the engagement of doctoral students is another example for the accumulation of capital within and outside of academia. Volunteer teaching by doctoral students of the graduate school in regional schools on themes like “migration”, “art and culture”, “languages”, “conflicts”, “climate change”, “family and generation”, etc. with a focus on Africa helps to accumulate social capital by new networks outside of academia. In addition, it also helps to enhance teaching on Africa in secondary schools in the region. Here, the narrow relationality of accumulation of social and cultural capital becomes obvious. The impact is now directed from the individual to the host institution. By interaction with social fields outside of academia, the host institution gains visibility and acknowledgement, thus symbolic capital. An example on the micro-level of BIGSAS is the support that doctoral students with particular skills in African languages provide to institutions that take care of refugees.

Forms of Capital in Research As the analysis above indicates, the dissertation process supports in general the accumulation of different forms of capital at the individual and institutional level. Young academics applying from diverse backgrounds pose their research questions from their specific sociocultural personal perspective and academic socialization. The encounter with unexpected research questions is sometimes ambivalent and telling. The following example is illustrative: a doctoral student seeks to learn to understand infertility in a specific social and cultural context. A European funding institution in contrast might not be prepared to see the topic as a relevant research question and nevertheless, the idea is a relevant and original research topic able to offer new insights through qualitative and

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fundamental research that would not otherwise be conducted. An institution that is reflexive to its own epistemologies and production of knowledge will accept difference and in practice support the dissertation theme by every means possible. Another example can be drawn from a more general observation. Dissertation project proposals reaching BIGSAS from the African continent to a great extent foster applicability or the carry the researcher’s wish to solve specific problems. In BIGSAS this has led to a slight modification of the research areas that define broad research frameworks for both fundamental and applied research. It has also led to the implementation of a new professorship that hosts transdisciplinary research topics between culture and technology. However, the notion that many questions that motivate young academics to pursue a doctorate is triggered by the wish to research “for the better” also needed to be accommodated from another angle. By admitting experienced mid-career practitioners, the academic field opened up to acceptance of different life-cycles and fostered the idea of life-long learning. Moreover, a person with experience and international exposure contributes practical knowledge and is also a mature member of different social and cultural backgrounds. In quite a few cases, highly internationally and interculturally literate doctoral students support other doctoral students with expert knowledge and advice in an informal way, including advising them on how to be resilient to stress and frustration. They can discuss new lines of thought and integrate these into their own research with the support of a peer. On an institutional level, the conferral of the doctorate (Promotionsordnung) foresees active accumulation of specific forms of capital for the individual which reflects back to the institution and helps to accumulate institutional forms of capital. One requirement is publication in an international journal, the second is a presentation of research results at an international conference, and the third is a participation in a summer school. As prerequisites for the submission of the dissertation, all measures support the accumulation of forms of capital that position the Fellows in the world of academia and make them visible as scholars. Vice versa, BIGSAS becomes visible as a training and mentoring institution. While the doctoral students on their individual agendas increase distinct forms of capital by simply following the regulations, they also reproduce the academic field and position or, one might say, start to establish a profile in their own respective scientific community.

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Forms of Capital in the Institutional Process Daily practice and academic exchange in the international setting is improved as much by diversity as by quantity. Approximately 100 doctoral students and the same number of active scholars, approximately 400 guests over the years, design the institutional environment as a hub in frequent motion. The motto of BIGSAS to do “Research on Africa only with Africa” thus becomes not only a token gesture but a daily reality which includes conflicting epistemologies and dialectical discourses as necessary ingredients. These challenge both area studies and the systematic disciplines practiced within for an enhancement of international academic exchange. How this approach, among other things, directly fosters economic capital was mirrored by the results of the international assessment committee that discussed and approved the prolongation of the graduate school. In 2012, the written report and the vision for the next period of funding had to be presented before an assessment committee. The positive evaluation of the achievements and new visions through its prolongation was transformed into economic capital to run the school for another five years. The prestige and symbolic capital associated with this approval is meanwhile identified by a rising interest of German politicians who seem to position higher education collaboration in and with Africa as a new field for development aid. It is no coincidence that this increasing interest comes along with the awareness of refugees and asylum seekers reaching Europe from Africa. Ironically, the global “field of power” has started to depict higher education collaboration in and with Africa as a means to development after years of prioritizing primary and secondary education. However, experiences in BIGSAS offer another view and approach. Six universities on the African continent are involved in BIGSAS. All these institutions have their own national history, embedded both in regional policies and in other fields of power like regional harmonization, etc. (Doevenspeck and Woldegiorgis 2013). But all institutions offer insights in distinct organizations that deal with all forms of capital on all levels. In the context of collaboration with BIGSAS, social and cultural forms of capital are mainly accumulated in and for the network by 1) joint training and mentoring and 2) international exchange, mutual learning and benchmarking and, last but not least, 3) mutual trust. Scholars from each partner university visit the graduate school not only as supervisors, expert mentors in a given research expertise, but as advisors and mentors to the management and further development of BIGSAS. One example is the recent conference “Gender matters: Visions

