Building Capacity in

Higher Education
Topic Guide
2015

Lorna Power, Kerry A. Millington and Stephanie Bengtsson

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Discuss this Topic Guide using the hashtag: #HigherEd4dev

This Topic Guide was produced by The Health & Education Advice & Resource Team (HEART), which is
funded by the British Government’s Department for International Development (DfID).

The authors are Lorna Power, CfBT Education Trust; Dr Kerry A. Millington, Liverpool School of Tropical
Medicine; and Dr Stephanie Bengtsson, Institute of Development Studies.

The expert advisor is Dr Tristan McCowan, Institute of Education, University College London.

The Gender Mainstreaming expert advisor is Prof Shirley Randell.

For any further enquiry, please contact [email protected]

Further HEART reports are published online at www.heart-resources.org

Disclaimer
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in support of pro-poor programmes in education, health and nutrition. The HEART services are provided
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Policy Management, CfBT, FHI360, HERA, the Institute of Development Studies, IMMPACT, the
Liverpool School of Tropical Medicine and the Nuffield Centre for International Health and
Development at the University of Leeds. HEART cannot be held responsible for errors or any
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Photo on front cover: Russell Watkins/Department for International Development

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CONTENTS
ABBREVIATIONS AND ACRONYMS .......................................................................................................... 5
FOREWORD ............................................................................................................................................. 6
EXECUTIVE SUMMARY ............................................................................................................................ 8
KEY MESSAGES ................................................................................................................................. 13
1. INTRODUCTION ................................................................................................................................ 14
2. ABOUT HIGHER EDUCATION ............................................................................................................ 15
2.1 DEFINING HIGHER EDUCATION ............................................................................................. 15
2.2 TYPES OF HIGHER EDUCATION ............................................................................................. 15
2.3 FUNCTIONS OF HIGHER EDUCATION .................................................................................... 15
2.4 GLOBAL TRENDS IMPACTING HIGHER EDUCATION .............................................................. 16
2.4.1 The growth of the knowledge economy ....................................................................... 16
2.4.2 Globalisation and internationalisation.......................................................................... 16
2.4.3 Massification ................................................................................................................. 16
2.4.4 The connection to socio-economic development ........................................................ 17
2.4.5 The interrelationship with other levels of education ................................................... 17
2.4.6 The movement towards evidence based practice (in education and in development)17
2.4.7 Demands for equity and social justice .......................................................................... 18
2.4.8 Peace building and reconstruction ............................................................................... 18
2.5 IMPLICATIONS FOR HIGHER EDUCATION IN DEVELOPING COUNTRIES ............................... 19
2.6 MEASURING EFFECTIVE HIGHER EDUCATION ...................................................................... 19
3. EVIDENCE OF IMPACT ...................................................................................................................... 20
3.1. THE MARKET BENEFITS OF HIGHER EDUCATION .................................................................. 20
3.1.2 Linking higher education to the labour market ............................................................ 21
3.2. THE NON MARKET BENEFITS OF HIGHER EDUCATION ......................................................... 22
3.3 ABOUT THE EVIDENCE .......................................................................................................... 24
4. POLICY ISSUES .................................................................................................................................. 24
4.1 HUMAN CAPITAL FLIGHT ...................................................................................................... 24
4.2 THE COST OF HIGHER EDUCATION ....................................................................................... 25
4.3 CAPTURE OF HE BY ELITE GROUPS........................................................................................ 26
4.4 THE PURPOSE OF HIGHER EDUCATION................................................................................. 26
4.5 CONCLUDING THOUGHTS ..................................................................................................... 26
5. BARRIERS.......................................................................................................................................... 27
6. AID AND THE INTERNATIONAL DEVELOPMENT AGENCIES.............................................................. 33
6.1 INTERNATIONAL ASSISTANCE TO HIGHER EDUCATION ........................................................ 33
6.2 TRENDS IN ODA TO HIGHER EDUCATION ............................................................................. 33
6.3 A TYPOLOGY OF ODA TO HIGHER EDUCATION ..................................................................... 33
6.4 CURRENT TRENDS AND PRIORITIES ...................................................................................... 34

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 6.5 CRITIQUES OF CURRENT TRENDS AND PRIORITIES ............................................................... 36
6.6 LOOKING BACK TO LOOK FORWARD .................................................................................... 36
7. PARTNERSHIPS ................................................................................................................................. 37
7.1 A DEFINITION ........................................................................................................................ 37
7.2 THE ‘OTHER’ ACTORS ............................................................................................................ 38
7.3 TYPES OF PARTNERSHIPS ...................................................................................................... 40
7.4 THE ROLE OF THE INTERNATIONAL DEVELOPMENT COMMUNITY ...................................... 40
7.5 ISSUES IN DEVELOPING AND MAINTAINING A PARTNERSHIP .............................................. 40
7.6 SOME FINAL THOUGHTS ....................................................................................................... 42
8. INNOVATIONS ................................................................................................................................... 42
8.1 PROVIDE MASS HE FOR ALL CITIZENS ................................................................................... 43
8.2 TRANSFORM GOVERNANCE STRUCTURES AT THE SYSTEMS LEVEL ..................................... 44
8.3 IMPROVING MANAGEMENT AND GOVERNANCE AT INSTITUTIONAL LEVEL ....................... 44
8.4 REDUCING THE POVERTY DYNAMIC ..................................................................................... 45
8.5 INEQUALITIES OF ACCESS...................................................................................................... 46
8.6 HIGHER EDUCATION READINESS .......................................................................................... 46
8.7 FINANCINING OF HIGHER EDUCATION ................................................................................. 47
8.8 RELEVANCE AND EMPLOYABILITY ......................................................................................... 49
8.9 HUMAN CAPITAL FLIGHT ...................................................................................................... 50
8.10 IMPROVING RESEARCH CAPACITY ........................................................................................ 50
8.11 IMPROVING TEACHING AND LEARNING QUALITY ................................................................ 51
8.12 A COMBINATION OF INNOVATIONS ..................................................................................... 53
9. CONCLUSION ..................................................................................................................................... 53
10. REFERENCES .................................................................................................................................... 54
ANNEX A: RECOMMENDED READING ................................................................................................... 61
ANNEX B: TERTIARY EDUCATION BY ISCED CLASSIFICATION LEVELS ................................................... 63
ANNEX C: MISSIONS AND FUNCTIONS OF HIGHER EDUCATION .......................................................... 64
ANNEX D: RETURNS TO EDUCATION..................................................................................................... 65
ANNEX E: CAPTURE OF HE BY ELITES .................................................................................................... 66
ANNEX F: GENDER IN HIGHER EDUCATION………………………………………………………………………………………68
ANNEX G: THE MANAGEMENT AND GOVERNACE OF PRIVATE HEIs .................................................... 69
ANNEX H: THE PARTNERSHIPS FOR HIGHER EDUCATION IN AFRICA (PHEA) ....................................... 70
ANNEX I: HEI PARTNERSHIPS ................................................................................................................ 71
ANNEX J: PRIVATE HEIs IN BRAZIL ......................................................................................................... 72
ANNEX K: FOUR MODELS OF MANAGEMENT AND GOVERNANCE OF HE SYSTEMS ............................ 73
ANNEX L: PUBLIC PRIVATE ALLIANCE IN THE IVORY COAST ................................................................. 74
ANNEX M: THE GHANA EDUCATION TRUST FUND ............................................................................... 75
ANNEX N: THE COLLABORATIVE RESEARCH SUPPORT PROGRAM ....................................................... 76

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ABBREVIATIONS AND ACRONYMS
AFD Agence Française de Développement (French Agency for Development)
CE Continuing Education
CIDA Canadian International Development Agency
DANIDA Danish International Development Agency
DCs Developing Countries
DELPHE Development Partnerships in Higher Education
DfID Department for International Development
EBP Evidence Based Practice
EFA Education for All
FCAS Fragile and Conflict Affected States
FE Further Education
GDP Gross Domestic Product
GER Gross Enrolment Rate
HE Higher Education
HEIs Higher Education Institutions
HICs High Income Countries
IHERD Innovation Research and Higher Education for Development
LDCs Less Developed Countries
LICs Low Income Countries
LMICs Low and Middle Income Countries
MDCs More Developed Countries
MDGs Millennium Development Goals
MFL Modern Foreign Languages
MOI Methods of Implementation for the Sustainable Development Goals
MOOCS Massive Open Online Courses
NORAD Norwegian Agency for Development Cooperation
NORHED Norwegian Programme for Capacity Development in Higher Education and Research
for Development
ODL Online Distance Learning
OECD Organisation for Economic Co-operation and Development
PHEA Partnerships for Higher Education in Africa
SDGs Sustainable Development Goals
SIDA Swedish International Development Cooperation Agency
SIVs Strategically Important and Vulnerable Subjects
SSA Sub-Saharan Africa
STEM Science, Technology, Engineering and Mathematics
TE Tertiary Education
UPE Universal Primary Education
USAID United States Agency for International Development

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FOREWORD

As the international community moves from the Millennium Development Goals (MDGs) to the
Sustainable Development Goals (SDGs), higher education (HE) is more critical than ever. Addressing
questions such as quality public services, sustainable agriculture, equitable distribution of resources,
environmental protection and effective governance requires high-level skills, research and innovation
generated at the local and national levels. National governments, bilateral and supranational agencies
are now viewing HE as central to development in low and middle-income countries (LMICs), after years
of relative neglect. Yet there remains the challenge of how to release the developmental potential of
universities, and avoid the elite capture and disconnection from society that has characterised many
of these systems in the past.

HE has undergone a period of intense massification since the Second World War, with sharply rising
enrolments in high, middle and low-income countries alike. The global gross enrolment ratio has now
risen to 33% – although that aggregate figure hides significant disparities, with the rate in high-income
countries (HICs) at 74% and in low-income countries (LICs) at 8%.1 As has been seen at other levels of
education in periods of rapid expansion, massification has placed significant pressures on the quality
of HE systems and on the government funds available to support them. Furthermore, despite the
increases in enrolments, there is still considerable unmet demand, on account of increases in the
youth population in a number of countries, as well as the expansion of primary and secondary levels,
and the perceived importance of tertiary level diplomas in the employment market.

The rapid growth of institutions and lengthening queues of prospective students have brought with
them inevitable challenges. Some commentators (e.g. Carpentier 20122) have described the situation
as a threefold challenge of equity, quality and funding. Despite expansion of the system, opportunities
to access HE are still scarce for disadvantaged groups, particularly low-income and rural populations,
and in some contexts, women and those from particular ethnic or linguistic groups face significant
barriers. Quality problems in many lower-income countries express themselves in dilapidated
buildings, overcrowded lecture halls and curricula out of touch with the changing societal context. In
the context of budgetary constraints, funding an expanding system is an obvious challenge.
Transferring the costs to students and their families has clear implications for equity, while reducing
funding has a knock-on impact on quality.

Responding to these challenges in the context of globalisation, HE around the world has been
characterised by trends of commercialisation and internationalisation. These trends have brought new
opportunities, but have presented additional risks. In an attempt to generate new funds, public
universities have been encouraged to engage in income-generating activities, and cost-sharing
schemes of various forms have been set up in most countries. In addition, there has been a dramatic
growth in the private sector, particularly in for-profit institutions. These private providers have
provided a welcome increase in capacity, but have for the most part been inaccessible to the poor,
and have uneven quality. Internationalisation has been a key driver of many universities, though the
beneficial effects have largely been restricted to institutions in HICs. For many institutions in Africa,
Asia and Latin America, student and staff mobility, prominence in international rankings and
international research collaboration are a distant dream. Developments in technology have enabled a
range of new forms of distance learning, including massive open online courses (MOOCs), opening up
new possibilities, although constrained by insufficient infrastructure and learner autonomy in
disadvantaged regions.

This complex scenario, combined with the critical importance of HE, presents a great onus on effective
policy-making. Governments and development agencies need to study closely the trajectories of

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universities and HE systems to formulate the most effective policies for enhancing their potential. As
is the case in many areas of education, rigorous research and adequate evidence are not always
available; in addition, many of the questions are ultimately of a political and moral nature, involving
contested issues of public/private, fairness and conceptions of knowledge. This topic guide presents
a roadmap through these questions, assessing the available research and evidence around HE systems
and their impact, the effectiveness of interventions and barriers to change. Reconciling the competing
demands of equity, quality and funding requires a broad understanding of these questions, and the
way they manifest themselves in particular political and cultural contexts.

Dr Tristan McCowan
Reader in Education and International Development
Institute of Education, University College London

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EXECUTIVE SUMMARY

Higher Education (HE) plays a major role in building a nation’s intellectual capital required for poverty
reduction, sustainable development and positive engagement in the global knowledge economy. The
relative neglect of HE in many less developed countries (LDCs) and recent complex global forces have
challenged the performance of HE in LMICs. National governments and international agencies are now
working to increase capacity in HE so that it can better fulfil its role in national development, but this
is not easy. This topic guide aims to answer the questions, how can the capacity of HE systems and
structures in LMICs best be built and how can effective partnerships be generated to best support the
process.

ABOUT HIGHER EDUCATION

In this topic guide, HE is defined as optional, formal education in specialised fields that is undertaken
after completing secondary education and encompassing academic study and/or professional or
advanced vocational training. The primary function of HE is the production, distribution, and
consumption of knowledge, through teaching, research, and community engagement. The purpose of
HE is traditionally viewed as an investment to build the necessary human capital for economic
development but has more recently become more complex and nuanced to include the role it can play
in building an inclusive and diverse knowledge society. Building the capacity of HE in LMICs must be
effective to allow competition on the global stage.

Many global trends have impacted on and provided the catalyst for change in HE, generating a
renewed interest from governments and donors. The economic, political and societal forces of
globalisation have pushed HE towards greater international involvement. Some of the most visible
aspects of this trend are student mobility with students choosing to study outside their country and
pursuing global online programmes and courses. Over the past 50 years, there has been an
unprecedented increase in HE enrolment (massification) due to governments wanting more university
graduates to allow them to remain competitive in the expanding world economy, and individuals
wanting access to HE to improve their own social mobility.

Numerous studies over the past 15 years have challenged the primary focus on basic education. HE is
now receiving the attention it deserves in the role it plays in economic and social development. The
lack of growth, attention and support for quality HE has impacted on the ability of higher education
institutions (HEIs) to train essential officials such as teachers, economic managers and political leaders,
all of whom are responsible for ensuring that certain standards of the quality of education are reached.
A holistic and comprehensive approach to education that considers the interrelationships between
the different levels of education is required.

Movement towards evidenced based practice (EBP) since the mid 1990s has enhanced the demand
for good quality research. Governments have increasingly put pressure on educational researchers to
ensure their work is relevant and useful to practitioners and on practitioners to ensure their work is
based on research. Whilst educational policy and practice is evidence informed not evidence based
this does not lessen the importance of the role of research in HE.

Every individual, irrespective of their socio-economic status, race, ethnicity, disability, gender and
sexuality has a right to access HE. However, net rates of access are low in most countries, particularly
in low income countries (LICs) with disadvantaged groups poorly represented and enrolment
expansion largely restricted to the middle classes in urban areas. Widening participation in HE is a
potentially powerful force for democratisation and social justice and many countries now have
affirmative action or positive policies to address these inequalities, though with varying success. HE

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also has the potential to contribute to post-conflict reconstruction, state-building and peace building
by connecting to a wide range of post-conflict recovery tasks; although this area is largely under-
studied. This includes re-pooling human capital depleted by war and displacement, research on local
social and developmental challenges, and a long-term sustainable approach to capacity building.

EVIDENCE OF IMPACT
Empirical evidence suggests that HE can have a significant effect on the economic growth of nations.
Estimates of diminishing returns to increasing levels of education were used to almost exclusively
concentrate on primary education. Recent evidence, however, suggests that HE can produce
economic benefits and can cause economic development (GDP per capita) arguing for the need to
improve HE now to allow time for positive effects on economic development. Private benefits for
individuals include better employment prospects, higher salaries, labour market flexibility and a
greater ability to save and invest. These benefits can result in better health, reduced population
growth and improved quality of life. Public benefits, less well studied than private benefits, also exist
and include higher productivity and output per worker, higher net tax revenue and less reliance on
government financial support. Moreover, HE has greater benefits than just financial rewards by
manifesting entrepreneurship, job creation and good economic and political governance along with
the positive impacts of research on economies.

Common to the success of good HE systems are, amongst others, the link between economic and
educational planning; quality public schooling; high participation rates with institutional
differentiation; labour market demand; cooperation and networks; and consensus about the
importance of HE for development. Lack of clarity, co-ordination and support can undermine HE
success.

The probability of working in the formal sector increases with increasing levels of education but
decreases in the informal sector. Significant differences in the match between demand and supply
across country labour markets exist in the Sub-Saharan Africa (SSA) region. Increasing numbers of
youths attaining post basic levels of education coupled with the moderate growth rate of the primary
employer of graduates, the formal sector, means that young skilled workers are increasingly
encountering difficulty in securing employment. The formal private sector has few opportunities for
the highly educated which is a cause for concern, especially because the public sector is not likely to
grow rapidly in the coming years. However, overproduction of graduates could be a good long-term
investment that can contribute to future economic growth providing that the graduates are of high
enough quality and entrepreneurial to start more technology-intensive firms that in turn employ more
graduates.

HE can also produce non-market benefits for individuals and society. These include the formation of
professionals in areas such as education, health and public administration, political participation and
stability, the strengthening of governance, leadership and democracy, enabling of spaces for critique
and scrutiny of government and policy, the preservation, study and development of local and national
culture and heritage and health, empowerment and positively influencing attitudes and practices.
However, there is limited evidence on these non-market education externalities and their indirect and
delayed effects on development goals.

POLICY ISSUES
There are many good reasons for investing in HE but there are also many policy questions and debates
for national governments and international agencies to consider. Four of the major policy issues are
considered: human capital flight, cost of HE, capture of HE by elite groups and the purpose of HE.

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Participation in HE increases social mobility which can lead to student migration or human capital
flight i.e. ‘brain drain’ through students migrating domestically to more developed areas such as cities,
students failing to return home after attending scholarship programmes abroad or students educated
within a country moving abroad for work. The latter is likely to increase due to a lack of suitable
employment within the job market and massification at HEIs. Consequently, the number of skilled
persons in public service reduces, undermining the potential for socio-economic development,
technological catch-up and absorptive capacity. In addition, the limited capacity of local personnel
required to implement international aid has resulted in many countries reducing aid to HE. In contrast,
some consider brain drain as a ‘brain gain’ when taking into account the beneficial effects of
remittances, returning migrants and the aspiration to become more educated to be able to migrate.
Other evidence considers brain drain as ‘brain circulation’ as the diaspora have a readiness to impart
their developed knowledge and skills to their homeland and maintain links with knowledge institutions
there.

Expanding and reforming HE is costly, and more so than for lower levels of education. However, HE is
not only used for teaching and learning but also includes other activities such as research, community
outreach, and HEIs are linked to services such as hospitals and knowledge exchange. A direct
comparison of the cost of HE to lower levels is therefore unfair. All levels of education are important
and should not be traded off against each other but rather treated holistically to allow the positive
mutual benefits each level gives to the others.

In most LMICs, HE programmes, especially those at the higher level with potentially the highest rate
of return, and the best HEIs, capture elite groups (defined as individuals of superior status, be it
economic, political, educational, ethnic or otherwise). Therefore, many question if a country that
cannot provide every child with a primary education should cover almost 80 of the costs for all HE
students, most of whom are elite, or if the focus should be on allocating public spending and
international aid more effectively.

The high cost of HE inevitably leads to policy debates about the purpose of HE. Some argue that HE
should only train future leaders and high-level professionals, and should not expand indefinitely.
Whilst others think that participation in HE is a right for all and supply-led expansion may boost
national productivity and development in the context of the global knowledge economy.

BARRIERS
HEIs face a number of barriers as they try to expand and increase their performance in response to
rising social aspirations and demand for social equity, changing demographics, growing socio-
economic relevance and massificaton from elite to a mass system. These include increasing the supply
of HE to a growing number of students and a more diversified student body, finding additional funding,
infrastructure, maintaining the quality of teaching and learning, prior preparation of students and
ensuring sufficient numbers of quality academic staff.

Public funding of HE is often inefficient and insufficient. HEIs in LDCs with limited resources face the
challenge of containing costs as they expand, become increasingly internationalised and meet the
expectation of providing high quality education. Private provision of HE is rapidly expanding as an
alternative to publically funded HEIs. Good management and governance of private HEIs is important
to ensure high quality delivery while simultaneously encouraging further investment.

