Dissemination Seminar Brussels, 26 May 2016

1. Evaluation of the EU
Support to
Research and
Innovation in Partner
Countries (2007-2013)
EVA 2011/ LOT1 Contract n°2013/330982
Dissemination Seminar
Brussels, 26 May 2016

2. Evaluation – purpose and methodology
Objectives – evaluate
EU support to
R&I for development
• Extent of strategic
approach adopted
• Enhance capacity to
reach development
objectives
Specific interest in:
• Capacity building
• Transfer of results
• Use of instruments
and modalities
• Approaches used:
country/regional, R&I
integrated in sectors

3. Questions
EQ1: Development policy objectives
EQ2: Impact on partner country
research communities
EQ3: Instruments and modalities
EQ4: DEVCO-RTD complementarity
and coherence
EQ5: Transfer of R&I results into
development processes
EQ6: EU capacities
Evaluation questions & themes
Four themes to cover
1. Food Security, Nutrition and
Agriculture (FSNA)
2. Health
3. Environment and Climate Change
(EnvCC)
4. Science, Information Society and
Space (SISS)
Three instruments
a. The European Development Fund
(EDF)
b. The Development Cooperation
Instrument (DCI)
c. The European Neighbourhood &
Partnership Instrument (ENPI)
Ten countries visited:
a. EDF: Burkina Faso, Ethiopia,
Kenya, Mauritius
b. DCI: Peru, South Africa, Vietnam,
India
c. ENPI: Tunisia, Ukraine

4. Intervention logic and evaluation questions
Outputs Intermediate impactsSpecific impactsExpected Results
Global
impacts
Improved research and
innovation capacity in
developing countries
• More trained researchers
• Higher levels of research skills
• Capacities to participate
actively in international
research networks and projects
Improved policy and regulatory
framework for research and
innovation
• In developing countries
• Internationally
Improved infrastructure for
research and knowledge exchange
Specific research and innovation
in particular fields conducted in
developing countries
More transparent and
open knowledge
economies in developing
countries
Global challenges
increasingly resolved
Enhanced development
processes and outcomes
Moresustainabledevelopment,eradicationofpovertyandachievementofMDGs
More innovative solutions to
development problems and global
challenges
Reduced poverty and
inequality
More EU funded research conducted
in developing countries
More internationally integrated
and transparent research and
innovation processes
Research and innovation in
developing countries and adjusted to
their needs
Research and innovation conducted
in developing countries increasingly
oriented to their needs and
development processes
Conducive policy and regulatory
framework for research and
innovation
Inputs/Activities
Policy dialogue:
Funding to support dialogue processes
Encourage EU MS and other partners
to harmonise approaches
Policy support and knowledge sharing
Technical & financial cooperation:
Individual capacity development:
• Mobility
• Skills training
• Masters & PhD programmes
Fund research for development:
Fund pro-poor, demand-led research
for development at global, regional and
country level in specific areas, fields
and sectors (DEVCO programme
contributions, core and project funding
and RTD/DEVCO calls)
Provide expertise on regulatory
frameworks to support R&I
FP7 funding & R&I calls
Policy makers more attuned to
using and dispersing development
results
DG RTD
Institutional capacity &
infrastructure development:
• Transferring technology
• Physical connectivity
• Institutional strengthening
• Knowledge management
• Multi stakeholder participation
• Research/ innovation networking
• Improving policy and regulatory
frameworks, strategies, approaches,
methodologies
Harmonised EU approaches to
donor support for research and
innovation in developing countries
Developing countries better
placed to participate in
international research and
innovation projects and tenders
Increased mainstreaming of
research and innovation results into
development processes
EQ2
EQ5
EQ3
Increased coherence of EU policy
on R&I with EU development policy
EQ4
Promote innovation, societal uptake
and use of research results:
• Foster research application and
implementation of innovative
approaches and practices
• Support demand-driven development
and testing of innovative solutions
• Stimulate and capture innovative,
locally-owned sustainable solutions
RTD policy dialogues
More effective mobilisation of
European expertise for addressing
global challenges
EQ6
EQ1
A generic logic that also works for sectoral approaches

