The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) REPORT NO.: RES50441 RESTRUCTURING PAPER ON A PROPOSED PROJECT RESTRUCTURING OF EASTERN AND SOUTHERN AFRICA HIGHER EDUCATION CENTERS OF EXCELLENCE APPROVED ON MAY 26, 2016 TO FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA, REPUBLIC OF RWANDA, REPUBLIC OF MOZAMBIQUE, MALAWI, UNITED REPUBLIC OF TANZANIA, REPUBLIC OF UGANDA, REPUBLIC OF ZAMBIA, REPUBLIC OF KENYA EDUCATION EASTERN AND SOUTHERN AFRICA Regional Vice President: Victoria Kwakwa Country Director: Boutheina Guermazi Regional Director: Daniel Dulitzky Practice Manager: Muna Salih Meky Task Team Leaders: Roberta Malee Bassett, Huma Ali Waheed The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) ABBREVIATIONS AND ACRONYMS ACE Africa Higher Education Centers of Excellence ACALISE African Centre for Agro-ecology & Livelihood Systems ACE-DS African Centre of Excellence for Data Sciences ACEESD African Centre of Excellence in Energy for Sustainable Development ACEIDHA Africa Center of Excellence for Infectious Diseases of Humans and Animals ACEITLMS African Center of Excellence for Teaching and Learning Mathematics and Science ACEIoT African Centre of Excellence in Internet of Things ACEPHEM Centre for Public Health and Herbal Medicine ACESM The Copperbelt University Africa Centre of Excellence for Sustainable Mining ACEWM ACE for Water Management AF Additional Financing Aquafish Centre of Excellence for Aquaculture and Fisheries Science ARCE African Railway Center of Excellence CDT-Africa Centre for Innovative Drug Development & Therapeutic Trials for Africa CESAAM Centre of Excellence in Sustainable Agriculture & Agribusiness Management Climate SABC African Centre of Excellence for Climate Smart Agriculture and Biodiversity Conservation CREATES Collaborating Centre for Research, Evidence, Agricultural Advancement & Teaching Excellence & Sustainability CS-OGET Center of Studies in Oil and Gas Engineering and Technology DLI Disbursement Linked Indicator DLR Disbursement Linked Result IDA International Development Association INSEFOODS Sustainable Use of Insects as Food and Feeds IRPM&BTD African Centre of Excellence for Innovative Rodent Pest Management & Biosensor Technology Development IUCEA Inter-University Council of East Africa KPI Key Performance Indicator LUANAR Lilongwe University of Agriculture & Natural Resources MAPRONANO Centre of Materials, Product Development & Nanotechnology MaRCCI Makerere University Regional Centre for Crop Improvement NSC National Steering Committee NMAIST Nelson Mandela African Institution of Science & Technology PDO Project Development Objective PHARMBIOTRAC Pharm-Biotechnology & Traditional Medicine Centre PhD Doctor of Philosophy PTRE Centre of Excellence in Phytochemicals Textiles and Renewable Energy RFU Regional Facilitation Unit RSC Regional Steering Committee SACIDS Southern African Centre for Infectious Disease Surveillance STEM Science, Technology, Engineering and Mathematics WISE FUTURES Water Infrastructure & Sustainable Energy Centre for the Futures The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) BASIC DATA Product Information Project ID Financing Instrument P151847 Investment Project Financing Original EA Category Current EA Category Partial Assessment (B) Partial Assessment (B) Approval Date Current Closing Date 26-May-2016 31-Dec-2025 Organizations Borrower Responsible Agency Federal Democratic Republic of Ethiopia,Ministry Of Finance and Economic Planning, Republic of Rwanda,Ministry of Economy and Finance, Republic of Mozambique,Ministry of Finance and Economic Affairs, Malawi,Ministry of Finance and Planning, United Republic of Tanzania,Ministry of Finance, Planning and Economic Development, Republic of Uganda,Ministry of Finance, Republic of Zambia,National Treasury, Republic of Kenya Project Development Objective (PDO) Original PDO To strengthen selected Eastern and Southern African higher education institutions to deliver quality post-graduate education and build collaborative research capacity in the regional priority areas. OPS_TABLE_PDO_CURRENTPDO Summary Status of Financing (US$, Millions) Net Ln/Cr/Tf Approval Signing Effectiveness Closing Commitment Disbursed Undisbursed IDA-71650 21-Jun-2022 01-Aug-2022 17-Nov-2022 31-Dec-2025 20.00 0 20.11 IDA-E0870 21-Jun-2022 08-Jul-2022 03-Oct-2022 31-Dec-2025 10.00 4.19 5.66 IDA-E0880 21-Jun-2022 01-Aug-2022 17-Nov-2022 31-Dec-2025 10.00 2.47 7.52 The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) IDA-E0890 21-Jun-2022 20-Jul-2022 22-Dec-2022 31-Dec-2025 30.00 2.47 27.39 IDA-57940 26-May-2016 15-Jun-2016 13-Oct-2016 31-Dec-2023 24.00 18.81 4.93 IDA-57960 26-May-2016 17-Jun-2016 17-Oct-2016 31-Dec-2023 20.00 19.42 .61 IDA-57970 26-May-2016 17-Mar-2017 20-Jul-2017 31-Dec-2023 24.00 23.07 .57 IDA-57980 26-May-2016 04-Jul-2016 01-Feb-2017 31-Dec-2023 18.00 16.94 .70 IDA-57990 26-May-2016 28-Jul-2016 26-Jan-2017 31-Dec-2023 24.00 21.38 2.18 IDA-58020 26-May-2016 05-Aug-2016 05-Dec-2016 31-Dec-2025 12.00 10.74 1.21 IDA-58030 26-May-2016 11-May-2017 26-Oct-2017 31-Dec-2023 12.00 10.94 1.11 IDA-58090 26-May-2016 24-Jun-2016 14-Mar-2017 31-Dec-2025 6.00 3.07 2.83 IDA-D1150 26-May-2016 11-Jul-2016 04-Oct-2016 31-Dec-2025 8.00 8.03 0 Policy Waiver(s) Does this restructuring trigger the need for any policy waiver(s)? No The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) I. PROJECT STATUS AND RATIONALE FOR RESTRUCTURING A. PROJECT STATUS 1. The Eastern and Southern Africa Higher Education Centers of Excellence Project (ACE II) aims to strengthen selected Eastern and Southern African Higher Education Institutions to deliver quality post-graduate education and build collaborative research capacity in the regional priority areas, agriculture, education, health, industry and applied statistics. It supports eight countries: Ethiopia, Kenya, Malawi, Mozambique, Rwanda, Tanzania, Uganda and Zambia. The project supports twenty-four Africa Centers of Excellence (ACEs) which were selected from the eight participating countries following a competitive and transparent process. ACE II is governed by a Regional Steering Committee (RSC) which comprises representatives from participating countries, private sector and regional higher education bodies. Each country has constituted a National Steering Committee (NSC) to facilitate and monitor implementation at the country level. At the regional level, implementation is coordinated by a Regional Facilitation Unit (RFU), the Inter- University Council of East Africa (IUCEA). The project in the total amount of IDA US$148 million was approved on May 26, 2016. Additional Financing (AF) in the amount of US$70 million was approved in December 2022 to support an additional six ACEs focusing on agriculture in Malawi and Mozambique. 