The formal employment sector is not able to absorb the increasing numbers of graduates due to slow
growth. However, HE in LMICs is not delivering graduates with the generic skills, such as thinking and
behavioural skills, and the technical skills required to address labour market and innovation
requirements. This may reflect the quality of teaching and learning. Moreover, the share of graduates

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in science, technology, engineering and mathematics (STEM) remains too low to support much
technological capability. SSA countries are being called upon to slow down the pace of expansion and
shift their attention to propping up the quality of their HE systems. HE systems in LMICs are also not
providing research of adequate quality to boost technological advancement in business. The
interactive and reinforcing nature of under-funding, variable quality and relevance, and non-use and
non-support of local research presents a bottleneck to research and research capacity development.

Despite rising enrolment in HE and the demands for social equity, certain demographic groups are
poorly represented in many LMICs. There are significant barriers to accessing and remaining in HE
depending on context, gender, family wealth, region of origin, race/ethnicity and disability. Lack of
access to earlier education levels can also lead to inequities in access to HE. Policy makers are failing
to sufficiently address the connection between education levels and the need to address inequalities
early and consistently. Furthermore, equity statistics remain poor in some countries and
disaggregated data is key to informing policy makers why certain groups are more vulnerable.

HEIs are often managed as disconnected individual institutions. To improve performance and
outcomes, HE needs to be seen as a “system” including both institutions and the stakeholders that
partner and interact with them – business, public sector, research institutes, earlier education
institutions (schools) and other skill providers.

AID AND INTERNATIONAL DEVELOPMENT AGENCIES

There is a long record of investment in HE in LDCs by international donors and agencies which has
passed through a number of different phases, but remains a low proportion of total foreign aid.
External investments include (a) training and scholarship programmes, (b) establishing networks and
consortia and (c) building institutional capacity. With a renewed interest in HE there are indications
that investment may increase but there is a lack of consensus on investment priorities. Overseas
development assistance for HE continues to be spent in diverse ways, and more international donor
coherence along with a holistic approach to HE is required for real impact. Increasingly, a number of
universal principles have been adopted by most donors in how they work in HE for development,
including demand drivenness and ownership of the South, output financing, and accountability and
transparency in partner matching. A review of the evidence indicates a number of common lessons
learned which should be taken into account when looking to the future. The most important is the
need for more appropriate methodologies and well-managed monitoring and evaluation systems, at
both programme and project levels, from which evaluations of external investments in HE can draw
their data.

PARTNERSHIPS
Partnership between HEIs in LMICs and other actors including HEIs in HICs, the public sector (e.g. local
and national government), the private sector (e.g. business and industry) and civil society (e.g. citizens
groups, NGOs, not-for-profit research institutes) range from the relatively formal public-private
partnerships (PPPs) to more informal collaborative arrangements. External international agencies and
donors can play a central role in the process of establishing, facilitating, funding and incentivising
partnerships between HEIs and the other actors in LMICs.

Partnerships can be very beneficial but incredibly hard to deliver successfully. Although the specific
challenges that occur will depend on the type of partner and partnership, the literature highlights a
number of common factors that may inhibit any such partnership. These include imbalances in
resources, funding to initiate but not sustain the partnership (particularly affecting teaching and
learning partnerships which are not as immediately effective as research partnerships), poor
monitoring and evaluation, cultural divide and a lack of confidence in the weak research capacity for
input into the innovation process. A number of general principles have been identified which can help

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overcome these challenges and guide the development and management of future effective and
sustainable partnerships for HE capacity building.

INNOVATIONS
HE in LMICs contexts needs reforming so that it can fulfil its potential in national development. How
to most effectively reform HE is a debated topic and many innovations and initiatives in policy and
practice have been designed and implemented. However, each innovation in policy and practice has
implications which should be fully taken into account by national governments and the international
development community before they are implemented. Robust empirical evidence on their impact is
lacking. Evidence that is available suggests that one or two initiatives is insufficient to address the
challenges facing HE in LMICs and a combination is necessary, but exactly what innovation to blend
together is open to debate and will depend on the feasibility of reform and the specific country
context.

CONCLUSION
This topic guide has illustrated that HE can make a positive contribution to national economy and
society and is now high on the post 2015 development agenda. Multiple sectoral and institutional
changes and reforms are required to meet the new challenges and deliver on the demands of ensuring
a highly skilled workforce, a well-informed and democratic populace, sustained economic growth, and
sufficient technological innovation to solve global problems such as environmental sustainability and
population growth. The challenges facing and the pressures to reform HE, and lower levels of primary
and secondary education, are greater and more complex for LMICs; a significant undertaking for LMIC
governments.

Multilateral and bilateral donors can complement efforts of national governments in LMICs to improve
HE by providing funding and educational resources or training senior HE staff on education
management techniques, curricula development or governance and administration. A variety of other
potential partners in the private and public sector and in civil society can also help increase the quality,
relevance and effectiveness of HEIs and wider HE systems in LMICs.

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 KEY MESSAGES
 Global forces, such as the growth of the knowledge economy and the recognition of the important
role of higher education (HE) in national development has put HE systems worldwide under
tremendous pressure to increase performance. HE systems in LDCs are particularly under pressure
as, already at a disadvantage, they are struggling to meet the increasing demands placed on them
and therefore, risk further marginalisation. Addressing the inequality within HE systems around
the world and strengthening their teaching, research and system capacity to contribute to
inclusive economic and social development, particularly in LMICs, are two challenges facing the
international community.
 Empirical evidence suggests that HE can have a significant and positive impact on the economic
growth of nations and plays a vital role in societal development in areas such as political
participation and stability, democratisation, governance, health, civic engagement,
empowerment and gender parity. Together they provide a persuasive argument for national
governments and international agencies to invest in HE.
 However, doing so raises a number of policy questions, which require governments to make some
strategic decisions. These include how to fund the expansion and reform of HE, whether to
allocate public funding and if so, how much and how to manage the risk of lower returns through
increased mobility and human capital flight. These questions are not easy to answer. They present
serious issues which are difficult to address. Nevertheless, they are not insurmountable and, in
the long run, investments in HE and in the whole education sector will pay off.
 Barriers to building the capacity of HE systems in LMICs include critical shortages of quality staff,
limited capacity of governance, leadership and management, inadequate financial support, issues
with diversifying funding, problems with the quality and relevance of teaching and research,
limited capacity for research, knowledge generation and adaptation capabilities, challenges in
meeting increasing demand for equitable access and difficulties in building and retaining the
human capital needed for capacity development.
 There is a long record of various types of investments by international development agencies in
HE in DCs, but there is no conclusive evidence to suggest which type of intervention is most
effective. Current international donor trends continue to reflect many different approaches and
priorities raising questions and concerns about donor coherence and overall sustainable impact.
The evidence highlights the need for more appropriate methodologies and well managed
monitoring and evaluation (M&E) systems at programme and project levels, from which
evaluations of external investments in HE can draw their data.
 Partnerships between HEIs and other actors, such as industry, business, the public sector and civic
society, have considerable potential for building capacity in HE and evidence shows that the
international development community can play a central role in the process of establishing and
maintaining such partnerships. However, there are many complex processes underpinning a HE
partnership, such as cultural differences, power differentials and resource limitations and they are
very hard to deliver successfully. Nevertheless, there are a number of principles that can guide
the development and management of effective and sustainable partnerships but it is important
to remember that not all actors are suitable as partners. Identifying the right partner and the pre-
partnership process is critical.
 There are many innovations and initiatives in policy and practice which can be used to successfully
reform HE in LMICs to enhance its contribution to national development. However, how to most
effectively reform HE is debated. There is a lack of robust data and evidence about how successful
each of these innovations are. Nevertheless, experience suggests that an approach combining one
or two initiatives is insufficient to address the challenges facing HE in LMICs and a combination is
necessary. The question of which innovations should blend together is open to debate and will
depend on the feasibility of reform and the specific country context.

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1. INTRODUCTION
Since the early 1990s the global community has prioritised the development of basic education.
However, many recent studies have shown that higher education (HE) is a vital asset to the national
and global community in the current context of the knowledge economy. HEIs are key in delivering
the knowledge requirements, competencies and skills (human capital) for providing individuals with
better employment prospects - higher salaries and a greater ability to save and invest. Graduates have
been shown to have more positive attitudes towards democracy, human rights and protecting the
natural environment, and there is increasing evidence that high levels of quality education in general
and of HE in particular, are essential for the design and productive use of new technologies which
provide the foundations for a nation’s innovative capacity. Moreover, access to strong HE programmes
is essential for training professionals in basic education, health and a range of other key governmental
and non-governmental agencies. The research and community engagement activities of universities
can also have a direct impact on solving local and national development challenges. As a result,
capacity building of HE has become an increasingly important focus for governments in LMICs and for
multilateral and bilateral donors alike.

A number of highly complex and global forces have impacted on HE in recent years. These include
globalisation, internationalisation and massification. These have been catalysts of HE reform but have
also presented significant challenges to HE structures and systems in all countries but particularly in
LMICs where evidence shows that the quality, relevance and effectiveness of HEIs and the wider HE
system was already weak. The challenges LMICs are facing include, but are not limited to, increasing
the supply of HE to a growing number of students, and a more diversified student body, increasing the
labour market relevance of HE, increasing the amount, quality and relevance of research, managing a
larger and more complex HE system, maintaining quality of teaching and learning, the prior
preparation of students for HE and ensuring sufficient numbers of academic staff. Innovative
partnerships between HEIs, national governments, the international development community and
other actors in the public and private sectors have been striving to increase the performance of HE in
LMICs. Such initiatives include granting more autonomy, management and academic freedom to HEIs,
diversifying funding sources, building and maintaining relationships with organisations in the labour
market, and supporting a more diversified and complex HE system. Even so, the data indicates there
is still some way to go. Whilst there is a large body of literature on the design and implementation of
such innovations and investments, robust empirical evidence on their impact and ‘what works’ seems
to be lacking. Nevertheless, they do provide important lessons learned.

This topic guide aims to answer two main questions; how can the capacity of HE systems and
structures in LMICs be built and; how can effective partnerships be generated to best support the
process. To answer these questions, the guide presents evidence of the critical role of HE for overall
national development, examines the key policy issues and barriers to building capacity in HE in low
income settings and reviews the evidence from a number of different innovations that have attempted
to overcome these barriers.

The majority of evidence used in this guide was based on recommendations from (and often provided
by) an academic advisor with extensive experience and in depth knowledge of the issues being
addressed and, through conducting previous systematic literature reviews on HE for DfID, familiar with
the availability and quality of evidence available. Other literature was found using educational and
organisational databases including the British Education Index, Education Resources Information
Center (ERIC), Education Research Complete, EBSCOHost, the National Foundation of Educational
Research in the UK, UNESCO and the Social Sciences and Humanities Research Council of Canada.
Limits were set from 2005 to the present following guidance from DfID.

14
It should be noted that this topic guide is not intended to be a comprehensive ‘go to guide’ for all
information and solutions for building capacity in HE in LMICs, but to introduce and provide an
overview of the key issues involved and to signpost the reader to the most relevant and best sources
of information and evidence available for further information and reading. A list of recommended
reading for each section is provided in annex A.

2. ABOUT HIGHER EDUCATION

This section of the topic guide summarises selected key concepts about higher education (HE). It
discusses what it is, what it does, what it looks like, how it has changed in the past half century and
why there is a renewed focus on it for national governments and the development community alike.
In doing so, it acknowledges some of the tensions and debates about HE and seeks to bring greater
conceptual clarity to these issues.

2.1 DEFINING HIGHER EDUCATION

HE can be defined as optional, formal education in specialised fields undertaken after completing
secondary education. Traditionally, the term referred to academic study taking place at universities,
but today it also encompasses professional or advanced vocational training at university-like
institutions, colleges or professional schools attached to universities (such as nursing schools or
teachers’ colleges). While some scholars and practitioners use the term interchangeably with tertiary
education (TE), others consider TE to be an umbrella term encompassing both HE and further
education (FE) or continuing education (CE), where the latter refers to post-secondary learning of a
more technical and vocational nature. Within the context of this guide, HE refers to post-secondary
education, and therefore does not include other forms of adult learning such as literacy programmes.
(For more information about FE and skills training please see the HEART Skills Topic Guide).

2.2 TYPES OF HIGHER EDUCATION

According to the World Bank (2013),3 while universities are seen as a key part of all HE systems,
globally there is a burgeoning group HEIs in addition to universities both public and private, including,
but not limited to colleges, technical training institutes, community colleges, nursing schools, teacher
training institutions, research laboratories, and distance learning centres. As education systems vary
widely around the world, UNESCO has developed the International Standard Classification of
Education (ISCED) to facilitate cross-country comparison, collaboration, and analysis. Annex B provides
a detailed description of ISCED 2011.

2.3 FUNCTIONS OF HIGHER EDUCATION

The primary function of HE is the production, distribution, and consumption of knowledge, through
teaching, research, and community engagement. The types of knowledge generated, the beneficiaries
of that knowledge, and how that knowledge is used have changed over time.4 Prior to 1945, the main
aim of HE was seen to be to better the mind of the elite and to facilitate scholarly discussion and breed
debate of a theoretical and abstract nature.5,6 Key economists in the 1950s and 1960s theorised that
people could be ‘invested in’ to build human capital and that their economic success depended on
rates of return to their stock of this capital. HE was seen as a way to build the necessary human capital
for successful development, and thus funds were invested in manpower planning/forecasting directed
at those considered the ‘brightest and best’. Today, while some scholars continue to highlight HEs’
importance for economic success, discussions about its purpose(s) have become more complex and
nuanced to include the role it can play in building an inclusive and diverse knowledge society.7 Annex
C details the functions of HE as set out in the landmark World Declaration on Higher Education (1998).8

15
2.4 GLOBAL TRENDS IMPACTING HIGHER EDUCATION
Altbach et al. (2009)9 believe that an ‘academic revolution’ has taken place in HE in the past half a
century involving significant and complex changes. Many of these changes are a result of global trends
and forces, which have impacted on HE. These have provided the catalysts for the reform of HE and
have generated a renewed interest in it. Although several of these trends are inter-related, in this
section they are presented separately for clarity.

2.4.1 The growth of the knowledge economy

The ‘third industrial revolution’ in the 1990s led to the formation of a knowledge economy where
cognitive resources were at the centre of human activity and social dynamics10 and in which growth
was dependent on the quantity, quality, and accessibility of the information available, rather than the
means of production. This led to a new focus on technology, which can ensure information is more
readily available and can simplify communication and collaboration. The growth of the knowledge
economy has had important implications for HE. As society has become more knowledge-based, HE
has increasingly been drawn into the making and advancement of ‘knowledge nations’11 as one of its
main functions is to generate quality research, knowledge and originality. In other words, as
governments have come to realise the primacy of knowledge they have simultaneously come to
realise that HE is the key driver in providing the knowledge, using the growing stock of global
knowledge, assimilating and adapting it to local needs,11 crafting new technology and creating a skilled
population that can use this knowledge and advance further knowledge, innovation and creativity7.

Although the increased importance of knowledge provides great potential for countries to strengthen
their economic and social development it also raises the danger of a growing ‘knowledge divide’10
between MDCs, who are currently generating most of this knowledge, and LDCs, many of which are
failing to tap into the vast and growing stock of knowledge because of their limited awareness, poor
economic incentive regimes, larger informal sector, weak institutions (including HEIs) and a lack of ICT
that can facilitate the effective communication, dissemination and processing of information.
Combined with trade policy liberalisation, the knowledge revolution is leading to greater globalisation
and increased international competition, which is eroding the natural resource and low labour cost
advantage of most LDCs (Ibid.).

2.4.2 Globalisation and internationalisation

Globalisation and internationalisation are related concepts but are not the same. Globalisation can be
defined as the economic, political and societal forces pushing HE towards greater international
involvement. Internationalisation includes the policies and practices undertaken by academic
institutions to cope with the increased global academic environment.12 HEIs have always been, to
some extent, international11,13 but in the last few decades it has become more central on the agenda.14
Some motivations for internationalisation include commercial advantage, knowledge and language
acquisition and enhancing the curriculum. Specific internationalisation initiatives comprise of branch
campuses, cross border collaborative arrangements, establishing English medium programmes,
setting up degrees on international issues such as global and multicultural studies, peace education
and offering global online programmes and courses, etc.14 One of the most visible aspects of this trend
is increased student mobility with many students choosing to study outside their country.
International students have become big business in some cases.12

2.4.3 Massification
Over the past 50 years, there has been an unprecedented increase in HE enrolment globally. Recent
figures demonstrate that expansion continues today: according to the World Bank World
Development Indicators, gross enrolment ratios1 for HE programmes at Bachelors levels and above

1 The total enrolment in tertiary education, regardless of age, expressed as a percentage of the total population of the five-year age group
following on from secondary school leaving

16
have risen from 24.1% in 2005 to 32.9% in 2013. The pressure for expansion has come both from
above and below. From above, governments have felt the need for more university graduates to allow
them to remain competitive in the expanding global knowledge economy, and, from below, individuals
around the world have insisted on access to HE in order to improve their own social mobility.15 There
have been greater numbers of young people eligible to participate in HE as a result of the expansion
of basic education, increased enrolment and completion rates following programmes to achieve
education for all (EFA). Although the question whether HE is a ‘universal right’ that should be made
available to all is hotly debated,16 moving from elite to mass HE is considered important to attain
objectives of poverty reduction and increased national development and therefore, is unlikely to
change.

2.4.4 The connection to socio-economic development

According to Colclough et al. (2009),17 during the 1980s, economists studying the impact of different
levels of education in DCs (mostly for the World Bank) concluded that the rate of return to primary
level was higher than for secondary and higher levels of education. This led to the theory of
diminishing returns to education. The findings also suggested that the benefits of HE after secondary
school proved substantially higher for the individual than the state. Such research was very influential
in determining national and international development agendas and encouraged a focus on basic
education. The World Conference on Education for All held in 1990, privileged basic education over
other sectors of education, and the Millennium Development Goals set targets for universal primary
education (UPE) to be reached by 2015. Numerous studies conducted in the past 15 years have
challenged many of the conclusions drawn by the World Bank. The Organisation for Economic Co-
operation and Development (OECD), for example, released a report in 2008, which argued that HE is
a vital asset to the global community as it encourages social and economic development through the
strengthening of a population’s knowledge bases, the creation of human capital and the application
and dissemination of such knowledge.18 Such studies generated a renewed interest in the role of HE
for national development. Researchers also started to pay attention to the non-economic benefits of
HE19 developing a much broader understanding of how human capital can build domestic capabilities.
Such researchers argued that HE has a key role to play in benefitting the public as a whole by enabling
individuals to contribute to others and future generations beyond their own personal interests.20–22
Psacharapoulos (2006)23 provides a simple diagrammatic classification of the public, private, market
and non-market benefits of HE. This is presented in annex D.

2.4.5 The interrelationship with other levels of education

A discouraging and growing cycle of educational failures in basic education programmes in DCs were
found to be, in part, caused by a lack of growth within HE. Researchers have increasingly argued that
without access to strong HE programmes, the inability to train essential officials such as teachers,
economic managers and political leaders, all of whom are responsible for ensuring that certain
standards of the quality of basic education are reached, will persist and continue to present a barrier
to the achievement of quality basic education. For example, quality in basic education cannot be
achieved without quality pre-service teacher training programmes which take place at HE level. As a
result, it has become more and more apparent that what is required in today’s knowledge society is a
holistic, comprehensive, nuanced approach to education that considers the interrelationships
between the different levels of education and does not neglect HE. The World Bank (2013)3 and other
multilateral and bilateral donors and international development agencies have acknowledged this and
have made a commitment to promote and support HE initiatives.

2.4.6 The movement towards evidence based practice (in education and in development)
HE is viewed as not only vital for improving the quality and relevance of basic education through
supplying qualified and skilled personnel but also by providing the evidence about ‘what works’ in
bringing about worthwhile educational improvement and national development. While HE has always

17
had a research function, the recent movement towards EBP in education since the mid-1990s has
enhanced the demand for good quality research with governments increasingly putting pressure on
educational researchers to ensure their work is relevant and useful to practitioners and on
practitioners to ensure their work is based on robust evidence (research). Although many
educationalists argue that the potential of educational research is to say simply and with certainty
what works, it is limited due to the complexity, instability, values and uncertainty inherent in
education which are located within the broader context of other social relationships, culture, values
and purposes,24 in general, most agree that research can empower policy makers and practitioners to
make informed decisions about appropriate courses of action in particular circumstances. In this
sense, educational policy and practice is evidence informed not evidence based.25,26 Nevertheless this
does not diminish the importance of research and the role of the HE system in producing it, especially
in resource poor or fragile states. Such countries, faced with huge educational challenges and limited
resources, do not have the luxury to waste them on something that does not work or to conduct blue
sky research or research for theoretical purposes alone.