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from Africa for the Internationalization of Higher Education”. Here again it was obvious how the members of the network benefit from insights into the partner institutions. In terms of successful work for gender equality and gender sensitivity, the representatives of the Universidade Eduardo Mondlane, Maputo, offered their visions to the other members of the network how a university can take action and become the leader of a network that sets the benchmark for other institutions. This was implemented via university-wide and cross-cutting measures firstly, to enhance the contribution of women in academia; secondly to bring gender-sensitive approaches into the faculties; and thirdly, to create an encompassing awareness for the necessity to reflect on gender in academia. It is clear that this approach of sharing knowledge on both the scientific and structural levels cannot be understood as unidirectional development aid. Understanding the partnership between the institutions, among other things, as a means of mutual learning is an approach that has directly fostered economic capital with the award of the funding for an innovative graduate school concept. This was mirrored by the results of the international assessors committee which discussed and approved the prolongation of the graduate school, including generous funding. The accumulation of publications also transforms directly into symbolic capital. The impressive list of nearly 400 publications and working papers, of which a large part was peer-reviewed for international journals, conference proceedings etc., impressed the international assessors during the prolongation assessment and made clear that the Junior Fellows have something to say and wish to contribute to the international debates on Africa from their own points of view. Publications are also the “currency” of academia in terms of cultural capital. A publication adds visibility to the usually invisible dissertation process and introduces the doctoral student as a member to their scientific community. If placed in the right journal, this is an enormous gain for both the young academic and her academic environment: the Junior Fellow enhances her position by contributing to a debate; the host institution increases the list of publications stemming from the institution’s fellows. The same is valid for the presentation of the research results at an early stage and the participation in a summer school. In these, the doctoral students became visible in the way indicated. The visibility of the individual researcher certainly supports the institution and its reputation: the institution is personally represented in international contexts and step by step becomes a ‘trademark’. This trademark again reflects back on the visibility of overall achievements like a large number of successful and

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employable alumni. The particular multicultural composition of the doctoral culture in the graduate school becomes especially important at this point. It has long been the case that Western academics have conducted research and published on Africa. It is not clear that an increasing generation of young academics from Africa conduct research on the continent, compare, examine, analyze, publish and talk about their findings. It is another important aspect that in BIGSAS the Ugandan discusses with the Cameroonian, Zimbabwean, Kenyan, German, and Columbian in one academic environment. In all of this, the interacting individuals accumulate different forms of capital: social capital via extended networks, cultural capital via the gain of knowledge and the awareness of epistemological diversity and economic capital via the support given to the respective outreach programmes by third-party funding. In the end all this feeds into accumulation of symbolic capital for both the participating individuals and the institution or the academic environment itself.

