sign in sign up
<<
Home , Airlangga University, Cenderawasih University, Diponegoro University, Haluoleo University, Hasanuddin University, Khairun University

White Paper

Assessment of the Landscape for Establishing Centers for Collaborative Research That Advance Science, Technology, and Innovation in

January 2017

This White Paper was produced for SHERA (Sustainable Higher Research Alliances), a collaborative program between the United States and Indonesia, bringing scholars together to conduct world-class research in science, technology, and innovation.

SHERA is funded by the United States Agency for International Development and implemented by the Institute of International Education in collaboration with the Indonesian Ministry of Research, Technology, and Higher Education.

Agreement Number AID-497-A-16-00004

DISCLAIMER The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

i

This report was prepared by Dr. Susan Buck Sutton, lead author, with support from the following individuals and institutions:

Prima Setiawan, Popon Anarita, Yulianto Dewata, Clare Banks, Amy Parente, the Indonesian Ministry of Research, Technology, and Higher Education (KEMRISTEKDIKTI), Bogor Agricultural Institute (Institut Pertanian Bogor, IPB), of Indonesia (UI), Institute of Technology (Institut Teknologi Bandung, ITB), (UNPAD), Parahyangan Catholic University (UNPAR), Indonesian University of Education (Universitas Pendidikan Indonesia, UPI), November 10th Institute of Technology (Institut Teknology Sepuluh November, ITS), University (UNAIR), University, (UMM), State University of Malang (Universitas Negeri Malang, UM), and Brawijaya University (UNIBRAW)

ii

Table of Contents List of Acronyms and Abbreviations ...... 1 List of Acronyms and Abbreviations of Indonesian Higher Education Institutions ...... 2 List of Tables ...... 2 List of Figures ...... 6 Executive Summary ...... 7 A. The SHERA Project: An Overview ...... 9 A1. and Goals ...... 9 A2. Rationale ...... 10 A2a. Advancing Higher Education ...... 10 A2b. Advancing ST&I research in Indonesia ...... 12 A2c. USAID’s Country Development Cooperation Strategy 2014-18 ...... 16 B. Methodology of This Assessment ...... 18 B1. Overview ...... 18 B2. Specific Sources and Methods of Inquiry: Desk Research ...... 18 B3. Specific Sources and Methods of Inquiry: Interviews, Surveys, and Submissions .. 19 C. Findings and Analysis ...... 22 C1. Research Capacity of Indonesian HEIs in ST&I ...... 22 C.1.a. Challenges to Research at Indonesian HEIs...... 22 C.1.b Levels of Preparedness ...... 23 C.1.c. Some Disciplines Are More Common than Others ...... 24 C2. Emerging ST&I Priority Research Topics ...... 25 C3. Geographical Distribution of Research HEIs ...... 28 C4. Women in ST&I Research ...... 31 C5. Challenges and Best Practices in U.S.-Indonesia HEI Partnerships ...... 32 C6. Challenges and Best Practices in Partnerships among HEIs within Indonesia ...... 37 D. Recommendations for SHERA Development and Design ...... 39 D1. Focus SHERA on Indonesian HEIs that can best achieve SHERA goals...... 39 D2. Actively engage diverse regions in the CCRs...... 39 D3. Match CCR focus areas to GOI and USAID research priorities...... 40 D4. Provide further encouragement to CCRs to connect with government, research institutes, and the private sector...... 40 D5. Provide selected CCRs with guidance on best practices in partnership development and maintenance...... 41 D6. Attend to and manage the multiple partners and multiple goals of the CCRs. .... 41 D7. Pursue the goal of enhancing research capacity with a creative, multi-pronged approach...... 42 D8. Use the CCRs to expand the participation of women in S&T research...... 43 D9. Ensure that U.S. partners understand and support the full scope of SHERA’s goals...... 43 E. Challenges and Opportunities in Implementing SHERA ...... 45 F. References ...... 47 G. Annexes ...... 51 Annex 1. Master List of Indonesian HEIs ...... 52 Annex 2. Ranked Indonesian Higher Education Institutions ...... 66 Annex 3. BAN-PT Lists of Top Indonesian in Selected S&T Fields ...... 67 Annex 4. Assessment Questionnaire ...... 68 Annex 5. EOI Submission Form ...... 73

iii

List of Acronyms and Abbreviations

AOR Agreement Officer Representative BAN-PT National Accreditation Board of Higher Education (Badan Akreditasi Nasional Perguruan Tinggi) CCR Center for Collaborative Research CDCS Country Development Cooperation Strategy DG Director General DO Development Objective EOI Expression of Interest GDA Global Development Alliance GER Gross Enrollment Ratio GII Global Innovation Initiative GOI Government of Indonesia H-Index Hirsch Index HELM Higher Education Learning and Program HEI Higher Education Institution ICT Information and Technology IIE Institute of International Education IT Information Technology KEMRISTEKDIKTI Indonesian Ministry of Research, Technology and Higher Education ME&L Monitoring, Evaluation and Learning MOOC Massive Open Online Course NOFO Notice of Funding Opportunity OECD Organization for Economic Cooperation and Development PTN-BH Indonesian Autonomous Public Universities (Perguruan Tinggi Negeri Badan Hokum) PTN-BLU Indonesian Semi-autonomous Public Universities (Perguruan Tinggi Negeri Badan Layanan Umum) PEER Partnerships for Enhanced Engagement in Research PISA Programme for International Student Assessment PUI Center of Excellence in Science and Technology (Pusat Unggulan IPTEK) RIRN National Research Master Plan 2015-45 (Rencana Induk Riset Nasional) RPJPN National Long‐Term Development Plan 2005-2025 (Rencana Pembangunan Jangka Panjang Nasional) SG Secretary General ST&I Science, Technology, and Innovation UNESCO United Nations Educational, Scientific and Cultural Organization UP University Partnership UPP University Partnership Program USAID United States Agency for International Development USG United States Government USIPP U.S.-Indonesia Partnership Program WHO World Health Organization

1

List of Acronyms and Abbreviations of Indonesian Higher Education Institutions

AKMIL Indonesian Military Academy/ Akademi Militer Indonesia BINUS Bina Nusantara University/ UNiversitas Bina Nusantara BORNEO Borneo University/ Universitas Borneo BOSOWA Bosowa University/ Universitas Bosowa IAIN Ambon State Islamic University of Ambon/ Institut Agama Islam Negeri Ambon IAIN Antasari State Islamic Inst Antasari/ Institut Agama Islam Negeri Antasari IPB Bogor Agricultural University/ Institut Pertanian Bogor IPDN Institute of / Institut Pemerintahan Dalam Negeri ISI Indonesian Institute of the Arts/ Institut Seni Indonesia Denpasar ITB Bandung Institute of Technology/ Institut Teknologi Bandung ITN Malang National Insitute of Technology Malang/ Institut Teknologi Nasional Malang ITS November 10th Institute of Technology/ Institut Teknologi Sepuluh Nopember Maranatha Maranatha Christian University/ Universitas Kristen Maranatha PENS Electrical Polytechnic / Politeknik Elektronika Negeri Surabaya PNJ State Polytechnic/ Politeknik Negeri Jakarta POLBAN Bandung State Polytechnic/ Politeknik Negeri Bandung POLINES State Polytechnic/ Politeknik Negeri Semarang POLITANIKOE Kupang State Agricultural Polytechnic/ Politeknik Pertanian Negeri Kupang POLNAM Ambon State Polytechnic/ Politeknik Negeri Ambon POLNES State Polytechnic/ Politeknik Negeri Samarinda PPM PPM School of Management/ Pendidikan dan Pembinaan Manajemen STIE Perbanas Perbanas Surabaya School of / Sekolah Tinggi Ilmu Ekonomi Perbanas STIE YKPN YKPN School of Economics/ Sekolah Tinggi Ilmu Ekonomi Yayasan Keluarga Pahlawan Negara STIP Jakarta Jakarta School of Sailing/ Sekolah Tinggi Ilmu Pelayaran Jakarta STKIP Hamzanwadi STKIP Hamzanwadi/ Sekolah Tinggi Keguruan dan Ilmu Pendidikan Hamzanwadi STKIP Sorong STKIP Sorong/ Sekolah Tinggi Keguruan dan Ilmu Pendidikan Sorong STMIK Amikom College of Info Management and Computer Science AMIKOM/ Sekolah Tinggi Manajemen Informatika dan Komputer Amikom STMIK PGRI Sumbar STMIK PGRI of West / Sekolah Tinggi Manajemen Informatika dan Komputer PGRI Sumbar STMIK STMIK Pontianak/ Sekolah Tinggi Manajemen Informatika dan Komputer Pontianak STMIK Tangerang STMIK Tangerang/ Sekolah Tinggi Manajemen Informatika dan Komputer Tangerang TEL-U / Universitas Telkom UAI Al-Azhar / Universitas Al-Azhar Indonesia UAJY Atma Jaya University Yogya/ Universitas Atma Jaya UBAYA Surabaya University/ Universitas Surabaya UC Ciputra University/ Universitas Ciputra UDINUS Dian Nuswantoro University/ Universitas Dian Nuswantoro UG Gunadarma University/ Universitas Gunadarma UGM / Universitas gajah Mada UHAMKA Muhammadiyah University Prof Dr. Hamka/ Universitas Muhammdiyah Prof Dr.Hamka UHT Hang Tuah University/ Universitas Hang Tuah

2

UI University of Indonesia/ Universitas Indonesia UII Islamic University Indonesia/ Universitas Islam Indonesia UIN Jakarta Islamic State University Syarif Hidayatulla Jakarta/ Universitas Islam Negeri Syarif Hidayatullah Jakarta UIN Malang Islamic State University Malang/ Universitas Islam Negeri Malang UIN Mataram Islamic State Uuniversity Mataram/ Universitas Islam Negeri Mataram UIN SGD Islamic State University Sunan Gunung Jati/ Universitas Islam Negeri Sunan Gunung Djati UIN SUSKA State Islamic University of Sultan Syarif Kasim Riau/ Universitas Islam Negeri Sultan Syarif Kasim Riau UIN Yogyakarta Islamic State University Yogyakarta/ Universitas Islam Negeri Yogyakarta UINAR Al-Raniry State Islamic University Arraniry Aceh/ Universitas Islam Negeri Arraniry Aceh UKI Christian University Indonesia/ Universitas Kristen Indonesia UKIToraja Christian University Toraja/ Universitas Kristen Indonesia Toraja UKP Petra Christian University/ Universitas Kristen Petra UKSW Satya Wacana Christian University/ Universitas Kristen Satya Wacana UKWMS Widya Mandala Catholic University/ Universitas Katolik Widya Mandala Surabaya UL University/ Universitas Lampung UM State University Malang/ Universitas Negeri Malang UMB / Universitas Mercu Buana UMC / Universitas Ma Chung UMI Islamic University / Universitas Muslim Indonesia Makassar UMJ Muhammadiyah University of Jakarta/ Universitas Muhammdaiyah Jakarta UMM Muhammadiyah University Malang/ Universitas Muhammadiyah Malang UMMGL Muhammadiyah University of Magelang/ Universitas Muhammadiyah Magelang UMN Nusantara / Universitas Multimedia Nusantara UMP Muhammadiyah University of Palembang/ Universitas Muhammdaiyah Palembang UMP Muhammadiyah University of Purwokerto/ Universitas Muhammadiyah Purwokerto UMPAR Muhammadiyah Pare University/ Universitas Muhammdiyah Parepare UMPO Muhammadiyah University of Ponorogo/ Universitas Muhammadiyah Ponorogo UMS Muhammadiyah University Surakarta/ Universitas Muhammadiyah Surakarta UMSIDA Muhammadiyah University of Sidoarjo/ Universitas Muhammadiyah Sidoarjo UMSU Muhammadiyah University of North Sumatra/ Universitas Muhammadiyah Sumatera Utara UMT MPU Tantular University/ Universitas Mpu Tantular UMT Muhammadiyah University Tangerang/ Universitas Muhammadiyah Tangerang UMY Muhammadiyah University Yogyakarta/ Universitas Muhammadiyah Yogyakarta UNAIR / Universitas Airlangga UNAND / Universitas Andalas UNAS / UNCP Cokroaminoto Palopo University/ Universitas Cokroaminoto Palopo UNDANA Nusa Cendana University/ Universitas Nusa Cendana UNDIKNAS National Educational University Denpasar/ Universitas Pendidikan Nasional Denpasar