The link between research and policy in the area of human development is also of increasing interest
and with its research and development function, HE is also now thought to play a vital role in giving
operational effect to a joined-up, evidence-based development approach, in a way which puts
peoples’ needs first, and which has poverty alleviation – and beyond that, poverty eradication – as its
overarching goal.27

2.4.7 Demands for equity and social justice

In postmodern discourse, the politics of difference along with ideas of diversity and plurality being a
resource rather than a deficiency were prominent and led to demands for equal rights, social justice
and equity by various marginalised groups such as women and disabled people. Despite some
progress, there remains considerable inequity, especially in DCs and people’s access to and interaction
with key institutions, including HEIs, which continue to be shaped by power imbalances in the political,
economic and social spheres resulting in inequality between demographic groups and geographical
regions and chronic poverty passed between generations. The need for social equity to achieve
poverty reduction for sustainable development has been recognised by the international community,
but recent decades have seen rising inequality and inequities, which are in turn partly responsible for
the world ‘lagging behind’ on headline goals such as the MDGs. This development strategy
nevertheless, has impacted on HE, which has the potential to contribute to social justice by importing
equity agendas through the composition of its staff and student populations and exporting it by
striving to achieve it across the rest of society.28 Therefore, whereas HE was once the sphere of the
elites, it is mostly now seen as being accessible to a substantial part of the age group29 with the SDG
for HE establishing that right.

2.4.8 Peace building and reconstruction

Conflict and fragility present some of the most urgent challenges facing the developing world. They
present threats to regional and global security and are major obstacles to poverty reduction and the
achievement of the MDGs30 and SDGs. Therefore, many donors have been scaling up their work in
fragile and conflict affected states (FCAS). This has also contributed to renewed interest in HE as HE
has the potential to contribute to post-conflict reconstruction, state-building and peace building. In
post-conflict contexts HE can connect to a wide range of post-conflict recovery tasks, including re-
pooling human capital depleted by war and displacement, research on local social and developmental
challenges, and a long-term sustainable approach to capacity building.31 In spite of an increasing global
recognition of the importance of HE in FCAS and a growing number of projects aimed at increasing HE
capacity, the evidence base on the effectiveness of HE interventions and policies in these settings is
weak and there is a need for greater sharing of knowledge on HE in post-conflict contexts.31

18
2.5 IMPLICATIONS FOR HIGHER EDUCATION IN DEVELOPING COUNTRIES
Given that HE is now widely seen as a ‘silver bullet’ for policy makers to fire at a range of targets,
including the creation of more and better jobs and job-seekers, the promotion of social equity,
cohesion and a culture of peace, and the enhancement of global competitiveness, creativity, and
innovation,32 the global HE system is under more pressure than ever. The pressure is particularly
significant for HE in LMICs. Inequality among national HE systems and within countries has increased
in the past several decades33 and HEIs in most LMICs are already at a significant disadvantage in their
ability to create, absorb and use knowledge. The massification of the system is an aggravating factor
and means LMICs risk further marginalisation in the future as they simultaneously try to expand their
HE system whilst improving quality all within continuing budget constraints. In fact, if the means of
implementation (MOI) target for the Sustainable Development Goal on Education to make more
scholarships for students from LMICs to pursue HE in other countries by 2020 is reached without an
adequate investment in HEI development in these LMICs, this increased marginalisation is almost a
certainty, particularly given that there is no mention of capacity strengthening for HEIs in LMICs. As
Unterhalter and Carpentier (2010)33 state, HE is both a potential source of and solution to inequalities
which confront LMICs. The challenge the international community is faced with is twofold: addressing
the inequality within HE systems around the world and strengthening their capacity to contribute to
inclusive economic and social development.

2.6 MEASURING EFFECTIVE HIGHER EDUCATION

But what does an effective HEI system for the national development in a global knowledge economy
context look like? Although there is no single blueprint for the best or most effective HE systems,
structures or policies10 and there is some considerable debate about what makes a ‘world-class
university’,34 there are a number of ranking systems, which attempt to measure the world’s HEIs
according to their performance. There are clear methodological issues with all of the systems and they
largely favour HEIs that use English as the main medium of instruction, offer a large array of disciplines
and programmes, and have substantial research funds from governments.9 However, as these
rankings are widely used and increasingly influential, two of the most prominent are briefly discussed
in this topic guide. The QS World University Rankings ranks universities according to six performance
indicators: academic reputation, employer reputation, faculty/student ratio, research citations per
paper, proportion of international faculty and proportion of international students. The Times Higher
Education World University Rankings uses 13 performance indicators to judge universities across their
core missions of teaching, research, knowledge transfer and international outlook. Both of these
rankings rely heavily on surveys of academics, suggesting that well-known universities are predisposed
to do well. Regardless of quality, many universities in LMICs have little chance in even making the list,
lacking the resources to promote their ‘brand’ and build reputation in an increasingly competitive
world. According to Badat (2010),35 there is little to no value in these global rankings because they are
incapable of capturing the meaning of the diverse qualities of a university.

Recently, a new, more progressive ranking system has emerged called the Universitas 21 ranking. This
system assesses national HE systems, as opposed to individual institutions, against four dimensions –
resources, environment, connectivity and outputs. While HICs are still likely to be ranked more highly,
these rankings might prove useful for LMICs attempting to understand where their strengths and
weaknesses lie. In fact, the report includes an analysis where results are adjusted according to
different levels of development. Such data could prove valuable for planning, by providing a more
nuanced, comprehensive picture of the HE system that goes beyond resources and brand recognition.

19
3. EVIDENCE OF IMPACT
The previous section introduced the theory of a relationship, but what does the best available
evidence say? This section summarises the empirical evidence on the returns to investments in higher
education (HE) and national development and briefly discusses how robust the evidence is. The
section is divided into two parts. The first part examines the evidence relating to the economic (or
market) benefits of HE and the second to the societal (or non-market) benefits.

3.1. THE MARKET BENEFITS OF HIGHER EDUCATION

Conventionally the contribution of education to economic development is analysed in terms of the
relationship between the level of education and earnings and also in the form of rates of return2
(available estimates on the social and private rates of return to investment in primary education are
the highest, followed by secondary education). Returns to HE are the least. Such evidence was
extensively used to discourage public investment in HE and to concentrate almost exclusively on
primary education in the 1980s and 1990s. Recent evidence, however, suggests that HE can produce
both social and private benefits. Estimates of regional average social and private rates of return are
shown in the table below. Although there are variations in the rates of return between several
countries, generally they show that investment in HE yields positive rates of return to the individual
(19%) and society (10%).36

Returns to HE
Region Social (%) Private (%)
Asia* 11.0 18.2
Europe/Middle East/North Africa* 9.9 18.8
Latin America/Caribbean 12.3 19.5
OECD 8.5 11.6
Sub-Saharan Africa 11.3 27.8
World average 10.3 19.0
*Non-OECD. Source: Psacharopoulos & Patrinos 200236

The contribution of HE to economic development can also be measured with a simple regression
equation. Using data from 49 countries in the Asia Pacific region, Tilak (2003)37 found a significant
effect of HE (gross enrolment ratio and HE attainment) on the level of economic development (as
measured by GDP per capita). Tilak (2003)37 pre-empted the argument that there only exists a
correlation between the two by allowing a time lag for HE to cause economic development (GDP per
capita from 1999 was regressed on the enrolment ratio around 1990). This suggests that action to
improve HE needs to be taken now to allow time for its effect on economic development. Also, there
are very few countries with higher levels of HE being economically underdeveloped, while all the
economically rich countries have not necessarily advanced in the development and spread of HE.

Tilak (2003)37 also showed that the proportion of the adult population with HE (a measure of the stock
of human capital) is an important indicator of the level of development. This ‘stock’ indicator
represents the cumulative efforts of a country in the development of HE over the years. The larger the
stock of the adult population with higher levels of education, the higher the potential for economic
growth.37 India’s rise onto the world economic stage is attributed by some to its decades-long
successful efforts to provide high-quality, technically orientated HE to a significant number of its
citizens.22 Research by Bloom et al. (2006)22 supports the idea that expanding HE may promote faster
technological catch-up and improve a country’s ability to maximise its economic output. Results show
that SSAs current production level is about 23% below its production possibility frontier. A one-year

2
A summary statistic of the relationship between lifetime earnings and the costs of education

20
increase in the HE stock would raise the growth rate of GDP per capita by 0.24 percentage points and
African output growth by an added 0.39 percentage points in the first year. This implies that a one-
year increase in HE stock may boost incomes by roughly 3 per cent after 5 years and ultimately by
12%.22

The private market benefits for individuals include better employment prospects, higher salaries,
labour market flexibility and a greater ability to save and invest.23 Public benefits, although less well
studied, also exist and include higher productivity and output per worker, higher net tax revenue and
less reliance on government financial support.23 Rates of return focusing solely on the private and
public financial rewards fail to encompass the broader benefits of HE manifested through
entrepreneurship, job creation and good economic and political governance along with the positive
impacts of research on economies.21

The complex relationships in economic development with a focus on the context in which universities
operate (political and socio-economic), the internal structure and dynamics of the universities
themselves, and the interaction between national and institutional contexts have recently been
studied. Initially a review of the international literature on the relationship between HE and economic
development was conducted by Pillay (2011).21 This was followed by the study of three successful
systems – Finland, South Korea and the North Carolina state in the US – that have harnessed HE in
their economic development initiatives to distil implications for African countries.38 Common to the
success of all these systems is, amongst others, the link between economic and educational planning;
quality public schooling; high tertiary participation rates with institutional differentiation; labour
market demand; cooperation and networks; and consensus about the importance of HE for education
and development. Finally the key findings of eight African countries and universities – Botswana,
Ghana, Kenya, Mauritius, Mozambique, South Africa, Tanzania and Uganda – were analysed and
discussed.39 The following three main conclusions were drawn:
 There was a lack of clarity and agreement (pact) about a development model and the role of HE
in economic development, at both national and university levels, in all eight cases. There was,
however, an increasing awareness, particularly at government level, of the importance of
universities in the global context of the knowledge economy.
 Research production at the eight African universities was not strong enough to enable them to
build on their traditional undergraduate teaching roles and make a sustained contribution to
development via new knowledge production. A number of the universities had manageable
student–staff ratios and adequately qualified staff, but inadequate funds for staff to engage in
research. In addition, the incentive regimes did not support knowledge production.
 In none of the countries in the sample was there a coordinated effort between government,
external stakeholders and the university to systematically strengthen the contribution that the
university can make to development. While at each of the universities there were exemplary
development projects that connected strongly to external stakeholders and strengthened the
academic core, the challenge remains how to increase the number of these projects.

3.1.2 Linking higher education to the labour market

More-developed SSA economies have better-educated workforces.40 There is a positive statistical
relationship between the share of the working-age population that has attended upper secondary or
HE and the per capita GDP across the 23 SSA countries (Majgaard and Mingat 2012 Figure 7.6).40
Although GDP per capita alone explains only 44% of the variance in educational attainment.

The probability of working in the formal sector increases with increasing levels of education, almost
80% of those with HE work in the formal sector, whilst the probability of working in the informal sector
decreases with increasing levels of education (Majgaard and Mingat, 2012 Figure 7.8).40 Significant
differences in the match between demand and supply across country labour markets exist in the SSA

21
region. For example, unemployment among 25- to 34-year-olds with HE varies between 1% in Lesotho
and 48% in Mali. In this age cohort unemployment is less than 10% in nine of 23 SSA countries but
exceeds 20% in nine other countries (Majgaard and Mingat, 2012 Table 7.5).40

Increasing numbers of youths attaining post basic levels of education coupled with the moderate pace
of growth of formal sector employment means that young skilled workers are likely to encounter
increasing difficulty in securing employment in the formal sector in the near future than in the past.
With older generations of workers already well entrenched in the labour market and likely to hold on
to their formal sector jobs until retirement, the prospects of formal sector employment are not
particularly bright for young skilled workers.40

The formal private sector has few opportunities for the highly educated which is a cause for concern,
especially because the public sector is not likely to grow rapidly in the coming years.40 There is a
potential for productivity increasing through an upgrading of skill profiles among workers, but because
the formal private sector is growing only at the same rate as the labour force, its absorptive capacity
will be limited. Producing more HE graduates than the labour market can absorb, at first sight, appears
to make little economic sense, particularly when HE is largely subsidised by public funds. Nevertheless,
a certain level of overproduction may be a good long-term investment that can contribute to future
economic growth if the graduates are of high quality. The infusion of higher-skilled and
entrepreneurial workers could induce new starts of more technology-intensive firms that in turn
employ more graduates.41 In countries where many skilled workers emigrate, universities may need
to train extra workers to meet domestic demand. Emigration of skilled workers is not necessarily a
long-term loss to the country because many remit their earnings to the home country. In this context,
skilled workers may even be considered an export from the home country. However, if most recent
graduates cannot find gainful employment or cannot find jobs that match their skills, it may be an
indication that the education system needs some form of rebalancing, such as shifting its emphasis on
quantity to an emphasis on quality.

3.2. THE NON MARKET BENEFITS OF HIGHER EDUCATION

HE is central to crucial societal tasks, including the formation of professionals in areas such as
education, health and public administration, political participation, the strengthening of governance
and democracy, enabling of spaces for critique and scrutiny of government and policy, the
preservation, study and development of local and national culture and heritage, and health. Although
there has been substantial interest in HE economic role, there has been only limited acknowledgment
within the empirical literature of these non-market education externalities and their indirect and
delayed effects on development goals.19,42 This is largely because they are more difficult to understand
and to quantify. Nevertheless, some evidence is obtainable from both developed and developing
country contexts and this is summarised in the table on the next page.3

3
The evidence provided is a small representative sample of that available demonstrating the non-market impacts of and
was selected as it was considered robust, covered the key issues and is also available as an open access source. Other sources
of evidence of the non-market impact of HE can be found in the reference section.

22
IMPACT A SAMPLE OF THE EVIDENCE
HE is related to positive Studies by Tilak (2003)37 and Cloete et al. (2011)39 found that the higher the level of education in a population, the higher
overall human the level of overall human development, especially in terms of life expectancy and GDP per capita.
development.
HE has a positive effect on In a survey of current third-year students in Kenya, South Africa and Tanzania, Luescher-Mamashela et al. (2011)43 found
political stability and that HE can enhance democratic attitudes and behaviours. A report from the UK Department for Business, Innovation and
democratisation. Skills (2013)44 also found that HE has a positive effect on democratisation and political stability as graduates are more likely
to vote and participate politically. Gaining a degree was found to be a powerful antidote to political cynicism.
HE can support positive Research supported by the Developmental Leadership Program (DLP) illuminated unmistakeable links between HE and
developmental developmental leadership in Ghana, Somaliland, and Mauritius (DLPROG).45 The in-depth case study of Ghana by Jones,
leadership and good Jones and Ndaruhutse (2014)45 found that quality senior secondary and HE were critically important factors in forming
governance leaders with the skills, values and networks needed to achieve major democratic, economic and media reforms.
HE can positively impact An OECD (2010)46 study found that higher levels of education impacted positively on various citizenship dimensions,
attitudes and practices. especially in terms of positive attitudes towards immigration. The marginal effect of HE on holding a positive valuation was
a 41% compared to only 18% for SE. Findings from a study by Truex (2011)47 in Nepal show that improving access to HE
can reduce the presence of corruption norms and practices.
HE promotes greater A survey in the USA revealed that, with respect to the number of hours volunteered for community service, within each
social capital education group, 22% of those with some post-secondary education give their time to community service activities
compared to only 12% of those with only a SE.48 Bynner and Egerton (2001)49 using the National Child Development Study
in the UK also found a link between HE and participation in community affairs, democratic processes, egalitarian attitudes,
parenting and voluntary work.
HE build human capital HE provides skilled professionals for important public services such as education and healthcare (Tikak, 2003). In this sense,
HE has a ‘’dual effect’’ (Oketch et al., 2014)50 it not only enhances the capabilities of the individual but also the general
population through the subsequent work of the graduates
HE positively influences Numerous studies have consistently shown that HE graduates are less likely to smoke, less likely to drink excessively, less
health. likely to be obese, more likely to engage in preventive care, have better mental and general health, lower fertility rates
and better nutrition habits.37,44,46,50 HE has also been strongly linked to lower rates of HIV/AIDS across the African region.51
HE can empower Malik and Courtney’s (2011)52 study in Pakistan proved that participation in HE can open up new options for women as
individuals and groups individuals and lead towards significant changes in the direction of greater gender parity. In Eritrea, access to university
was found to improve the freedom of women through greater capacity to earn, the avoidance of restrictive marriages and
a better choice of future life with regards to career, travel and further study.53

23
3.3 ABOUT THE EVIDENCE
Basic education has been prioritised by the global community since early 1990s because it was
considered to be the bedrock of all education and national development. This was difficult to argue
against because of the paucity of empirical evidence about the benefits of HE. However, recent
studies, many referenced in this topic guide, have shown that HE is a vital asset to the national and
global community as it can promote social and economic development through the strengthening of
a populations’ knowledge base, the formation of human capital and the application and dissemination
of such knowledge. Nevertheless, whilst HE in developing nations across the world provide a range of
positive benefits to individuals and society, both in terms of economic growth and broader
capabilities, a report by Oketch et al. (2014)50 found that in many cases these benefits are currently
underestimated. One of the main issues encountered is that whilst there is a large number of
innovations and interventions to improve HE for national development, the vast majority of studies
investigating interventions focus exclusively on intended outcomes, rather than seeking to capture
any wider development impact. Moreover, the actual benefits are currently limited in magnitude as
HE is being constrained by a range of limiting factors. These are discussed in detail in the next two
sections of this guide.

4. POLICY ISSUES
Previous sections of this topic guide have highlighted the many positive individual and societal benefits
of higher education (HE) and have provided a powerful argument for expanding and increasing
investment in HE systems in LMICs. Nevertheless, although there is a strong rationale for investing in
HE, attempting to do so raises many policy questions and debates for national governments and
international agencies to consider. This section briefly examines four of the major policy issues and
presents some of the different points of view expressed in the debate. It is acknowledged that this is
not an exhaustive list.

4.1 HUMAN CAPITAL FLIGHT

There is strong evidence that participation in HE increases social mobility as it confers to an

individual an advantage based on their level of qualification relative to others. This increased social
mobility can have negative consequences for LMICs as it allows for increased student migration or
Human Capital Flight (often referred to as ‘brain drain’). This is the emigration of highly trained or
qualified people from a particular country (or region in a country) to another. For LMICs, the brain
drain occurs in two ways. The first is when students are sent overseas (or to another area) to study,
often on scholarship programmes, and fail to return. The second is when students are educated within
the country and then move overseas for work as often as there are limited opportunities in the
domestic labour market. Unfortunately, as a result of massification, this second phenomenon is likely
to intensify. The number of highly educated individuals will increase and competition within the job
market at the higher levels will grow. Furthermore, as individuals reach HE goals, they will become
reluctant to work at a lower tech or a lower paying job.

Brain drain reduces the number of skilled persons in public service and actually undermines their
potential for socio-economic development, technological catch-up and absorptive capacity. According
to the African Capacity Building Foundation, African countries lose 20,000 skilled personnel to the
developed world every year. This means there are 20,000 fewer people in Africa to deliver key public
services, drive economic growth, and articulate calls for greater democracy and development.54 It also
means that international efforts to increase aid to these countries may have less impact as the local
personnel required to implement them are absent. This has led to many countries reducing aid to

24
HE.55 It should be noted that brain drain can also happen domestically with students often migrating
to more developed areas, such as cities.

Some argue that brain drain is not a major problem and can actually end up as a ‘brain gain’ as
the brain drain hypothesis fails to account for the effects of remittances, the beneficial effects of
returning migrants, and for the possibility that being able to migrate to greener pastures induces
people to pursue education. Once these factors are taken into account, the migration of highly skilled
people becomes a net benefit to the countries they leave.56,57 There is some recent evidence from
Ghana to support this theory.58 Others contend that it could be seen as a ‘brain circulation’ as empirical
studies have shown that the diaspora has highly developed skills from their overseas study and a
readiness to impart knowledge to their homeland and maintain links with knowledge institutions
there.59 Mechanisms need to be found to use the intellectual capital of the diaspora for development
at home such as the CODESRIA initiative (see section 8).