2. Progress towards achievement of the Project Development Objective (PDO) is on track. The ACEs continue to perform well on all five PDO indicators related to regional and national student enrolment, Memorandum of Understanding (MoU) on partnerships, accreditation of programs, and direct project beneficiaries. All Intermediate Results (IR) indicators under Component 1 on Strengthening Africa Centers of Excellence (ACEs) in Regional Priority Areas have been achieved, except the new indicator, “number of collaboration activities without a formal MoU”, which was introduced during the project restructuring in December 2020. Most of the IR indicators for the RFU under Components 2 and 3 have already exceeded the end target (events to foster partnerships between ACEs and private sector/industry, knowledge sharing events, and biannual reporting on M&E of the ACEs), except the one on “reporting by ACEs on beneficiary satisfaction” which is on track for achievement (Refer to Annex C for progress on results framework). 3. Component 1: Strengthening Africa Centers of Excellence (ACEs) in Regional Priority Areas (US$200 million). This component disburses funds to the ACEs based on achievement of results. Overall, 89 percent of funds allocated for the original set of 24 ACEs (US$140 million) has been disbursed for achievement of results linked to increased (i) enrollment of local and regional students in masters and PhD programs; (ii) accreditation of programs; (iii) number of publications; (iv) number of partnerships; (v) international academic exchanges conducted; (vi) external revenue generation; and (vii) benchmarking exercise (See Table 1 for the list of Disbursement Linked Results (DLRs)). The penultimate round of verification of results has been completed and the disbursements for the amounts cleared in the round are currently underway (refer to Annex D for a detailed description of Disbursement Linked Results (DLRs)). The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) Table 1. List of DLRs Disbursement Linked Results (DLRs) Original allocation per ACE (USD) DLI 1: Institutional readiness 1,100,000 DLI 2: Excellence in education and research capacity and development impact 4,300,000 DLR 2.1: Timely annual implementation of the plans dropped DLR 2.2: Newly enrolled students in the ACE of which at least 20% must be 1,300,000 regional (African) students DLR 2.3: Accreditation of quality of education programs 600,000 DLR 2.4: Partnerships for collaboration in applied research and training 200,000 DLR 2.5: Peer-reviewed journal papers or peer-reviewed conference papers 500,000 prepared collaboratively with national, regional or international co-authors DLR 2.6: Faculty and PhD student exchanges to promote regional research and 700,000 teaching collaborations DLR 2.7: External revenue generation 900,000 DLR 2.8: Institution participating in benchmarking exercise 100,000 DLI 3: Timely, transparent and institutionally reviewed Financial Management 300,000 DLI 4: Timely and audited Procurement 300,000 4. Component 2: Capacity Building Support to ACEs through Regional Interventions (US$ 10 million) Under this component, IUCEA convened private sector players, entrepreneurs, policy makers, innovators, Entrepreneurship Support Organizations (ESOs), researchers, university leaders and development partners with the aim to (i) strategize on the establishment of strong partnerships between universities and public and private sectors to produce the skills required by the labor market, (ii) provide a conducive governance and structural environment to streamline industrial engagement, establishment of incubation centers and innovation hubs leading to business spin-offs, and (iii) encourage academicians to develop enterprises through knowledge transfer and commercialization. With support from this component, IUCEA also awarded scholarships to 60 female students under the parent project. Another 60 students have been selected under the AF for scholarships. 5. Component 3: Facilitation, Coordination and Administration of Project Implementation (US$8 million) Under this component, IUCEA successfully launched a Monitoring and Evaluation (M&E) portal, conducted third-party verification for the Disbursement Linked Indicators (DLIs), conducted capacity building for IUCEA staff, and organized semi-annual technical and advisory meetings with participation of the ACEs to promote knowledge sharing among ACEs, strengthen academic networks among them and discuss strategies on the sustainability of the ACEs beyond the project cycle. 