3

UNDIKSHA Ganesha Educational University/ Universitas Pendidikan Ganesha UNDIP University/ Universitas Dipenogoro UNEJ University Jember/ Universitas Jember UNESA State University Surabaya/ Universitas Negeri Surabaya UNG State University Gorontalo/ Universitas Negeri Gorontalo UNHALU / Universitas Halu Oleo UNHAS / Universitas Hasannudin UNIB Bengkulu University/ Universitas Bengkulu UNIBRAW Brawijaya University/ Universitas Brawijaya UNICEN / Universitas Cendrawasih UNIDA Juanda University/ Universitas Juanda UNIJOYO / Universitas Trunojoyo UNIKA Catholic University Indonesia Atma Jaya/ Universitas Katolik Atmajaya UNIKA Soegij. Catholic University Soegijapranata/ Universitas Katolik Soegijapranata UNIMA State University/ Universitas Negeri Manado UNIMED State University Medan/ Universitas Negeri Medan UNIPA State University / Universitas Negeri Papua UNISA Aisyiyah School of Health Care Sciences/ Universitas Aisyiah Yogyakarta UNISBA Bandung Islamic University/ Universitas Islam Bandung UNISKA Islamic University/ Universitas Islam Kalimantan UNISMA Islamic University of Malang/ Universitas Islam Malang UNISMUH Makassar Muhammadiyah University Makassar/ Universitas Muhammadiyah Makassar UNISSULA Sultan Agung Islamic University/ Institute Islam Sultan Agung UNJ State University Jakarta/ Universitas Negeri Jakarta UNJA Jambi University/ Universitas Jambi UNKHAIR / Universitas Khairun UNLAM Mangkurat University/ Universitas Mangkurat UNM State University Makassar/ Universitas Negeri Makassar UNMAS Mahasaraswati University/ Universitas Mahasaraswati UNMER Merdeka University Malang/ Universitas Merdeka Malang UNMERMADIUN Merdeka Madiun University/ Universitas Merdeka Madiun UNMUH Jember Muhammadiyah University of Jember/ Unimversitas Muhammadiyah Jember UNMUL / Universitas Mulawarman UNMUS Musamus Merauke University/ Universitias Musamus Marauke UNNAR Narotama University/ Universitas Narotama UNNES State University Semarang/ Univeristas Negeri Semarang UNP State University Padang/ Universitas Negeri Padang UNPAD Padjadjaran University/ Universitas Padjajaran UNPAM Pamulang University/ Universitas Pamulang UNPAR Parahyangan Catholic University/ Universitas Katolik Parahyangan UNPAS Pasundan University/ Universitas Pasundan UNPATTI Pattimura University/ Universitas Pattimura UNRAM Mataram University/ Universitas Mataram UNRI Riau University/ Universitas Riau UNS March 11th University/ Universitas Negeri Sebelas Maret UNSADA Darma Persada University/ Universitas Darma Persada UNSERA Serang Raya University/ Universitas Serang Raya UNSOED Jenderal Soedirman University/ Universitas Jendral Soedirman UNSRAT University/ Universitas Sam Ratulangi UNSRI / Universitas Sriwijaya UNSYIAH / Univeritas Syiah Kuala UNTAD / Universitas Tadulako

4

UNTAG August 17th University/ Universitas 17 Agustus UNTAN / Universitas Tanjungpura UNTAR University/ Univeersitas Tarumanegara UNTIRTA Sultan Tirtayasa University/ Universitas Sultan Tirtayasa UNUD / Universitas Udayana UNY Yogyakarta State University/ Universitas Negeri Yogyakarta UP / Universitas Pancasila UP / Univesitas President UPB Panca Bhakti University/ Universitas Panca Bhakti UPH Pelita Harapan University/ Universtisa Pelita Harapan UPI Educational University of Indonesia/ Universitas Pendidikan Indonesia UPN Jakarta National Veteran University Jakarta/ Universitas Pembangunan Nasional Jakarta UPN Veteran Yogya National Veteran University Yogyakarta/ Universitas Pembangunan Nasional veteran Yogyakarta UPNV Jatim Pembangunan National Veteran University/ Universitas Pembangunan Nasional Veteran Jawa Timur USAKTI / Universitas Trisakti USD / Universitas Sanata Dharma USG / Universitas Swiss German USM Semarang University/ Universitas Semarang UST Sarjanawiyata Tamansiswa University/ Universitas Sarjanawiyata Tamansiswa USU University North Sumatra/ Universitas Sumatera Utara UW / Universitas Warmadewa YARSI Yarsi University/ Universitas Yarsi

5

List of Tables

1. Number of Indonesian HEIs by Type 2016 2. KEMRISTEKDIKTI Ranking of HEIs in Indonesia 2016 3. SCImago 2015 Country Ranks Based on H-Index for S&T Fields 4. KEMRISTEKDIKTI Grant Programs 2016 5. KEMRISTEKDIKTI 2015 Plan for Development or Enhancement of 27 Centers of Excellence in Science & Technology (PUIs) 6. USAID CDCS 2014-18 - DO4: Collaborative Achievement in Science, Technology and Innovation Increased 7. Surveyed Universities with Grant Experience 8. Number of Indonesian HEIs by KEMRISTEKDIKTI and BAN-PT Ratings 9. Number of S&T Master’s & Doctoral Programs at 36 Top Indonesian HEIs 10. ST&I Research Priorities for Indonesia 11. Interdisciplinary Research Centers at Surveyed Universities 12. ST&I Research Priorities by Number of HEIs Submitting EOIs 13. Numbers of HEIs from SHERA Master List in CDCS Priority Provinces 14. Number of HEIs from SHERA Master List in Non-CDCS Provinces 15. Percentage of Men and Women in Indonesia with Tertiary Education – By Age 16. Indonesia: Undergraduate Programs–Percentage of Students who are Female by Field 2014 17. Indonesia: Percentage of Tertiary Students who are Female at Various Levels 2014 18. USAID University Partnership Programs Evaluations Consulted for this Assessment 19. GII Programs with Indonesian Participation 20. Indonesian and U.S. HEIs in USIPP Consortium 21. U.S. Partners of Surveyed Indonesian Universities 22. Indonesian HEIs with Mandiri and Tier A Status, plus Doctoral S&T Programs 23. Applications According to SHERA Focus Areas

List of Figures 1. Map of Centers of Excellence (PUIs) 2015 2. Map of CDCS Provinces

6

Executive Summary

The Sustainable Higher Education Research Alliances, or SHERA, is a United States Agency for International Development (USAID)-sponsored project, administered through the Institute of International Education (IIE) to enhance the research capacity of Indonesian HEIs (Higher Education Institutions) in ST&I (Science, Technology, and Innovation) through the establishment of five (5) CCRs (Centers for Collaborative Research) to be based at Indonesian HEIs working with U.S. partner HEIs.

The purpose of this assessment is to determine how best to focus SHERA to create effective opportunities to increase research capacity at Indonesian universities. More specifically, this assessment aims to:

1. reach a general understanding of ST&I research capacity across the spectrum of Indonesian HEIs, broken down by institutions, academic field and geographical location 2. identify best practices for developing CCRs that enhance this research capacity, as well as challenges that must be overcome 3. identify the criteria by which would indicate which HEIs are best suited to lead or affiliate with CCRs 4. identify research topics of greatest interest and importance for Indonesia 5. place these findings within the context of the forces, trends, opportunities, and challenges now facing higher education and ST&I research in Indonesia.

These goals were pursued through desk research, interviews, and surveys that examined information from a range of sources including BAN-PT (National Accreditation Board of Higher Education) accreditations of Indonesian HEIs; KEMRISTEKDIKTI (Indonesian Ministry of Research, Technology and Higher Education) strategic plans as well as ratings of HEI quality; the websites of hundreds of Indonesian HEIs appearing on BAN-PT and KEMRISTEKDIKTI lists; USAID evaluations of past U.S.- Indonesia research partnerships; surveys and interviews with selected Indonesian HEIs; and repeated conversations with officials of USAID/Indonesia and KEMRISTEKDIKTI to develop a contextualized understanding of what such materials revealed.

The major findings of this work include the following:

 The recent USG (United States Government and GOI (Government of Indonesia) focus on Indonesian higher education has led to significant quality enhancement of HEIs and also clarity on what is needed for increased research capacity. While Indonesia lags behind Southeast Asian peers in research productivity, there is much forward motion. HEI accreditation standards are now in place, and increasing numbers of HEIs have made the changes to meet these. The quality, including research capacity, of hundreds of HEIs has also been assessed, and programs developed to build on what is there.

 There is now a cohort of roughly 65 Indonesian HEIs well suited for SHERA CCRs - some as lead institutions, some as affiliated institutions. This cohort is comprised of HEIs with a combination of characteristics: BAN-PT accreditation of A or B, KEMRISTEKDIKTI quality rating of mandiri or utama, and having graduate programs in S&T fields.

 There are, however, significant gaps in Indonesia’s overall HEI research capacity, especially in terms of geographical distribution, the nature of master’s and doctoral training, availability of programs in certain fields, and faculty support and development. Top ranked HEIs are concentrated on , with many other regions having none. There are significant gaps in research infrastructure, and faculty preparation,

7

even at some of the top-ranked HEIs. Graduate education is heavily weighted toward just a few S&T fields.

 There is increasing definition and agreement on the priority S&T research topics most relevant and vital to Indonesia. USAID’s Country Development Cooperation Strategy (CDCS) lists three (3) priority issues that are all also found within the KEMRISTEKDIKTI Master Research Plan’s slightly longer list.

 Past USAID and similar programs supporting partnerships between U.S. and Indonesian HEIs have yielded both cautionary tales and best practices. Compiling the evaluation reports on these partnerships shows much agreement on what works (e.g., having the Indonesian partner take the lead role) and what does not (e.g., basing the partnership on the engagement of just one or two faculty members on each side).

Taken as a whole, these findings indicate that there is a solid foundation on which to build further research capacity at Indonesian HEIs, as well as growing knowledge about what is needed and how to carry out such work. This leads to the following recommendations as SHERA is refined and put into action.

1. Focus SHERA on Indonesian HEIs that can best achieve SHERA goals. Rather than starting from scratch, SHERA can be used to strategically enhance existing centers of ST&I research strength, engage them with priority research topics, and have them serve as catalysts for the spread of research capacity to other HEIs. 2. Actively engage diverse regions in the CCRs. SHERA can and should play a role in reversing the geographical concentration of research capacity that now exists in Indonesia. 3. Match CCR focus areas to GOI and USAID research priorities. Food security and self-sufficiency; environment, energy, and maritime sciences; and infectious disease; urban development and planning; and innovative technologies. 4. Provide further encouragement to CCRs to connect with government, research institutes, and the private sector. Such linkages engage relevant stakeholders, increase the resources and knowledge available to the CCRs, and tie CCR projects to real-world issues. 5. Provide selected CCRs with guidance on best practices in partnership development and maintenance. Building and sustaining effective academic partnerships is complex work for which there is a growing body of insightful literature. 6. Attend to and manage the multiple partners and multiple goals of the CCRs. CCRs are more than one-time, one-on-one research collaborations, and they must be carefully guided in achieving all that is expected of them. 7. Pursue the goal of enhancing research capacity with a creative, multi-pronged approach. CCRs should approach this task comprehensively and creatively. 8. Use the CCRs to expand the participation of women in S&T research. CCRs can tackle this issue directly by including women in their leadership structures and research teams. 9. Ensure that U.S. partners understand and support the full scope of SHERA’s goals. It is important to engage U.S. partners that understand the dual purposes of SHERA, including its capacity-building aspect.

8

A. The SHERA Project: An Overview

A1. History and Goals

In November 2015, USAID announced the Sustainable Higher Education Research Alliances program (SHERA) as yet another step in an on-going series of collaborative projects focused on higher . Working closely with the Indonesian Ministry of Research, Technology and Higher Education (KEMRISTEKDIKTI), the U.S.-based Institute of International Education (IIE) was selected to implement and manage the program.

SHERA is a five-year program that aims to increase the science, technology and innovation (ST&I) research capacity of the Indonesian higher education sector by establishing up to five Centers for Collaborative Research (CCRs) at Indonesian universities selected in a competitive application process. Each CCR will be based at a lead Indonesian higher education institution (HEI), partnering with at least one U.S. HEI and three affiliate Indonesian HEIs. In selecting Indonesian affiliates, CCRs are encouraged to seek some off Java as well as some with emerging research programs in need of further development.

Each CCR will bring together faculty and graduate students from these various institutions to conduct world-class research on a topic critical to Indonesia’s development; engage in research capacity building, faculty development, and knowledge sharing activities; facilitate publication and presentations at international conferences; and establish an on-going platform for high-level research that can be sustained into the future.

SHERA’s approach is based on three pillars:

1. Local Ownership. SHERA was developed and is being managed in close collaboration with KEMRISTEKDIKTI, and each CCR will be based at an Indonesian HEI and include at least three Indonesian affiliate HEIs, with linkages to the private sector, local communities, and governmental agencies encouraged. 2. Collaboration and Engagement. By bringing these diverse entities together, the CCRs will produce collaborative, interdisciplinary research that carries both local and international significance. 3. Oversight and Learning. SHERA is based on a model of robust grants oversight and continuous monitoring, evaluation, and learning (ME&L) over the life of the program.

SHERA has set the following goal and outcomes:

Goal: Sustainable improvement in quality and quantity of science and technology research in Indonesian higher education

Outcome 1. Increased research capacity of faculty, Ph.D. students and postdoctoral researchers in target Indonesian HEIs Outcome 2. Strengthened, inclusive institutional environment for research and management in target Indonesian HEIs Outcome 3. Enhanced collaboration across the CCR consortium, especially collaborative research

Indonesian HEIs were invited to submit Expressions of Interest (EOIs) for SHERA that were due September 15, 2016. The deadline for full applications was November 21, 2016. Winners will be notified in winter 2017. Up to five (5) grants of up to US$3 million will be given for each CCR through the lead Indonesian institution of each successful application.