Conclusion: Creating a Sphere of the Possible As previously indicated, current international higher education debates on Africa position the continent at the margins of global knowledge production, and the university in Africa or tertiary education as highly in need of development aid from outside of the continent. In my observation, the prevailing notion of institutional and individual agents especially on the policy level is that collaboration with partners in Africa is too often perceived more as development aid than reciprocal partnership with high potentials for mutual benefit. As argued by Castells (2009), Africa is the lowest-ranked continent in indicator-based rankings, and Foulds and Zeleza (2014) inform that the publication input from Africa is 1.6% of global knowledge production.28 But if knowledge and its possibilities of production is understood basically as published knowledge production in academia, such figures only make clear that established power relations to accumulate this specific form of capital privilege specific and conventional forms of knowledge production and thus reproduce the social field of academia in the way we know it today. By addressing international higher education collaboration on the level of doctoral research training and mentoring between Africa and Europe, I utilize Pierre Bourdieu’s concept of the social field. In Bourdieu’s sense the field reproduces itself at first sight: young academics from Africa and 28

See Cloete, Maassen and Bailey (2015).

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Europe come together, gaining from the academic environment in Germany and accumulating social capital by individual agency and given regulations. They are positioned and position themselves along the existing structure as Junior Fellows and start to reposition themselves in the academic field step by step over time and in relation to each other. The already established senior fellows involved in BIGSAS and based in Addis Ababa, Bayreuth, Cotonou, Durban, Eldoret, Maputo, and Rabat and elsewhere in academic institutions worldwide offer their guidance and assistance. The young academics—guided by established researchers during their doctorate years—access and examine the methodical approaches and theoretical canons of their respective disciplines and experience complementary insights into a multidisciplinary environment. In addition, they get to know not only the possibilities of academic exchange beyond disciplinary borders but an international setting that offers numerous possibilities for academic practice as a transmission of knowledge: towards peers, mentors from abroad, their respective scientific community and the broader public. At this point the general potential of an international setting is particularly evident. The academic environment has been described as not only busily selecting and training the elite of tomorrow in order to perpetuate a knowledge system and cause a “brain drain” but to facilitate permeability and individual enhancement by fostering “brain circulation” in a new and yet still fragile “sphere of possibilities” that is useful for the heterogeneous agents, who are the academics of tomorrow. The young academics in BIGSAS have their roots in diverse social and academic contexts and draw on solid resources from the distinct social, cultural and academic backgrounds they have experienced. This again provides them with a wide and internalized repertoire of knowledge and an obvious potential of cultural shifting. The institution itself enhances the dissertation process, assures quality of research, increases international reputation and visibility and, by enhancing knowledge transfer and community engagement, creates an academic generation of highly skilled knowledge brokers. All this contributes to what Knight (2015, 9) recently called knowspace, a space where distinct forms of learning and acknowledgement of diverse epistemologies come together: “International Higher Education has the opportunity of moving beyond its preoccupation with the knowledge economy, and takes a proactive role to ensure that knowledge is effectively used to address worldwide challenges and inequalities, by recognizing the mutuality of interests and benefits.” Also in this sense, a

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new generation of academics would follow the model of Pierre Bourdieu who—as an academic—frequently engaged in current societal debates in order to create awareness with the means and possibilities at an academic’s disposal, reflect and contribute to social renewal, taking into account the risk of being misunderstood. To conclude with a remark by Tilak (2011, 126): “Internationalization of higher education has been defined, in its ideal form, as the highest stage of international relations among universities. It is not just a fancy word to justify packing in more (high-fee) international systems, or even a label to describe exotic partnerships (which inevitably demand much travelling by senior managers). The whole institution—its courses and curriculum, all its students, its research—has become infused with an international spirit”. I have described BIGSAS as a higher education network between Africa and Europe that, despite daily challenges for individual and institutional agents, contains this spirit and offers a sphere where possible knowledge flows together and often challenges conventions. The examination of collaboration in higher education from the approach offered in this type of context cannot be identified as development aid but as mutual learning on all institutional levels and for all status groups. A one-dimensional debate about the cost-benefit ratio from Europe towards Africa in higher education certainly needs some revision. This chapter has pointed out some of the as yet hidden balances in an international academic environment. It has offered an insight into the potentials and impacts of the relational distribution and accumulation of distinct social forms of capital. The highly relational forms of the positions in collaboration between Africa and Europe suggest a need to move beyond established and persistent conventions. Certainly not only the academic field would gain from acknowledgement of the mutual benefit and the chance to renew conventional approaches to such spheres—for tomorrow’s knowledge societies.