6. Project Management. Project management by IUCEA has been effective. M&E capacity has improved, and the ACEs are reporting their data in a timely manner. Operation of the National Steering Committees (NSCs) have also improved after the financing for managing the NSC was allocated. Finally, after the nomination of the permanent chair of the RSC, the RSC meetings have been effectively organized. B. RATIONALE FOR RESTRUCTURING 7. Overall, the ACEs have performed well in improving the quality of higher education and research in priority sectors of the region. However, during implementation, variations in performance of the ACEs have emerged. Based on the The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) findings of the penultimate round of verification of results, some ACEs have far exceeded the targeted results while others have lagged behind. This was an expected outcome of the project given the focus on building excellence. In line with the results-based approach of the project which rewards performance, this restructuring proposes to reward ACEs that have overachieved on DLRs, reallocating away from those that have not been able to fully achieve results as planned. See section II below for the changes. 8. The reallocation across ACEs will be made only across DLR 2.3 and would not results in change in the total amount allocated to a DLR. 9. In addition, in two countries (Ethiopia and Uganda), ACEs have not been able to achieve the targeted results for DLRs 2.8 and 3.2 at the aggregate level due to policy related challenges at the university level that are beyond the scope of the project.  DLR 2.8 (Institutions participating in benchmarking exercise, US$100,000 per ACE). The benchmarking exercise required data submission from the University level. The three ACEs in Addis Ababa University, Ethiopia - African Railway Center of Excellence (ARCE), Centre for Innovative Drug Development & Therapeutic Trials for Africa (CDT-Africa), and ACE for Water Management (ACEWM) – were unable to meet the data submission requirements due to lack of proper databases at the university level which the supported ACEs did not have control over. Similarly, data privacy guidelines of Makerere University, Uganda prevented Makerere University Regional Centre for Crop Improvement (MaRCCI) and the Centre of Materials, Product Development & Nanotechnology (MAPRONANO) from submitting the required data to achieve the DLR.  DLR 3.2 (Functioning audit committee under each Eastern and Southern African Higher Education Institutions, US$75,000 per ACE). DLI 3.2 requires 70 percent of all internal and external audit issues to be addressed by the management for the Higher Education Institution (university) that hosts the ACE. In Ethiopia, this has been unachievable due to the audit practices of the country under which audit observations date back to establishment of the universities. It was not possible to resolve these within the scope of this project and is outside the control of the ACEs hosted by the universities. This restructuring proposes reallocating funds allocated for DLR 3.2 to DLR 2.4 (Partnership for collaboration in applied research and training). II. DESCRIPTION OF PROPOSED CHANGES 10. Given the variations in performance between ACEs and the constraints to full achievement of some DLRs described above, the following changes are proposed. Reallocation of funds across DLRs 11. Ethiopia. The proposed restructuring would include the following: a. Reallocation of US$300,000 from DLR 2.8 (Institutions participating in benchmarking exercise) to DLR 2.5 (Peer reviewed journal papers or peer-reviewed conference papers prepared collaboratively with national, regional, and international authors) for ARCE, CDT-Africa and ACEWM. An additional US$100,000 will be available to the three ACEs to claim against achievement of DLR 2.5. b. Reallocation of US$300,000 from DLR 3.2 (Functioning audit committee under each Eastern and Southern African Higher Education Institutions) to DLR 2.4 (Partnership for collaboration in applied research and training) for ARCE, CDT-Africa, ACEWM, and Africa Centre of Excellence for Climate Smart Agriculture and Biodiversity Conservation (Climate SABC). Consequently, an additional amount of US$75,000 will be The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) available to each of the four ACEs in Ethiopia to claim for additional partnerships for collaboration in applies research and training. 12. Uganda. The proposed restructuring would include reallocation of US$200,000 from DLR 2.8 (Institutions participating in benchmarking exercise) to DLR 2.2 (Newly enrolled students of which 20 percent are regional (African) students) for MaRCCI and MAPRONANO. An amount of US$100,000 will be available to both these ACEs to claim for additional enrollments. Reallocation of funds across ACEs The following are the changes to reward overachievement of some ACEs and the consequent readjustment for funds available to those that have lagged behind in achieving the results. These changes do not require amendments to the legal agreements since the overall amounts available for the DLRs at the country level are not changing. 13. Ethiopia. Under DLR 2.3 (Quality accreditation for education programs), ACEWM has overachieved on achieving international accreditation of its programs whereas ARCE and Climate SABC have lagged behind. As a result, this restructuring proposes reallocating US$300,000 from both ARCE and Climate SABC to ACEWM. This would result in increasing the allocation of ACEWM by US$600,000. 14. Uganda. Under DLR 2.3, MAPRONANO and Pharm-Biotechnology & Traditional Medicine Centre (PHARMBIOTRAC) have overachieved on receiving accreditation for their programs while MaRCCI has lagged behind. This restructuring proposes reallocating US$450,000 from MaRCCI and splitting it equally between MAPRONANO and PHARMBIOTRAC increasing their allocation by US$225,000 each. 15. Tanzania. Under DLR 2.3, Water Infrastructure & Sustainable Energy Centre for the Futures (WISE FUTURES) has overachieved, and African Centre of Excellence for Innovative Rodent Pest Management & Biosensor Technology Development (IRPM&BTD) has underachieved. The restructuring proposes reallocating US$300,000 from IRPM&BTD to WISE FUTURES. 