4.2 THE COST OF HIGHER EDUCATION

Other critical policy issues facing governments are financial. These include how to pay for the
costs of expanding and reforming HE; how much public funding should be used and should funds be
reallocated from other sectors or lower levels of education. The costs of HE per student are high, much
higher than for both primary and secondary students. According to UIS (2011)60 in 2009 most countries
in SSA spent at least 10 times more on a HE student than on a PE pupil. Spending (US$) per student in
Uganda on HE was 14.8 times more than on PE and in Rwanda it was 27.5 times higher. On average,
eight out of every $10 spent on university education in Africa is subsidised by country governments
(Ibid.). With looming population growth and limited public spending, many governments in LMICs
have to make strategic decisions on how to budget for education. Many question whether any country
that cannot provide every child with a primary education should be covering almost 80% of the costs
for HE students and should fund the expansion of HE at all. Some argue that it is better to keep funds
directed at the lower levels of education as this can stimulate more household spending for HE without
threatening the growth of the HE sector. UIS (2011)60 highlights the recent experience of Burundi
which brought the number of out-of-school children down from 723,000 in 1999 to just 10,000 in
2009. Over the same period it increased its investment in education from 3.2% of GDP to 8.3%. But
what made the real difference was the decision to dedicate a much larger chunk of the budget to
primary education, effectively moving public money away from secondary schools and universities.
For more statistics on education spending by sub sector in LMICs visit UNESCO.

It should be noted that expenditure on HE is not only used for teaching and learning but includes
a wide range of activities including research, community outreach and linked HE ‘schools’ such as
hospitals and knowledge exchange activities. It is therefore, unwise to directly compare HE spending
with both primary and secondary education because their functions and needs are very different.
Most LMICs already have a significant proportion of their HE funding coming from private sources,
even in public universities, but as private funding alone can lead to distortions in course distribution
and severe inequities (as it does not allow for the affirmative action policies that can address such
issues)9, many argue that it is important to continue to allocate public funding to HE and in fact the
task for international agencies should be to bolster public spending on HE, and then ensure it is
allocated effectively, rather than advocate for its reduction. The argument that public funds should be
transferred from HE to primary education was put forward in 1980s and 1990s and led to huge
reduction in public spending on HE in Africa. It is now clear that this was to the detriment of long term
development and innovation, economic growth, and the viability of the whole education system in
these countries and this policy should not be continued.

25
4.3 CAPTURE OF HE BY ELITE GROUPS

The amount of public money spent on HE also raises questions of equity. In most LMICs, HE
programmes and particularly those at the higher levels, with potentially the highest rates of return
and the best HEIs, are usually captured by elite groups (defined as individuals of superior status be it
economic, political, educational, ethnic or otherwise). This phenomenon is described in detail in annex
E. Therefore, the policy question becomes, whether a country that cannot provide every child with a
primary education should cover almost 80% of the costs for HE students, who tend to come from
wealthier or more privileged backgrounds.

There are many strategies both at policy and practice levels which can and have been
successfully employed to promote equity in access to and completion of HE for disadvantaged
populations. Some HE systems in LMICs have reconciled these tensions through stratification (by
maintaining a small elite core of high-quality universities, but supplementing it with a demand-
absorbing lower quality sector) and others by implementing affirmative action, targeted scholarships,
and sensitisation campaigns or by establishing separate courses, classes or even HEIs and catch up
courses. Many of these with examples are presented in section 8 of this topic guide.

4.4 THE PURPOSE OF HIGHER EDUCATION

Due to the high costs, expanding HE is inevitably linked to broader policy debates about the
purpose of HE within a society and what its role is in enhancing national socio-economic development.
Governments need to develop a shared vision about HE.61 Some argue that HE should only be a
training ground for future leaders and high-level professionals, not an experience that can and should
be available to all citizens. They argue that the expansion of HE systems can and should not continue
indefinitely and that there should only be as many places as there are subsequent jobs for graduates.

Conversely, there is an argument that governments and international agencies should continue
to invest in expanding and reforming HE, as participation in HE is a right and should be accessible to a
large percentage of the population. This is especially the case given that supply-led expansion might
boost national productivity and development in the context of the global knowledge economy as
highlighted in sections 2 and 3 of this guide.

4.5 CONCLUDING THOUGHTS

These policy questions about expanding and investing in HE cannot be ignored and are not easily
reconciled. They present serious issues for governments and international agencies alike and have
(successfully) been used in the past to justify the under investment, degradation and decimation of
the HE sub sector by governments and donors alike in many LMICs prior to 1998. However, most
international agencies (including the World Bank and DfID) have now realised that it is not a wise
course of action to reduce funds for HE in LMICs, as it leaves them without the intellectual capital
required for poverty reduction and sustainable development and they will lonely fall further and
further behind more MDCs.

Moreover, it should not be a case of putting one level of education in opposition to another or
prioritising one over another. All levels are important. Recent experience has shown that good quality
basic education is not possible if there is not good quality HE. However, there is not good quality HE
without good quality basic education. Therefore, it is necessary to provide strong holistic support
across all levels of education. What is required is a systemic view of the education sector.

26
Investments in HE will ultimately pay off and the positive benefits will outweigh or even eliminate the
potentially negative ones. For example, providing good quality domestic undergraduate and
postgraduate education is one way to alleviate the brain drain as it will mean that going abroad is an
option and not the only way to get a good quality degree.62 The first African Higher Education Summit
on “Revitalising Higher Education for Africa’s Future”, held in Dakar, Senegal from 10-12 March, 2015
concluded that investing in HE is the best way to build a strong state economy and that countries need
a confident ‘bold, long term vision’.

5. BARRIERS
As a result of decades of under investment, little higher education (HE) infrastructure currently exists
in most DCs and where it does, capacity is generally weak. There is a clear need for reform to increase
performance and improve results in order for HE to enlarge its contribution to sustainable
development. Whilst many LMICs are attempting to do this, their governments cannot easily access
the expertise or resources needed to commit to the necessary reform and there are many complex
and daunting obstacles standing in the way of developing robust, high quality and effective systems
of HE. The reforms needed and barriers to implementing these reforms are outlined in this section
along with a brief introduction to the pathways in overcoming these obstacles.

27
CHALLENGES FOR HE BARRIERS IN LMIC CONTEXTS PATHWAYS FOR REFORM
5.1. Provide mass HE to all citizens: Increasing the supply of HE in LMICs is hampered by many factors. Increasing the supply of HE in LMICs requires increased funding and
The growing demand for HE requires a The increasing demand for HE has not been accompanied by a more innovative approach. Berkeens-Soo (2009)29 argues that
balanced growth on the supply side of corresponding funding41,63 so there are inadequate resources to increasing the supply of HE cannot be achieved by simply expanding
staff (academic and administrative) invest in institutions, infrastructure and facilities.64 There are also the existing elite HE system but requires efforts in both ‘horizontal’
and facilities (including infrastructure) challenges in finding qualified academic staff due to competition and ‘vertical’ diversity. However, this presents challenges in
from the labour market. Graduates, especially with higher degrees, acquiring the necessary finance (see 4.9) and managing a complex
are also in demand by the private sector and the government65 and diversified system (4.10). Others contend that meeting
where salaries tend to be higher. In many LMICs a number of new increased demand can be achieved through innovative delivery
providers (including private for-profit institutions) have emerged to modes such as the use of ICT.66
meet the demand for HE but in several countries, this increase has
coincided with a relaxing of state regulation with implications for
quality and effectiveness of such institutions.
5.2 Be globally competitive: In the context of rising demand, the lack of capacity and existing Altbach and Knight (2007)12 believe LMICs are currently at crossroads
The internationalisation and the weaknesses in many HE systems in LMICs means that countless HEIs and need to take measures to ensure international programmes and
subsequent commercialisation of HE are now at crisis point. This has opened the doors to an influx of practices benefit the public and are not just a profit making centre.
around the world has meant that HEIs foreign entities looking to offer academic programmes to students Naidoo (2007)67 agrees and suggests LMICs implement regulatory
in LMICs are in competition with those in DCs. Although there are some benefits to this, as Naidoo (2007) 67 frameworks which require HEIs to respond to local needs in an
in HIC. points out, foreign providers are often exempt from domestic international context and which contribute to the public good.
regulations and may view these international programmes as money
making schemes, focusing on scale and cost effectiveness rather
than on quality or relevance and so deliver ‘’off the shelf’’ products,
with poor pedagogy and assessment that are unsuitable for the local
context. It may also mean that national public universities may lose
income, and the necessary support for HE capacity building may not
be forthcoming (Ibid.). The internationalisation of HE has also caused
internal ‘brain drain’ concerns, as international branch campuses
often recruit qualified faculty members from existing public
institutions.68

28
5.3 Adapt learning to the knowledge Transforming ways of teaching and learning presents a challenge to There is a need for HEIs to build and maintain relationships with
age: HE systems in DCs which generally have outdated, irrelevant and organisations in the labour market to develop updated competency
In line with the demands of the global knowledge based curricula, which fail to transfer up to date based curricula reflecting their needs and including new forms of
knowledge economy, HE is expected to knowledge and skills and which are delivered through traditional teaching and learning aimed at training professional skills and
impart to students the skills, pedagogical approaches with learning assessed through summative attitudes71 (see 5.4). By raising the level and quality of HE, LMICs may
knowledge and dispositions related to knowledge based recall tests.63,69 As a result, employer surveys be able to stimulate innovation, promote the diversification of
innovation and the ability to learn how report that in LMICs HE graduates are weak in problem solving, products and services, and maximise returns from capital assets
to learn (life-long learning) business understanding, using a computer and teamwork skills.70 through more efficient allocation and management.70

5.4 Increase labour market relevance: Rapid expansion in HE, coupled with moderate growth in suitable Whilst some argue that HE should continue to support a wide
The increased relevance of HE for employment opportunities, has resulted in considerable diversity of disciplines to nurture all of the competencies necessary
economic development urges the need unemployment among recent university graduates in a number of for a well-functioning society74 others suggest that enrolment quotas
for graduates qualified for the new LMICs. Most of these countries suffer from slow growth of the formal and/or providing scholarships for particular disciplines should be set
type of labour market. sector, which is traditionally the employer of first resort among up in an attempt to incentivise the study of such subjects.9 Others
highly skilled workers. The relatively faster growing informal sector, suggest that HE systems in LMICs in particular should engage in and
on the other hand, cannot effectively absorb the rapidly growing strengthen entrepreneurship education in order for HE to contribute
numbers of HE graduates.40 This is compounded by the mismatch to economic development (Ibid.)
between the supply and demand of graduates. In many LMICs there
is an uneven distribution of students across disciplines. SARUA
(2012)72 reports that in the Africa region, registrations for the study
of humanities and social sciences are high whereas those for science,
technology, engineering, and mathematics (STEM) along with
business, management and other commercial fields remain low in
most LMICs. In East Asia, LMICs also have an uneven distribution of
HE students across disciplines. In Cambodia, for example, whereas
around 58% of HE students are enrolled in social sciences, business
and law, approximately 10% are studying science and 15%
engineering and manufacturing.73
5.5 Provide high academic quality and It is a challenge for LMICs to transform the ways of learning and More and better qualified academic staff is needed but there are
capacity assessment in HEIs as the academic capacity is already low. Under problems in recruiting and retaining them (see 4.12). Furthermore,
investment and limited funding have restricted institutional ability to academic staff at HEIs need to be given the time and attention to
hire additional lecturers to cope with the rising student numbers, engage in continuing professional development so they themselves
which has resulted in large class sizes at many institutions. Limited can learn and use new skills and forms of teaching and assessment
funding has also led to a rapid decline in the wages of academics. As as included in a new curricula. The World Bank (2009)70 calls on LICs
a result, many faculty members find supplementary jobs, which limit to slow down the pace of expansion and shift their attention to

29
 their time for teaching, mentoring and research and others opt to propping up the quality of their HE systems, but this is a challenge in
leave the sector altogether in search of more highly paid positions.75 view of rising demand (4.1) and international competition (4.2).
The lack of postgraduate programmes in many contexts, as well as a
decline in the prestige of the profession, has also left very few new
faculty members in the “pipeline”.76,77 As a result, the majority of
university teaching staff worldwide now have only a bachelor’s level
degree.9 In addition to these human resource implications, declining
funding has curtailed the ability of institutions to invest in their
infrastructure or maintain their libraries.
5.6 Generate effective and relevant HE systems play a critical role in training the professionals, scientists Van Deuren (2013:11)63 provides four pre-requisites for
research: and researchers needed by the economy and generating new strengthening HE research output and relevance in LMICs. These
In the current knowledge economy, a knowledge in support of the national innovation system,73 however, include (1) better qualified staff (2) a stronger relationship between
priority of many governments is to international rankings and research output indicate that HE systems teaching and research (3) availability of adequate infrastructure and
make sure that their top HEIs are in LMICs are not providing research of adequate quality to boost supportive funding and (4) building university – industry linkages.
operating at the cutting edge of technological advancement in business. Exploring the challenges However, achieving all of these present challenges in themselves as
intellectual and scientific research and involved in setting up globally competitive universities in African indicated by other sections of this chart.
development. countries, Salmi (2011)63 found that conditions for research have
been severely compromised by poor remuneration, heavy teaching
loads, the inability to mentor young faculty, and inadequate
infrastructure. The interactive and reinforcing nature of under-
funding, variable quality and relevance, and nonuse and nonsupport
of local research presents a bottleneck to research and research
capacity development (Ibid).
5.7 Provide a more equitable HE Despite rising enrolment in HE and the demands for social justice, Patterns of inequity are not easily erased and require aggressive
system: equity concerns are still prevalent across LMICs and access to HE is policies which are well thought through and designed.73 It also
The need for social equity to achieve often restricted to a small proportion of the population (often requires the collection and analysis of more high quality,
poverty reduction for sustainable referred to as elites) leaving certain demographic groups poorly disaggregated data so that policymakers are well informed about
development has increasingly been represented. Context, gender, family wealth, region of origin, why certain groups are more vulnerable than others and what can
recognised and HE systems are now race/ethnicity and disability can be significant barriers to access. be done about it (ibid.).
required to supply education to a These are largely related to issues of the quality of earlier schooling,
greater mix of students than in the past funding mechanisms and institutional admissions policies. It is not
only a case of equal access to HE in general for underserved
populations but equal access to the same kinds of institutions and
HE programmes as students from the elite groups, and an equal
chance to complete HE. Annex E examines these issues in more
detail.

30
5.8 Educate a more diversified student Increased access to a more diversified student body has created HE expansion needs to be linked to efficiency improvements in
body: additional challenges for HE systems in LMICs as new groups of primary and in particular secondary education and in the transition
Massification, internationalisation and school leavers entering HE are often not well prepared for study at from secondary to HE. The World Bank (2010)41 suggests that to
the demand for social justice has led to this level.64 The lack of readiness is the result of limited academic promote the inclusiveness of HE, governments in LMICs need to fully
a more diversified student body, opportunities originating at earlier levels of education. Historically, understand the interrelationship between education levels and
including students from diverse underserved populations access lower quality primary and especially adopt a comprehensive vision of the sector as a whole. Within HEIs,
demographic sub groups and secondary education and this has been found to be a stronger different forms of teaching and support mechanisms may be
international and part time students, predictor of HE quality and completion than a student’s required to increase completion rates but this will either require new
and it is expected that the student socioeconomic status. The lack of preparation negatively affects and different academic staff or increase the burden on existing
population will become more varied.9 both access and completion. In terms of access, successful staff.65
performance in HE entrance examinations is linked to prior academic
experience. For example, in Vietnam, students from disadvantaged
groups score lower marks on the National University Entrance
Examination (without this being related to ability) and are less likely
to enrol in high-quality HEIs.78 Annex E provides more detail on the
issue of completion.
5.9 Increase funding: Financing the expansion, diversification and quality improvement of In response to these financial pressures a number of solutions are
Expanding demand and enrolment HE system presents many challenges for LMICs, which already suggested at policy and practice levels for both the cost and revenue
along with the acknowledged need for struggle to provide even the most basic of resources to all its citizens. side. These include sharing costs among all stakeholders - students,
quality improvement of HE systems in According to Johnstone (2013)79 the worldwide costs of HE are high taxpayers, parents and future employers.9
LMICs requires additional budgets and and are increasing at rates greater than prevailing rates of inflation
adequate financing. and government revenues in most countries. With surging HE costs
and enrolment growing more rapidly than financial capabilities,
public funding is not sufficient to meet demand. Increasing
constraints on public spending has also led to debates about the
legitimacy of any public subsidies or financial support for HE which
can be seen as a ‘luxury’68 as it seems to bring more private than
public benefits4 and those public benefits may be lost through
human capital flight.80 This has put pressure on governments to
minimise public support for HE and, as a result, expenditure per
student in HE has declined at the same time that student numbers
have increased.41 This has had an adverse impact on quality including
faculty staff retention.

31
5.10 Transform governance structures In the past, HE systems in most LMICs have had highly centralised It is generally recognised that the state is not the best arbiter of how
at the systems level: legal frameworks. However, this can make it difficult for HEIs to be HEIs should operate and the management of complex academic
As demand for HE continues to grow responsive to changes in the labour market and limit their communities cannot be done effectively by remote civil servants.82
and governments acknowledge the contribution to economic and social development.66 Therefore many Therefore, LMICs should (and have) moved away from a central
role of HE in promoting development, countries now recognise the need to change to new forms of control model to an advisory or supervisory model where the state
it is important to ensure that the governance. This presents a challenge in terms of what model of regulates and monitors the HE system. There are however, many
system is managed in an effective way. management to implement. Whereas central control system limits different models, which could be adopted, depending on need and
flexibility, loose oversight can lead to low quality education with context. These are discussed in section 7.
minimal return on the investments for students and the public.81
Moreover, as HE systems are becoming more complex with different
types of institutions, including many private ones, pursuing different
goals and student bodies, and managing and monitoring the sector
is more demanding and requires more specialisation, which puts
pressure on government staff in LMICs. Management and
governance of private HEIs is particularly challenging and is discussed
in more detail in Annex G.
5.11 Transform governance and Strong leadership and effective institutional management are critical As institutions acquire greater autonomy, there is a clear need to
management at the institutional level: to the quality and effectiveness of HEIs especially in an autonomous strengthen the leadership and management skills of senior HEI
The growing trend of autonomy and system. Unfortunately, due to the limited authority given to leaders and administrators. Leadership capacity building needs to
accountability of HE systems in LMIC institutions in the past, most HEIs in LMICs suffer from poor, focus on developing the qualities relevant to the new challenges
has introduced new tasks for HEIs, inefficient and highly bureaucratic systems with poorly trained and facing HE, including those similar to a CEO, as HEIs are now similar to
which require new ways of working, qualified personnel and inefficient, ineffective and outdated major enterprises in a competitive global market.73
planning, budgeting, decision making management and administration infrastructure66. This makes
and monitoring. performing the new tasks very challenging.
5.12 Increase the supply of human Increasing the supply of human capital relevant for national Most papers acknowledge the need for policies and practices to be
capital: development is a challenge for LDCs countries when the best of the adopted by both destination countries and countries of origin. Kapur
A critical goal of HE in LMIC contexts is human capital leaves, or migrates, to other countries. This ‘human and Crowley (2008)80 examine a variety of options and argue that the
to increase the supply of human capital capital flight or ‘brain drain’ is often a consequence of increased first and foremost priority to stem the brain drain is ensuring security
to contribute to national socio- social mobility acquired through participation in HE, combined with and political stability but where that is not a major issue, reforming
economic development. a lack of employment opportunities and poor salaries in home HE is crucial to retaining talent.
countries. The opportunities for migration have increased as a result
of globalisation and the internationalisation of HE.

32
6. AID AND THE INTERNATIONAL DEVELOPMENT AGENCIES
The international community can play an important role in supporting HE reform in LMICs. This section
briefly reviews the landscape of interactions between international players and HE systems in LMICs.
It highlights the international development community’s initiatives and learning in supporting higher
education (HE) in DCs to become both locally relevant and centrally placed to contribute meaningfully
to sustainable national development. The section focuses primarily on the role of the international
bilateral donor.

6.1 INTERNATIONAL ASSISTANCE TO HIGHER EDUCATION

Between 2002 and 2013, the more developed nations (MDCs) invested an estimated US$42.6 billion
into the growth of HE programmes within LDCs. While this figure alone appears overwhelming in size,
it should be looked at in light of the US$1.6 trillion in total overseas development assistance (ODA)
these developed nations invested during the same time period.4 In this sense, by 2013, the US$42.6
accounted for only 2.7% of the overall international development budget. With a renewed interest in
HE there are indications that this figure will begin to increase. However, this raises the question of
how international agencies can best invest their ODA in HE.

6.2 TRENDS IN ODA TO HIGHER EDUCATION

There is a long history of investment in HE in LMICs by external and international development
agencies made as a contribution to international development. A rapid review of this history by
Varghese (2010)55 highlights the different phases and trends since the 1950s.

1950s-1960s Initially assistance to HE was used primarily to provide graduate training in donor countries.
Later it was used to establish new HEIs in recipient countries with over 200 being built
during the decade by various international donors.
1970s-1980s Assistance to HE declined due to the results of rate of return studies, which showed lower
returns to investment in HE in comparison with primary levels. Fears over the brain drain,
structural adjustment and capture of HE by elite groups also contributed to the neglect.
1990s External donors adopted a unified approach for primary education and education for all
(EFA). HE was on the agenda but not high up.
2000s The rapid progress towards EFA and an increasing demand for skilled labour contributed
to an expansion of education at all levels. Other studies emerged, such as the OECD 2008
report (Tertiary Education for the Knowledge Society) which argued that HE is a vital asset
to the global community and for national development. Many donors are now following a
dual track of investing in primary and post-secondary education with a renewed emphasis
on investing in HE.