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CONTRIBUTORS

The Editors Anne Goujon holds a Doctorate from the University of Vienna. She is the research group leader of the Human Capital Data Laboratory at the Vienna Institute of Demography (VID/Austrian Academy of Sciences) where she has been working since 2002, and a research scholar in the World Population Program at the International Institute of Applied Systems Analysis (IIASA) since 1994. Her work has focused particularly on developing multi-dimensional population projections that take into account the characteristics of age, sex and other factors (i.e. education and religion) which can affect population structure in different settings, at global, national and sub-national levels. She has been teaching multistate population projections at the Faculty of Geography of Vienna (2012 and 2009/2010) and during several workshops in Thailand, India, and Morocco. Dr. Goujon also supervised many young scientists working on these themes in the Summer Program for Young Scientists (YSSP) at IIASA. She has been the principal investigator in several externally funded projects – recently in a project on religion in Vienna (WIREL) and in a project aimed at reconstructing educational attainment data in the 20th century in many countries. She has also participated in several research projects funded by the European Union. Dr. Goujon is the author of more than 90 publications. See more at www.wittgensteincentre.org/en/staff/member/goujon.htm Max Haller holds a Doctorate from the University of Vienna (1974) and an Habilitation from the University of Mannheim (1984). He is professor emeritus of sociology from the University of Graz (Austria) and member of the Austrian Academy of Sciences. Between 1986 and 1989, he was president of the Austrian Sociological Association; and vice-president of the European Sociological Association between 1988 and 1992; he cofounded ISSP in 1984–85. He has been visiting professor at many Austrian and German Universities as well as at University of Trento (Italy), University of California, Santa Barbara (USA) and at St. Augustine University of Tanzania. He has published/edited 34 books and about 240 scientific articles in leading international sociological journals and books.



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His main research areas are: social stratification, ethnic relations, sociology of European integration, comparative social research and sociological theory. Prof. Haller’s most recent books are: European Integration as an Elite Process (Routledge 2008); The International Social Survey Programme. Charting the Globe (ed. with R. Jowell and T. Smith, Routledge 2009); Ethnic Stratification and Economic Inequality around the World. The End of Exploitation and Exclusion? (Ashgate 2015; in collaboration with Anja Eder). See more at http://homepage.uni-graz.at/max.haller/ Bernadette Müller Kmet is assistant professor at the Department of Sociology, University of Innsbruck. In 2013 she acted as the absentee’s representative of the Educational Sciences Group at the Vienna University of Economics and Business. Between 2005 and 2012 she was a member of the International Comparative Social Research group at the Department of Sociology in Graz. In 2009 she finished her PhD thesis on personal, social and cultural identity. In 2009 and 2011/12 she was a visiting lecturer at the St. Augustine University of Tanzania (SAUT) where she taught quantitative and qualitative research methods. In addition, she carried out—together with Max Haller—a survey among 500 university students at SAUT on studying and living conditions (Müller/Haller 2012). Her research interests focus on identity theory and research, migration research, sociology of education, social inequality and international comparative social research. See more at www.uibk.ac.at/soziologie/team/

The Authors Julia Boger holds a Doctorate in Ethnology, Geography and Comparative Literature from the Johannes-Gutenberg-University in Mainz, Germany. She gained practitioner’s expertise in the field of reintegration whilst working at the German committee of World University Service e.V. (WUS) from 2004 until today. In 2014, she achieved a PhD in Sociology at the Bayreuth International Graduate School of African Studies (BIGSAS). Currently, she facilitates international graduates’ return migration and their labor market entry at WUS and publishes in the areas of human rights to education and global education. Christiane Brandenburg holds a Doctorate from the University of Natural Resources and Life Sciences in Vienna, Austria. She is head of the Institute for Landscape Development, Recreation and Conservation Planning. She works at the interface between landscape and society, with a