16. Rwanda. Under DLR 2.3, the African Centre of Excellence for Data Sciences (ACE-DS) has overachieved while the remaining three ACEs have not fully achieved results. This restructuring proposes reallocating US$250,000 from both African Centre of Excellence in Energy for Sustainable Development (ACEESD) and African Centre of Excellence in Internet of Things (ACEIoT) and US$150,000 from African Center of Excellence for Teaching and Learning Mathematics and Science (ACEITLMS) to ACE-DS. This would result in an increased allocation of US$650,000 to ACE- DS. Table 2. Overall changes following current restructuring (Ethiopia) DLR Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after first ARCE CDT Africa Climate ACEWM allocation allocation restructuring SABC after first after current (in USD) restructuring restructuring (in USD) (in USD) DLR 1.1 600,000 No change No change No change No change 2,400,000 No change DLR 1.2 500,000 No change No change No change No change 2,000,000 No change DLR 2.1 Dropped No change No change No change No change 0 No change DLR 2.2 1,300,000 No change No change No change No change 5,200,000 No change DLR 2.3 600,000 Reduced by No change Reduced by Increased by 2,400,000 No change 300,000 300,000 600,000 The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) DLR Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after first ARCE CDT Africa Climate ACEWM allocation allocation restructuring SABC after first after current (in USD) restructuring restructuring (in USD) (in USD) DLR 2.4 200,000 Increased by Increased by Increased by Increased by 800,000 1,100,000 75,000 75,000 75,000 75,000 (Increased by 300,000) DLR 2.5 500,000 Increased by Increased by No change Increased by 2,000,000 2,300,000 100,000 100,000 100,000 (Increased by 300,000) DLR 2.6 700,000 No change No change No change No change 2,800,000 No change DLR 2.7 900,000 No change No change No change No change 3,600,000 No change DLR 2.8 100,000 Reduced by Reduced by No change Reduced by 400,000 100,000 100,000 100,000 100,000 (Reduced by 300,000) DLR 3.1 75,000 No change No change No change No change 300,000 No change DLR 3.2 75,000 Reduced by Reduced by Reduced by Reduced by 300,000 0 75,000 75,000 75,000 75,000 (Reduced by 300,000) DLR 3.3 75,000 No change No change No change No change 300,000 No change DLR 3.4 75,000 No change No change No change No change 300,000 No change DLR 4.1 150,000 No change No change No change No change 600,000 No change DLR 4.2 150,000 No change No change No change No change 600,000 No change TOTAL 6,000,000 5,700,000 6,000,000 5,700,000 6,600,000 24,000,000 24,000,000 Table 3. Overall changes following current restructuring (Uganda) DLR Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after MaRCCI MAPRONANO ACALISE PHARMBIOTRAC allocation allocation first after first after current restructuring restructuring restructuring (in USD) (in USD) (in USD) DLR 1.1 600,000 No change No change No change No change 2,400,000 No change DLR 1.2 500,000 No change No change No change No change 2,000,000 No change DLR 2.1 Dropped No change No change No change No change 0 No change DLR 2.2 1,300,000 Increased by Increased by No change No change 5,200,000 5,400,000 US$100,000 US$100,000 (Increased by 200,000) DLR 2.3 600,000 Reduced by Increased by No change Increased by 2,400,000 No change US$450,000 US$225,000 US$225,000 DLR 2.4 200,000 No change No change No change No change 800,000 No change DLR 2.5 500,000 No change No change No change No change 2,000,000 No change DLR 2.6 700,000 No change No change No change No change 2,800,000 No change DLR 2.7 900,000 No change No change No change No change 3,600,000 No change DLR 2.8 100,000 Reduced by Reduced by No change No change 400,000 200,000 US$100,000 US$100,000 (Reduced by 200,000) DLR 3.1 75,000 No change No change No change No change 300,000 No change DLR 3.2 75,000 No change No change No change No change 300,000 No change The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) DLR Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after MaRCCI MAPRONANO ACALISE PHARMBIOTRAC allocation allocation first after first after current restructuring restructuring restructuring (in USD) (in USD) (in USD) DLR 3.3 75,000 No change No change No change No change 300,000 No change DLR 3.4 75,000 No change No change No change No change 300,000 No change DLR 4.1 150,000 No change No change No change No change 600,000 No change DLR 4.2 150,000 No change No change No change No change 600,000 No change TOTAL 6,000,000 5,550,000 6,225,000 6,000,000 6,225,000 24,000,000 24,000,000 Table 4. Overall changes following current restructuring (Tanzania) DLR Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after IRPM&BTD SACIDS WISE CREATES allocation allocation first FUTURES after first after current restructuring restructuring restructuring (in USD) (in USD) (in USD) DLR 1.1 600,000 No change No change No change No change 2,400,000 No change DLR 1.2 500,000 No change No change No change No change 2,000,000 No change DLR 2.1 Dropped No change No change No change No change 0 No change DLR 2.2 1,300,000 No change No change No change No change 5,200,000 No change DLR 2.3 600,000 Reduced by No change Increased No change 2,400,000 No change 300,000 by 300,000 DLR 2.4 200,000 No change No change No change No change 800,000 No change DLR 2.5 500,000 No change No change No change No change 2,000,000 No change DLR 2.6 700,000 No change No change No change No change 2,800,000 No change DLR 2.7 900,000 No change No change No change No change 3,600,000 No change DLR 2.8 100,000 No change No change No change No change 400,000 No change DLR 3.1 75,000 No change No change No change No change 300,000 No change DLR 3.2 75,000 No change No change No change No change 300,000 No change DLR 3.3 75,000 No change No change No change No change 300,000 No change DLR 3.4 75,000 No change No change No change No change 300,000 No change DLR 4.1 150,000 No change No change No change No change 600,000 No change DLR 4.2 150,000 No change No change No change No change 600,000 No change TOTAL 6,000,000 5,700,000 6,000,000 6,150,000 6,150,000 24,000,000 24,000,000 