9

A2. Rationale

Both GOI and USAID understand the advancement of higher education and high-quality ST&I research as essential to the well-being and progress of Indonesia. In the last few decades, Indonesia has made tremendous strides in both areas, but still lags behinds several of its neighbor countries. SHERA takes advantage of what has now been accomplished to accelerate further growth in the capacity of Indonesian HEIs to contribute to a central theme of the National Long‐Term Development Plan 2005-2025 (RPJPN or Rencana Pembangunan Jangka Panjang Nasional): mastering science and technology in order to produce the innovations needed to develop the Indonesian economy and achieve a secure, sustainable, peaceful, and socially just society that plays an important role in the world.

Improving tertiary education, especially in ST&I, is an essential step in this process. SHERA adds to the quality enhancement that has been building in this area over the last two decades, fills some remaining gaps, but also takes advantage of the centers of energy and expertise that have already emerged, extends the impact of these centers more broadly, and empowers Indonesian HEIs to take the lead in such efforts.

A2a. Advancing Higher Education GOI is committed to raising the quality of Indonesia’s higher education system, not only in national terms, but also international. Only two Indonesian HEIs are currently in the top 500 on the widely used Quacquarelli Symonds QS 2016 World University Rankings (UI and ITB), and none appear in the Times Higher Education 2016-17 Rankings or the Shanghai 2016 Academic Rank of World Universities. As a result, GOI has set a goal of significantly increasing the Indonesian presence in such listings to five HEIs (focusing on adding IPB, UNAIR, and UNPAD) by 2020.

Making this leap to world-class status will be the culmination of a long process of growth in Indonesia’s educational system. At independence in 1945, the sum total of students in Indonesia’s two or three HEIs was a mere 2,000 (Hill & Wie, 163; World Bank 2015, 1). The new country’s profound educational deficit has required decades of governmental attention, first on the primary level, then the secondary, only fully turning to the tertiary in the 1980s (Suryadarma and Jones, 1-9; Hill & Wie, 161).

Demand for higher education has steadily grown since that time. The United Nations Educational, Scientific and Cultural Organization (UNESCO) places the 2014 Gross Enrolment Ratio (GER) among 18-22 year-olds in Indonesian HEIs at 23%, double what it was a decade earlier (http://data.un.org/Data.aspx?d=UNESCO&f=series%3AGER_56). While this GER is still significantly below Thailand’s (48%) and Malaysia’s (40%), “Indonesia now has one of the largest and fastest- growing tertiary education systems in the world” (Hill & Wie,160).

This rapid growth has led to the appearance of five types of HEIs in Indonesia:

 Academies – offering lower-level training, issuing diplomas  Polytechnics – often attached to a university, issuing diplomas  Advanced Schools – offering advanced training, approaching university level  Institutes – attached to or operating in the same manner as a university  Universities – offering baccalaureate and sometimes higher degrees

This growth has also outpaced the GOI’s ability to fund public HEIs, leading to the development of many, often small private institutions (Suryadarma and Jones, 9). The latter now serve 75% of Indonesia’s tertiary students. Over the last few years, GOI has, however, converted some private HEIs into public ones, largely in regions such as Papua, North , and South Kalimantan (Moeliodihardjo).

10

Table 1. Number of Indonesian HEIs by Type 2016 PUBLIC PRIVATE TOTAL

Academy 86 1021 1107 Advanced School 76 2348 2424 Polytechnic 99 144 243 Institute 33 99 132 University 75 466 541 TOTAL 369 4078 4447 KEMRISTEKDIKTI Data 2016

Indonesian HEIs also differ in terms of the GOI agency that oversees them, with KEMRISTEKDIKTI covering most, but 16% being administered by the Ministry of Religious Affairs (Hill & Wie), and several others, such as the military academies, falling under still other ministries.

There is widespread agreement that the tremendous expansion of Indonesian HEIs has led to significant variations in quality. In 2016, the World Economic Forum ranked Indonesia at 63 out of 138 countries in terms of the quality of its higher education system (Malaysia was ranked 41 and Thailand 62). This ranking masks great variation within Indonesia, however, and the much higher quality of those at the top.

Hill and Wie characterize the situation as a small group of “elite” universities, mostly public; a growing group of “mid-tier universities” attuned to ; and a “vast majority” that do not offer much in the way of high quality research or teaching. The top-rated 10% of Indonesian HEIs “attract most of the public funding, and … are seen as the major vehicle for lifting the standard of knowhow and intellectual discourse, and for providing high-level policy advice to the government” (Hill & Wie, 165).

In an attempt to organize and enhance the quality of this burgeoning system, GOI instituted the New Paradigm in higher education management in 1994, emphasizing issues of quality, management, accreditation, accountability, and evaluation (Jacobs et al., 227). The Paradigm has been updated several times, including most recently with the Higher Education Law of 2012, but its fundamental goal of raising Indonesian higher education to world-class standards remains.

One of the first outcomes of this effort was establishment of the National Accreditation Board of Higher Education (BAN-PT or Badan Akreditasi Nasional Perguruan Tinggi) in 1994. The accreditation process has proceeded carefully but slowly, with some major changes in 2008. There are many HEIs that have either not been through it or failed to get a satisfactory rating, even though accreditation is now mandatory for HEIs wishing to issue degrees. Programs reviewed by BAN-PT are placed in one of four tiers: A (Very Good), B (Good), C (Fair), and D (Unaccredited).

Accreditation criteria include institutional leadership, human resources, facilities and infrastructure, funding, faculty research and publications, quality of the curriculum and teaching, impact on students, and assessment procedures. BAN-PT also produces lists of the top programs in specific fields, such as , engineering, and (Annex 3).

Echoing the public-private quality variance mentioned above, by 2012, 85.82% of the accredited 4- year degree programs in public HEIs were rated A or B, but only 55.53% of those in private ones;

11

similarly, 91.54% of graduate programs in public HEIs were rated A or B, compared to 66.93% for private.

A second effort to stimulate quality enhancement has been the recent KEMRISTEKDIKTI annual ranking of Indonesian HEIs according to the following criteria:

 30% Quality of the lecturers and faculty (including number with advanced degrees)  30% Accreditation of institution and/or specific programs as A or B  10% Quality of students and their performance  30% Quality of research activities

This ranking results in widely disseminated annual reports of the top 25 Indonesian HEIs, as well as the classification of HEIs into four categories.

Table 2. KEMRISTEKDIKTI Ranking of HEIs in Indonesia 2016 Mandiri Utama Madya Binaan

Top Very Good Medium Under Development

# of HEIs in 2016 25 72 160 1219 http://lppm.unud.ac.id/wp-content/uploads/Lampiran-Hasil-Penilaian-Kinerja-Penelitian-Perguruan- Tinggi-Tahun-2013-2015.pdf

Yet another aspect of the New Paradigm has been to consider greater autonomy for public HEIs, although this has met with considerable resistance, reflecting strong GOI involvement in higher education (Hill & Wie, 162; World Bank 2015, 3-11). As of 2016, 11 public universities had been awarded autonomous or PTN-BH (Perguruan Tinggi Negeri Badan Hokum) status, giving them a great deal management independence. A small number of other HEIs had been granted some lesser degrees of autonomy, known as semi-autonomous or PTN-BLU (Perguruan Tinggi Negeri Badan Layanan Umum). Annex 2 lists PTN-BH and PTN-BLU HEIs, showing considerable overlap with those receiving A or B accreditation ratings and mandiri or utama status.

In short, the last two decades have witnessed multiple GOI efforts to assess, organize, and catalyze its tertiary sector, with the driving goals of meeting growing demand, rising to world-class standards, and playing a critical role in the development of the country. The move toward accreditation and quality recognition has frequently been accompanied by programs supporting HEIs in enhancing their programs, some by GOI and others by USAID, the World Bank, and the international development organizations of such countries as Japan, , and the U.K.

The result has been increasing recognition of what is needed for continued growth in Indonesian higher education and also the emergence of a cohort of HEIs poised to lead the efforts for such growth. SHERA is designed to build on both these elements.

A2b. Advancing ST&I research in Indonesia There is general agreement that Indonesia’s contributions to international scientific research are growing but still relatively small, especially given the country’s large population size (USAID 2013, Moeliodihardjo, Hill & Wie). This is borne out by the SCImago Journal & Country Rank, a widely used analysis based on journals and country-specific scientific indicators developed from information in the Scopus database. Citation data is drawn from over 21,500 titles from more than 5,000 international publishers as well as country performance metrics from 239 countries worldwide.

12

The following table developed from SCImago data shows how Indonesia and some of its neighbors rank (in terms of all 239 countries) according to their H-Index (Hirsch-Index), a metric that measures the document productivity of a country combined with the level at which those documents are cited beyond that country. The lower the number, the better the ranking. The table reveals that Indonesia is generally not as well-ranked as , Malaysia, and Thailand, but generally does better than Vietnam and the Philippines. It also shows earth and environmental sciences as areas in which Indonesian research is receiving significant international attention. Longitudinal SCImago data further demonstrate that Indonesia’s international citations have been steadily growing over the last ten years.

Table 3. SCImago 2015 Country Ranks Based on H-Index for S&T Fields Subject Indonesia Malaysia Philippines Thailand Singapore Vietnam All Fields 58 46 57 39 25 61 Agric/Biology 48 44 37 41 38 66 Biochemistry 68 50 51 41 21 72 62 39 78 44 18 68 Comp Sci 73 40 80 45 18 61 Earth Sci 43 50 57 48 40 61 Energy 57 25 67 34 20 78 Engineering 68 37 79 38 14 64 Environ Sci 44 37 50 39 32 66 Health 76 44 77 46 29 98 Immunology 50 45 72 37 33 56 Materials Sci 72 40 85 43 15 65 Math 83 46 87 50 19 57 79 59 91 55 24 63 http://www.scimagojr.com/countryrank.php?order=h&ord=desc

Such international positioning has made increased S&T research productivity, connected to innovations that harness this research for development, a major GOI goal. To this end, KEMRISTEKDIKTI was created in 2014 by fusing the previously separate Directorate General of Higher Education and the Ministry of Research and Technology. In so doing, GOI recognized the critical link between increased research capacity at Indonesian HEIs and the country’s development as a world-class research center. SHERA’s goal of establishing university-based CCRs that enhance HEI capacity for cutting-edge research, focus on Indonesia’s defined research priorities, and connect with the private sector and other local entities is directly in line with this move.

KEMRISTEKDIKTI’s 2015-2019 Strategic Plan translated its overall goals into five (5) strategic targets for the next five years:

1. Increasing the quality of student learning and higher education 2. Increasing the quality of S&T and higher education institutions 3. Increasing the relevance, quality, and quantity of the resources for S&T and higher education 4. Increasing the productivity of research and development 5. Strengthening the country’s capacity for innovation

Toward these targets, KEMRISTEKDIKTI has already taken the steps of instituting performance- based budgets that reward international journal publications, bolstering research funding, and supporting doctoral scholarships. It has announced the grant programs listed in Table 4, some of which are continuations of past efforts.

13

Table 4. KEMRISTEKDIKTI Grant Programs 2016

I. Program Penelitian Kompetitif Nasional/National Competitive Research Program  Penelitian Unggulan Strategis Nasional (PUSNAS)/National Strategic Excellence in Research  Riset Andalan Perguruan Tinggi dan Industri (RAPID)/Leading Research for Universities and Industry for Collaboration  Penelitian Kerjasama Luar Negeri dan Publikasi Internasional (KLN)/Research for Foreign Affairs Cooperation and International Publications  Penelitian Kompetensi (HIKOM)/Competence in Research  Penelitian Strategis Nasional (STRANAS)/National Strategic Research Program  Penelitian Masterplan Percepatan dan Perluasan Pembangunan Ekonomi Indonesia (MP3EI)/ Master Plan for the Acceleration and Expansion of Indonesian Economic Development Research  Penelitian Tim Pascasarjana (PPS)/Post-Graduate Team Research  Penelitian Fundamental (PF)/Fundamental Research  Penelitian Disertasi Doktor (PDD)/Doctoral Dissertation Research  Pendidikan Magister Doktor Sarjana Unggul (PMDSU)/ Magister of Excellence

II. Program Penelitian Desentralisasi/Decentralization Research Program  Penelitian Unggulan Perguruan Tinggi (PUPT)/Higher Education Leading Research  Penelitian Hibah Bersaing (PHB)/Competitive Research Grant  Penelitian Kerjasama antar Perguruan Tinggi (PEKERTI)/Universities Partnerships in Research

III. Program Pengabdian Kepada Masyarakat/Community Service Program  Ipteks bagi Masyarakat (IbM)/ Science and Technology for Community Service  Ipteks bagi Kewirausahaan (IbK)/Science and Technology for Entrepreneurship  Ipteks bagi Produk Ekspor (IbPE)/Science and Technology for Export Products  Ipteks bagi Inovasi Kreativitas Kampus (IbKK)/Science and Technology for Campus Creativity & Innovation  Ipteks bagi Wilayah (IbW)/Science and Technology for the Region  Ipteks bagi Wilayah antara PT-CSR atau PT-Pemda-CSR (IbW-CSR)/Science and Technology for the Region between Higher Education – Corporate Social Responsibility (CSR) or Higher Education – Local Government – CSR  Hi-Link  Program Kuliah Kerja Nyata-Pembelajaran Pemberdayaan Masyarakat (KKN-PPM)/Student Field Work Program: Learning for Community Empowerment

In 2015, KEMRISTEKDIKTI also conferred the designation of Priority Center of Excellence in Science and Technology (PUI, or Pusat Unggulan IPTEK) on 27 research centers or consortia, spread across Indonesia, each focusing on a priority field relevant to economic growth and national welfare (http://pui.ristekdikti.go.id/index.php/beranda_en).

