Competitive Innovation Funds: Linking Research and Education

1. Competitive Innovation Funds: Linking Research and Education Funding of HigherEducation Yerevan, Armenia September 8-9, 2011 C. César Yammal

2. What is a Competitive Innovation Fund? Higher Education Institutions Government World Bank C.I.F. Private funds Others Demand-responsive on competitive basis National development through a knowledge-based economy Intended to improve tertiary educational quality, assisting institutions Pool of discretionary, earmarked funds Aimed to encourage institutional and national innovation, qualitative changes and management within tertiary education systems It is a highly effective mechanism for improving the transparency and efficiency of the budget allocation process. However, a C.I.F has limited capacity to promote system-wide restructuring or policy reform.

3. Eligibility and Selection Criteria Eligibility Selection Execution and results Projects Higher Education Institutions The best projects are identified using a pre-defined set of criteria In order to compete for funds, institutions must be aligned with competitive fund’s policy • Feasibility • Expected benefits/ impact • Innovative Nature • Strategic plans • Accreditation • Counterpart funding

4. Competitive Funds in World Bank’s Projects Over the past 20 years the World Bank has acquired extensive experience in the use of CF across the world. 1992/95 1996/2000 2001/05 2006/10 Source: Saint, William; 2006 World Bank – Project Appraisal Documents

5. Competitive Funds in U.S. and England Competitive or innovation funds for higher education have also been initiated and financed directly by governments • Sources: • FIPSE document  - Comprehensive Program - FY 2010 New Grant Awards by Grantee • Higher Education Innovation Fund round 3 - Funding allocation document

6. Competitive Fund Comparisons Source: Saint, William; 2006 ; World Bank ‘s Project Appraisal Documents

7. Windows of Funding Funds are sub-divided into specific lines of funding earmarked for certain purposes and/or types of beneficiary institutions. Source: Saint, William; 2006 ; World Bank ‘s Project Appraisal Documents • Common windows focus on projects related to undergraduate and graduate level education, as well as touniversity management • There is also scope for local and sui generis windowsaccording to specific country needs • Generally, fewer windows are preferable to more windows

8. CIF’s objectives in Ghana and Chile GHANA’s Teaching and Learning Innovation Fund (TALIF) CHILE’s Competitive Fund for the improvement of the quality and performance of Higher Education (MECESUP) Contribute to the development of higher education institutions: Technical education Undergraduate education Post-graduate education, preferably at the doctoral level and related innovative research • Improve the quality of teaching and learning • Sharpen the relevance and skills content of polytechnic education • Improve the efficiency with which tertiary institutions manage academic programmes • Expand access to strategically important post-graduate programs • Tackle the problem of HIV/AIDS

9. Post-graduate objectives and outcomes in Ghana Specific objectives Expected outcomes Improved academic staff qualifications, and updated staff skills Increased output from existing postgraduate programs where priorities have been identified New postgraduate programs in new priority areas. • Enhance the quality and increase efficiency of existing programs • Develop new and relevant programs

10. Examples of funded post-graduate projects in Chile • New Ph.D. Program in Education Objective: To promote the academic and scientific development of professionals in education and enhance regional human capital in accordance with national and international standards.  Activities: Design of an innovative curriculum for the Ph.D. in Education, and definition and establishment of the program's academic, administrative and financial management structure. 3-year funding: US$ 89,000. • Consolidation of the School of Medicine’s research groups Objective: To strengthen the research “nucleus” through the incorporation of professional researchers in strategic priority areas (oncology and neurosciences) relevant to Chilean epidemiology. Activities: Hiring of two researchers with Ph.Ds. and post-doctorate experience. Hiring of two post-docs. International projection through post-doctoral fellowships for three doctoral graduates. Develop a new area of research, sending a student to do a doctorate abroad on medical imaging. 3-year funding: US$ 850,000

11. Main characteristics of post-graduate windows • Capacity building • Staff development • Subsidies covering from post-graduate studies to hiring academic staff • Open competition for scholarship and hiring opportunities • Creation of new doctoral and masters programs in natural and social sciences • Strengthening of existing doctoral and masters programs • New course offerings • International links/ attraction of international students • Establishment and strengthening of doctoral program networks • Research activities • Renovation and consolidation of research teams • Applied research and human capital formation in areas of economic importance • Research equipment • No funding for ongoing research activities • Eligibility criteria for post-graduate programs • Accredited

12. University staff development in Chile • Doctoral fellowships for full-time staff • National programs • Full-time dedication to the study program • In a different university • Open call for candidates at the institutional level • 50% of tuition fees plus living costs • 4 years maximum • Foreign programs • Similar to national programs • Coverage of round-trip travel costs • Master fellowships for full-time staff • National and foreign programs • Similar to doctoral fellowships, but • Lower living expense coverage • 2 years maximum • Doctoral and master’s student scholarships • No contractual relationship with proponent university • Open call for candidates • Final decision on candidates by National Post-graduate Accreditation Commission

13. University staff development in Chile (continued) • Post-doctoral scholarships for university staff • Full time staff recently graduated as Ph.D. • In foreign universities • Costs covered on case-by-case basis • Short stays abroad • Doctoral students in supported, national programs • Selection based on work program and budget • Costs covered on case-by-case basis • Hiring of university staff • Having a Ph.D. degree • To create a new full-time dedication position • By hiring a person external to the university • By transforming a partial dedication or non-permanent post • Up to 80% of staff salary for up to 2 years (university takes over salary payments) • Hiring of post-doctoral staff • Up to 80% for up to 3 years

14. Feasibility Study Concept Paper Operational Manual CIF Establishment Moving to Armenia: Phases for the development of a CIF • Strategic elements: • Windows of funding • Sustainability • M&E • Diffusion and transfer of achievements • Integration of education, research and labor market • Identification of legislative changes needed and recommendations • Organizational set-up • Staffing • Training • Call for proposals • Funding • Review of legislative documents, current system of HE financing, budgets, strategic development plans • Meetings with HE authorities, line ministries, private sector, universities • Focus Groups and surveys • Development of draft OM • Presentation of OM to stakeholders • Legislative package

15. Questions for discussion • Can you think of alternatives to the examples shown to promote the integration of education and research? • Typically, governments support research funds which provide grants to researchers to carry out research activities and train young scientists… • Is this model good enough? • Are there experiences that emphasize the educational aspects of grants? • Which would be key elements to promote the integration of research and education in Armenia, considering the University-Academy of Sciences’ Institutes “divide”? Thanks for your participation! cesar.yammal@innovosgroup.com