Table 5. Overall changes following current restructuring (Rwanda) DLR Amounts per Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after ACE after ACE-ESD ACEIoT ACE-DS ACEITLMS allocation allocation first first after first after current restructuring restructuring restructuring restructuring for ACE-ESD for ACE-DS (in USD) (in USD) and ACEIoT and (in USD) ACEITLMS (in USD) DLR 1.1 600,000 600,000 No change No change No change No change 2,400,000 No change DLR 1.2 500,000 500,000 No change No change No change No change 2,000,000 No change The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) DLR Amounts per Amounts per Amounts per ACE after current restructuring (in USD) Total Total ACE after ACE after ACE-ESD ACEIoT ACE-DS ACEITLMS allocation allocation first first after first after current restructuring restructuring restructuring restructuring for ACE-ESD for ACE-DS (in USD) (in USD) and ACEIoT and (in USD) ACEITLMS (in USD) DLR 2.1 0 0 No change No change No change No change 0 No change DLR 2.2 1,197,000 975,000 No change No change No change No change 4,344,000 No change DLR 2.3 550,000 450,000 Reduced Reduced Increased Reduced by 2,000,000 No change by 250,000 by 250,000 by 650,000 150,000 DLR 2.4 190,000 150,000 No change No change No change No change 680,000 No change DLR 2.5 459,000 380,000 No change No change No change No change 1,678,000 No change DLR 2.6 644,000 525,000 No change No change No change No change 2,338,000 No change DLR 2.7 825,000 680,000 No change No change No change No change 3,010,000 No change DLR 2.8 95,000 80,000 No change No change No change No change 350,000 No change DLR 3.1 55,000 20,000 No change No change No change No change 150,000 No change DLR 3.2 55,000 20,000 No change No change No change No change 150,000 No change DLR 3.3 55,000 20,000 No change No change No change No change 150,000 No change DLR 3.4 55,000 20,000 No change No change No change No change 150,000 No change DLR 4.1 110,000 40,000 No change No change No change No change 300,000 No change DLR 4.2 110,000 40,000 No change No change No change No change 300,000 No change TOTAL 5,500,000 4,500,000 5,250,000 5,250,000 5,150,000 4,350,000 20,000,000 20,000,000 III. SUMMARY OF CHANGES Changed Not Changed Other Change(s) ✔ Implementing Agency ✔ DDO Status ✔ Project's Development Objectives ✔ Results Framework ✔ Components and Cost ✔ Loan Closing Date(s) ✔ Cancellations Proposed ✔ Reallocation between Disbursement Categories ✔ Disbursements Arrangements ✔ Disbursement Estimates ✔ The World Bank Eastern and Southern Africa Higher Education Centers of Excellence (P151847) Overall Risk Rating ✔ Safeguard Policies Triggered ✔ EA category ✔ Legal Covenants ✔ Institutional Arrangements ✔ Financial Management ✔ Procurement ✔ Implementation Schedule ✔ Economic and Financial Analysis ✔ Technical Analysis ✔ Social Analysis ✔ Environmental Analysis ✔ IV. DETAILED CHANGE(S) . Annex A. List of all ACEs and their priority areas under parent project Priority Area Country Center of Excellence Host University Agriculture ETHIOPIA African Centre of Excellence for Climate Smart Haramaya University Agriculture and Biodiversity Conservation (Climate SABC) Agriculture KENYA Centre of Excellence in Sustainable Agriculture & Egerton University Agribusiness Management (CESAAM) Agriculture KENYA Sustainable Use of Insects as Food and Feeds Jaramogi Odinga Oginga (INSEFOODS) University of Science & Technology Agriculture MALAWI Centre of Excellence for Aquaculture and Fisheries Lilongwe University of Science (Aquafish) Agriculture & Natural Resources (LUANAR) Agriculture TANZANIA African Centre of Excellence for Innovative Rodent Pest Sokoine University of Agriculture Management & Biosensor Technology Development (IRPM&BTD) Agriculture TANZANIA Collaborating Centre for Research, Evidence, Nelson Mandela African Agricultural Advancement & Teaching Excellence & Institution of Science & Sustainability (CREATES) Technology Agriculture UGANDA Makerere University Regional Centre for Crop Makerere University Improvement (MaRCCI) Agriculture UGANDA African Centre for Agro-ecology & Livelihood Systems Uganda Martyrs University (ACALISE) Industry ETHIOPIA ACE for Water Management (ACEWM) Addis Ababa University Industry ETHIOPIA African Railway Center of Excellence (ARCE) Addis Ababa University Industry KENYA Centre of Excellence in Phytochemicals Textiles and Moi University Renewable Energy (PTRE) Industry MOZAMBIQUE Center of Studies in Oil and Gas Engineering and Universidade Eduardo Mondlane Technology (CS-OGET) Industry RWANDA African Centre of Excellence in Energy for Sustainable University of Rwanda – College Development (ACEESD) of Science & Technology Industry RWANDA African Centre of Excellence in Internet of Things University of Rwanda – College (ACEIoT) of Science & Technology Industry TANZANIA Water Infrastructure & Sustainable Energy Centre for Nelson Mandela African the Futures (WISE FUTURES) Institution of Science & Technology Industry UGANDA Centre of Materials, Product Development & Makerere University Nanotechnology (MAPRONANO) Industry ZAMBIA The Copperbelt University Africa Centre of Excellence Copperbelt University for Sustainable Mining (ACESM) Health ETHIOPIA Centre for Innovative Drug Development & Therapeutic Addis Ababa University Trials for Africa (CDT-Africa) Health MALAWI Centre for Public Health and Herbal Medicine University of Malawi - Malawi (ACEPHEM) College of Medicine Health TANZANIA Southern African Centre for Infectious Disease Sokoine University of Agriculture Surveillance (SACIDS) 13 Health UGANDA Pharm-Biotechnology & Traditional Medicine Centre Mbarara University of Science & (PHARMBIOTRAC) Technology Health ZAMBIA Africa Center of Excellence for Infectious Diseases of University of Zambia Humans and Animals (ACEIDHA) Education RWANDA African Center of Excellence for Teaching and Learning University of Rwanda College of Mathematics and Science (ACEITLMS) Education