14

Table 5. KEMRISTEKDIKTI 2015 Plan for Development or Enhancement of 27 Centers of Excellence in Science & Technology (PUIs) Palm oil Suboptimal land use

Seaweed Sustainable Forests Radiobiomolecules

Sago Postharvest Agriculture Isotopes/Radiation Technology

Tea & Quinine Large Ruminants Herbal Medicine

Rubber Agro-biotechnology Primates

Coffee & Cocoa Tropical Horticulture Surfactant & Bioenergy

Beans & Tubers Advanced and Active Materials Veterinary science

Sugar Cane Hydrodynamic Buoyancy Broadband Wireless Access

Paddy Agriculture Land reclamation technology Infectious & Tropical Diseases

PUIs are being supported in improving their research capability, resources, and networks. To be designated a PUI, a center must have the potential for or already have achieved a high level of research publications in international journals and also engage in contracts for technology transfer, innovation, and product development, both nationally and internationally.

Some PUIs, such as the Indonesian Coffee and Cocoa Research Institute founded in 1911, have been in existence for some time; others, such as the Technology Center for Radioisotopes and Radiopharmaceuticals, are more recent. Some, such as the Indonesian Primate Research Center, are affiliated with HEIs; some, such as the Hydrodynamic Technology Center, are government-run or independent. All present models for and/or could be combined with SHERA CCRs.

KEMRISTEKDIKTI research development programs, however, as well as those sponsored by USAID, face significant hurdles. As detailed in Section C2 of this report, research at Indonesian HEIs is hampered by a host of circumstances, including limited funding, heavy faculty workloads, a dearth of faculty with , poor access to state-of-the-art infrastructure and equipment, cumbersome administrative requirements, limited English writing skills, and few connections with international researchers (USAID 2013, Moeliodihardjo, Hill & Wie). According to the World Bank, Indonesian HEIs also have one of the highest concentrations of programs in and business in the world, and one of the lowest in engineering and science (Hill & Wie, 167). And, while the mandiri HEIs produce some very high-quality research, they lack incentives to share their knowledge and skills through collaborating with and mentoring peers, either from their own university or other institutions.

SHERA explicitly addresses some of these hurdles, by enabling the hubs of research excellence that already exist at certain Indonesian HEIs to develop still further and connecting them even more firmly to the international research community. By creating CCRs, SHERA will also support these existing centers of excellence in connecting with other institutions in Indonesia, especially those most poised to take their own research efforts to the next level. SHERA’s goal is not simply a single research project at a single HEI, but the long-term enhancement of Indonesia’s higher education research capacity more generally.

15

A2c. USAID’s Country Development Cooperation Strategy 2014-18 SHERA also aligns with a new phase in USAID’s activities in Indonesia, one signaled by its Country Development Cooperation Strategy (CDCS) for 2014-18 (USAID 2013). With this document, USAID moved from a “donor” phase in its work with Indonesia to a “partner” phase. Recognizing Indonesia’s significant growth and development over the last few decades, USAID now sees itself as a co-investor with both public and private institutions in Indonesia in addressing “internal development gaps and [taking advantage of] external development opportunities” (USAID 2013, vi). After consultations with thousands of individuals in government, academia, civil society, development, and the private sector in Indonesia, USAID had identified four Development Objectives (DOs) on which it will work closely with the GOI:

o Democratic governance strengthened o Essential human services for the poorest and most vulnerable improved o Global development priorities of mutual interest advanced o Collaborative achievement in science, technology, and innovation increased

These DOs are crosscut by themes of equity across the Indonesian population, gender equality, good governance, collaborative partnership, and public outreach. The CDCS also identifies 14 priority provinces where USAID will focus its efforts, as well as priority research topics, discussed later in this report.

SHERA most directly connects to DO4, which also aligns with GOI’s National Medium-Term Development Plan for 2014-18 (the third phase of the long-term RPJPN), as well as KEMRISTEKDIKTI’s goals. As the CDCS puts it, USAID can “provide catalytic inputs that will have effects across the scientific ecosystem” (USAID 2013, 37). The following table elaborates three dimensions of this goal:

Table 6. USAID CDCS 2014-18 - DO4: Collaborative Achievement in Science, Technology and Innovation Increased 4.1 Academic capacity and scientific research strengthened 4.1.1 Merit-based research improved 4.1.2 Domestic and global knowledge exchange strengthened 4.1.3 Quality and opportunity in higher education improved 4.2 Evidence-based decision-making enhanced 4.2.1 Mechanisms for influence of data analysis on policy and programs enhanced 4.2.2 Analytical capacity improved 4.2.3 Advocacy and demand for data collection and analysis strengthened 4.3 Innovative Approaches to Development Utilized 4.3.1 Proven technologies demonstrated and adopted 4.3.2 Private sector initiatives increased

In pursuing these ST&I targets, the CDCS calls for USAID to “put tools in the hands of scientists, students, higher education institutions, and the private sector” and “improve research quality and productivity, linkages to broader scientific communities, and education opportunities and standards especially for women students and academics and increase the technical and management capacity of research institutions to foster more sustainable programs and approaches to development issues” (USAID 2013, 39).

More specifically, the CDCS calls for such strategies as providing Indonesian researchers access to funds, international knowledge networks, and training/mentoring opportunities; addressing Indonesia’s “highly fragmented scientific ecosystem” to reduce duplication; improving graduate education, especially in terms of research; removing institutional barriers that stymie research production; offering incentives to adjust gender imbalances; and support the demonstration,

16

adoption, and scaling of proven technologies and other novel approaches to development by partnering with the private sector (USAID 2013, 40-44).

The CDCS continues USAID’s strategy of supporting U.S.-Indonesia partnerships in higher education and reflects the lessons it has learned from over a decade of previous programs that created such linkages.

1. University Partnership Program (UPP) has supported 16 collaborations between U.S. and Indonesian HEIs since 2009 aimed at improving teaching and research capacity in public health, education, environmental protection, climate change, and civil society. 2. Partnerships for Enhanced Engagement in Research (PEER) has provided 43 individual research grants to Indonesian scientists to conduct development-related research in partnership with U.S. scientists. 3. Higher Education Leadership and Management (HELM) has worked with KEMRISTEKDIKTI to build capacity and improve the performance of 50 Indonesian HEIs in terms of leadership, administration, financial management, quality assurance, and research,

The CDCS also reflects two closely related programs, the U.S.-Indonesia Partnership Program (USIPP) and the U.S.-U.K. Global Innovation Initiative (GII), both sponsored (or co-sponsored) by the Bureau of Educational and Cultural Affairs of the U.S. Department of State. USIPP has enabled 6 Indonesian and 6 U.S. universities to form a consortium to expand the capacity of Indonesian HEIs to provide high-quality study abroad programs for U.S. students (Banks & Harrison 2011). The GII, which is administered by IIE and the British Council, has supported U.S. HEIs in developing 37 multilateral research partnerships worldwide – including 8 involving Indonesian institutions.

SHERA builds on the experiences of these past partnership programs in several ways. First is its decision to provide CCR funding to the lead Indonesian HEI, rather than the U.S. partner – a move reflecting the CDCS call for working with Indonesian colleagues as equals and also giving responsibility and ownership to those who must keep the CCR going after SHERA funding ends. The second way in which SHERA builds on past experience is its emphasis on institutional capacity building and long-term CCR sustainability as much as any particular research project. Activities devoted to these goals must be pursued in addition to any specific research studies that are conducted. Yet a third innovation is SHERA’s requirement that at least three other Indonesian HEIs be involved in the CCR in addition to the lead institution, thereby expanding the capacity building impact of the program. A fourth notable SHERA element is its embrace of the ST&I priorities articulated by GOI. Finally, SHERA’s encouragement to CCRs to engage the private sector gives a high degree of social relevance and knowledge application to the research that is done.

In sum, SHERA was developed to meet clearly defined goals for the further advancement of Indonesia and to do so in a manner that builds on past work, uses existing centers of research excellence as catalysts to spread research capacity more broadly, and recognizes the transition in U.S.-Indonesia development work to a partnership of equals.

17

B. Methodology of This Assessment

B1. Overview

The purpose of this assessment is to determine how best to focus SHERA to create effective opportunities to increase research capacity at Indonesian universities. More specifically, this assessment aims to:

1. reach a general understanding of ST&I research capacity across the spectrum of Indonesian HEIs, broken down by institutions, academic field and geographical location; 2. identify best practices for developing CCRs that enhance this research capacity, as well as challenges that must be overcome; 3. identify the criteria which indicate which HEIs are best suited to lead or affiliate with CCRs; 4. identify research topics of greatest interest and importance for Indonesia; and 5. place these findings within the context of the forces, trends, opportunities, and challenges now facing higher education and ST&I research in Indonesia.

These goals were pursued through desk research, interviews, and surveys that examined and collected information from a range of sources discussed in B2 below. As the assessment proceeded, preliminary findings from the desk research were reported to GOI and USAID officials. These conversations led to adjustments in the assessment schedule and methods, expanded our understanding of various , and helped shape the full Notice of Funding Opportunity (NOFO) for SHERA proposals.

The assessment team was also modified over time. The original consultant hired to do the interviews was unable to fulfill his duties and was replaced early on by two ME&L Specialists who were part of the SHERA team in Indonesia. These were joined by three individuals in the U.S. including an international academic partnerships expert and two IIE team members with years of experience in the international education field, to compile and analyze the information contained in this report.

B2. Specific Sources and Methods of Inquiry: Desk Research

 Compilation of a Master List of all Indonesian HEIs that have at least one of the following characteristics that reflect good or superior quality, resulting in a spreadsheet of 157 HEIs (Annex 1):  KEMRISTEKDIKTI rating of either mandiri or utama  BAN-PT rating of either Tier A or Tier B

 Inventory of which HEIs on the Master List had either or both master's and doctoral programs in any S&T field, through research on their institutional websites. This information was then added to the Master List spreadsheet and also used to create a table of the number of HEIs with master’s or doctoral programs in each S&T field.

 Addition of still more information to the Master List spreadsheet for those HEIs that had any of the following characteristics:

o Being involved in one of the 27 KEMRISTEKDIKTI PUIs o Participating in a USAID supported partnership with a U.S. HEI in the past o Placement on one of BAN-PT’s lists of the top programs in particular S&T fields

 Analytics to determine the geographical distribution of Indonesian HEIs on the Master List, across all provinces and across USAID CDCS priority provinces.

18

 Compilation and comparison of various lists of S&T research priorities and strengths, reflecting the views of GOI, USAID, HEIs included in the interview sample, prevalence of relevant graduate degree programs, and the EOIs and actual applications that were submitted.

 Examination of the detailed assessments conducted on past U.S.-Indonesian HEI partnership programs sponsored by USAID, to derive lists of those factors frequently mentioned as enhancing the partnerships, as well as the recurrent challenges that led to difficulties. This material was supplemented by direct questions of U.S.-Indonesian partnerships included in the interviews with selected Indonesian HEIs.

 Compilation of a list of 188 U.S. HEIs with S&T strengths to serve as a resource for Indonesian HEIs looking for partners, through examination of various rankings and HEI websites. The list includes HEIs with high ranking on both national and international lists that also offer doctoral programs in S&T.

B3. Specific Sources and Methods of Inquiry: Interviews, Surveys, and Submissions

The context and elaboration needed for full understanding of the desk research material was derived in several ways, each aimed at eliciting knowledge, experience, and analysis from key individuals and groups in Indonesia.

 Conversations with key KEMRISTEKDIKTI officials. SHERA is predicated on direct collaboration with KEMRISTEKDIKTI. Following the signing of the agreement between USAID/Indonesia and IIE in May 2016, USAID Education Director, Peter Cronin, USAID Agreement Officer Representative (AOR), Jalu Cahyanto, and SHERA Program Director, Prima Setiawan, thus began SHERA by meeting with Dr. Ainun Naim, KEMRISTEKDIKTI Secretary General (SG) to discuss how best to work together. In addition, following the creation of SHERA’s implementation plan, this group met with other members of the SG’s team in August 2016 to review these plans and ensure alignment with relevant GOI activities.