6.3 A TYPOLOGY OF ODA TO HIGHER EDUCATION

In a review of evaluations of external investments in HE, Creed et al. (2012)83 identify a typology of
investments and assesses the impact of three distinct types. A brief explanation of each with a
discussion of the evidence of impact found in the literature with links to specific examples is provided
below.

4 Information taken from the Borgen Project; http://borgenproject.org/foreign-aid-higher-education/ with data from OECD
(2012)

33
 CATEGORY INTERVENTION EVIDENCE OF IMPACT OR OTHERWISE EXAMPLES
Education Providing Awards can act as a There is mixed evidence USAID’s merit-based
and professional catalyst for development of a brain drain as a result scholarship
training training for and the benefits of a of these programmes. programme for
individual single scholarship can Some studies indicate Pakistani nationals to
students or staff reach many people.84 that participants in pursue master’s
from LIMCs. Evidence indicates a high programmes ‘don’t come degrees in education
Includes rate of completion with back’ whereas others at universities in the
scholarship or many alumni applying indicate over 80% return. United States (MESP).
fellowship what they have learned It is difficult to measure The DANIDA
programmes by training others or the effectiveness of such Fellowships
supervising PhDs.83,85 programmes only programme
through complex tracer (dfcentre).
studies.86
Consortia Linking individuals Evidence from There are many risks and DelPHE (2006-13) with
and and/or evaluations shows challenges to establishing funding from DfID and
networks departments in programmes have effective consortia and its predecessors,
HEIs in HICs with resulted in a significant networks across HEIs. aimed to promote
individuals and transfer of knowledge, These include power, partnerships between
departments in research knowledge and resource imbalances and universities and other
HEIs in LIMCs skills to DCs have cultural differences.87,88 HEIs working on
generated a lot of good These are discussed in collaborative activity
will resulting in detail in the next section linked to the MDGs
sustainable partnerships of this topic guide. (DELPHE).
and a shift towards home CIDA University
grown, new local level Partnerships in
courses, doctoral Cooperation and
programmes, leadership Development Program
and skills in competitive (UPCDP) (UPCDP).
funding proposals.83,87
Institutional Projects and There is evidence of Requires long term The US$ 90 million
development programmes successful capacity approaches and external multi-donor
83
aimed at building building especially in commitments, the support to Makerere
capacity of policy, infrastructure, disadvantage is that University in Uganda
institutions in academic support sustainability is not for the development
LIMCs including systems (e.g. ICT, library, treated as urgently as in of new research
research capacity QA) and raising research other projects and poor strategies and
capacity.83 institutions may not be directions and
stimulated to look for strengthening
alternative sources of graduate training and
funding.89 management.
(University of
Makerere).

6.4 CURRENT TRENDS AND PRIORITIES

The SDGs for education includes a target to ensure equal access for all women and men to affordable
quality technical, vocational and tertiary education, including university. On the point of global
commitment to these goals there is a change in attitude to HE across the international donor
community. Between 2013 and 2014 the UK Department for International Development (DfID)
established a HE taskforce, launched a comprehensive literature review on the impact of tertiary
education on development and co-hosted a retreat conference. USAID has also positioned HE and
workforce development as one of its four education priorities, and launched a statement indicating
that 2015-16 will see a funding priority for work in this area.

34
While there appears to be a common appreciation of the need for HE for development in LMICs there
is less consensus on what the investment priorities in HE should be. Besides DfID, a number of other
influential bi-lateral donors prioritise support for HE and a quick review of their approaches indicates
that ODA for HE will continue to be spent in diverse ways.

NORAD: HE and research are priority areas for Norway’s development cooperation policy. The
NORHED programme intends to strengthen the institutional capacity and performance of HEIs in
LMICs to deliver quality education and research. This includes capacity development within system
development, administration and infrastructure, with particular attention to gender balance
considerations. NORHED announced in 2013 that it will fund 46 joint projects between HEIs in DCs and
Norway, mostly in eastern parts of Africa. The bulk of the funding will go to institutions in Ethiopia,
Uganda, Malawi, and Tanzania (NORAD).

USAID: Goal 2 of the current USAID Education Strategy is improved ability of tertiary and workforce
development programmes and the agency has a substantial HE portfolio. USAID supports programmes
that increase access to vocational/technical/HE and training for underserved and disadvantaged
populations, improves the quality of HE and research in support of country development priorities and
improves the relevance and quality of workforce development programmes. USAID has a substantial
scholarship programme (USAID).

SIDA: SIDA provides funding to develop facilities and human capacities to encourage research and
teaching in universities. The primary objective of the IHERD programme is to increase the policy
relevance of research and to promote evidence-based policy making in HE, research and innovation
for development. This will be achieved through stimulating a shift in the research agenda by reviewing
existing research, by commissioning new research and by fostering links with leading researchers and
research institutions in the IHERD field. SIDA support to the University of Dar Es Salaam is a good
example of such a programme (SIDA).

JICA: JICA works with Japanese universities to provide support to universities in LMICs specifically
selected on account of leading the HE sector in their respective country and region. JICA support aims
to improve education and research capabilities through the improvement of teacher quality; facilities,
research materials and equipment; the strengthening of university management systems; the
promotion of industry-university-community cooperation; and the construction of university
networks. Support is mainly provided to engineering, agriculture, and public health sectors. JICA
focuses support to the ASEAN University Network/Southeast Asia Engineering Education
Development Network (JICA).

DANIDA: The Danish Building Stronger Universities in LDCs initiative aims to develop long-term,
mutually beneficial partnerships between universities and research institutions in LDCs and Denmark
(DANIDA).

AFD: French support for HE has increased in the recent past and is devoted mostly to helping
universities in Francophone Africa to restructure their staff qualifications to meet international
standards. It also tries to build science and technology capacities in the region. A large share (nearly
50%) of the aid is spent on scholarships for postgraduate students in France. Recent French initiatives
include support to the International Institute of Engineering Water and Environment (2IE) in Burkina
Faso, AFP, and the creation of the National College of Tourism, Tanzania.

Others: It is not only bilateral donors that support HE for development in LMICs. In 2000, four US
based foundations collaborated to establish the ‘Partnerships for Higher Education in Africa’ (PHEA)

35
contributing more than US$ 150 million to support capacity development. Annex H provides a detailed
account of the PHEA approach, accomplishments and lessons learned.

6.5 CRITIQUES OF CURRENT TRENDS AND PRIORITIES

In his review of aid to HE, globally, Varghese (2010)55 provides a critique of current development
assistance to HE. He argues that international aid to HE is concentrated on only a few countries, is
fragmented, spread too thinly and too often utilised at the institutional level to support selected
faculties, centres or areas within a department. This, he concludes, is why international development
assistance has not made as significant contribution to the overall improvement of the institution or
achieved any visible impact on the sector as a whole. McEvoy (2013)90 agrees that more international
donor coherence along with a holistic approach to HE is required to have real impact. He points to the
significance of the EFA declaration which gave expression to the consensus of the international
community on the importance of basic education and triggered an annual peer review process, which
resulted in some commendable progress (particularly in increasing enrolment).

Others contend that international donor programmes in HE are focussed too much on academic
cooperation based on mutual interest rather than being geared towards the institutional development
of HE and the broader development objectives agreed by the entire donor community such as the
MDGs, SDGs and poverty reduction strategy papers. Bursary or fellowship programmes for example
are often seen as more of a benefit to the donor country as having home educated graduates around
the globe is one of the greatest forms of soft power a country can have. Some question whether
support to HE in this form can really be considered as aid (Is it Aid?).

Some Commonalities: Despite these differences in what they do, increasingly, a number of universal
principles have been adopted by most donors in how they work in HE for development and these are
already addressing some of the above-mentioned critiques. These are highlighted in a worthy review
of issues and trends in international development HE programmes by Boeren (2012)86 and include,
among others, demand drivenness and ownership of the South, output financing, accountability and
transparency in partner matching.

6.6 LOOKING BACK TO LOOK FORWARD

The decades of international assistance to HE have generated a number of other lessons learned about
effective interventions, which should help in looking forward. The following are some of the more
notable indicated in a review of the literature:

LOOKING BACK LOOKING FORWARD

Reviews and evaluations of HE development As knowledge generated from M&E is necessary
programmes by Creed et al. (2012),83 Oketch et al. to demonstrate the performance of programmes,
(2014)50 and Clifford (2013)91 found it very difficult to steer implementation towards the intended
to draw any broad conclusion about the result and for informing future investments, it
effectiveness of different types of HE should be taken seriously right from the design
interventions for development or what makes for stage of any education sector investment in HE.
a good intervention under the different types Different types of intervention will have different
identified. This was mainly because there was all conditions for success and this will involve
too often a lack of well managed monitoring and different types of M&E and impact assessments.
evaluation systems, at both programme and
project levels, from which evaluations of external
investments in HE draw their data.

A review of HE programmes in Africa by USAID It is possible to create the right conditions and
(2014)66 found that reforming institutions and incentives to build institutional capacity with
strengthening institutional performance is one of external assistance (financial and/or technical)
the most challenging aspects in development and but to do so requires careful thought and

36
 can lead to a ‘capability trap’ where countries or attention to the role of external assistance and a
institutions mimic best practice but are actually focus on how to approach HE capacity
‘all show and little real action’, and this is one of strengthening, rather than on what should be
the biggest causes of implementation failure. invested in. Development advisors and
consultants from international agencies should
avoid recommending best practice mechanisms
that cannot possibly work in the setting they are
proposed for and stop insisting that countries
making changes run before they can walk.92

Drawing from Mozambique’s experience with It is important to formally involve all stakeholders
international aid to HE for the purpose of capacity (government, civil society, national and
building in teaching and learning, Chilundo international partners and HEIs) and engage in
(2006)93 found that the main weakness in most constant dialogue with national stakeholders and
programmes leading to implementation failure international partners, as only this can lead to the
was a lack of local ownership and input. successful design and implementation of
international aid.

7. PARTNERSHIPS
It has been increasingly acknowledged that partnerships with ‘other actors’ in the public and private
sector can improve the quality and relevance of education, including higher education (HE). This
section reviews the evidence available on what types of partners and innovative partnerships could
support capacity building initiatives in HE in LMICs. It also briefly examines the role that the
international development community can play in establishing and maintaining such partnerships. As
partnerships for development in HE are not easy, the section ends by discussing some of the main
challenges partners might face and some potential strategies to overcome them.

7.1 A DEFINITION
The concept of partnership can mean several things to individuals and institutions as well as in
different cultural contexts. Perhaps the most appropriate description of an effective educational
partnership in HE for the purpose of this guide is provided by the Africa Unit (2010: 20).87

An effective educational partnership is a dynamic collaborative process that brings mutual though not
necessarily symmetrical benefits to the parties engaged in the partnership. Partners share ownership of the
projects. Their relationship is based on respect, trust, transparency and reciprocity. They understand each
other’s cultural and working environment. Decisions are taken jointly after real negotiations take place between
the partners. Each partner is open and clear about what they are bringing to the partnership and what their
expectations are from it. Successful partnerships tend to change and evolve over time.

37
7.2 THE ‘OTHER’ ACTORS
Potential partners for HEIs are presented in the table below.

POTENTIAL PARTNER MOTIVATIONS FOR HE MOTIVATIONS FOR PARTNER EXAMPLE OF PARTNERSHIP

Higher education institutions (In LDCs) Provide staff with opportunities for (In DCs) For internationalisation: to create The partnership between
(e.g. HEIs in developed or professional development; promote opportunities for staff to work in new and University of Bradford, UK and
HICs with HEIs in less internationalisation; institutional capacity different socio-political and cultural University of Jos, Nigeria (annex I).
developed or LMICs) building; help to attract more funds; and receive environments giving a competitive advantage The Global University Network for
assistance in the achievement of national in what is becoming an increasingly global Innovation (GUNi) is a partnership
development goals.87 market for HE (ibid.) For development: to created in 1999 with 208 members
develop the capacity of HEIs in LMICs to from 78 countries to strengthen
accelerate poverty reduction in their local, the role of HE in society.
regional and national context and promote
sustainable development.94
The public sector HEIs can increase their service to society by Knowledge production and transmission are It is difficult to provide a specific
(e.g. local and national influencing policy and practice through research, vital for a modern society and receive a lot of example of how HE research has
government) consultancies and secondments. Working with attention from policy makers, especially in improved policy and practice in the
the public sector can increase research funding light of budget constraints that are pushing public sector as there is no direct
available for disciplines in relevant areas such as governments to reduce public spending and linear relationship between
education, environmental protection and health; increase efficiency of public policies and research and practice and research
this can contribute to improving the relevance service. National and local governments can and policy. The processes by which
and practical teaching of HE subjects including use the results of research conducted by HEIs research findings are transformed
initial teacher training, medicine, nursing and to improve efficiency in public services in into practice are subtle, difficult to
law. areas such as education and health and for trace and often take a long time so
wider civic benefit. HEIs are often the link is not always made.96
internationally wired and have global However, other kinds of
connections, which can be harnessed for civic partnerships, such as consultancies
benefit. HEIs can also be important to the or secondments, have provided
local economy.95 more tangible benefits. The East
African School of Library and
Information Science (EASLIS) has
implemented knowledge transfer of
information management practices
through its internship programme
since 2006.97

38
Private Sector The private sector can provide HE with additional HE can provide skills and knowledge to the The Corporate Graduate Link
e.g. business, industry resources such as providing internship positions private sector such as giving technical (CoGL) at the University of Zambia.
for students; making their staff available for assistance to local firms; can ensure that (UNZA)
guest lectures, bringing their expertise to graduates have the skills and knowledge
universities; working together with HE to required to effectively contribute to the
establish standards to inform the curriculum and workforce; support faculty to engage in
educational experience of students in relevant consulting and commercialisation activities
fields; be supportive in the creation, support, and and conduct research relevant to business
staffing of research laboratories through gifts, and industry (Ibid.)
donations, and research funding; provide
facilities and services and increase the relevance
of HE.98
Civil Society Civil society participation deepens the HE can contribute to the local and Kenyatta University’s, Kenya
e.g. citizens groups, contributions of HEIs to human and social international social and global human Community Outreach and
associations, NGOs, not-for- development through their research and development agenda by bringing research Extension Program (COEP). (COEP)
profit research institutes and teaching functions. It can contribute to the expertise to generate practical and useful
independent relevant and practical teaching of HE subjects knowledge through its research and service
think-tanks (as actors of civil particularly in the social sciences and on issues functions. HE students often volunteer for
society) such as gender sustainability, peace and global local community charity work in areas such as
citizenship, climate change, human rights, conservation, helping the elderly, organising
democratisation, governance and transparency; recycling, supporting people with disabilities
it can increase research funding available for and working with children.
social and human disciplines in relevant areas.

39
7.3 TYPES OF PARTNERSHIPS
There are a variety of partnerships for capacity building in HE, ranging from the relatively formal
public-private partnerships (PPPs) to more informal collaborative arrangements. The former type is
generally characterised by relatively clear commitments by the participants, stipulated in binding legal
contracts. The latter include, among others, more open-ended processes in which the participants
engage in dialogue and negotiation.

7.4 THE ROLE OF THE INTERNATIONAL DEVELOPMENT COMMUNITY

External international agencies and donors can play a central role in the process of establishing
partnerships between HEIs and the other actors in LMICs. They can act as a facilitator, provider of
funding and incentives to develop and encourage HE partnerships and even be a critical source of ‘how
to’. The USAID funded HELM project, for example, organised a workshop for participants from HE
institutions across Indonesia, entitled “Building a Market Strategy for Higher Education Institution’s
Products and Services,” in order to strengthen their capacity to build mutually beneficial partnerships
and do business with the private sector (HELM). The Educational Partnership in Africa (EPA), funded
by the UK government to help African universities improve entrepreneurship, social enterprise, and
enhance graduate employability, facilitated a partnership between Ho Polytechnic in Ghana and the
City College Brighton and Hove to improve the matching of engineering graduates with the modern
workplace (EPA). DFAT Australia currently partners with the Asia Pacific Technical College and private
sector in Papua New Guinea to address the nation’s need for skills development and increase in post-
secondary education (DFAT in PNG). In fact, a review of case studies of effective university-industry
partnerships in Africa by Cresno (2013: 33)98 found that ‘’almost every successful example identified
by informants include one or more of these entities [international cooperation and aid agencies] as a
partner.’’

7.5 ISSUES IN DEVELOPING AND MAINTAINING A PARTNERSHIP

An analysis of the definition of partnerships provided above suggests there are many complex
processes underpinning them and although they can be very beneficial, the evidence indicates that
partnerships for development are very hard to deliver successfully. Although the specific challenges
will depend on the type of partner and partnership, the literature highlights a number of common
factors that can inhibit any partnership. It is important that donor agencies anticipate some of these
issues in order to pre-empt them. A number of principles which emerge from lessons learned from
both successful and unsuccessful models along with findings from key empirical studies, can guide the
development and management of sustainable partnerships for HE capacity building. Common
challenges and potential resolutions are presented in the table below.

CHALLENGES POSSIBLE SOLUTIONS

Cultural A number of studies reviewing partnerships in To alleviate the challenge presented by cultural
differences HE found that one of the most complex differences, the Africa Unit (2010)87 stresses
challenges in establishing and maintaining a the importance of engaging in a thorough pre
partnerships is brought about by difference in partnership process including identifying the
missions and visions, constituencies, demands needs and motivations for a partnership from
and ways of working between HEIs and partners the outset and the need for partners to
which makes it difficult to agree and harness understand each other’s cultural and working
their respective requirements for working environment. Other studies suggest that
effectively with each other. This can even occur successful cooperation requires the selection
between educational institutions which of the right partner in the first place.101
operate in different education and socio-
cultural contexts.87,88,99,100

40
 Sustainability Empirical research conducted by the British An empirical study by Boeren (2000)5101 which
issues Council (2015a)94 to review UK – Africa examined the sustainability of Dutch support to
partnership schemes, found that many were HE capacity building in LMCs provides a list of
unsustainable because of the project-oriented nine major requirements and conditions for
short term nature of the partnership and sustainable partnerships. Prominent among
funding scheme. Once funding ended, so did these is the need to re-orient partnerships from
the partnership. This was found to particularly project based to product focussed. In this way
affect teaching and learning partnerships partnerships will be more flexible and dynamic,
compared to research partnerships. rather than time bound.
Lack of Other challenges include the lack of necessary The British Council (2015a)94 study found that
resources resources to carry out the partnership. The in order to ensure the long term sustainability
Africa Unit (2010)87, in examining partnerships of partnerships the time scale and funding
between UK and African HEIs, found that factor needs to be realistic and sufficient and
“time”’ to carry out all the activities was the plans for future funding should form part of the
major challenge99. The costs of contracting with project proposal. The Africa unit (2010)87
other actors, especially the private sector, were recommends that staff time should be funded
often found to be high when compared to the so they have the time available to fulfil their
scope and size of the benefits of the partnership partnership responsibilities.
programme.
Weak Another major challenge to the development of Respondents in the AAU (2012)88 study believe
institutional partnerships relates to weak HE institutional that a strong leadership at the HEI level is
capacity capacity. An empirical study by the AAU necessary as a first step to building institutional
(2012)88 found that most HEIs do not have the capacity. This was followed by the
structures and qualified academic and establishment of an administrative structure
management staff to engage productively and and environment, to support partnerships with
effectively with partners in the private sector the ‘outside world.’ HEIs need to build
and government. academic expertise that mirrors national
economic and industrial sectors and human
development issues and for HEIs to engage in
more applied research and teaching.
Lack of Partly as a result of the lack of capacity, the AAU The Africa Unit (2010)87 suggests that partners
confidence (2012)88 study found that industry had no have clear agreements about their roles and
confidence in HEIs as potential partners to input responsibilities in the partnership and about
into the innovation process. This has led to a what they bring to the table. These roles and
reliance on foreign technologies and some responsibilities should reflect what each
suspicion of local innovations. HEIs are institution is realistically able to do which is
therefore not viewed as sources of useful dependent on their capabilities and skills
information and expertise. (current and anticipated). Support should be
provided if this reveals weakness in capacity
training. The study also argues for flexibility in
the partnership and that it should be prepared
to change and adapt roles if necessary as the
capacity and leadership of each partner
develops.
Power and The British Council (2015a),94 the Africa unit Given historically unequal power relations, it is
resource (2010)87 and Tandon (2007)100 all found that crucial that one partner is not seen to be setting
differentials power, resource and funding imbalances could the agenda of the partnership and that
be a major challenge to effective partnerships. partnerships should have equal benefits for
The British Council (2015a)94 found that power both partners. Although these do not need to
differentials often led to a paternalistic attitude be symmetrical,87 PHEA (2010)102 emphasises
of some UK HEIs and this was a challenge to the importance of partnerships which respond
maintain the partnership. to Africa HEI demand and treat consultation as
key to effective support.