Statistics RWANDA African Centre of Excellence for Data Sciences (ACE-DS) University of Rwanda – College of Business & Economics Annex B. List of ACEs selected under the Additional Financing Country Themes ACE Amount (US$ millions) Mozambique  Agri-food systems and nutrition Center of Excellence for Food Agricultural 30  Agri. risk management and climate Policy and Programs at Eduardo Mondlane proofing University  Agri. policy analysis Malawi  Agrifood systems and nutrition Agricultural Policy Regional Centre of 6  Statistical analysis, foresight and data Excellence (APRCE) at Lilongwe University management of Agriculture and Natural Resources  Agri. policy analysis (LUANAR) Malawi  Agribusiness and entrepreneurship Center of Excellence in Transformative 6  Rural innovations and agricultural Agriculture Commercialization and extension Entrepreneurship (TACE) at LUANAR Malawi  Agri-food systems and nutrition Centre for Resilient Agri-food Systems 6  Agri. risk mgmt. and climate proofing (CRAFS) at University of Malawi  Statistical analysis, foresight and data management Malawi  Agri-food systems and nutrition Aquaculture and Fisheries Center of 6  Agribusiness and entrepreneurship Excellence (AquaFish) at LUANAR  Statistical analysis, foresight and data management Malawi  Agribusiness and entrepreneurship African Centre of Excellence in 6  Agri-food systems and nutrition Underutilized and Neglected Biodiversity  Agri. risk mgmt. and climate proofing (ACENUB)  Rural innovations and agricultural extension 14 Annex C. Progress on Results Framework Indicators1 PDO-level indicator Baseline Cumulative End Status Results Target Regional students enrolled in master’s 88 1,389 955 Exceeded target and PhD programs (number) - Regional female students enrolled 25 547 325 Exceeded target in master’s and PhD programs (number) National and regional students enrolled 779 7,226 3,676 Exceeded target in master’s and PhD programs (number) - National and regional female 214 2,558 1,210 Exceeded target students enrolled in master’s and PhD programs (number) MOUs on partnerships for collaboration 66 352 306 Exceeded target in applied research and training entered into by the ACEs Accredited education programs offered 59 238 170 Exceeded target by the ACEs Direct Project Beneficiaries 779 20,091 3,676 Exceeded target Intermediate Results Indicator Baseline Cumulative End Status Results Target Component 1: Strengthening Africa Centers of Excellence (ACEs) in Regional Priority Areas Faculty and student exchanges (number) 64 2,970 762 Exceeded target female faculty and student exchanges 16 931 198 Exceeded target Amount of externally generated revenue 6.1 43.32 29.7 Exceeded target (US$, million) Internationally recognized research 194 3,683 1,454 Exceeded target publications Internationally recognized research 15 1,270 316 Exceeded target publications with regional co-authors Institutions hosting ACEs participating in 0 24 24 Achieved PASET benchmarking exercise Number of collaboration activities 0 557 1,410 New indicator without a formal MoU introduced during the December 2022 restructuring Students benefiting from direct 461 461 5,335 AF indicator interventions to enhance learning Number of enterprises incubated 0 0 30 AF indicator Component 2: Capacity Building Support to ACEs through Regional Interventions Events that foster partnerships between 0 6 5 Exceeded target ACEs and private sector/industry Number 1 Data as of May 30, of female 2023. students Only the who receive parent project data is included, 0 the AF ACEs will 60 85 next round AF indicator start reporting from onwards. The AF only indicatorsscholarships are marked as ‘AF indicator’. The data currently reported in the AF indicators is the baseline data. xv Incubation Centers 0 4 8 AF indicator Leadership and Management Training 0 0 40 AF indicator Component 3: Facilitation, Coordination and Administration of Project Implementation Knowledge-sharing events 0 15 10 Exceeded target Reporting by ACEs on beneficiary 0 55 120 On track satisfaction Biannual reporting on M&E of the ACEs 0 18 10 Exceeded target xvi Annex D. Disbursement Linked Indicators and Allocated Amounts Per Africa Center of Excellence2 Disbursement Action to be Completed Definition Disbursement Linked Indicators Amounts after (Can trigger restructuring3 maximum US$6 (expressed in million USD equivalent) equivalent) DLI #1: DLR#1.1: Completion of Disbursed when all conditions for DLR#1.1: Institutional Effectiveness Conditions effectiveness outlined in the legal 600,000 readiness agreements signed between the ACE hosting government and the World Bank are met Total amount DLR#1.2: Development of Disbursed when detailed implementation DLR#1.2: 1,100,000 the Project Implementation plan of ACE is approved by the ministry in 500,000 (expressed in USD Plan charge of higher education as part of the equivalent) Performance Agreement. DLI #2: DLR# 2.1: Timely annual Disbursement based on the achievement of DLR#2.1: Excellence in implementation of the plans at least 50% and scalable up to 85% of Dropped after education and implementation targets in any given year. restructuring research capacity Achievement rates beyond 85% in any given and development year triggers a 100% disbursement of that impact year DLR #2.2: Newly enrolled Short-Term Courses: Disbursement occurs DLR#2.2: students in the ACE of which when any course4 leading to qualification 1,300,0005 Total amount at least 20% must be (certificate/diploma /degree) counts as a 4,300,000 regional (African) students. short-term course: (expressed in USD 400 per male national student equivalent) 500 per female national student 800 per male regional student 1,000 per female regional student. Master’s: Disbursement occurs when Master’s students have successfully completed at least one semester: 2,500 per male national student 4,000 per female national student 5,500 per male regional student 6,500 per female regional student. 