SHERA and USAID representatives also met with Dr. Moh. Dimyati, Director General (DG) of Research and Development Strengthening and his team in August 2016 to discuss priority research areas and selection criteria for SHERA awardees. Dr. Dimyati presented the research priorities of the KEMRISTEKDIKTI 2015 – 2019 Strategic Plan, and the group agreed to align SHERA priority topics with some of these.

In November 2016, Dr. Patdono, Director General of Institutional Strengthening, invited representatives from USAID and SHERA to present the new program and funding opportunity to 200 HEIs at the Science Technology Park (STP) symposium at Institute Teknik Surabaya (ITS), the timing of which aligned well with the release of the SHERA NOFO.

 Conversations with key USAID/Indonesia officials. The SHERA team has also maintained regular with USAID/Indonesia staff, especially AOR, Jalu Cahyanto, and Science and Technology Director, Esther Manurung.

 Visits to 11 top tier HEIs. While the original assessment plan envisioned “in-person or virtual interviews with key informants from all 14 CDCS” regions, staff and time constraints amended this to visiting 11 top tier public and private universities in several communities of East and , as these selected HEIs could provide critical information on how potential CCR lead institutions might view SHERA and on the kind of research strengths found at top Indonesian

19

institutions. The individuals interviewed at these HEIs included vice rectors, department heads, and finance division heads. These visits were conducted between August - October 2016 and included the following institutions:

 Bogor Agricultural Institute (Institut Pertanian Bogor, IPB) – West Java  University of Indonesia (UI) – West Java  Bandung Institute of Technology (Institut Teknologi Bandung, ITB) – West Java  Padjadjaran University (UNPAD) – West Java  Parahyangan Catholic University (UNPAR) – West Java  Indonesian University of Education (Universitas Pendidikan Indonesia, UPI) – West Java  November 10th Institute of Technology (Institut Teknology Sepuluh November, ITS) –  Airlangga University (UNAIR) – East Java  Muhammadiyah University, Malang (UMM) – East Java  State University of Malang (Universitas Negeri Malang, UM) – East Java  Brawijaya University (UNIBRAW) – East Java

At each visit, the SHERA representatives conducted interviews and also distributed a questionnaire to be completed and returned at a later date. The interviews and questionnaire covered such topics as each HEI’s research environment and strengths, training of students for research, past experience with partnerships (both within Indonesia and with the U.S.), past grant experience, possible interest in applying to host a CCR, English language capacity, and engagement of women in research.

A delay was experienced in receiving survey responses, which was believed to be due to the amount of time it took the contact person at each HEI to gather the requested institutional- level information, add it to the hard copy of the questionnaire, and email or send it back to the SHERA team. To address this challenge, the team reformatted the questionnaire, created an online form and redistributed it to all those HEIs with which the survey was initially shared.

Ultimately, five questionnaires were completed and returned – from UI, ITB, UNPAD, UNPAR, and UM. The hard copy of the questionnaire and a link to the online version are in Annex 4. It is also worth noting that even those institutions that did not return the questionnaire gave verbal responses to many of the questionnaire items, and that these responses were largely consistent with the answers given on the questionnaires by those HEIs that did return them.

 Call for Expressions of Interest. On August 15, 2016, SHERA issued a call for Indonesian HEIs to submit EOIs concerning their possible involvement in SHERA as lead institutions to host the CCRs. HEIs rated as mandiri and Tier A were eligible to submit an EOI.

In this document, HEIs were requested to submit their proposed partnership members; the primary institution’s relevant doctoral field in S&T; the proposed partnership activities, goal(s), and objectives; the relevance of the proposed partnership research activities to SHERA’s objectives; the proposed project’s specific capacity-building approach and activities; and the primary institution’s capacity and past experience managing international grants. The form is attached as Annex 5.

20

A total of 67 EOIs from 14 Indonesian HEIs were submitted by the September 15, 2016 deadline. Of those, 11 were located on Java, three were located off Java, and one was from a .

 Receipt of CCR Applications. After receiving and analyzing the EOIs, the call for full applications was issued on October 17, 2016, with a deadline of November 21, 2016. The application package required applicants to describe the combination of activities they proposed to achieve the program outcomes and their approach to implementing these activities; share the qualifications and responsibilities of partnership members and key individuals; outline their approaches to partnership sustainability, gender inclusion, and capacity building of affiliate universities; and discuss their partnership management approach and systems. A total of 49 applications were received from 10 different HEIs, as reported in Section C of this Assessment. Of those, four of the applicants were located off of Java.

21

C. Findings and Analysis

C1. Research Capacity of Indonesian HEIs in ST&I

As discussed in Section B, Indonesian higher education is very much in a growth and development phase. Many of the measures by which research capacity is judged in Europe, Australia, Japan, or North America are still beyond the reach of most Indonesian HEIs. This part of the assessment therefore focuses on general factors that identify those institutions where there is the greatest capacity for leading the country’s continued research development as well as a second group, which – although not as developed as the first group – are next in line to grow their research programs. This section also identifies the significant challenges and issues that must be addressed for widespread progress in ST&I research to be achieved.

C1a. Challenges to Research at Indonesian HEIs. The research literature on Indonesian higher education has much to say about the difficulties faced by HEIs that wish to develop their research capacity (JBS 2009, USAID 2013, Moeliodihardjo, Hill & Wie, World Bank 2015): limited research funding (either internally or externally), poor access to up- to-date research facilities and equipment, cumbersome administrative requirements, and poor support systems. A USAID study in 2009 also noted that the curriculum in many Indonesian HEIs, even some of the top ones, is heavily theoretical, with little problem-based learning or research training (JBS 2009). Access to international journals is also low, with some 7,000 Indonesian journals, many not refereed, filling this gap.

Faculty at Indonesian HEIs also face heavy workloads with a generally strong emphasis on teaching over research and few opportunities for leaves or sabbaticals. 84% have neither doctoral degrees nor training in research, lack the English skills needed to access and contribute to international journals, and are not well connected to international research communities. Most also supplement their income through off-campus work. The time and attention they can devote to research is limited, and many research projects thus suffer from poor design, execution, and connection to up- to-date work in other countries.

The interviews and questionnaires conducted for this assessment add further insight into this situation. Even these highly ranked institutions felt the impact of the factors discussed above. In this light, respondents offered strategies for increasing research capacity in S&T, of which the following were most often cited:

 Greater access to research grants, both within the institution and externally  Additional laboratory equipment  Greater opportunities for research collaboration, especially with universities outside Indonesia  Visiting scholar programs  More programs aimed at human resource development through training and mentoring  Greater institutional ability to manage its own resource allocations and lecturer appointments

Four out of the five HEIs that responded to the questionnaire also indicated that their research activities have increased significantly over the last five years, and all reported increased enthusiasm from their researchers for training in this area. Four institutions gave the number of their ST&I faculty who are now actively engaged in research as between 30% and 60%, with one saying it was greater than 60%.

In short, ST&I research seems to be taking on increased importance at the top tier of HEIs in Indonesia. Respondents attributed this growth to:

22

 new funding available from KEMRISTEKDIKTI  their institution’s decision to declare research as a priority  their institution having been granted PTN-BH status, giving it greater ability to develop its research capacity  their institution having been designated as mandiri or utama, thus recognizing and catalyzing its research program

The survey also revealed that the responding HEIs have already made investments in other elements connected to developing research capacity. Most reported that they provide internal research grants and financial assistance for domestic travel, proposal preparation, and manuscript writing, as well as workshops and training to faculty in various research areas. All but one of these HEIs publish their own S&T journals, with evidence that articles in some of these journals are being cited outside Indonesia. At least six of these journals are cited in Scopus.

All five institutions have an administrative office and personnel who assist with or manage partnerships with other institutions, and all reported experience in managing U.S. and other overseas grants, such as the following.

Table 7. Surveyed Universities with Grant Experience Universities List of Grants University of Indonesia  Grant from US Civilian Research & Development Foundation/US CRDF Biorisk Management Enhancement Grant (2015) Bandung Institute of  Assessment of impact of the emission reduction measures of Technology short-lived climate forcers on air quality and climate in Southeast Asia (The National Academies of Sciences, Engineering, and Medicine-USA, 2012)  Integrated Local Emergency Response Policy Improvement and Capacity Building for Advance-Early Warning System in the Face of Near-Field Tsunami Risk (U.S. Agency for International Development (USAID), 2014)  Study of Climate Change and Air Quality Impact from Short-Lived Climate Forcers (SLCFs) reduction in Indonesia (U.S. Agency for International Development (USAID), 2014) Padjadjaran University  Research and Innovation Fellowship Grant from USAID (2014- present)  Research collaboration with WHO on 2013: Medicine management supply study on avian influenza pandemic Parahyangan Catholic  IDRC (Canada) University  Nuffic (Netherlands) Malang State University  DAAD grant

With one exception, all surveyed HEIs have developed such documents as a Project Operation Manual and a Grants Manual. All also reported having the IT capacity needed for conferencing with international partners and producing/participating in some type of shared web platform, as well as dedicated staff to manage these platforms.

C1b Levels of Preparedness It is increasingly clear that a tier of Indonesian HEIs is moving into much greater research capacity and engagement, aided by the work of KEMRISTEKDIKTI, USAID, and similar organizations, as well as the maturation of their own institutional profiles. While only two or three appear in the top 500 of various global rankings, this number can be expected to grow over the next decade.

23

This assessment has thus attempted to identify which HEIs are most poised for this growth, especially in terms of which might be able to lead a CCR and which might be able to grow through affiliation with a CCR. In other words, where can strategic SHERA investment have the greatest impact in moving Indonesian ST&I research onto the world stage, with the expectation that this research growth will spur still other institutions to follow suit in the future.

Creation of the Master List of 157 Indonesian HEIs drove this process. As discussed in B2, this list contains all Indonesian HEIs that have at least one of the following characteristics that reflect good or superior quality:

 KEMRISTEKDIKTI rating of either mandiri or utama  BAN-PT accreditation rating of either Tier A or Tier B

Additional information was then added to the profiles of these institutions: master's and doctoral programs in any S&T field, geographical location, being involved in one of the 27 KEMRISTEKDIKTI PUIs, participating in a USAID supported partnership with a U.S. HEI in the past, and presence on a BAN-PT list of the top programs in particular S&T fields.

The full Master List is attached to this report as Annex 1. The following table shows the number of HEIs that fit certain combinations of the variables in the Master List.

Table 8. Number of Indonesian HEIs by KEMRISTEKDIKTI and BAN-PT Ratings Mandiri Utama Tier A Tier B Ph.D. in Master’s in High S&T S&T S&T rank 25 70 28 99 27 61 34

Mandiri Mandiri Mandiri, Mandiri, A, Utama and Tier A and Tier B Tier A, and and Tier and Ph.D. Master’s A program program 14 11 12 13 8

Utama and Ph.D. Utama and Mandiri or Utama Mandiri or Utama, program Master’s program and Master’s Tier A or B, and program Master’s program 11 36 49 62

Adding in still other possible combinations of characteristics results in a pool of 10-15 top institutions with greatest potential for further ST&I research development, and another 25-60 with possibilities for CCR affiliate status, depending on which traits are emphasized.

Sorting through these various criteria also reveals the following:

• 11 mandiri HEIs do not offer Ph.D. programs in S&T; 14 do • 4 mandiri HEIs offer neither Ph.D. or Master’s programs in S&T • 32 Tier B universities offer Master’s or Ph.D. programs in S&T

C1c. Some Disciplines Are More Common than Others It should also be noted that the S&T research capacity of Indonesian HEIs is stronger in some fields than others. As discussed in B2b, the higher education curriculum in Indonesia is skewed toward social science and business in general, with one of the lowest offerings of engineering and science

24

programs in the world (Hill & Wie, 167). This assessment further reveals that there is significant variance in the number of graduate programs in various fields, even within S&T.

The following table reflects the number of graduate programs offered at the 36 highest ranking HEIs on the Master List. M stands for Master’s program; D for doctoral program.

Table 9. Number of S&T Master’s & Doctoral Programs at 36 Top Indonesian HEIs Chemistry Physics Biology Math Comp Agriculture Science 7M 7D 6M 4D 5M 8D 9M 6D 2M 4D 9M 11D

Veterinary Nutrition IT Electrical Civil Medicine Biomed /Animal /Food Engineering Engineering /Public Biotech Science Health 6M 6D 6M 11M 1D 7M 4D 13M 7D 4M 10D 6M 3D

Natural Resource Management/ Mechanical Industrial Environmental Marine Mining Petroleum Engineering Engineering Science Science/Fisheries Metallurgy 9M 6D 6M 5D 10M 12D 5M 4D 4M 5D

At the doctoral level, the fields of natural resource management, medicine/public health, and agriculture have the most programs. At the Master’s level, natural resource management, IT, and mechanical and are the most common. Computer science, mining and petroleum science, and marine science are among the least common at either level.

This clustering of disciplines resonates with the SCImago H-Index rankings given in A2b. The three S&T fields in which Indonesian publications are most heavily cited internationally are earth science, , and agriculture. There is clearly significant strength for high-level advancements in these areas, whereas other areas need much more development.