5 Although dated, this document has been included as the summary is provides is considered to be very useful and still relevant

41
 Governance Many informants in a study by Cresno (2013)98 The need for a clear national policy framework
issues on HE - industry partnerships in Africa from governments that encourage
specifically mentioned the lack of a clear policy partnerships is a strong message that emerges
framework establishing the role of HEIs in from the literature. Participants in an empirical
society and its contributions to national study by Cresno (2013)98 call for a ‘national
development as a challenge to establishing policy on innovation’ or a ‘national research
partnerships, especially with the private sector, policy’ which defines, in specific terms, the role
as it meant that many potential partners in of the HEIs and how they relate to other sectors
society did not understand the role of HE and of the society; deemed important for national
what it could do. development. They also emphasise the need to
implement and monitor the policies once they
are developed.

7.6 SOME FINAL THOUGHTS

All partnerships are different and it is important to understand that not all situations are suitable for
partnerships and not all actors are suitable as partners. Partnerships can be good and can bring
positive benefits, but require careful planning and consideration to ensure they really do deepen and
expand appropriate capacity. The literature strongly indicates that the pre-partnership planning
process is the most critical phase which requires negotiation and transparency and during that phase
it is necessary to:
 Choose a partner with care and one with whom there is an overlapping goal and which has unique
but complementary assets and skills to contribute to the partnerships. Partnerships only work
when the right partners come together.
 Be sure that the partnership brings added value and that the added value is worth the effort
required to maintain the partnership. Partnerships can end up costing more in time, money and
resources than anticipated.
 Ensure that the roles, responsibilities and accountabilities of each partner are clear from the
outset and the partnership leverages appropriate and realistic partner capacities and
competencies. Partners should not be expected to do something that they cannot.

8. INNOVATIONS

Although the need to act quickly is acknowledged, there is less clarity on how to reform higher
education (HE) and establish a system of consistently high-quality institutions that will have a positive
impact on development in the broader society. The purpose of this section is to review a number of
innovations and initiatives in policy and practice aimed at building HE capacity, which have been often
supported by international agencies and implemented in a range of contexts. Where possible and
relevant, the implications for future policy and practice are presented. Despite being introduced under
separate headings, it should be noted that many combine more than one aim. For example, increasing
the private provision of HE can expand access but is also a strategy to finance HE provision and reduce
costs to the state.

42
8.1
Issue PROVIDE MASS HE FOR ALL CITIZENS

Demand for HE in LDCs is growing and is expected to continue to grow9,41, meaning there is a need for continued expansion of the system.

Many initiatives aimed at increasing the reach of HE in the literature involve the use of information and communications technology, such as e-learning, online distance
Innovations

learning (ODL), massive open online courses (MOOCs) and blended learning. Kepler, for example, is a nonprofit university programme designed for the developing world.
Launched in Rwanda in 2013, it uses accredited courses from leading United States universities to meet the needs of the Rwandan market. Kepler works in close consultation
with the Rwandan private sector to identify the skills needed by graduates, and during the course students have the opportunity to choose internships with potential
employers and develop employment-specific skills (KEPLER). Other interesting case studies include the South African Institute for Distance Education (SAIDE), funded by
the William and Flora Hewlett Foundation (http://www.oerafrica.org) and the Partnership for Higher Education in Africa (PHEA) Educational Technology Initiative (ETI), a
multi-year initiative addressing HE e-learning in African universities (PHEA).

Another solution has been the provision of a larger, more diversified, more connected and more complex HE system with HEIs pursuing different goals and audiences.
These include ‘niche’ institutions68 or private HEIs. Private institutions can absorb the spill over from the pool of fully qualified but unsuccessful applicants to public
institutions. Ethiopia has undergone unprecedented expansion of its HEIs. Whereas the number of public universities grew from two in 1991 to a high of 22 in 2007, the
private domain grew more quickly with 64 accredited private HEIs in the same period. Private HEIs can offer a limited range of programmes, which also tend to be more
market driven. ‘Ashesi’ is an exciting example of a successful private university in Ghana which offers a small, highly focused curriculum (see ashesi and ashesi-ghana).

ICT represents a unique opportunity to HE to reach more students and to offer more students with courses that are on a par with those delivered by world-class universities.
Implications

However, there are many implications for both policy and practice. A report by Escher et al. (2014)103 examined the use of MOOCs in boosting HE in Africa and found that
they raise issues of access and affordability and to reach their full potential, several technological, cultural and administrative challenges need to be addressed. In order to
benefit from online coursework, students must be familiar with both the use of a computer and the norms of self-guided instruction80 and have access to electricity and
connectivity which cannot be assumed for LMIC contexts particularly those from less advantaged backgrounds. A review of the progress and impact of ICT use in MOOCs,
ODL and blended learning in HE in Asia by UNESCO (2014) 104 found that only 5% of the students who enrolled actually completed the course. USAID (2014)66 provides a
thorough discussion on the benefits, challenges and implications for policy and practice of using e-Learning in LMIC contexts and is worth reviewing.

Private HEIs are often supported for their ability to react more flexibly to ‘market demand’ 41 and the idea that they can provide a better quality education, given their
access to alternative (i.e. non-governmental) sources of funding and the market-based competition that can be fostered between providers (ibid.). However, this is not
often the reality. In many LMIC contexts there has been a proliferation of private providers of a very low academic standard, Brazil being a case in point105 (see annex J).
The expansion of private provision can also exacerbate problems of quality within the public sector. New private institutions often recruit faculty from existing public
universities106 which negatively affects standards across the sector, as faculty members become less able to devote their full attention to teaching or research at any one
institution. The solution to these perceived or real quality problems suggested by Gyimah-Brempong and Ondiege (2011: 44)107 is close regulation and governance of these
institutions such as in South Africa.

43
8.2 TRANSFORM GOVERNANCE STRUCTURES AT THE SYSTEMS LEVEL
As demand for HE continues to grow and governments acknowledge the role of HE in promoting development, it is important to ensure that the system is managed in an
Issue

effective way.

In the recent past, many LMIC governments have undertaken new reform measures related to the governance and management of the HE system. A variety of alternative
Innovations

governance models are possible ranging along a continuum from, at the one end, a state control model, where the centre seeks to control HE systems, to, at the other end,
a state supervisory model where the centre monitors and regulates them.82 Most countries have recently moved along the spectrum and put the accent on the supervisory
model focussing primarily on autonomy and greater institutional enterprise.73 According to Fielden (2008)82 most of these countries have the following elements: (1)
legislation that establishes HE as independent entities, (2) withdrawal of the state from certain direct control and management functions, (3) the creation of buffer bodies
or agencies to carry out some of the financial control and supervision functions, (4) the adoption of funding models that give institutions greater freedoms and encourages
them to develop new sources of income, (5) the creation of external quality assurance agencies and, (6) the development of new forms of accountability through reporting
on performance and outcomes in achieving national and institutional goals. For example, in Ethiopia, the 2003 HE proclamation granted autonomy to HEIs in finance and
internal organisation, establishing linkages and the administration of personnel. It introduced a block grant system enrolment based budgeting and cost sharing process. In
Ghana, reforms initiated in 2007 included new institutional evaluation procedures, the merging of courses, the introduction of a credit system, cost recovery measures and
new finding formula, the creation of new governing bodies and buffer institutions, new staff recruitment procedures and the transition from staff from civil service to HE
employees. A culture of centralised planning and bureaucratic decision making is deeply rooted across all areas of public service provision in Socialist Viet Nam, but moves
towards autonomy and decentralisation in HE has also taken place for the purpose of achieving greater efficiency and effectiveness. Annex K presents a simple typology of
four models for governance of public HE with examples of countries implementing them. For a discussion of the regulation of private HEIs see annex J.

Varghese (2013)108 examines national reforms and resulting governance models of HE in five African countries, Ethiopia, Ghana, Kenya, Nigeria and South Africa and found
Implications

that in most instances they have helped to improve the governance and operational efficiency of HEIs and reduced reliance on the state for funding. The reforms in Ghana
for example were found to have helped promote a greater sense of responsibility among staff and students and stimulated intellectualism. They also strengthened the
decision-making process at the faculty level and enhanced teaching and research. The reforms in Ethiopia however, received some criticism. Many feel that some of the
reforms have led to a paradigm shift from academic competency to operational competence. The study concludes that the best role for the state is to develop a framework
for operation and regulating the system rather than in terms of financing, managing and controlling HEIs. A similar study of governance reforms in Asian countries by
Varghese and Martin (2013)109 also found that reforms in the governance of HE systems in most, but not all countries, have generally had a positive impact resulting in
more active and creative HEIs. The study provides a number of lessons learned for countries looking to move towards autonomy, including (1) autonomy policies as requiring
coherent national policies, both horizontally (across departments and ministries) and vertical (centre to region) (2) the introduction of autonomy to be progressive with
multiple reform layers, each building on the previous one (3) autonomy to first be piloted in a limited number of HEIs (4) autonomy to be considered as the means to an
end and not as the ultimate aim , and (5) the understanding that there is no one model for ideal governance reform in HE.

8.3 IMPROVING MANAGEMENT AND GOVERNANCE AT INSTITUTIONAL LEVEL

With greater autonomy many HEIs need support to help them fulfil the new tasks it involves such as setting up priorities, developing strategies and study programmes,
Issue

mobilising resources and creating new structures for greater institutional governance.

44
 Innovations Although a wide variety of capacity building initiatives exist, there seems to have been an almost exclusive focus on training as the prime method given its simplicity in
planning and funding.110 Other possible interventions include technical advice, support to project management and support for lobby and advocacy work.111 A number of
international donor interventions aim to improve HEIs institutional governance and management, mostly through the development and exchange of ‘best practices.’ The
USAID funded HE Programme (HEP) in Afghanistan is an example of an initiative to improve general leadership and administration, financial management and external
stakeholder collaboration (USAID HEP). The emergence of new forms of cross border education provides a number of opportunities for institutional capacity building.
Institutional partnerships, for example, can be used to develop capacity in management and governance. Although many partnerships rely on historical links between
Northern and Southern institutions, South-South partnerships have also emerged. China, for example, has cultivated a number of partnerships with universities in Africa,
establishing institutes on many campuses and investing in training programmes across the continent.112

Experience has shown that institutional capacity building is challenging and success largely depends on the relationship between actors, the context and the measures
Implications

chosen. What works in one context will not necessarily work in another. Therefore, a strong emphasis is needed on understanding the country context.30 Nevertheless,
although each context is different, there are some common themes about how to build capacity in the literature. Most studies recommend a ‘multi actor perspective’ in
containing different methods such as action learning, experimentation, mentoring coaching and advise.63 Ashcroft and Rayner (2011)65 write about capacity development
in SSA and propose a process of critical enquiry using an action research model. Van Deuren (2013)63 presents a list of 10 general principles to be applied in capacity building
interventions taken from a review of the literature. These include (1) local ownership and leadership, (2) relation to national priorities and systems, (3) external support
focusing on facilitation and investment in local leadership, (4) capacity building as requiring knowledge and profound understanding of local context, (5) a readiness to
adapt to local situations using open discussions, (6) a long term perspective while not forgetting short term action plans and interventions, (7) a comprehensive systems
wide approach, (8) being prepared for changing needs and flexibility, (9) mutual trust and a relational approach, and (10) relevant systems for monitoring and evaluation.

8.4 REDUCING THE POVERTY DYNAMIC

To a large extent, access to HE in most LDCs is restricted to the higher socio-economic groups as entry is determined by highly competitive exams and often the ability to pay.
Issue

This issue has become more pronounced in recent years, as HEIs are increasingly charging fees in order to address their substantial financial shortfalls.

Initiatives to address the poverty dynamics of HE include the provision of scholarships, student loans, stipends and even opening outreach centres in poverty stricken areas.
Innovations

Some countries, such as Kenya, have elected to introduce ‘parallel streams’, in which large numbers of fee-paying students enrol alongside those assuming free-of-charge
places. Others, such as Brazil, have chosen to expand access by stratification, maintaining free public universities but allowing for the rapid expansion of a private sector to
absorb the majority of the demand. Prouni meaning ‘university for all’ is a Brazilian educational policy regarding increasing access to higher learning for the low income
population. The policy is designed to encourage universities to allocate unfilled places free of charge to low-income students in return for exemption from tax payments.113
Although there is some suggestion that the parallel system in Kenya has contributed immensely towards the financial stability of public universities and enabled them to
Implications

supplement their funds, other evidence indicates that such a system has eroded the quality of HE as lecturers are overwhelmed by the large number of students and cannot
deliver to the expected standards (The Nation Report), (Wangenge-Ouma, 2007).114 Whilst the policy in Brazil has increased enrolment in HE amongst poorer students, there
are concerns that it only involves private institutions113 and only addresses issues of enrolment not retention meaning that a high dropout rate amongst the poorest students
still persists.105

45
8.5 INEQUALITIES OF ACCESS
Issue Certain sub groups (e.g. disabled, ethnic, racial, cultural minorities and women in some cases) find it difficult to compete for places in the HE system. Equity concerns in HE
are widespread across many LMICs given its potential to boost national productivity in the context of the global knowledge economy.

Some initiatives aimed at promoting equity in access include affirmative action, targeted scholarships, sensitisation campaigns and even the creation of separate courses,
Innovations

classes or institutions. Uganda’s Makerere University introduced an innovative gender mainstreaming directorate (GMD) and initiative as part of the university’s strategic
plan. This initiative highlights the accomplishments of women and works to create a network and infrastructure of support (GMD UM). Ghana, Uganda, Tanzania and Kenya
all implement affirmative action policies for females including weighted admission (Makerere University), women’s allocation to residence hall space (Ghana) or lowering
cut-off points for university entrance (Kenya). Initiatives in policy and practice not only target women. An interesting example of an innovation in Mexico to address very
limited representation of indigenous groups in HE was the creation of a completely new type of institution from the ground up, including the setting up of new buildings, a
newly recruited teaching faculty and new course content and structure. These ‘’Intercultural Universities’’ (UIs) were characterised by indigenous, bilingual and intercultural
education alongside close social contact between staff and students.115 Their objectives, progress and difficulties encountered to date are discussed in Schmelkes (2009).116

A study by Onsongo (2009)117 found the affirmative action policies in Ghana, Uganda, Tanzania and Kenya successfully increased female enrolment in HE. However, although
Implications

these practices increased equity in admission, they did not receive much support. It was felt that women were being consigned to an inferior status, girls from well-known
schools or well-connected backgrounds were benefitting and politicians believed it to be a quota system from which the respective areas they represent should enjoy
university admission. A study by Clifford et al. (2013: 32)91 also acknowledges the potential negative consequences of such policies. Where policies aimed to support one
group may have positive outcomes for that specific group, it may have unintended negative consequences on another, for example, women in India. The possible
repercussions of affirmative action initiatives need to be considered carefully by policy makers. The World Bank (2000: 41)61 warns that policies and programmes to
increase equity of access for disadvantaged groups will only prove sustainable if they do not undermine the standards of excellence on which HE is based. Merit criteria
cannot be relaxed, as awarding degrees or certificates to people who do not deserve them is not in the public interest. The answer, the paper argues, is to combine tolerance
at entrance to HE with rigour at exit, with members of disadvantaged groups must receive consistent remedial support during their time in HE.

8.6 HIGHER EDUCATION READINESS

Massification and increasing access for disadvantaged groups has led to the diversification of the student body and the entry of new student populations with more
Issue

limited academic preparation. As a result, there is often a lower retention and completion rate amongst these groups with the privileged classes retaining their relative
advantage in HE in nearly all nations.118

46
 Innovations The literature offers few examples of innovations at HE level in LMIC contexts to address HE readiness. However, there are some initiatives directed at secondary level.
The Higher Education Readiness programme (HER) in Ethiopia is a small scale enterprise supported by the Institute of International Education which works with young
women in secondary school from underserved communities with scholarship support combined with innovative leadership and life skills training to help them complete
their secondary education and equip them with the tools needed to continue on to university (Ethiopia HER). There are some initiatives in HIC contexts which are designed
to prepare students for HE study in the UK and these may have some relevance for LMICs. INTO is an independently-owned company partnered with and providing study
centres at a number of universities to allow international students the opportunity to study in the UK, China and the US by offering university preparation and English
language modules. Courses provided by INTO at the University of Exeter have been proven to help international students’ progress to undergraduate and graduate
degrees in the UK (INTO Exeter).

The skills needed for preparedness differ between and within countries and even between subjects studied. Therefore, there is no one size fits all solution. A report by
Implications

Altbach et al. (2009)9 suggests the focus of innovations should move away from access and readiness to completion. Accountability in HE he argues should not be based
on enrolment but outcomes with links to funding. The World Bank (2000)61 also recommends a focus on completion and the provision of ‘catch up’ programmes.
Nevertheless, the consensus in the literature is to improve the links between secondary school outcomes and HE and the need to establish mechanisms to do that, rather
than on ‘catch up’ programmes. An empirical study by the British Council (2015b)119 on university preparedness in Mexico provides a list of factors that influence readiness
for HE at primary and secondary schools which policy makers should consider. The report emphasises the need for secondary schools to develop both cognitive and non-
cognitive (soft) skills in students, such as language, communication, interpersonal skills, as these are all predictors of success in HE and will give students the ability to
adapt to the nature of study at HE.

8.7 FINANCINING OF HIGHER EDUCATION

Expanding demand and enrolment in HE, combined with increasing constraints on public funding, debates about the legitimacy of public financial support for HE in lower-
Issue

income contexts and the recognised need for quality improvement of HE, have motivated governments to minimise public support for HE and to find innovative and
sustainable financing mechanisms.

47
Innovations The most common financing mechanisms are based on cost-sharing initiatives such as tuition fees. These are being implemented for HE in many LMICs (and indeed HICs).
These can be effective. In China, for example, a large scale cost recovery initiative was implemented in the mid-1990s. As a result, whilst per capita expenditure on HE
doubled, the level of Government support declined. The share of total costs paid by students doubled, with fees increasing by over 200%.120,121 Whilst cost sharing
initiatives have increased revenue for HE, they have jeopardised the ability of some students to participate. Therefore, such schemes are often accompanied by student
loans and financial aid for low-income students. Tanzania, for example, introduced a cost-sharing policy that expects beneficiaries to contribute gradually to the cost of
their education. Different types of loan systems have been implemented. The most popular seem to be deferred loans, where students are responsible for repaying
tuition fees in the future. Deferred loans fall into two types, the ‘mortgage type’ and the ‘income contingent’ (ADB, 2009: 18).122 The latter is where students sign a
contract when they enter university and promise to pay a share of their earnings to particular investors for a fixed period after they graduate. Such policies are in operation
in Ethiopia, Botswana and Lesotho41 and seem to be the preferred option for many educationalists. Some countries such as Vietnam have comprehensive and complex
packages for charging fees and for fee reductions.73 Other innovations include dual track policies where a certain number of free (or almost free) places are offered based
on particular criteria, for example, performance related or means tested. Uganda, for example, retains government funding for a limited number of places and uses a
private entry fee paying scheme for the remaining places (Ibid.). Other types of dual rack systems involve variable fee rates where tuition fees are set differently for
different programmes of study. In China for example, fees for science and engineering are less than for languages and medicine.73 Rather than tuition fees, some countries
charge user fees. In Nigeria, student contributions are made through a variety of fees including examination fees, registration fees, library fees and hostel maintenance
fees, to name a few. In some cases, public private partnerships are being used to improve the efficiency of HE services provided to students such as meals, housing, and
transportation, such as those found in the Ivory Coast (see annex L). Such PPPs can ensure public expenditure is allocated as a priority to academic activities and research
rather than to the provision of services to students. In the USA, lotteries have become a significant source of funding for HE (Altman, 2010).123 HE has also been diversified
to offer lower cost and more effective delivery alternatives, such as distance education and private provision, which have been discussed elsewhere.

Marketisation has also become an important way for HEIs to generate revenue from private sources. In this sense, HE is seen as a commodity that can be sold. Strategies
include HE-owned for profit companies, co-ventures with private non HE institutions, attracting investment by international companies in HE franchises, the admission
of full fee–paying students, opening branches in other countries and franchised degree programmes or curricula. Many LMICs now host HEIs from MDCs or use foreign
curricula. They use this to gain prestige, attract more students and gain income. HEIs in MDCs also try to attract students, however, usually international students, to earn
profits by charging high fees.12

It is not just a case of attracting more private funding that is important but better allocating the public funding that is available. In a few cases, impressive reforms to
improve internal efficiency have been implemented, and governments are adopting more effective budget management practices, including formula, performance or
competitive funding. The Ghana Education Trust Fund (GET) described in annex M is an interesting example of one such innovation.