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particular interest in recreation and tourism. Her current research integrates questions of sustainable wildlife management, climate change and recreation. Jakob Eder is a PhD student at the University of Vienna and the Austrian Academy of Sciences. He holds a Master's degree in Geography from the University of Vienna, where he is also engaged in teaching. His research focuses on a variety of topics within population and economic geography, such as the education expansion of populations or innovative regions and the knowledge economy. He recently published an empirical study on Vienna’s R&D sector in Cities together with Robert Musil (2016). Ahmad ElZorkani is the Manager for Instructional Multimedia at The Center for Learning & Teaching at the American University in Cairo. He is an Instructor in the Professional Educator Diploma at AUC and a holder of an MA in International & Comparative Education, a BA in Business Administration, and a Diploma in Management of Information Systems. Ahmad's research focus is on technology integration in teaching. Måns Fellesson obtained his PhD in Sociology at the Department of Sociology, Uppsala University in 2003. The title of his dissertation is: “Prolonged exile in relative isolation: Long-term consequences of contrasting refugee policies in Tanzania.” He has been Deputy Director at the Swedish Ministry for Foreign Affairs and is an affiliated researcher at the Institute for Research on Migration, Ethnicity and Society at Linköping University, Sweden. Ann Fitz-Gerald is a Professor at Cranfield University's School of Defence and Security where she holds a Chair in Security Sector Management. She holds degrees in Commerce, Political Science, and War Studies. Ann publishes on issues concerning national security and defence reform, as well as strategic planning for both national institutional development and international security interventions. Ann has advised governments of a number of transitional and developing countries on issues relating to national security policy/strategy issues. She has recently authored one article on peace operations in Africa which will appear in International Peacekeeping and another one on peace building intervention together with Sari Graben in Conflict, Security and Development (2013).



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Thomas Guggenberger holds a Master in Education and Psychology and is head of Quality Management at the University of Natural Resources and Life Sciences in Vienna, Austria. His responsibilities include the overall strategy of quality assurance, management of audits and the evaluation of staff, projects and departments. He contributes to capacity building projects in higher education, with a focus on Latin America. Petronella Jonck is the Deputy Director of Research and Innovation at the National School of Government, Pretoria, South Africa. She completed her PhD in Psychology in 2010 at the University of the Free State, and her main research focus area encompasses the social sciences. Research outputs to date include 21 published journal articles, including an article on criminal engagement published in the International Journal of Educational Development. Additionally, she co-authored an article on Skills shortages and job satisfaction – insights from the gold-mining sector in the African Journal of Business and Economic Research. Paula Macphee is a Teaching Fellow based at Cranfield University's School of Defence and Security, in the United Kingdom. She holds a postgraduate degree in International Relations and a BA (Hons) in Languages and International Trade. She is currently a Doctoral (EdD, Learning, Leadership and Policy) candidate at Bristol University where she is researching the role of higher education in the professionalization of Armed Forces in developing states. Paula teaches on Cranfield University's Security Sector Management post-graduate education programme, both in the UK and overseas. She published in 2014 an article in the Journal of Peace Education on the impact of security sector management postgraduate education in Ethiopia together with Ann FitzGerald. Paula Mählck obtained her PhD in Sociology at Umeå University in 2003. She is currently a lecturer and researcher at the Department of Education, Stockholm University. Her research interest is international comparative research focusing on intersectional readings of how gendered and racialised structures of inequality are produced in different geopolitical spaces. Axel Mentler works at the Institute of Soil Sciences at the University of Natural Resources and Life Sciences in Vienna, Austria. He holds a Doctorate in Soil Science. He has published widely on soil aggregation, gas fluxes and sustainability of different land use practices. Current