C2. Emerging ST&I Priority Research Topics

Both KEMRISTEKDIKTI and USAID have identified priority topics for Indonesia. The following table matches these with each other, drawing the priorities from the KEMRISTEKDIKTI National Research Master Plan 2015-45 (Rencana Induk Riset Nasional, RIRN), conversations with KEMRISTEKDIKTI officials, and Global Development Priorities for Indonesia from USAID’s CDCS 2014-18.

Table 10. ST&I Research Priorities for Indonesia KEMRISTEKDIKTI National Interviews with USAID CDCS 2014-18 Research Master Plan 2015- KEMRISTEKDIKTI officials 2045 (RIRN) Food Independence/Security Farming/Fisheries/Food Security New/Renewable Energy Energy 3.3 Climate Change Mitigation/Green Economy Health Technology Health 3.1 Infectious Diseases Transportation Technology Information & Communication Technology (ICT) Defense Technology/Security Advanced Materials

25

Maritime Development 3.2 Marine Biodiversity Conserved Disaster/Environmental Environmental Technology & 3.2 Terrestrial Biodiversity Management Management (inc. urban) Conserved Social/Cultural Development 3.2.1. Sustainable Economic Values Advanced

Environmental management, maritime conservation and development, green and renewable energy development, health care development and technology are four clear areas of mutual interest. These also reflect the areas of particular Indonesian research strength already discussed. Food security and various forms of technological development are also strongly advocated by KEMRISTEKDIKTI as additional topics.

It should also be noted that KEMRISTEKDIKTI’s 27 PUIs all fit within one or more of the RIRN priorities, with 13 (roughly half) falling under food independence and security, 5 under environmental management, and 4 under health.

SHERA’s interaction with HEIs through the survey, EOI, and application process gives some indication of the match between these priorities and what institutions are working on. In responding to a pre-determined list on the questionnaire, all HEIs marked clean energy development, food security, and information technology and wireless access as topics on which they had both programs and interested faculty. Earthquake and disaster management, herbal and traditional medicine, biodiversity and marine preservation, climate change mitigation, and biotechnology also received high scores. Some of these topics also came up when the respondents were asked where they had the most significant concentrations of faculty and programs, but so did advanced technology and materials (not on the list).

The following table of research centers at five of the visited universities give further evidence of where research efforts have been concentrated.

Table 11. Interdisciplinary Research Centers at Surveyed Universities Universities Research Centers University of Indonesia Research Center for Climate Change Bandung Institute of  Pusat Penelitian Energi Baru dan Terbarukan/Center for Technology Research on New and Renewable Energy  Pusat Penelitian Teknologi Informasi dan Komunikasi/Center for Research on Information and Communication Technology  Pusat Penelitian Biosains dan Bioteknologi/Center for Research on Bioscience and Biotechnology  Pusat Penelitian Infrastruktur dan Kewilayahan/Center for Research on Infrastructure and Regional Development  Pusat Penelitian Produk Budaya dan Lingkungan/Center for Research on Cultural and Environmental Products  Pusat Penelitian Mitigasi Bencana/Center for Research on Disaster Mitigation  Pusat Penelitian Nanosains dan Nanoteknologi/Center for Research on Nanoscience and Nanotechnology  Pusat Rekayasa Industri/Center for Industrial Technology  Pusat Pemodelan Matematika dan Simulasi/Center for Mathematical Modelling and Simulation  Pusat Mikroelektronika/Center for Micro-electronics  Pusat Perencanaan dan Pengembangan Kepariwisataan/Center for Tourism Planning and Development

26

 Pusat Ilmu Hayati/Center for Biological Sciences  Pusat Studi Lingkungan Hidup/Center for Environmental Studies  Pusat Pengembangan Kawasan Pesisir dan Laut/Center for Coastal and Marine Development  Pusat Kebijakan Keenergian/Center for Research on Energy Policy  Pusat Penginderaan Jauh/Center for Remote Sensing  Pusat Teknologi Instrumentasi dan Otomasi/Center for Instrumentation Technology & Automation  Pusat Kebijakan Publik dan Kepemerintahan/Center for Public Policy and Governance  Pusat Infrastruktur Data Spasial/Center for Spatial Data Infrastructure  Pusat Pendayagunaan Open Source Software/Center for Empowerment of Open-Source Software  Pusat Teknologi Kesehatan dan Keolahragaan/Center for Health and Sport Technologies  Pusat Studi Sistem Tak Berawak/Center for Unmanned System Studies  Pusat Pengkajian Logistik dan Rantai Pasok/Center for Logistics and Supply Chain Studies  Pusat Pengembangan Sumber Daya Air/Center for Water Resources Development  Pusat Perubahan Iklim/Center for Climate Change  Pusat Pemberdayaan Perdesaan/Center for Rural Areas Empowerment Padjadjaran University  Environmental Science (post graduate school)  Biotechnology (post graduate school)  Homeopathic Medicine (integrated laboratory) Parahyangan Catholic  Center of Excellence in Small and Medium Size Enterprise University Development Malang State University  Advanced materials research, including physics, biology, chemistry and engineering

Turning to the EOIs, the 67 submissions aligned with KEMRISTEKDIKTI Master Plan research priorities in the following way, once again underscoring Indonesian strengths and interests in environmental matters: Table 12. ST&I Research Priorities by Number of HEIs Submitting EOIs KEMRISTEKDIKTI Research Priority Area Number of EOIs in this Area Food Independence/Security 7 New/Renewable Energy 10 Health Technology 9 Transportation Technology 1 Information & Communication Technology (ICT) 5 Defense Technology/Security 0 Advanced Materials 4 Maritime Development 5 Disaster/Environmental Management 19 Social/Cultural Development 6

27

C3. Geographical Distribution of Research HEIs As discussed in B2, high performing and well-resourced HEIs are not spread evenly over the landscape. Elite HEIs are almost all on Java, with Jakarta and Yogyakarta hosting 75% of higher education enrollments for the whole country (Hill & Wie, 169). Regions such as the Bangka-Belitung Islands, West Sulawesi, Riau Islands, , East and , and West Papua have the least.

Both KEMRISTEKDIKTI and USAID are committed to widening the geographical distribution of high quality higher education in Indonesia. Both also recognize that this will take time. KEMRISTEKDIKTI’s plan for PUI development envisions six eventual corridors of activity, but the largest, most active existing centers are not yet evenly spread across them, as shown in the following map.

Figure 1. Map of Centers of Excellence in Science and Technology (PUIs) 2015

Through its CDCS, USAID’s strategy of spreading development more widely in Indonesia has been to reduce its geographic reach by half, thereby intensifying its efforts in selected provinces for greater impact (USAID 2013). To this end, USAID selected 14 priority provinces according to the following criteria, in which health and environmental considerations were primary:

1) GOI development priorities 2) Local government commitment and political will 3) Likelihood of impact 4) Other donor activities 5) Previous experience and relationships 6) Sector coordination opportunities 7) Ability to co-invest with private sector 8) Population density (concentration of the poorest and vulnerable) 9) Disaster and climate change vulnerability/mitigation 10) Biodiversity

28

USAID recognizes that CDCS DO4 (Collaborative Achievement in Science, Technology and Innovation Increased) “will take place largely where the universities and research institutes are located,” however, and that these are not evenly distributed. SHERA has been constructed to attend to this issue by requiring CCRs to invite HEIs from other areas to affiliate and engage with their activities.

Figure 2. Map of CDCS Provinces

USAID 2013, p. 12

Geographical analysis of HEIs on the Master List yields the following insights on what opportunities for wider geographical spread exist through SHERA.

Table 13. Numbers of HEIs from SHERA Master List in CDCS Priority Provinces Province Mandiri Utama Tier A Tier B Ph.D. Master’s program program Aceh 0 1 1 1 1 1 5 8 3 10 4 9 Central 0 0 0 0 0 0 Kalimantan East Java 5 16 10 7 4 7 Maluku 0 1 0 3 1 1 0 0 0 1 0 0 North 0 3 2 1 0 2 Sumatra Papua 0 0 0 2 0 0

29

South Sulawesi 1 2 1 8 2 3 Southeast 0 1 0 1 0 0 Sulawesi West Java 4 8 4 8 5 9 West 0 1 0 3 0 1 Kalimantan West Nusa 1 0 0 3 0 0 Tenggara West Papua 0 0 0 1 0 1

Table 14. Number of HEIs from SHERA Master List in Non-CDCS Provinces Province Mandiri Utama Tier A Tier B Ph.D. Master’s program program 1 0 0 6 1 1 Banten 0 3 1 7 0 2 Bangka- 0 0 0 0 0 0 Belitung Bengkulu 0 1 0 1 0 1 Central 0 1 0 0 0 1 Sulawesi East 0 0 0 3 1 1 Kalimantan East Nusa 0 0 0 3 1 1 Tenggara Gorontalo 0 1 0 1 0 0 Jakarta 1 12 2 12 4 9 Jambi 0 1 0 0 0 1 Lampung 1 0 0 1 0 1 North 0 0 0 0 0 0 Kalimantan North 0 1 0 1 0 0 Sulawesi Riau 1 0 0 1 0 0 Riau Islands 0 0 0 0 0 0 South 0 1 0 3 0 1 Kalimantan South 0 1 0 2 1 1 Sumatra West 0 0 0 0 0 0 Sulawesi West 1 2 1 1 1 2 Sumatra Yogyakarta 4 3 4 8 1 5

These two tables testify to the concentration of Indonesian HEIs on Java, including HEIs that have some capacity for growing the research programs in S&T. Two-thirds, or 18, of the doctoral programs in these two tables are located on Java. Examining the 13 institutions most likely to be lead CCR institutions (those that are both mandiri and Tier A and have doctoral or master’s programs in S&T) makes this even clearer. All but two are on Java (the other two are on and West Sumatra respectively).

30

Broadening this to a group with good qualifications for being considered as CCR affiliates (mandiri or utama or Tier A with at least a master’s S&T program) shows a similar concentration on Java, but has at least 1 HEI on each of the following: Aceh, Bali, Lampung, Malaku, North Sumatra, Papua, South Kalimantan, , West Kalimantan, and West Sumatra.

C4. Women in ST&I Research

Female participation in higher education in Indonesia has grown dramatically over the last few decades. While there is still much work to be done – especially in terms of women in S&T fields - this is another area in which Indonesia is poised to make further advances.

The Organization for Economic Cooperation and Development (OECD) data in the following table, for example, demonstrates that Indonesian gender differences in pursuing tertiary education have been shifting. The proportion of young women who have had at least some higher education is now greater than that for young men (OECD 2014), thus reversing the pattern that had been normal for older cohorts. This is confirmed by similar data from UNESCO (2017).

Table 15. Percentage of Men and Women in Indonesia with Tertiary Education – By Age Age Group Percentage of women with Percentage of men with some some tertiary education tertiary education 25-34 11 9 35-44 8 10 45-54 6 9 55-64 3 9 https://www.oecd.org/gender/data/populationwhoattainedtertiaryeducationbysexandagegroup.htm.

While praising such developments, several scholars point out that digging more deeply into these numbers reveals imbalances that still need to be addressed (Murnioti, Pennells, Priyatna, Thulstrup & Koswara, Utomo). Women are more likely to leave before completing their degrees than men, tend to receive lower-status and lower-paying jobs when they graduate, and struggle with deep cultural expectations for men to be the primary earners in household economies. The detailed regression analysis of men’s and women’s wages carried out for the Asian Development Bank in 2014 revealed, for example, the average gender wage gap of 20% in Indonesia, was not significantly diminished when both men and women had some tertiary education (Taniguchi & Tuwo). Women in the countryside are also less likely to pursue higher education than women in cities.

Of particular importance to SHERA are the gender imbalances that remain for undergraduate study in certain disciplines and also for post-baccalaureate degree programs. There is a gender gap in students pursuing S&T. UNESCO data reveals that, in terms of undergraduate programs, women are a majority of students in health, education, humanities, and the arts. Men, however, are a majority of the students in services, engineering, agriculture, science, business, law, and social science.

Table 16. Indonesia: Undergraduate Programs–Percentage of Students who are Female by Field 2014 Health * 72% Education 64% Humanities & Arts 57% Social Science, Business, Law 47% Science 37% Agriculture 37% Engineering 35% Services** 34% https://knoema.com/UNESCOISD2016Oct/unesco-institute-for-statistics-data

31

* Health includes medicine, , , social work, ** Services includes hotel & tourism management, sports, defense, security, transportation, and community sanitation and welfare

There is a similar gap in those pursuing post-baccalaureate study. As shown below, women constitute the majority at the undergraduate level, but not the master’s and doctoral levels.

Table 17. Indonesia: Percentage of Tertiary Students who are Female at Various Levels 2014 Baccalaureate 57% Master’s 46% Doctoral 40% https://knoema.com/UNESCOISD2016Oct/unesco-institute-for-statistics-data

There is an even more pronounced gap in terms of women in both faculty and administrative ranks in Indonesian universities. Depending on the field, as little as 21% of the faculty are women, and an even smaller proportion are full professors (Thulstrup & Koswara). The percentage of women who rise to positions of leadership in Indonesian HEIs is lower still (Murnioti).