5. Inventory
• Scope: 2007-2013 / EDF+DCI+ENP (not RTD)
• Four themes/sectors: FSNA, EnvCC, Health, SISS
• Total contracted amount of EUR 1.14 billion in 2007-2013 (plus 0.28
billion in mobility grants)
• Almost half of the total (EUR 511 million) went to FSNA
• Contracts at global, regional and national levels
Fig. 4: Sector allocation of commitments (shares of
total contracted amount)
Fig. 5: Geographic scope of commitments as
determined by benefitting zone

6. Inventory
Regional distribution:
Types of contractors:
Fig. 6: Shares of total commitments (regional plus
individual country contracts) per region
Fig. 9: Distribution of commitments by type of
contractor (shares of contracted amounts)
Fig. 10: Distribution of contracted amounts by sector
and type of contractor
Fig. 7: Values of total commitments (regional plus
individual country contracts) per region

7. Evaluation questions
Policy
framework
Impact on
partner
countries
Instruments
& Modalities
To what extent has EU support to R&I through
DEVCO been successful in promoting the overall
development policy objectives of the EU?
To what extent has DEVCO funding of R&I enabled
research communities in partner countries to build up
and develop their own R&I capacity, including the
ability to actively engage in research networks
(regional and international)?
To what extent has DG DEVCO in its support to R&I
used its available instruments in a way that
maximizes their value?

8. Evaluation questions
DEVCO-RTD
complemen-
tarity &
coherence
Transfer of
results
EUcapacities
To what extent has EU support to R&I by DG
DEVCO and by DG RTD been complementary and
their collaboration promoted PCD?
To what extent has DEVCO support led to the trans-
fer of R&I results into processes likely to impact on
the achievement of EU development objectives ?
To what extent have the EU external relations
services ensured adequate capacities to conduct
policy dialogue related to R&I and to support
research and innovation in partner countries?

9. Conclusions and recommendations

10. Conclusions cluster – Policy & strategic focus
Sectoral
approach
broadly
effective
Possible
pillars for a
structured
strategy
Role of R&I4D
hidden & poorly
understood
The sectoral approach has been broadly effective within each
sector and the JAES. But, it limits the ability to have a major
impact on R&I as a tool to foster economic transformation in the
face of rapid scientific and technological change.
The lack of a clear overall strategy (beyond sector strategies) for
DEVCO support to R&I means the valuable role this support
plays in achieving EU development objectives is poorly
understood and not recognised.
Despite the lack of an overall strategy, many of the individual
projects with R&I components showed potential as examples of
good practice on which to build a wider structured strategy that
can also be adapted to the circumstances of countries at
different stages of development.

11. Conclusions cluster – Policy & strategic focus
Partnerships
at different
geographic
levels are
effective
Well-chosen partnerships at different geographical levels have
allowed DG DEVCO to support different types of effective R&I
initiatives.

12. Conclusions cluster – Operational approach
Need to
supplement
main elements
of support
Use of
instruments &
modalities not
strategic
Inadequate
capacity
The basic logic of DG DEVCO’s support to R&I is similar from
one sector to another and is generally solid, but it has not been
deployed in a consistent fashion and could be further developed.
The use of instruments and modalities has shown little strategic
thought and created issues regarding flexibility and matching
funds with the longer cycles required for research and for
innovations to achieve impact.
DG DEVCO capacity dedicated to R&I has been inadequate,
particularly in EU Delegations.

13. Conclusions cluster - Complementarity
Division of
labour could
be stronger
Policy
coherence
has been well
understood
Greater impact could be achieved by a stronger and more
consistent effort by DGs DEVCO and RTD to work together.
While there is a high-level understanding on a division of labour
between the two DGs, in practice it is only loosely respected.
Policy coherence for development is clearly understood as an
important concern in both DGs DEVCO and RTD. Efforts have
been made to promote PCD by different EU actors involved in
support to R&I.