2 Some DLR allocations were revised during the project restructuring completed on April 12, 2021 3 This amount is the capped disbursement amount per DLR for the project period of five years. Each ACE, with the exception of ACEs in Rwanda, can receive a maximum of up to US$6 million over the project duration of 5 years. Of the four ACEs in Rwanda, as agreed with the Government of Rwanda, two (Education and Statistics) can receive a maximum of US$4.5 million and the remaining two (ICT and Energy) can receive a maximum of US$5.5 million over the project duration. 4 Course refers to a completed course. 5 For ACEs in Rwanda, this amount is US$1,197,000 for ACE-ESD & ACEIoT and US$975,000 for ACE-DS & ACEITLMS xvii Disbursement Action to be Completed Definition Disbursement Linked Indicators Amounts after (Can trigger restructuring3 maximum US$6 (expressed in million USD equivalent) equivalent) PhD: Disbursement occurs when PhD students enroll: 12,000 per male national student 20,000 per female national student 30,000 per male regional student 35,000 per female regional student. Disbursement for academic accomplishment will occur upon the student’s successful completion of a Master’s program or the approval of a student’s PhD research proposal. The amount triggered will be half of the above indicated in each category, totaling for not more than 300,000. DLR#2.3: Quality Disbursement occurs when a Master or PhD DLR# 2.3: accreditation for education program is accredited by international or 600,000 programs. national body (satisfactory to IUCEA and the World Bank): 300,000 per program internationally accredited 75,000 per program nationally accredited 75,000 per program for self-evaluation (satisfactory executed according to internationally recognized standard). Self-evaluation and national accreditation, totaling for not more than 300,000. DLR#2.4: Partnerships for Disbursement occurs when MoUs are DLR#2.4: collaboration in applied signed and accompanied by signed 200,000 research and training proposals that outline at least a two-year collaboration and partnership work- program: 30,000 per MoU with public institutions/civil society 40,000 per MoU with private sector/ industry In order to access the disbursement under this DLR minimum 1 eligible MoU with private sector must be approved. All MoU work programs must be satisfactory to IUCEA/World Bank. xviii Disbursement Action to be Completed Definition Disbursement Linked Indicators Amounts after (Can trigger restructuring3 maximum US$6 (expressed in million USD equivalent) equivalent) DLR#2.5: Peer-reviewed Disbursement occurs when a paper is DLR#2.5: journal papers or peer- accepted by a peer-review journal or is an 500,0006 reviewed conference papers accepted peer-reviewed conference paper: prepared collaboratively 10,000 per paper accepted by a peer- with national, regional or reviewed journal with national author (s) international co-authors 30,000 per paper accepted by a peer- reviewed journal with regional author (s) 25,000 per paper accepted by a peer- reviewed journal with international author (s) 8,000 per paper accepted by a peer- reviewed conference paper with national author (s) 25,000 per accepted peer-reviewed conference paper with regional author (s) 20,000 per accepted peer-reviewed conference paper with international author (s) DLR#2.6: Faculty and This DLR is awarded to the ACE when it DLR#2.6: student exchanges to hosts faculty/PhD students from other 700,0007 promote regional research institutions or when it sends its and teaching collaborations faculty/PhD/master’s students to other institutions locally, in the region or internationally for a “period” of minimum two weeks (for teaching/research collaboration): 5,000 per “period” within the country 10,000 per “period” outside the country but within the region 8,000 per “period” for international, outside the region. DLR#2.7: External revenue Externally generated revenue deposited DLR#2.7: generation into the ACE’s account from tuition fees, 900,000 other student fees, sale of consultancies, joint research, fund raising and donations, or other external sources: US$1 per externally generated US$1 from national sources, and US$2 per externally generated 6 For ACEs in Rwanda, this amount is US$459,000 for ACE-ESD & ACEIoT and US$380,000 for ACE-DS & ACEITLMS 7 For ACEs in Rwanda, this amount is US$644,000 for ACE-ESD & ACEIoT and US$525,000 for ACE-DS & ACEITLMS xix Disbursement Action to be Completed Definition Disbursement Linked Indicators Amounts after (Can trigger restructuring3 maximum US$6 (expressed in million USD equivalent) equivalent) US$1 from regional and international sources. DLR#2.8: Institution The DLR will be disbursed if the ACE hosting DLR#2.8: participating in university participate in the Partnership of 100,000 benchmarking exercise Applied Sciences, Engineering and Technology (PASET) benchmarking exercise. DLI#38: Timely, DLR#3.1: Timely Withdrawal The DLR will be disbursed if the ACE submits DLR#3.1: transparent and applications supported by timely withdrawal applications supported 75,000 (15,000 institutionally interim unaudited financial by interim unaudited financial reports per year reviewed reports for each ACE showing how funds have been utilized. Financial Management DLR#3.29: Functioning audit The DLR will be disbursed if the university DLR#3.2: committee under each under the university council has a 75,000 (15,000 Eastern and Southern functioning audit committee that will per year) Total amount African Higher Education amongst other assignments follow up audit 300,000 Institutions issues related to the ACE. (expressed in USD equivalent) DLR#3.3: Functioning The DLR will be disbursed if a functional DLR#3.3: internal audit unit for each internal audit department conducts audits 75,000 (15,000 Eastern and Southern on the project based on a risk-based per year) African Higher Education approach. Institution