Engaging more women in high-level S&T research requires addressing all of these gaps. Interestingly, the questionnaires administered for this assessment show the faculty gender gap as generally (although not always) less at these high-performing HEIs, indicating the suitability of these institutions to take the lead in such initiatives. There are now significant numbers of women faculty at the responding institutions. Their percentages of women faculty in S&T fields vary from 9% to 60% (the lowest percentage at the most highly ranked institution), with an average of 42%. Roughly the same range and average emerges from the question on the percentage of women faculty who are engaged in active S&T research. The departments where these women scholars are located are fairly evenly distributed across biology, chemistry, math, natural sciences, engineering, and health fields. There is thus a cadre of women S&T researchers at these institutions who can serve as guides for women master’s and doctoral students, as well as women faculty at affiliated HEIs.

The 2015 PISA report (Programme for International Student Assessment) offers further indication that such concentrated attention to this issue in Indonesia may be repaid. PISA periodically administers tests to samples of 5,000 secondary school students in each OECD country, as well as some non-OECD countries. The latest study, which covered 64 countries, lists Indonesia as one of only 20 countries where there is no significant gender difference in math and science performance scores for boys and girls (OECD, 26-27). Indonesia also appears as one of only three countries where the percentage of secondary school girls who are contemplating a career in engineering or science exceeds the percentage of boys (OECD, 113). In short, there is a cohort of young Indonesian women who are prepared and interested in careers in S&T; in fact, this is a distinguishing trait for the country.

The issue is thus how SHERA’s CCRs might act on this potential. The PISA report also gives some guidance here. It makes a direct connection between the confidence that young women have in their math and science abilities and their actual performance in these subjects. Here, Indonesia shows the greatest connection of any country in the study: the more young Indonesian women trust their own S&T abilities, the better they do (OECD, 79). The PISA study goes on to connect confidence to the number of opportunities young women have to use and practice what they are learning – a finding directly relevant to shaping SHERA activities, as discussed in D8.

C5. Challenges and Best Practices in U.S.-Indonesia HEI Partnerships

While the number of U.S.-Indonesian HEI partnerships may be low in general, there has been extensive evaluation of many of those sponsored by USAID. 11 of the collaborations under the

32

University Partnership Program (UPP) have been examined, as have some of the closely related Global Innovation Initiative (GII) and U.S.-Indonesia Partnership Program (USIPP) collaborations.

Table 18. USAID University Partnership Programs Evaluations Consulted for this Assessment Project Indonesian HEI(s) U.S. HEI(s) Establishing center on child U of Indonesia (UI) Columbia U protection Augmenting scientific research Udayana U (UNUD) U of California Los Angeles and education through Diponegoro U (UNDIP) biodiversity research Papua State U (UNIPA) Developing a tropical plant Bogor Agricultural Inst (IPB) Texas A&M U curriculum Udayana U (UNUD) Sam Ratulangi U (UNSRAT) Adaptation to climate risk in Bogor Agricultural Inst (IPB) Columbia U Indonesia Strengthening health systems in Gadjah Mada U (UGM) Harvard U Indonesia Syiah Kuala U (UNSYIAH) Indonesian marine Diponegoro U (UNDIP) U of California Santa Cruz biotechnology Hasanuddin U (UNHAS) Eijkman Institute Supporting Indonesian Bandung Inst Technology (ITB) U of Southern California geothermal education capacity Star Energy building Smart strategic coalition for Bogor Agricultural Inst (IPB) Washington State U sustainable agricultural and Indonesian Inst Sciences economic development Enhancing behavior change Mulwarman U (UNMUL) U of Texas El Paso through conservation Rare Climate change mitigation U of Indonesia (UI) Columbia U capacity program

Table 19. GII Programs with Indonesian Participation Project Indonesian HEI(s) Other HEI(s) Aquaculture carrying capacity & Bogor Agricultural Inst (IPB) University of Rhode Island water quality in Indonesian (U.S.), University of Stirling lakes & reservoirs (UK) Sustainable forest management U of Mataram (UNRAM) Northern Arizona U in Indonesia Aberystwyth U (U.K.) Novel approaches of employing U of Indonesia (UI) U of Florida Green Infrastructure to Cardiff U (U.K.) enhance urban sustainability Bamboo in the urban Bogor Agricultural Inst (IPB) U of Pittsburgh environment Coventry University (U.K.) Indian Inst of Technology- Bogor (India) Environmental DNA for rapid Udayana U (UNUD) Bangor U (U.K.) assessment of biodiversity & U of California Los Angeles conservation priorities in Indonesia

Ensemble estimation of flood Bandung Inst Technology (ITB) Swansea U (U.K.) risk in a changing climate U of Maine

33

Sichuan U, Hohai U () Indian Inst of Technology Bombay Establishing a network of Bogor Agricultural Inst (IPB) a. Bangor U (U.K.) research excellence for mine Bandung Inst Technology (ITB) b. Western Carolina U reclamation in Southeast Asia Diponegoro U (UNDIP) Aberystwyth U (U.K.) Brawijaya U (UNIBRAW) Southeast Asian Region for Tropical Biology

Table 20. Indonesian and U.S. HEIs in USIPP Consortium Gadjah Mada U (UGM) Lehigh U U of Indonesia (UI) U of Michigan Bandung Inst Technology (ITB) U of Washington Bogor Agricultural Inst (IPB) Northern Illinois U Airlangga U (UNAIR) Chatham U Inst of the Arts – Jakarta Miami Dade Community College

It is worth noting that all except four of the Indonesian HEIs on these lists are mandiri institutions with strong S&T profiles; also that several are engaged in more than one partnership.

Evaluations for some of Australian Aid’s academic partnership work in Indonesia (Ford 2012), as well as USAID’s partnership activities in other parts of the world (USAID 2011, Gore et al. 2009) have also been examined. Once again, the insights provided by such sources have also been amplified by the responses of the Indonesian HEIs surveyed for this assessment. All five report that they have MOUs with U.S. universities, as shown in the following table.

Table 21. U.S. Partners of Surveyed Indonesian Universities Indonesian HEIs U.S. Partners University of Indonesia  US Civilian Research and Development Foundation (UI) Bandung Inst of  College of Social Sciences U of Hawai'i at Manoa (2012-2017) Technology (ITB)  HULT International Business School (2013-2018)  Chatham U, Lehigh U, Miami Dade College, Northern Illinois U, U of Michigan, U of Washington (2013-present)  Virginia Polytechnic Inst and State U (2013-2018)  Rutgers, The State U of New Jersey (2014-2017)  U of Iowa (2014-2017)  Texas A&M U (2014-2019)  University of I (2014-2019) Padjadjaran U (UNPAD)  Rutgers, The State U of New Jersey  Northern Illinois U  Texas Women U  California Polytechnic U Parahyangan (UNPAR)  James Madison U, through International Network U (INU) Malang State U (UM)  U of Pittsburgh  Ohio U

All of this material also fits with the growing research literature on international academic partnerships in general (Banks et al. 2016, Evers & Lokhoff 2012, Sakamoto & Chapman 2012,

34

Sandstrom & Weiner 2016, Shore & Groen 2009, Stockley & deWit 2011, Sutton & Obst 2011). The present moment is one of both growth and rethinking for such linkages. Various sources confirm that HEIs everywhere have been dramatically increasing their partnership activities over the last ten years, recognizing that such alliances have many benefits in an increasingly globalized landscape of higher education (ACE 2012, IAU 2014, EAIE 2015). This growth has been accompanied by increased attention to what makes for effective partnerships and what more they might do, than has been usual in the past. What has been learned is directly relevant to the U.S.-Indonesian case.

Most of the U.S.-Indonesian partnerships listed in the above tables have had at least some positive results, with the exception of one partnership in which one of the surveyed HEIs participated, which was characterized as ultimately not successful at all. More generally, however, these collaborations were viewed as generating interesting research projects, bringing Indonesian researchers out into international networks, contributing to the development of a research culture, spurring some curricular developments, and enhancing the research skills of the Indonesian faculty who participated.

Many lessons have nevertheless emerged that can enhance future partnerships, especially those such as SHERA’s CCRs, which are intended to have long-term viability. The most commonly mentioned ones follow, divided into three overlapping categories.

Factors important for all international HEI partnerships.

 It is critically important to engage in extensive conversation with potential partners before making a decision to collaborate, identifying if the alliance will be a good match for all involved based on institutional missions, strengths, fit with other partnerships, and partnership goals. In the past, many U.S. HEIs have entered into linkages too quickly, resulting in dozens, if not hundreds, of MOUs for collaborations that have resulted in little actual activity. They are learning to be more careful in the promises they make and how many MOUs they sign in the first place.

 Time should also be devoted, especially early in the partnership, to developing a common understanding of partnership goals and procedures, establishing systems of shared decision- making, planning, and conflict resolution, and clearly defining the benefits that all sides can expect.

 Partnerships work must also deliver genuinely mutual benefit and be conducted with high levels of integrity, fairness, transparency, and honoring commitments. Opportunistic or overly one-sided activity is to be downplayed, and respect given for institutional independence as well as the partnership.

 Paying attention to the people-to-people aspect of the collaboration, to the human relationships among participants, may be as important as the actual research itself. Time must be spent developing these relationships and ensuring that all participants feel included and part of the team.

 Developing regular, on-going communication among partners is also essential. Partnership funds should be budgeted for travel back-and-forth, in both directions. Given the time and cost of travel between the U.S. and Indonesia, however, long-distance communication systems must be developed to keep conversation moving forward. Regular telephone or internet meetings and shared web platforms are very useful in this regard. All of the surveyed HEIs reported that they have the IT in place to participate this way.

35

Factors particularly important for U.S.-Indonesian partnerships.

 S&T research does not occur in a vacuum; neither can it be done entirely by robots. Paying attention to key differences among partners is important. As the surveyed Indonesian HEIs pointed out, differing cultural assumptions, varying levels of resources, even currency differences have plagued some of their collaborations. Faculty, staff and students can benefit from being guided in deepening knowledge of the partner nation, its relationship to their own nation, the cultural/contextual differences framing the partnership, and the ways in which all these factors shape their work.

 Partnerships should be constructed so the Indonesian partner takes more of the lead. It sometimes appeared to participants in past U.S.-Indonesian projects that U.S. partners were dominant in terms of decision-making, planning, and budget. Clear recognition of the need for genuine mutual guidance and mutual benefit is necessary, along with definitions of what these terms mean for all involved. If the goal is capacity building, then Indonesian partners must be given the chance to hone their skills in defining research problems and activities.

 Arising in almost every report and interview is the belief that U.S.-Indonesian partnerships do better if attention is paid to English language issues. Most of the HEIs responding to this assessment’s survey reported that 60% or less of their faculty were fluent in English. The percentage rose even higher when discussing their faculty’s ability to write reports and publications in English. Since U.S. researchers are unlikely to know Bahasa Indonesia and English is widely used in global science, long-term collaborations would do well to offer refresher language workshops, especially on writing and English for scientific purposes (perhaps offering some instruction in Bahasa to U.S. participants in exchange).

Factors particularly important for partnerships focused on developing long-term relationships or centers, such as the CCRs.

 Having a designated program coordinator as well as support structures in place at each participating partner enhances sustainability of collaborations that are intended to have significant institutional impact. One-on-one faculty collaboration can operate without this, but not collaborations on the scale of the CCRs. They have too many moving parts to operate without coordination, and they need someone with responsibility to monitor and keep them moving forward.

 Long-term collaborations operate by developing a series of projects over time. The initial project is viewed as a first step, not an end product, and should be something with a good chance of completion. New project development, arising organically from on-going activities and driven by the overall goals of the partnership, should be a regular activity. Low-cost activities that ensure some level of activity continues should be planned, alongside larger, more dramatic projects. Flexibility, adaptability, and openness to change are essential.

 In a related vein, long-term partnerships must be regularly monitored and periodically given a thorough assessment concerning what activities have happened, what outcomes have resulted, what problems have arisen, and what the impact has been on both sides. If needed, the partnership can then be either revised or – if everyone agrees – terminated.

 This leads to another issue raised by the Indonesian HEIs surveyed for this assessment: partnerships work best when there is high commitment from the U.S. partners, but this may not always be the case. Genuine commitment is as important in selecting U.S. partners as high ranking, perhaps more so. In the case of CCRs, this commitment must be not only to specific research projects but to the overall goal of research capacity building as well.

36

 Commitment to capacity-building is, in fact, one of the most frequently raised issues in the partnership evaluations that were consulted – and certainly one of the most important for the CCRs. This commitment, for Indonesian and U.S. partners alike, calls for activities in addition to the research projects themselves. This, in turn, calls for a range of expertise by a range of individuals involved not only with S&T research, but also with such issues as: curriculum design, institutional infrastructure, and quality assurance.

This commitment to capacity also requires expert researchers to assist with the development of their colleagues’ research skills. Workshops for faculty and graduate students on topics such as proposal writing, research methods, problem definition, project design, and writing for publication are often useful. So is the opportunity to do small research projects of their own or participate in larger group ones, receiving regular feedback along the way. Such activities may also require faculty to be released from some of their teaching responsibilities and to travel to partner HEIs to learn to work with state-of-the-art equipment. Graduate student exchange and collaborations can also be part of such development efforts.