14. Conclusions cluster – Results
Results
achieved but
largely ad-hoc
& localised
Societal
uptake has
been limited
R&I efforts supported by DG DEVCO have contributed to
development outcomes but largely in an ad-hoc and localised
manner that did not promote systematic and sustainable
progress on creating conducive conditions for R&I.
Innovation and societal uptake of R&I results from DG DEVCO
support have been scarce due to inadequate investment in
national institutional frameworks for innovation.
Capitalisation
of results has
been
inadequate
R&I results have not been capitalised on and hence their
potential impact has not reached beyond the specific
programmes or immediate researcher networks involved.
DEVCO is not
seen as an
agent of
R&I4D
DG DEVCO is not perceived as an agent for R&I for
development, and few efforts have been made to create
such an image for improved visibility.

15. JAES (Text Box 5)
Regional partner
A platform used to
• Conduct policy dialogue
on African priorities and
joint initiatives
• To jointly fund research
• To build capacity to
manage R&I
• To provide access to
European S&T
Main findings
• Joint Africa-EU Strategy – 8th Partnership on
Science, Information Society & Space – recognises
S&T as essential element engines of socio-economic
growth and development
• Policy dialogue on R&I – support to STISA: Science,
Technology & Innovation Strategy for Africa
• AU Research Grants – 20 grants of ~EUR 750,000 to
Africa-Europe consortia of ROs in
• Capacity Building for AUC S&T Department – to set
up and administer system of research grants
• MESA – Monitoring for Environment and Security in
Africa – project to make satellite and remote sensing
data available to government, commercial and
academic users across Africa
The JAES is both a platform for R&I policy dialogue and a
framework for implementing regional initiatives with the AU.

16. SWITCH Asia (Text Boxes 11+14)
Regional level
DEVCO programme to
fund innovation in the
environmental sector
for sustainable growth
• Encourage SCP
practices and
technologies
• Focus on SMEs
• Funds series of
local projects across
Asia
• Up to end 2013, 86
projects funded
Main findings
• MEET-BS – promotes sustainable production by
developing markets for affordable water and energy
products
• SPIN VCL – 11% of assisted projects successful in
capturing markets for their products
Despite successes both projects met external and
internal obstacles
• Lack of strong price signals in energy and resource
prices to adequately reward improved efficiency
• Lack of national standards to support SCP -
bottom-up project inadequately supported by top-
down measures
• 3-4 year timescales of project funding is too short
for fundamental business transformation
SWITCH Asia – key programme to fund R&I in Environment
sector largely with private sector.

17. PASRI Tunisia (Text Box 12)
National level
Programme d’appui au
système de recherche et
de l’innovation (PASRI)
• Implemented by
Government (ANPR)
and GIZ
• Works closely with
research community,
private sector and
various GoT ministries
• 3 components
• Governance
• Interfacing
• Networking
Main findings
• Focus on National Innovation System (NIS)
Two types of activities
• Structural activities – diagnostic studies, facilitation,
and stimulating creation of networks
• Priming activities – pilot projects to catalyse
collaboration between NIS actors: MOBIDOCs
Serious attempt to address R&I continuum in
challenging circumstances post-Revolution
• Space for rethinking and making changes yet also
lack of stability
• Focus on innovation, stimulating private sector,
encouraging research community to address industry
needs – potentially major impact
• Sustainability not assured at time of visit (Nov 2015)
Highly relevant project with wholistic approach to NIS

18. Recommendations

19. Recommendations – Policy & strategic focus
Formulate a strategic
approach with a focus
on institutional
frameworks for R&I
1
2
Implementation
At national level,
develop a strategy
for R&I that adapts
support provided to
the needs and level
of development of
partner countries
• Clear statement and better implement division of labour
with RTD
• Strategic focus on assisting partner governments to
formulate national S&T policies and establish innovation
systems
• Capacity building of ROs
Past experience provides a basis for a rough typology of
3 stages of different types of support
1. Laying the foundations primarily through sectoral
funding – with poorer countries
2. Building up the infrastructure / developing a
national S&T policy – with somewhat more
developed countries
3. Supporting international cooperation in R&I – DGs
RTD and DEVCO work jointly – graduating
countries
(Details in Table 7)