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research interests include the use of biochar in rice systems and the effects of agricultural practices on soils. Mohamed Fahmy Menza is the Director of Dialogue and a Visiting Assistant Professor at the Core Curriculum, American University in Cairo (AUC). He holds a PhD in Arab & Islamic Studies from the University of Exeter. His research and teaching focus on state/society relations, informal and patronage politics and the political economy of development, on which he has taught a variety of courses at Exeter University, AMIDEAST Egypt and AUC. Dr Menza has provided consultancies to an array of development organizations, such as the World Bank, the Population Council and CARE International; his recent book Patronage Politics in Egypt: the NDP and the Muslim Brotherhood in Cairo was published by Routledge in 2013. Reneé Minnaar is a Lecturer in Hospitality Management at the Central University of Technology, Free State, South Africa. She is currently enrolled for a PhD in Tourism Management at North West University. Since 2003 she has occupied various lecturer positions at the Central University of Technology, Free State; as well as at Stenden University South Africa, Port Alfred. Her main research areas focus on education, tourism forecasting, hospitality industry, human resources practices. She published in 2015 an article on validating an employability skills questionnaire for employers in the Mediterranean Journal of Social Sciences together with Petronella Jonck. George K. T. Oduro holds a PhD degree from the University of Cambridge, UK. He is currently an Associate Professor of Educational Leadership and Pro Vice-Chancellor of the University of Cape Coast, Ghana. His research interests lie in leadership strategies for improving the quality of teaching and learning in schools. His most recent publications include (i) Developing Ghana’s manpower through distance education; published by WRENCO Publishers (2015) and (ii) Education Quality and Social Justice in the Global South (published jointly with colleagues from UK and Tanzania) by Routledge (2013). He is a Fellow of the Cambridge Commonwealth Trust, the All Saints’ Educational Trust, UK, and the Association for Commonwealth Universities. Georgina Yaa Oduro is a senior lecturer at the Department of Sociology and Anthropology, University of Cape Coast, Ghana. She holds a PhD degree from the University of Cambridge, UK. She is a multi-disciplinary researcher with research interests in gender, violence, sexuality, youth



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cultures, and sociology of work and occupation. Her current publications deal with abortion, health care for women, street children and youth in Ghana. Verena Pflug holds a Master in development studies and is now a social worker and adult educator with the Volkshochschule Wien. She was on the scientific staff of a project building higher education capacities in Nicaragua. Lorenz Probst holds a Doctorate in Agricultural Sciences and is a Senior Scientist with the Centre for Development Research at the University of Natural Resources and Life Sciences in Vienna, Austria. He has worked mainly on urban agriculture, sustainability and change in West and East Africa. His current research interests are communicative rationality and education for sustainability. Recent publications focus on learning processes in development. Inês M. Raimundo is an Associate Professor of Human Geography at Eduardo Mondlane University, Mozambique. She holds a PhD in Forced Migration and a MA in Human Geography from the University of the Witwatersrand, Johannesburg, SA and a degree in Geography from Eduardo Mondlane University. Her research and publication areas include migration, human settlements, urbanization and urban food security and climate changes. Since 2012 she has chaired the Post-graduate studies of the Faculty of Arts and Social Sciences of the Eduardo Mondlane University. Christine Scherer studied Social Anthropology, Political Sciences and Romance Studies and published her thesis on Art-making in Zimbabwe in 2007. Since then, she has coordinated the Bayreuth International Graduate School of African Studies, BIGSAS, with more than 100 graduates and six partner institutions on the African continent. Her research interests are arts, visual culture studies and higher education studies in Africa. Recent publication: The Fabrics of Man, Family and Society. Life and Work of Photographer Calvin Dondo. In: C. Dondo, Zimbabwe. Stichting Kunstboek: Brussels (2014). Emnet Tadesse Woldegiorgis is a Political Scientist researching Higher Education issues since 2006. Currently he is a post-doctoral researcher at Bayreuth University, Germany. His research focuses on regionalization and internationalization of higher education in Africa. Previously, he



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worked as Head of Quality Assurance Officer, Department Head and team leader at Mekelle University, Ethiopia, for four years. He has published a number of articles and book chapters on higher education issues, particularly on theories of regionalization, student mobility, cost sharing, and harmonization of higher education systems in Africa. Maria Wurzinger holds a Doctorate in Animal Breeding and Genetics. She is a staff member of the Division of Livestock Sciences and the Centre for Development Research at the University of Natural Resources and Life Sciences in Vienna, Austria. She has worked on integrative approaches in livestock breeding in Europe, Latin America and Africa. She is currently managing research and capacity building projects in Nicaragua, Peru and Argentina. Recent publications focus on participatory breeding of different species in small holder farming contexts.