48
 Implications In terms of the financing of HE, the World Bank (2010)41 makes a strong case for a comprehensive approach combining a number of different methods to ensure more
financially sustainable HE systems. The way in which the measures are combined and the pace at which the reforms are implemented will depend on the situation and
constraints specific to each country. Experience shows that reforming the financing of HE is challenge, and can generate controversies, tensions and meet institutional
resistance. Therefore, policy makers should carefully present the arguments, assess the impacts of proposed solutions, and engage in a wide consultation so that
stakeholders are better informed. In addition, reforms should be implemented incrementally.122

8.8 RELEVANCE AND EMPLOYABILITY

Equipping its workforce with the right skills is an important part of LMICs’ efforts to accelerate economic growth and further modernisation. However, numerous reports
Issue

indicate mismatches between supply and demand of graduates in LMICs and consequently high graduate under and unemployment.

Innovations designed to better connect HE with the labour market are quite widespread and some examples of how developing nations have been trying to achieve this
Innovations

through partnerships with the private sector have been discussed previously in this guide. Other examples, which have been established in HICs but may have implications
for LDCs include national policies and close monitoring of the supply of demand for HE graduates. In Sweden for example, the National Agency for Higher Education
publishes an assessment of the future balance in the labour market. Annual reports have been published since 2003 indicating the proportion of university graduates that
have been successful on the labour market (12-18 months after graduation). In the case of surplus or shortage of graduates, the number of places offered in different
programmes is adapted.124 Governments have also set up enrolment quotas and/or provided scholarships for particular disciplines, in an attempt to incentivise the study
of certain subjects. For example, the UK Government provides additional funding support to broad subject areas that have been identified as both strategically important
to the country and vulnerable in terms of their longer term sustainability. These strategically important and vulnerable subjects (SIVS) include STEM, MFL and quantitative
social sciences.124 Botswana has a similar policy. Some HEIs work directly with the private sector to tailor the content of the courses it offers. The partnership between
the North Carolina Community College and the Manufacturing Association is acclaimed as an extremely successful example of collaboration.38 Many LMICs see
entrepreneurship as a way of reducing high unemployment rates and as central to economic growth and development and include it in the HE curricula. In Kenya,
entrepreneurship education is offered at undergraduate, graduate and PhD levels.107

A study by the IPPR (2013)125 found that many industries and businesses engage with universities only when it comes to recruitment. That is too far late to have any real
Implications

impact. They should be connected to what students learn from their first day on campus if they don’t want to be disappointed by a lack of skills upon graduation. However,
Gyimah-Brempong and Ondiege (2011)107 believe this is because most countries only really pay lip service to HE-industry links or when it suits them and it should be taken
more seriously. Much of the literature reviewed suggests that connecting HE to the labour market requires serious and concentrated national efforts and policy. Di
Gropello et al. (2011)73 advocates for more public intervention in HE to mend the disconnect between HE and industry. However, a recent empirical study by the British
Council (2015)94 involving young people found that HE may have to adapt to another new reality as students no longer see their future in conventional salaried
employment. Entrepreneurship and social enterprise have become the new valued areas of interest.

49
8.9 HUMAN CAPITAL FLIGHT
Student or graduate mobility and migration in the form of ‘brain drain’ is one of the reasons many donors shy away from extending aid to HE, as it was thought that
Issue

foreign study programmes combined with domestic universities producing larger number of graduates than the labour market could absorb, encouraged the migration
of the educated in LDCs to MDCs.

One way to alleviate the brain drain is to better connect HE to the labour market and improve the quality of HE in LDCs. More targeted attempts to ease student migration
Innovations

include UNESCO and Hewlett Packard’s Brain Gain Initiative (UNESCO-HP) which attempts to build a sustainable university e-structure for science involving Africa and the
Arab states and the Teacher Education in Sub-Saharan Africa initiative (TESSA). The IOM 2001 Migration and Development for Africa programme, emphasises short-term
visits and the transfer of knowledge through the internet and diaspora groups rather than focus on the permanent return of skilled migrants to developing nations in
Africa as has happened in the past. IOM and the Council for the Development of Social Science Research in Africa (CODESRIA) also has an initiative where diaspora
academics mentor post graduate students (CODESRIA). A paper by the United Nations Conference on Trade and Development (2007)126 summarises a number of options
that could be employed by both destination countries and countries of origin. The paper emphasises that policies in the country of origin need to encourage graduates
to stay in order to help in the development process. Examples of policies that could be introduced include tying HE funding to the proportion of graduates who work in
the country, selecting people to study abroad from only those who are currently employed in the country and holding their positions for them, forgiving or reducing
student loans for graduates who do not emigrate, and ensuring meritocracy in a transparent way in job markets.

International donors and national governments should always take into account the possibility of student migration in their policy and practice in HE capacity building.
Implications

However, a current study suggests that whether a country gains or losses in the brain drain depends on country-specific factors and there is no one size fits all solution.127
Therefore, the international community and policymakers should gauge the costs and benefits of the brain drain in their specific context in order to design appropriate
responses.

8.10 IMPROVING RESEARCH CAPACITY

Research is a core function of HE and a well-developed system for research and knowledge generation is important within the emerging knowledge economy. However,
Issue

limited investment in HE in LMICs has restricted their ability to fully participate in the global research community, and research output in terms of quality and quantity
is generally low (Di Gropello et al., 2011).73

50
 Innovations A number of initiatives have been undertaken to improve the research capacity of HE in LMICs. These include strengthening graduate study programmes, improving the
management of research, providing funding and linking with other institutions and academics to conduct research and exchange good practice and increasing the
distribution and access to academic journals. Some specific examples include the Irish Aid/Higher Education Authority project ‘’Doctoral Training for Development in
Africa Initiative,’’ (IE) aimed to build HEI research capacity specifically for poverty alleviation and the achievement of the MDGs. The project tested three different
models of partnerships, Africa led, bilateral and multilateral128 all of which proved successful. The South Africa–Netherlands Research Programme on Alternatives in
Development (SANPAD), a doctoral research preparation programme for candidates on the African continent, aimed especially at black women129 is another successful
example. The DfID funded Capacity Strengthening Initiative: UK-Africa Consortia with the Royal Society is aimed at funding scientists who want to develop collaborative
research consortia between the UK and SSA (Royal Society-DfID). Examples of innovative research networks include the Regional Initiative in Science and Education
(RISE) and the Collaborative Research Support Programs (CRSP) which is described in detail in annex N.

Evaluations of the doctoral training programmes conclude that their success was largely because they were mutually beneficial, locally led and based on a long term,
Implications

multi-source funding with capable partners and these areas should be taken into account when building research capacity. A study by the British Council (2015a)94 also
suggests that these are all major elements of effective partnerships for developing research capacity. In examining the challenges facing building research capacity for
development, specifically in Africa, Sawyerr (2004)130 concludes that there are two elements that need to be addressed. They include an active component (skills,
competencies, attitudes and values of researchers) and an environmental component (societal, institutional, material and management) - and initiatives which
selectively focus on only one of these will not transform the research scene. Only initiatives that address them all, Sawyerr (2004)130 argues, will remove the knowledge
deficit in HE in LMICs and yield substantial and immediate gains, and this should be taken into account.

8.11 IMPROVING TEACHING AND LEARNING QUALITY

The expansion of HE combined with the lack of funding has had an adverse effect on the quality of the programmes that HE in LDCs offer and there are concerns that
Issue

they are not producing the technical, behavioural, and thinking skills required to increase productivity and growth in the modern world.

Innovations to improve the academic capacity of HEI have focussed on new forms of teaching and learning for new students, new learning goals and new curricula. In
Innovations

recent years, there have been many attempts and regional partnerships designed to support improvements in the quality of teaching and learning in HEIs in LMIC
contexts, for example, the Inter-University Council for East Africa, 2010 (IUCEA). A number of donor projects have attempted to improve teaching quality, such as the
USAID funded Decentralized Basic Education Two (DBE2) project in Indonesia. The project responded to requests from a number of universities and developed a training
programme on teaching methodologies specifically for teaching in HE. The Active Learning for Higher Education (ALPHE) programme was developed in partnerships
with HEIs in Aceh and expanded to other provinces. By the end of the project in 2011, the programme had reached 117 HEIs. The final evaluation of the project found
that ALPHE had been very successful in improving practice and that many HEIs had institutionalised or integrated the programme into their own CPD training for lecturers
(USAID DBE2).

51
Implications Experience has shown that fostering academic capacity and quality in teaching in learning requires long term investment and that the results are not as immediate as
support for other components. A study by Schendel (2013) in Rwanda,131 clearly demonstrates the need for continued and sustained efforts at improvement. A review
of quality teaching in HE for the OECD by Henard and Roseveare (2012)132 found that fostering quality teaching in HE is a multi-level endeavour and requires support at
three inter-dependent levels: the institution wide level (management and government, policy design and quality assurance mechanisms), the programme level (actions
designed to measure and enhance the design, content and delivery of teaching programmes) and the individual level (helping lecturers to achieve their missions and
encouraging them to innovate and adapt student oriented practices). Innovations which focus on only one of these levels to the exclusion of the others may be doomed
to failure.

52
8.12 A COMBINATION OF INNOVATIONS
As this discussion has illustrated, a wide number of initiatives and innovations have been implemented
to reform HE. Whilst there is a large body of literature on the design and implementation of such
policies and programmes, robust empirical evidence on their impact seems to be lacking. However,
the evidence that is available suggests that one or two initiatives alone are insufficient to address the
challenges facing HE systems in LMICs and a combination is necessary. Exactly what innovation to
blend together is open to debate and will vary according to context. To identify the initiatives to take,
the World Bank (2010)41 stresses the need for countries and the international community to consider
the ‘feasibility of the reform’ and what will or will not work in specific contexts. Many LMICs already
combine initiatives. For example, the Botswana Government MOE HE education policy ‘Towards a
Knowledge Society’ incorporated a comprehensive package of reforms to HE (Botswana).

9. CONCLUSION
This topic guide has illustrated that higher education (HE) is distinctively positioned to make a positive
contribution to national economies and societies in the 21st Century and accordingly is now high on
the post 2015 development agenda for national governments and donors alike. However, in order to
successfully meet the new challenges and deliver on the demands they have been assigned, HE
systems cannot depend on 20th Century policies and practices. Multiple sectoral and institutional
changes and reforms are required. The pressures to reform are greater for LMICs because of the
uneven distribution of human capital and funds that already exist.

Not only are the catalysts for reform greater for LMICs but so are the challenges. What has become
apparent in this topic guide is that the challenges facing HE systems in LMICs are highly complex and
inter-related like a ‘knotted ball of string’.9 Mass enrolment has created a demand for expanded
facilities and more qualified staff. It has also resulted in a more diverse student body with different
needs and expectations. Expansion in demand has also created the need for new providers. System
growth requires additional funding and channels for obtaining it. All of this expansion and
diversification has generated concerns for quality. Overcoming these challenges is complex and will
involve massive expansion and restructuring of the HE systems in particular and, as this guide has
clearly demonstrated, of primary and secondary education as well. HE cannot be considered in
isolation from the lower levels of the education system: effective learning and equitable access in HE
are dependent on the foundations laid at primary and secondary levels, and quality of schooling
depends on effective training of teachers. Addressing all of these areas simultaneously is a significant
undertaking for governments in LMICs.

However, governments are not alone in this endeavour. Multilateral and bilateral donors can
complement efforts of national governments in LMICs to improve HE by providing funding and
educational resources or training senior HE staff on education management techniques, curricula
development or governance and administration. It is not just partners in the international
development community that can support improvements in the HE system. As this topic guide has
shown there are a variety of other potential partners in the private and public sector and in civil society
that can help increase the quality, relevance and effectiveness of HEIs and wider HE systems in LMICs.

What is clear is that governments and HE systems in LMICs have a lot of work ahead of them if HE is
to ultimately deliver on the demands laid at its door of ensuring a highly skilled workforce, a well-
informed and democratic populace, sustained economic growth, and sufficient technological
innovation to solve global problems such as environmental sustainability and population growth. We
hope that this guide can go some way towards inspiring dialogue about how this might be achieved.

53
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ANNEX A: RECOMMENDED READING
ABOUT HIGHER EDUCATION
 Altbach, P. G., Reisberg, L. and Rumbley, L. E. (2009) Trends in Global Higher Education: Tracking
an Academic Revolution. Paris: UNESCO.9 This document provides a very comprehensive and
accessible overview of the global forces impacting HE and discusses how HE in developed and
developing contexts has responded. It also examines potential future trends. Trends in Global HE

EVIDENCE OF IMPACT
 Oketch, M., McCowan, T. and Schendel, R. (2014) The Impact of Tertiary Education on
Development: A Rigorous Literature Review. London: Department for International
Development.50 This provides a useful overview of the literature available on the impact of higher
education for national development and includes insightful commentary on the quality and rigour
of the studies included. The Impact of Tertiary Education on Development
 Department for Business, Innovation and Skills (2014) The benfits of higher education
participation for indivduals and society: Key findings and reports ‘the quadrants’. This report
provides a good overview of the benefits of participation in higher education both for the
individual and society. The benefits are usefully divided into society, market, non-market and the
individual. The report provides many useful links to other studies too numerous to be included in
this topic guide. The benefits of HE Participation
 Majgaard K. and Mingat A. (2012) Education in Sub-Saharan Africa: A comparative Analysis. World
Bank40 Education in Sub-Saharan Africa This book analyses the education sector in SSA from a
cross-country perspective. Aimed at drawing lessons that individual country studies alone cannot
provide.
 Pillay P. (2011) Higher Education and Economic Development Literature Review. CHET21 This
literature review explores the relationship between HE and economic development. Higher
Education and Economic Development Literature Review
 Bloom, D., Canning, D. and Chan, K. (2006) Higher education and economic development in Africa.
Harvard University22 The authors review evidence about the impact that HE can have on economic
growth and poverty reduction, with a focus on SSA countries. HE and Economic Development in
Africa

POLICY ISSUES
 McCowan, T. (2015) Is there a Universal Right to Higher Education? British Journal of Educational
Studies, vol. 60, no. 2 pp. 111-128. This article provides an overview of the policy issues of the
purpose of HE and considers whether it should be a right that is available to all citizens or not. Is
there a Universal Right to HE?

BARRIERS
 Di Gropello, E., Tandon, P. and Yusuf, S. (2011). Putting higher education to work: Skills and
research for growth in East Asia. Washington, D.C.: World Bank.73 This is a comprehensive guide
examing HE in the developing countries of East Asia. Measures are proposed to help these
countries achieve rapid growth led by gains in productivity in a globally competitive environment.
Putting HE to work
 Fielden, J., and LaRocque, N. (2008) The Evolving Regulatory Context for Private Education in
Emerging Economies: Discussion Paper. The World Bank Group International Colloqium on Private
Education.133 This paper briefly examines international experience of regulating private education
at the school and HE level. The report includes a short discussion of the potential benefits of
increased private participation in education and proposes some possible good practice
propositions for governments to consider. Private Education in Emerging Economies

61
 Sawyerr, A. (2004) African Universities and the Challenge of Research Capacity Development.
JHEA/RESA Vol. 2, No. 1, pp. 211–240.130 This paper considers the context of African research and
environmental and human research capacity development. Challenges in developing long-term
knowledge generation and application capacities are considered and some programmes that are
helping to meet these challenges are described. African Universities

AID AND THE INTERNATIONAL DEVELOPMENT AGENICES

 USAID (2014) African Higher Education: Opportunities for Transformative Change for Sustainable
Development.66 This report is particularly useful as it reviews the evidence from a number of large
USAID funded HE projects in Sub-Saharan Africa and uses it to provide lessons learned and
concrete recommendations for how to effect positive transformation at both the system and
institutional level. USAID
 Creed, C,. Perraton, H. and Waage, J. (2012) Examining development evaluation in higher
education interventions: a preliminary study.83 This study surveyed a range of interventions in
higher education for international development from different agencies and presents a series of
helpful observations of the impact of different types of interventions. Examining Development
Evaluation

PARTNERSHIPS
 The Africa Unit (2010) Good Practices in Educational Partnerships Guide, UK-Africa Higher &
Further Education Partnerships. This document usefully provides a list and comprehensive
discussion of 10 main principles for establishing effective partnerships between HEIs, which can
be applied to any HE partnership. The Africa Unit.
 The British Council (2015) Bridging the Gap: Enabling effective UK-Africa University Partnerships,
British Council. This is a contemporary and relevant review of partnerships in HE. It provides a
brief but valuable discussion of the challenges and potential solutions for establishing effective
partnerships from empirical research with stakeholders. British Council

INNOVATIONS
The following are recommended as general texts, which review a range of case studies of innovations
and initiatives to improve HE capacity. The reader should engage with the resources referred to in
section 8 for more information and specific examples:
 The World Bank (2010) Financing Higher Education in Africa: This is a very useful review of a range
of options for the financing of HE. It usefully provides a number of different specific case studies
from developing nations in Africa. The World Bank
 Clifford M., Miller T., Stasz C., Goldman C., Sam C. and Kumar K. (2013) How effective are different
approaches to higher education provision in increasing access, quality and completion for students
in developing countries? Does this differ by gender of students? A systematic review. This review
is useful as it looks at a number of different approaches for increasing access to HE and includes
references to specific examples from around the World.
 Association of Commonwealth Universities. A website which is a good source of publications and
information on interventions/reforms in HE. ACU

62
ANNEX B: TERTIARY EDUCATION BY ISCED CLASSIFICATION LEVELS
ISCED level 5 programmes are typically practically-based and occupationally-specific and designed to
provide learners with professional knowledge, skills, and competencies, in preparation for the labour
market. Some level 5 programmes are designed to prepare learners for entry into other tertiary
education pathways. Level 5 programmes are a minimum of 2 years in duration, though most are less
than 3. Examples of level 5 education include (higher) technical education, community college
education, technician or advanced/higher vocational training, associate degree, or bac+2
(baccalauréat + 2).

ISCED level 6 programmes are Bachelor’s or equivalent level programmes, designed to give learners
the intermediate academic and/or professional knowledge, skills, and competencies necessary for a
first degree. While these programmes are typically theoretical in nature, some may include practical
components and are informed by research and/or professional practice. Level 6 programmes are
either academic or professional in orientation and are offered at universities or other equivalent
higher education institutions. Typically, the programme duration for Level 6 programmes is 3 to 4
years.

ISCED level 7 programmes are Master’s or equivalent level programmes, designed to give learners the
advanced academic and/or professional knowledge, skills, and competencies necessary for a second
degree (or equivalent qualification). These programmes include either theoretically-based and/or
professionally-based content and are often informed by research and/or professional practice. Some
include a significant research component, though this is not sufficient to lead to the award of a
doctoral degree. Level 7 programmes are either academic or professional in orientation and are
offered at universities or other equivalent higher education institutions. Typically, the programme
duration for Level 7 programmes is 1 to 4 years.

ISCED level 8 programmes are doctoral or equivalent level programmes, designed to lead to an
advanced research qualification. Level 8 programmes involve advanced study and original research in
both academic and professional fields and are only offered at research-oriented tertiary education
institutions, such as universities. Level 8 programmes must be at least 3 years in duration and
culminate in the submission of an original thesis, dissertation or equivalent written work of
publishable quality that will contribute to the knowledge base in a specific field in a significant way.
Examples of degree programmes classified as ISCED Level 8 include PhD, DPhil, D.Lit, D.Sc, LL.D,
Doctorate, etc.

63
ANNEX C: MISSIONS AND FUNCTIONS OF HIGHER EDUCATION
World Declaration on Higher Education for the Twenty-first Century: Vision and Action, UNESCO 19988

Article 1. Mission to educate, to train and to undertake research

We affirm that the core missions and values of higher education, in particular the mission to contribute
to the sustainable development and improvement of society as a whole, should be preserved,
reinforced and further expanded, namely to:
a) educate highly qualified graduates and responsible citizens able to meet the needs of all
sectors of human activity, by offering relevant qualifications, including professional training,
which combine high-level knowledge and skills, using courses and content continually tailored
to the present and future needs of society;
b) provide opportunities (espace ouvert) for higher learning and for learning throughout life,
giving to learners an optimal range of choice and a flexibility of entry and exit points within
the system, as well as an opportunity for individual development and social mobility in order
to educate for citizenship and for active participation in society, with a worldwide vision, for
endogenous capacity-building, and for the consolidation of human rights, sustainable
development, democracy and peace, in a context of justice;
c) advance, create and disseminate knowledge through research and provide, as part of its
service to the community, relevant expertise to assist societies in cultural, social and economic
development, promoting and developing scientific and technological research as well as
research in the social sciences, the humanities and the creative arts;
d) help understand, interpret, preserve, enhance, promote and disseminate national and
regional, international and historic cultures, in a context of cultural pluralism and diversity;
e) help protect and enhance societal values by training young people in the values which form
the basis of democratic citizenship and by providing critical and detached perspectives to
assist in the discussion of strategic options and the reinforcement of humanistic perspectives;
f) contribute to the development and improvement of education at all levels, including through
the training of teachers.