20. Recommendations – Operational approach
• Review use of instruments and modalities in terms of
impact they have on research
• Analyse difficulties partners have with modalities
• Use modalities that suit
• Longer time frames of research
• Capacities of partners
3
4
Implementation
DG DEVCO support
should focus on
seven principal
elements
Use instruments &
modalities that
suit the needs of
R&I
1. Networks – to support research & knowledge flows
2. Capacity – individual, institutional, infrastructural
3. Partners – at all 3 levels: global, regional & national
4. Policy dialogue – ownership + coordination with RTD
5. Funding of research – important till alternatives exist
6. Capitalisation of results – so far inadequate attention
7. National Innovation Systems – as core of new strategy

21. Recommendations - Complementarity
Consolidate and
implement an
explicit division of
labour with DG RTD
6
Implementation
7
Maintain the
political & practical
commitment to
promoting PCD
• Ensure division of labour is clear and carried out at all
levels
• DEVCO should review all RTD calls at design stage
and consider development value
• Continue to use existing PCD tools
• Deepened dialogue with partner countries to see how to
promote PCD
• Review incentive structure in RTD for INCO work
• Staff to handle overall R&I policy not just each sector
• Adequate capacity to coordinate closely with RTD
• EUDs should have a designated R&I official
• RTD should reevaluate plans to cut S&T Counsellors
5
Ensure adequate
human resource
capacities for
support to R&I

22. Recommendations – Results
Take more
deliberate and
systematic steps to
foster results
8
Develop a clear
strategy for the
transfer of results
9
Provide explicit
support to the
capitalisation of
results
10
Implementation
Build a visibility
strategy on a stated
commitment to R&I
support
11
• Clearer policy on support to R&I with greater focus will also
help foster results
• Promote establishment of national innovation systems to
provide more conducive context
• Ensure this strategy is taken up by EUDs and project
implementers
• Promoting innovation for development should be principal
objective for supporting R&I
• Set aside supplementary funds specifically for this
• Consider establishing a system for the collection of results so
they can be retrieved and systematised
• Individual capacity building should include practical issues on
innovation: IPR, raising venture capital, marketing, etc.
• Formulate a clear statement of intent
• Liaise closely with EEAS and RTD to ensure respective role
are clear for communication
• Develop a communication strategy that takes in HQ and
EUDs together

23. Evaluation of the EU
Support to
Research and
Innovation in Partner
Countries (2007-2013)
Dissemination Seminar
Brussels, 26 May 2016

24. Food Security, Nutrition and Agriculture

25. FSNA – intervention logic (Vol II, part A)
Intervention logic
R&I support for FSNA
is geared towards
improving the delivery
of global, regional and
national public goods
from research and
innovation.
Multi-stakeholder
approaches to AR4D
are mainstreamed in
R&I support by the EU
and its member states.
Main findings
(1) Public goods: Innovative, locally owned and sus-
tainable solutions that can be shared, scaled up and
mainstreamed to promote sustainable agricultural
development of the poorest and most vulnerable.
(2) Three are distinct impact pathways:
a) (Multi-donor) coordinated support to international
organisations delivering global and regional public
goods to address global development challenges
b) Programme and project support to specific multi-
stakeholder R&I projects, aiming directly at pro-poor,
locally owned and sustainable solutions to specific
problems in developing regions and countries
c) Support to multi-stakeholder research and
innovation processes to improve national R&I capacity
and competitiveness in (emerging) economies.
Working with global, regional as well as national partners is key
to DEVCO approach to supporting R&I in FSNA.

26. FSNA – CGIAR (Text Box 8)
Global Partner
CGIAR, the
Consortium of
International
Agricultural Research
Centres, runs 15
global CG Research
Programmes (CRPs).
Main findings (1)
The EU’s coordinated influence on the CGIAR reform
has been significant:
• With the help of GFAR, CGIAR strengthens consultations and
policy dialogues with national and (sub-)regional stakeholders.
• Multi-stakeholder partnerships, policy outreach and collaborating
closely with national institutions, NGOs and farmer organisations
are now central features of most CRPs.
CGIAR research has contributed to development
outcomes:
• The CRPs lay an important foundation for a sustained delivery of
global and regional public goods for sustainable agricultural
development.
• Investing in CGIAR research produces ‘good value for money’.
The EU’s choice to directly fund CRPs has proven to be
an effective way to strengthen the EU AR4D agenda.
CGIAR is a key global partner for EU support to R&I in FSNA.