DLR#3.4: Transparency of The DLR will be disbursed if all FM related DLR#3.4: financial management (audit reports (audit, IFRs, budgets, work 75,000 (15,000 reports, interim unaudited programs) are published on ACE websites to per year) financial reports, budgets promote transparency and accountability. and Annual Work Programs are all web accessible) DLI#4: Timely and DLR# 4.1 Timely The DLR will be disbursed if the ACE submits DLR#4.1: audited procurement audit report a timely procurement audit report detailing 150,000 (30,000 Procurement for each ACE procurement practices. per year) DLR#4.2: Timely and The DLR will be disbursed based on the DLR#4.2: satisfactory procurement timely and satisfactory progress report on 150,000 (30,000 Total amount progress report for each ACE the ACE’s procurement practices. per year) 300,000 (expressed in USD equivalent) 8 For ACEs in Rwanda, all audit committees under DLRs # 3.2 and 3.3 are at the university level. xx Disbursement Action to be Completed Definition Disbursement Linked Indicators Amounts after (Can trigger restructuring3 maximum US$6 (expressed in million USD equivalent) equivalent) 9 For ACEs in Ethiopia, as the current government regulation does not have the provision of such an audit committee, DLR #3.2 will therefore be adjusted to seventy percent of all internal and external audit issues addressed by management in each Eastern and Southern African Higher Education Institution. xxi Annex E. Performance Based Conditions under Additional Financing PBC # Performance-based Condition Amount per Description country ($) Institutional readiness/strengthening PBC 5 Agriculture ACEs institutional 3,000,000 This PBC will be achieved when (i) MoU between strengthening and readiness University and ACE is signed; (ii) key project implementation team members, including environment, social, financial management, procurement, monitoring & evaluation are recruited; and (iii) detailed implementation plan of the ACE is approved by the Ministry in charge of higher education. PBC 6 Bi-annual National Steering 50,000 An amount of USD 5,000 per meeting of National Committee meeting held Steering Committee is disbursed to Ministries of Higher Education. Excellence in agriculture education and research capacity PBC 7 New students enrolled in the 8,000,000 Short-Term Courses: Any course leading to qualification Agriculture ACEs in PhD, (certificate/diploma /degree) counts as a short-term Masters programs and short course: USD 700 per male national student; USD 1,000 courses per female national student; USD 1,200 per male regional student; USD 1,800 per female regional student. Master’s: Disbursement occurs when Master’s students have successfully completed at least one academic year: USD 3,800 per male national student; USD 5,000 per female national student; USD 7,500 per male regional student; USD 9,000 per female regional student. PhD: Disbursement occurs upon approval of a student’s PhD research proposal: USD 15,000 per male national student; USD 25,000 per female national student; USD 45,000 per male regional student; USD 55,000 per female regional student. xxii PBC 8 Quality accreditation for 4,000,000 Disbursement occurs when a Master or PhD program is agriculture education programs accredited by international or national body (satisfactory to IUCEA and the World Bank): USD 500,000 per program internationally accredited USD 150,000 per program nationally accredited USD 150,000 per program for self-evaluation (satisfactory executed according to internationally recognized standard). Self-evaluation and national accreditation, totaling not more than 450,000. PBC 9 MOUs on partnerships for 2,950,000 Disbursement occurs when MoUs are signed and collaboration in applied accompanied by signed proposals that outline at least a research and training entered two-year collaboration and partnership work-program: into by Agriculture ACEs USD 75,000 per MoU with public institutions/civil society USD 100,000 per MoU with private sector/ industry All MoU work programs must be satisfactory to IUCEA/World Bank. PBC 10 Peer-reviewed journal papers 4,000,000 Disbursement occurs when a paper is accepted by a or peer-reviewed conference peer-review journal or is an accepted peer-reviewed papers prepared collaboratively conference paper: with national, regional or USD 10,000 per paper accepted by a peer-reviewed international co-authors journal with national author(s); USD 30,000 per paper accepted by a peer-reviewed journal with regional author(s); USD 30,000 per paper accepted by a peer-reviewed journal with international author(s); USD 8,000 per paper accepted by a peer-reviewed conference paper with national author(s); USD 25,000 per accepted peer-reviewed conference paper with regional author(s); USD 25,000 per accepted peer-reviewed conference paper with international author(s) PBC 11 Number of faculty and PhD 4,000,000 This PBC is awarded to the ACE when it hosts faculty/PhD student exchanges to promote students from other institutions or when it sends its research and teaching in faculty/PhD/master’s students to other institutions Agriculture ACEs supported by locally, in the region or internationally for a “period” of AF minimum two weeks (for teaching/research collaboration): USD 2,500 per "period" for online exchanges USD 5,000 per “period” within the country xxiii USD 15,000 per “period” outside the country/within region. USD 15,000 per “period” for international, outside the region. PBC 12 Amount of externally generated 4,000,000 Externally generated revenue deposited into the ACE’s revenue by the Agriculture account from tuition fees, other student fees, sale of ACEs supported by the AF consultancies, joint research, fund raising and donations, or other external sources: US$1 per externally generated US$1 from national sources, and US$2 per externally generated US$1 from regional and international sources. TOTAL per country 30,000,000 xxiv