Article 2. Ethical role, autonomy, responsibility and anticipatory function

In accordance with the Recommendation concerning the Status of Higher-Education Teaching
Personnel approved by the General Conference of UNESCO in November 1997, higher education
institutions and their personnel and students should:
a) preserve and develop their crucial functions, through the exercise of ethics and scientific and
intellectual rigour in their various activities;
b) be able to speak out on ethical, cultural and social problems completely independently and in
full awareness of their responsibilities, exercising a kind of intellectual authority that society
needs to help it to reflect, understand and act;
c) enhance their critical and forward-looking functions, through continuing analysis of emerging
social, economic, cultural and political trends, providing a focus for forecasting, warning and
prevention;
d) exercise their intellectual capacity and their moral prestige to defend and actively disseminate
universally accepted values, including peace, justice, freedom, equality and solidarity, as
enshrined in UNESCO’s Constitution;
e) enjoy full academic autonomy and freedom, conceived as a set of rights and duties, while
being fully responsible and accountable to society;
f) play a role in helping identify and address issues that affect the well-being of communities,
nations and global society.

64
ANNEX D: RETURNS TO EDUCATION

Source: Psacharopoulos, G. (2006)23.

65
ANNEX E: CAPTURE OF HE BY ELITES

Most LMICs proclaim their citizens right to education as part of the constitution or as contained in
other laws but this guarantee usually does not mean that education will be supported at higher levels.
In the recent past, HE systems in most countries were clearly exclusive with access being restricted to
a very small proportion of the population – the ‘elites’ (defined as individuals of superior status be it
economic, political, educational, ethnic or otherwise).

Expansion of primary and secondary systems, the increasing need for HE qualifications on the job
market, the demand for social equity and the recognition of HE as critical for social mobility has moved
HE from an elite to a mass system. As HE expands to mass systems, so do opportunities for
participation for more of the population. However, despite overall rising enrolment in HE and the
demands for social equity, certain demographic groups remain under-represented in HE systems in
most LMICs. Depending on context, variables such as gender, wealth, location, race, ethnicity or
disability can disadvantage a person looking to participate in and complete HE programmes.

Although quantitatively speaking, access and enrolment have been improving in recent years for some
of these disadvantaged groups, it still does not mean that they have the same opportunities to access
the same HEIs. Research shows that marginalised populations attend particular types of HEIs and
programmes of study and these are typically those that offer fewer opportunities for employment and
future study. Furthermore, access to HE does not necessarily mean the same opportunities are
available to all equally. Research also repeatedly shows that disadvantged populations once enrolled,
are less likely to continue to degree completion than elites.9

In 2008 blacks who constitute 79% of the population in South Africa made up only 63% of the student
population in HEIs whereas whites who made up only 10% of the national population made up 24% of
the HE student population. Moreover, whites comprised 34% of all universities students whereas
blacks made up 50% but white enrollment in technical universities was as high as 77%. The structure
of enrollment suggests that black South Africans tend to enrol in less pretigious HEIs.107

There are a number of intersecting factors presenting barriers to these particular groups in achieving
equitable access to HE. These primarily include:
 Institutional admissions policies
 Funding mechanisms
 Earlier levels of education
 Traditional cultural values

As admission to HE is often based on academic performance, access to HE in general and to the best
HEIs in particular is determined by access to and quality of secondary schooling and therefore, is
skewed towards households with higher incomes or social connections that can afford to send their
children to the best secondary schools. Although this reliance on performance can ensure academic
standards of incoming students, it discriminates against students from the lower socio-economic
groups and those living in rural or remote areas where the quality of primary or secondary education
is generally lower due to poor resource inputs and who can not afford the spiralling costs of HE. These
issues are becoming more profound in light of the the recognition of the apparent link between HE
and economic competitiveness in the global knowledge economy18, as nation states are aiming to
increase the proportion of higher-level-educated individuals in the population, they want those most
likely to succeed, and the adoption of fee paying structures (Ibid.).

66
Socio-economic status:
Access to HE is often dependent on socio-economic status. In many LMICs, participation in HE is
dominated by students from the highest income quartiles. In a case study on Ghana and Tanzania, for
example, Morley (2012)134 found that students from low socio-economic backgrounds were under-
represented in all disciplines. Often public funding mechanisms serve to exacerbate such inequities by
providing free education to the highest performing students who invariably come from the wealthiest
households with access to the best secondary schools or even private tuition. Morley (2012)134 also
found that current schemes to assist people from disadvantaged backgrounds to enter HE are not
working and these groups need to be targeted more efficiently.

Ethnicity:
Not all races or ethnic groups have equal opportunities to access HE. Inequities by ethnic group often
start early in education and are most often further exacerbated in the transition to HE levels. For
example, Vietnam’s ethnic minorities have HE enrolment rates well below the national average (World
Bank, 2011). Inequities by ethnic group exist in secondary education, HE completion rates and in the
transition rate from secondary to HE compared to the majority.

Location:
Geography is often underestimated as a factor that limits equal participation in HE. HEIs are not evenly
distributed across a nation and are often located in urban centres. Rural populations therefore are far
more likely to be more distant to HEIs than urban ones, increasing costs related to transport,
accommodation and other related recurring costs. Indigenous populations are even more likely to live
in remote areas and this compounds the challenge of improving participation rates of these groups.

Disability:
Little is known about the state of participation in HE of students with disabilities. Categorising disability
and evaluating access is extremely difficult outside of isolated case studies.66 Morley (2012)134 found
that in Ghana and Tanzania, the facilities and programmes designed for students with disabilties did
little to support them. In a review of different approaches to improving access and completion of HE
in developing countrues, Clifford (2013)91 found that the lack of supporting infrastructure at HEIs
hampered the ability of students with a disability to maintain their place and to succeed and that those
that did had to rely on informal infrastructure.

Conclusion:
Policy makers are currently failing to address sufficiently the connection between education levels and
the need to address inequalities early and consistently. Equity statistics remain poor in most countries
and disaggregated data is the key to informing policy makers why certain groups are more vulnerable.

67
ANNEX F: GENDER IN HIGHER EDUCATION
Globally, there has been an increase in gender parity in gross enrolment leading many to believe that
HE is undergoing a process of feminisation.135 However, this is not the case universally. While overall
HE enrolment has increased, women are still underrepresented in certain disciplines, usually STEM
and finance, as they tend to enrol more in the humanities and social sciences91 and at the higher levels
of education that lead to greater earning potential (Sifuna, 2006)137. Moreover, patterns of
disadvantage and exclusion soon emerge when gender is intersected with socio-economic status and
other variables.135 The table below illustrates this on a global scale.

Ratio6 of female to male HE enrolment (%)

2008 2009 2010 2011 2012 2013
World 107.3 107.6 107.6 107.6 109.8 110.3
High income countries 125.2 125.9 126.2 126.0 125.1 123.5
Middle income countries 101.4 102.0 102.3 102.8 106.6 108.3
Low income countries 61.8 62.8 64.2 66.2 67.6 68.5
Source: World Bank’s World Development Indicators.

As the data shows, the ratio of females to males enrolled in HE is lower in MICs than in HICs and
significantly lower in LICs where there are fewer than seven women enrolled for every 10 men. While
HE continues to exclude capable and talented students because of their socio-economic status,
ethnicity, and rural residence (World Bank, 2012), these factors can be compounded by gender.
Therefore, women often find themselves doubly disadvantaged. Women students generally have
higher dropout rates than males due to cultural emphasis on the traditional role of women and their
family obligations, which is often in conflict with their desire to pursue advanced studies.136

In examining the situation in Kenya, Sifuna (2006)137 highlights some of the barriers that women face
in accessing and participating in HE. These include, but are not limited to low participation and high
failure rates in certain fields, such as medicine and engineering, high levels of sexual harassment,
resistance from families, lack of opportunities and prospects for future employment and prevailing
traditional and cultural views about educated versus non-educated women as wives and mothers.

6
Ratio of female to male tertiary enrolment is the percentage of women to men enrolled at tertiary level in public and private institutions

68
ANNEX G: THE MANAGEMENT AND GOVERNACE OF PRIVATE HEIs
According to human rights agreements, governments have an obligation to ensure that their citizens
receive a good education regardless of the source, be it public or private. This includes ensuring that
teaching staff, facilities, equipment and materials and monitoring, including quality assurance, are of
the best quality that can be provided with available funds in both the public and private sectors.

The regulation of private education is thus an important issue and can, when carried out correctly,
enable high quality delivery while simultaneously encouraging further investment. In a paper
examining the international experience of regulation of private education at the school and HE level,
Fielden and LaRoque (2008)133 demonstrate that government regulations often appear to favour
public over private provision in the absence of any public policy rationale. They also argue that the
regulatory and funding frameworks in many countries do not promote growth in private education
and likely reduce both the quality and sustainability of the private education sector and subsequent
benefits that such provisions could bring. For Altbach (2002)138 and Susanti (2010),81 entirely open HE
markets with no regulation undermine academic values and reinforce inequalities that already exist,
giving the most powerful education providers and individuals, unrestricted access, making it difficult
for countries, institutions, and individuals with limited resources to flourish. In many LMICs, a number
of new providers (including private for-profit institutions) have emerged to meet the burgeoning
demand for HE. Unfortunately, in several countries, this increase has coincided with a relaxing of state
regulation, rather than a concerted effort to improve the rigour and effectiveness of state regulation
mechanisms to achieve these dual goals of improved quality and further investment.67

69
ANNEX H: THE PARTNERSHIPS FOR HIGHER EDUCATION IN AFRICA
(PHEA)
In 2000 the Carnegie Corporation, Ford Foundation, MacArthur Foundation and the Rockefeller
Foundation launched the PHEA to coordinate their support for HE in Africa. The PHEA grants totalled
US$ 440 million over ten years up until 2010. The PHEA support was focused in nine African countries:
Egypt, Ghana, Kenya, Madagascar, Mozambique, Nigeria, Tanzania, South Africa and Uganda. The
PHEA aimed to provide direct support to HE, respond to Africa HEI demand, focus on a subset of HEIs
and treat consultation as key to effective support.

Most of the funding (84%) went directly to African grantees, including US$243 million in direct support
to universities and colleges. In responding to demands, grants to institutional development usually
supported priority areas identified by the universities themselves. Of the 65 HEIs supported, 27
received US$ 1 million or more. Seven received over US$ 10 million each. African regional networks
were the second largest type of grantee receiving just under US$61 million.

In 2010, the PHEA published a review of its decade of investment in African HE. In this review, the
PHEA cited among its accomplishments: enduring improvements in African HE, including the
development of a Bandwidth consortium; developing HE capacity to manage their IT networks; using
technology to improve teaching and learning; enhancing gender equity in enrolments and graduation
rates; improving access for marginalised groups; strengthening physical infrastructure; expanding the
capacity for policy research and advocacy; establishing new and more efficient systems for strategic
planning and financial management; supporting the development of advocacy and policy reforms
through the establishment of the HE Research and Advocacy Network (HERANA) including the creation
of University News; library automation and resource mobilisation; and helping to develop the next set
of African academics.

Top amongst the challenges identified by the PHEA for the near future was recruitment, development
and retention of African academics. In the view of the PHEA, efforts are needed to strengthen and
expand postgraduate capacity, including research productivity, to create institutional policies and
practices that nurture junior academics and to adopt natural policy and regulatory environments that
help build sustainable institutions and serve development needs.

Among the key lessons cited in the PHEA report were (a) that grants for institutional development
must support priority areas identified by the universities themselves, (b) the foundations determined
that a policy of going deeper rather than broader was more effective and, (c) a focus on institutional
development and transformation rather than sectoral or systemic was more effective.

Source: PHEA (2010)102

For more information and all publications from PHEA see http://www.foundation-partnership.org/

70
ANNEX I: HEI PARTNERSHIPS
The University of Jos in Nigeria identified the need to build the institutional capacity and infrastructure
for the prevention, management and resolution of conflicts. It spelt out its aim to reposition iteslf as
a centre for excellence in peace and confilct studies and a key reference point in Africa. The University
then embarked on a series of foundational activities which resulted in the establishment of the Centre
for Conflict Managament and Peace Studies (CECOMPS) in 2002. The estbalishment of CECOMPS was
a well though out plan that was factored into the ‘’Second Strategic Plan’’ of the University of Jos. The
University decided that it needed to enhance the capacity of CECOMPS for teaching and research in
peace and conflict studies.

A consultative mission met at the University of Jos. Its aim was to establish the needs and interests of
CECOMPS. One result was a proproasl for the upgrading of the Postgraduate Diploma in Peace and
Conflict Studies into a MA programme after two years of running. Whils this was thought to create a
great opportunity to enhance capacity building, it also posed several challenges. The biggest challenge
was how the capacity of the Centre would be enhanced to be able to undertake such an upgrade.

A consultative workshop prepared the University of Jos to articulate its needs, strengths, limitations
and future directions.

The University of Jos then decided that its aim of being a centre of excellence in peace and conflict
studies could best be achieved through a partnership programme. Given that the University of
Bradford has a long tradition of exposure and excellence as the world’s leading and largest department
in peace studies, with a unique advantage of an Africa Centre, it was considered a suitable partner.
The partnership was considered to be a means of strengthening the Africa programme of Bradford,
while allowing the University of Jos to beneift from the academic excellence of the University of
Bradford’s peace studies department.

Source: Wanni et al. The Africa Unit (2010: 23)87

71
ANNEX J: PRIVATE HEIs IN BRAZIL
While enrolments in private institutions are growing across the world, there are still significant
differences across countries in terms of the size and quality of the private sector.

With 74% of all enrolments in private HEIs, Brazil is a critical case in point. The country traditionally
had a small number of mainly Catholic private institutions, but from the 1990s, a new breed of private
institution started to emerge: teaching focused, commercialised, highly attuned to the market and
able to expand in a short time-span. Their main function was to absorb the excess student demand
from the public sector.

This rapid expansion -- facilitated by the neoliberal policies of the administration in the 1990s --
enabled a rapid increase in access to HE with some 4,966,000 of a total of 6,740,000 students enrolled
in private institutions in 2013. Yet opinions are divided as to the desirability of this form of expansion
(McCowan, 2007). First, many of these institutions are little more than high schools, with poor
facilities, uneven quality of teaching, and mainly part-time hourly paid staff. Regulation has proved a
challenge for the Brazilian authorities, particularly on account of the financial interests at stake.
Second, the growth of the private sector has led to a stratification of opportunity, with the lower cost
institutions generally providing a lower quality experience or at least lower prestige of qualification
on the job market. Third, there are concerns over transfer of public funds (in the form of loans and tax
breaks) to the private sector, particularly in light of the fact that the majority of these institutions are
for-profit. Given the apparent dependence of society on the private institutions for absorbing demand,
and the limited ability of the public sector to expand, these tensions are unlikely to be resolved in the
short term.

Source: Schendel and McCowan (2015)68

72
ANNEX K: FOUR MODELS OF MANAGEMENT AND GOVERNANCE OF
HE SYSTEMS
Governance provides the institutional environment within which the educational enterprise functions.
Efficiency in both system and institutional governance is necessary for the educational system to
produce the desired results. Good governance includes promoting quality, responsiveness,
transparency and accountability in the sector as well as providing it with appropriate standards,
incentives and information. The governance of a HE system in a country is a tricky business. On the
one hand, the need to produce skilled labour to meet development needs, the amount of public
resources devoted to providing HE and the political power that students in HEIs wield suggest the
need for government control of HEIs. On the other hand, the need for academic freedom, the freedom
to innovate in both teaching and research and the ability to respond to changing environments suggest
these institutions need to be free from political control as much as possible. The governance structure
of HE that emerges is a balance between these contrasting forces. While some countries set up
structures that allow for central government direct control, others set up buffers between the political
administration and the governance system.

GOVERNANCE STATUS OF PUBLIC UNIVERSITIES EXAMPLES

MODEL

State control An agency of the MOE or state owned corporation Malaysia

Semi autonomous An agency of the MOE, a state owned corporation or New Zealand
a statutory body France
Semi independent A statutory body, a charity or a non profit corporation Singapore
subject or MOE control
Independent A statutory body, a charity or non profit organisation Australia
with no government participation or control but UK
linked to national strategies and related only to public
funding
Source: Adapted from Fielden (2008)82

The simple typology presented above represents just four models of governance from Fielden (2008)82
which is based on the degree to which the political system has direct control of the decision making
process in HE. However, even these extremes are not simple black and white. Within the state control
model there has to be some freedom as a central ministry cannot control everything and within the
independent model there is an implicit acknowledgement that the MOE is entitled to hold the
institution accountable in many respects and must retain overall strategic control of the sector.

73
ANNEX L: PUBLIC PRIVATE ALLIANCE IN THE IVORY COAST
In the Ivory Coast, innovative experiments have been tried with a view of involving small private
operators in student catering and services without the states’ financial participation. To that end,
partnerships have been developed with the private sector and areas have been developed (with
water, power supply and sewage), for instance, at the public university of Abobo Adjame, where the
private operators set up facilities complying with technical specifications drawn up by the university
administration. These specifications may include a standard installation layout, the services
authorised, opening hours, quality standards and the obligation to provide at least one dish as a
minimum price charged in a traditional university restaurant. In such cases, the role of public
authorities consists essentially of defining the framework of operations and ensuring compliance with
the technical specifications.

Source: The World Bank (2012)

74
ANNEX M: THE GHANA EDUCATION TRUST FUND
In 2000 the Ghanaian Parliament established the Ghana Education Trust (GET) Fund as a means of
financing a more rapid expansion of the country’s education system than was possible on the basis of
the Government budget alone. The fund was capitalised by increasing the existing value added tax by
2.5%. These revenues were adding earmarked for capital projects in the education sector, and their
use for recurrent expenditures such as salaries is prohibited. By 2007, the GET Fund was generating
approximately US$ 200 million annually. HE has received roughly 45% of GET funds since its inception.

The beneficiaries are the staff and students of Ghana’s HEIs. GET funding has been used to construct
educational facilities, capitalise a student loan programme, provide scholarships for poor students,
staff development, expand ICT infrastructure and support research and teaching activities, particularly
the expansion of post graduate programmes and distance education.

The Fund is governed by an independent board of trustees accountable to Parliament and managed
by a Government appointed administrator. Each year the fund’s allocation and its specific uses are
approved by Parliament to ensure they address the nation’s most pressing educational needs.

Source: The World Bank (2010)41

75
ANNEX N: THE COLLABORATIVE RESEARCH SUPPORT PROGRAM
USAID’s Collaborative Research Support Program (CRSP), has been running for over 30 years. It
engages US HEIs and DC partners in research capacity building. In 2013 the programme was renamed
the ‘Feed the Future Innovation Labs for Collaborative Research’. It is a collection of programmes
which, at its core, has a collaborative relationship between HEIs in the US and DCs, including HEIs,
research institutions, international research centres, NGOs and private sector entities. Collaborators
conduct research on specific development programmes in LMICs and in doing so assist USAID in
carrying out the international food and agricultural mandate. The programmes support long term
commitments to partnerships that build human and institutional capacity through collaborative
research directed at solving development problems in the host country.

In 2012, a review of the CRSP was commissioned by the Board for International Food and Development
(BiFAD) with support from USAID and with a broad mission to review and evaluate the programme as
a potential model for research capacity building. In doing so it was to assess other models in order to
compare their performance.

The report identified a number of strengths of the programme including strong integration of
development research and human and institutional capacity building; an interdisciplinary approach
that enables the programmes to draw on a variety of analytical approaches, the ability to attract world
class scientists in many cases, mutual benefit of the research to US and host countries; substantial
leveraging of external resources; broad engagement with 6 US HEIs and 200 agricultural research
institutions and significant positive impacts on people’s lives and economic well being.

The report also identifies a number of weaknesses to the programme. Most relevant included the
need for more systematic priority setting and aligning of priorities with national and regional
development agendas and strategies; the spread of funding to too many small projects; the lack of
sufficient USAID oversight and coordination between Washington and the Missions; not enough
institutional capacity building with training being done without a clear understanding of institutional
performance gaps and not enough investment in rigorous assessments of impact.

Source USAID (2014)66

See also CRSP Review

76