27. FSNA – CGIAR (Text Box 8)
Global Partner
CGIAR (cont’d)
Main findings (2)
Documentation and sharing of results and approaches
(capitalization) is not as yet standard practice.
EU support to CGIAR flows through multiple channels:
Challenging the effective implementation of CRPs.
Serious budgetary limitations affect R&I implementation:
• Allowed budget lines not necessarily adapted to local context
• Funding periods generally (too) short for purpose
• Continuity between funders and funding periods lacks.
Involving and strengthening national research and
innovation partners requires further improvement:
• At present less than 20% of CRP funding reaches national
research and innovation collaborators.
For CGIAR, and others, research uptake and up-scaling is
strongly conditioned by national innovation systems.

28. FSNA – IssAndes (Text Box 10)
Regional level
IssAndes is a regional
project implemented by
the CIP (part of CGIAR)
together with 21
regional partners in four
countries in the Andean
region.
Main findings
• IssAndes had a strong design, linking agricultural
development to nutrition and health.
• The impact pathway methodology integrated
nutritional and food security objectives and was key
to ensure that interventions had a positive impact
on families’ health.
• The project built on a previous regional research
and innovation project (Papa Andina) and the
networks that were created, which has contributed
significantly to its success
• The project strengthened capacity of partners and
achieved policy impact on local, national and
regional level.
But…
• The limited scope to support the different phases of
such a complex research and innovation project
have created limitations to its success.
IssAndes has shown the impact of a strong design, impact
pathway, investing in partnerships and communication strategy.

29. FSNA – ASARECA (Text Box 6)
Regional partner
ASARECA is a sub-
regional organisation of
FARA. It aims to
strengthen the NARS of
its East and Central
African member
countries and link them
regionally.
Main findings
• Through its activities ASARECA promotes and
facilitates regional collaborative research and
strengthens the network capacities of research
communities.
• ASARECA has been effective in coordinating multi-
stakeholder research projects at the regional level
with national, regional and international partners.
• The multi-donor trust fund through which ASARECA
is funded has been effective at simplifying finance,
but sustainability is under pressure due to lack of
core funds and lack of capacity to mobilise member
country support.
ASARECA is a good example of support to a regional network.

30. FSNA - Ethiopian coffee sector (Text Box 15)
National level
The EU has supported
R&I work in the
government's Coffee
Improvement
Programme (CIP) for
over 30 years.
The research
components were
implemented by the
Ethiopian Institute of
Agricultural Research
(EIAR).
Main findings
• The EU support has had a major impact on the
success of the CIP programme.
• R&I and uptake of research results by end-users
has been central to the EU approach. Results
include the development of 11 new varieties with
increased resistance to pests.
• However, due to bureaucracy and institutional
hurdles, Ethiopia’s absorption capacity of EU
support was significantly reduced (50% of the total
EUR 15 million budget).
• Government reforms led to EU resuming support
• The continuity of the EU’s commitment and its
tailored approach is highly appreciated by
stakeholders.
R&I is at the core of EC support to the Coffee Sector in Ethiopia

31. FSNA - innovation system

32. Innovation systems (Text Box 10)
National research and
innovation systems
Innovation systems
provide spaces where
multiple stakeholders,
from policy and
research institutions,
from businesses,
advisory and user
organisations, meet and
interact to specify, pilot
and put to use
innovations they
consider helpful in
advancing their
objectives.
Main findings
Technological innovation does not come alone. Social
innovation is generally needed to turn it into a success:
• i.e. policy, regulatory, relational and organisational changes by
government, private actors and communities
The ‘innovation pathway’ from research to societal
transformation is winding and littered with obstacles and
contextual determinants, particularly in DC.
The science-driven ‘proposition-validation-adaptation-
scaling’ pathway is only one of the possible innovation
pathways for development. Others include:
• market or migration-driven lateral transfer of ideas, technologies
or practices.
• the recuperation of propositions from traditional knowledge and
practices and their validation and adaptation.
Innovation is where science and society meet…

33. Thank you for your
attention

34. A strategy adapted to varying needs (Table 7)