 For long-term partnerships to work, both research and capacity-building need to continue over time. There must be long-term strategic planning with development of a funding model for the future. It is important to tie such partnerships to the goals and missions of the participating HEIs, as well as their surrounding communities and nations. And it is critical to draw new individuals into partnership activities, so that the linkage is not dependent just on its founders. Involvement by rectors, vice rectors, deans, and others who shape the institutions also matters. The more the partnership can be seen as between institutions, not just individuals, the better.

 In a closely related vein, partnerships such as CCRs thrive when they disseminate the results of their work beyond themselves, through professional conference presentations, papers, and publications, and also through news releases to the public and to key stakeholders.

 The evaluations of the 11 UPP projects also repeatedly make the point that strengthening research capacity in Indonesia asks such HEI partnerships to reach out to GOI, the private sector, and local communities, all of which also have a stake in this goal and can join in the collaboration.

 The IPP evaluations also stress the importance of linking partnership research projects to real-world issues of concern to Indonesia and the U.S. This will increase support for the partnerships. Of equal importance, it will also contribute to something that is very important for graduate education in Indonesia, but now often lacking: giving students the opportunity to directly apply the theories and principles they are learning to issues of great importance.

C6. Challenges and Best Practices in Partnerships among HEIs within Indonesia

Much less evaluation has been done on partnerships among HEIs within Indonesia, which is a requirement for the CCRs. The five institutions that completed the assessment’s questionnaire all expressed their openness to such internal linkages. One also stated that as a PTN-BH institution, it frequently serves in a mentorship role to other Indonesian HEIs.

These respondents did not think such linkages would be easy, however, mentioning the following challenges that will have to be surmounted for intra-Indonesian partnerships to work well.

 Institutional differences in research culture and expectations  Institutional differences in resources and capacities

37

 Managing such collaborations in terms of such issues as faculty work load, financial arrangements, tax compliance, and so forth  Managing collaboration for publications  Matters of time and travel in order to make the collaboration work

There may well also be challenges relating to status differences among HEIs, the difficulties in maintaining multi-party networks, and the need to define what benefits are received by the lead institution as well as the affiliated ones (that repay the effort they will expend).

A few suggestions for strategies that might facilitate such collaborations within Indonesia can be found in the evaluations done for past IPP projects:

 Establish satellite centers or branch laboratories at the affiliated partners  Hold some center activities at the other partners  Develop an annual work plan for each partner  Have partner faculty run some workshops at the center  Use IT to disseminate some of the center’s programs and workshops  Establish a managing council with representatives from all participating institutions

38

D. Recommendations for SHERA Development and Design As the various elements of this assessment have been developed, the results have been presented to both KEMENRISTEKDIKTI and USAID/Indonesia. Several of the following recommendations have already been acted upon, in finalizing the criteria for SHERA proposals. Others will be more relevant to SHERA’s implementation phase.

D1. Focus SHERA on Indonesian HEIs that can best achieve SHERA goals. The significant efforts that GOI has put into identifying and enhancing the quality of its HEIs has created a set of institutions ready to undertake even more robust research programs. All still face issues of faculty time, infrastructural support, and how to develop further linkages with the global ST&I community. Many, however, are ready to move in this direction. As discussed in C1b, there now exists a pool of institutions with significant potential for further S&T research development, as well as potential to connect this research to the innovations needed to advance Indonesia.

Rather than starting from scratch, SHERA can be used to strategically enhance these emerging centers of research strength, engage them with priority research topics, and have them serve as catalysts for the spread of research capacity to other HEIs.

In this light, SHERA has already established the following criteria for lead CCR institutions: having both mandiri and Tier A status, as well as doctoral programs in S&T. This created a pool of 12 possible applicants, listed below. Of these, 10 submitted full applications to host a CCR.

Table 22. Indonesian HEIs with Mandiri and Tier A Status, plus Doctoral S&T Programs UGM (Gadjah Mada U) UI (U of Indonesia) ITB (Bandung Inst of Technology) UNHAS (Hasanuddin U) IPB (Bogor Agricultural Inst) UNAIR (Airlangga U) UNDIP (Diponegoro U) UNS (March 11th U) UNIBRAW (Brawijaya U) UNPAD (Padjadjaran U) ITS (Nov 10th Inst of Technology) UNAND (Andalas U)

Indonesian HEIs that might be good candidates for affiliated CCR status range in number from 25-65, depending on what factors are emphasized. Ultimately, SHERA decided that CCRs have at least three affiliate institutions that are mandiri or utama, Tier A or Tier B, and have an S&T Master’s program. This establishes a pool of 62 institutions.

Because sustainable partnerships and centers take time to build and mature and because there are already two dozen USAID and IIE affiliated U.S.-Indonesian university partnerships and 27 Indonesian PUIs, SHERA should also be open to the possibility for such existing entities to apply to be a CCR or affiliate with one.

D2. Actively engage diverse regions in the CCRs. SHERA can and should play a role in reversing the geographical concentration of research capacity that now exists in Indonesia. To this end, it should support CCRs in selecting affiliated institutions from outside their own regions.

Since all but two of the possible lead CCR institutions are on Java, SHERA thus made it known that geographic diversity, as well as research capacity should be taken into account in selecting affiliated HEIs. This goal was widely embraced by those submitting proposals. All but one of the 49 applications included at least one affiliated HEI off Java. These proposed affiliates represent 22 different provinces in addition to those on Java, including all but one of USAID’s CDCS provinces.

It will now be important to develop effective mechanisms for engaging faculty and graduate students from these affiliated HEIs in other regions of Indonesia, as discussed further in D6.

39

D3. Match CCR focus areas to GOI and USAID research priorities. This decision has already been made. The topical foci defined for the CCRs include those on which both GOI and USAID agree, as well as two others reflecting strong GOI interest and Indonesian HEI ST&I research strengths. CCR applications were thus restricted to those that fall under one of the following categories.

1) Food Security and Self Sufficiency - This focus area includes bio-technology, adaptations to sub-optimal land, technological advancements in fisheries, post-harvest technology, innovative agricultural methods and cultivation techniques; water pollution and other research that will address communities’ self-sufficiency, resilience and access to safe and nutritious food and potable water.

2) Environment, Energy and Maritime Sciences - This focus area includes marine and terrestrial preservation and management; forest stewardship; low-carbon land-use; climate change mitigation and low carbon energy systems; maritime management; coral reef conservation; natural disaster prevention and management; renewable energy development and field substitution technology and other research that will support Indonesia’s movement towards increased bio-diversity preservation and a green economy.

3) Public Health and Infectious Disease - This focus area includes disease prevention; advancements in medical biotechnology and diagnostic technology and other research topics that will support Indonesia’s capacity to treat and prevent disease and improve citizens’ quality-of-life.

4) Urban Development and Planning - This focus area includes city planning; smart cities; civil engineering and infrastructure development; green building and other research that will address the challenges related to rapid urbanization and the impacts of increased population density.

5) Innovative Technologies - This focus area includes advanced materials development; transportation safety technology and management; nanotechnology; ICT, telecommunications, and wireless access and other innovations in research related to technological advancements.

All five focus areas received applications, but the two that represent the greatest existing Indonesian research strengths received significantly more than the others.

Table 23. Applications According to SHERA Focus Areas Focus Area Number of applications received Environment, Energy and Maritime Sciences 19 Food Security and Self-Sufficiency 12 Innovative Technologies 6 Public Health and Infectious Disease 8 Urban Planning and Development 4

D4. Provide further encouragement to CCRs to connect with government, research institutes, and the private sector.

This is critically important to develop the Innovation piece of ST&I. SHERA’s interest in such connections appears in the NOFO, with this wording: “it is encouraged for partnerships to include private sector, research institutions, local government and non-governmental organizations (NGOs) as stakeholders to promote sustainability and foster innovative solutions to address challenges critical to Indonesia’s development.” As discussed in C1 and C7, such linkages also increase the

40

resources and knowledge available to the CCRs, stimulate public interest in HEI research, and tie CCR projects to real-world issues that reflect Indonesian priorities and give a sense of urgency and purpose that can engage more faculty and students in research.

Relatively few of the CCR applications included such linkages, however, leading to the recommendation that those selected for funding be guided and encouraged to do this as they move forward. The SHERA team might invite interested parties from these organizations to make their interest known to the selected CCRs. It might also make suggestions or foster introductions to possible external partners. During the SHERA presentation to USAID in September 2016 to share findings and updates midway through the Assessment, attendees from the Global Development Alliance (GDA), USAID’s premier model for public/private partnerships, presented the option of connecting GDA members to CCRs immediately following their selection to help build mutually beneficial relationships that could last beyond the life of the program. The Director of Science and Technology also proposed communicating with the other USAID offices relevant to SHERA.

D5. Provide selected CCRs with guidance on best practices in partnership development and maintenance.

As discussed in C5, building and sustaining effective academic partnerships is complex work for which there is a growing body of both cautionary tales and best practices. Hosts of inactive MOUs are being replaced with strategies and procedures based on what has been learned.

CCRs can benefit from examination of each of the points made in C5 concerning partnership mutuality, planning, infrastructure, communications, monitoring, maintenance over time, and the issues specific to U.S.-Indonesian relationships. SHERA should consider various ways of fostering discussion of these issues, including workshops, webinars, and online platforms containing key materials. It might also consider developing a checklist of partnership elements, practices, and outcomes that CCRs (and the SHERA team) can use to assess activities and outcomes on an on- going basis, as well as periodic visits to the CCRs by partnership advisers.

D6. Attend to and manage the multiple partners and multiple goals of the CCRs.

CCRs are more than one-time, one-on-one research collaborations, and they must be carefully guided in achieving all that is expected of them. This will require some form of central management and coordination, in addition to the activities connected to specific research projects. In terms of the multiple partners, it would be wise to establish systems that keep all in touch with each. An advisory council with representatives from all partners is worth considering. Spreading activities around the different partner locations might also be discussed.

Along these lines, CCRs will be required to establish and maintain a virtual portal using a user- friendly and free or inexpensive platform. Each portal will be tailored to the Center’s focus area, but could include such resources as webinar versions of short courses on research design, publications on partnership best practices, video seminars by U.S. and Indonesian scholars, links to relevant research resources, and conference information, updates on CCR activities, and message boards to enable virtual communication among partnership members.

There will also need to be continual emphasis on the dual goals of the CCRs: to carry out specific research projects and to enhance research capacity, especially for Indonesian HEIs. As discussed in greater detail in D7, this second goal cannot be left to chance, and all participants should endorse its importance. It may well be necessary to have CCR staff who take charge of this element and to engage U.S. colleagues who are experts in the various elements of such capacity building (in addition to those who are researchers in the particular focus area). Furthermore, research projects should not be conceived as one-off activities, but as steps to skill enhancement and further projects. Participation in project design should also be shared broadly among partners.

41

In order to bring the capacity-building goal to the fore, it may be important to guide U.S. participants in recognizing and articulating how assisting in building Indonesian research capacity carries benefits for their own (U.S.) institutions as well. Sustained partnership conveys mutual benefit to all participants. There are indeed benefits to the institutions involved in capacity-building for others, but these often go unspoken. It is better for all concerned when these benefits are openly recognized. Such benefits vary by situation. In addition to doing something of inherent value in and of itself, these benefits often include developing a supportive base for carrying out research that can only be done in a particular region, offering opportunities for one’s own graduate students to learn cross-cultural collaboration skills, and coming into contact with perspectives and bodies of knowledge that change one’s own thinking.

D7. Pursue the goal of enhancing research capacity with a creative, multi-pronged approach.

Enhancing research capacity is a multi-faceted task that should be approached through a host of different activities. CCRs should approach this work comprehensively and creatively. The following are just some of the many possibilities that might be considered.

 Provide workshops, seminars, webinars, and short courses specifically focused on capacity development topics, such as research methods, problem definition, data collection, ethical issues, and publishing possibilities.  Conduct a range of courses and workshops to enhance English language fluency for Indonesian faculty and students (and perhaps to introduce U.S. faculty and students to Bahasa Indonesia).  Develop research projects that bring a range of faculty together so that their different perspectives enhance each other: research experts and novices, representatives of different disciplines, members of both lead and affiliated HEIs, and so forth.  Ask Indonesian scholars who take part in CCR activities to present or replicate what they have learned for their peers who did not participate.  Distribute CCR projects and activities around the various participating institutions.  Encourage CCRs to produce either COIL courses (Collaborative Online International Learning in which partners co-teach virtually) or MOOCs (massive open online courses on platforms such as EdX) to develop capacity both among and beyond the students of participating HEIs.  Occasionally invite HEIs beyond the affiliates to workshops, conferences, and other CCR events.  Have U.S. faculty spend an extended period in residence at CCR lead or affiliate HEIs, taking advantage of their institutions’ sabbatical programs to pursue their own research interests in Indonesia while conducting seminars on topics related to the CCR, collaborating with and mentoring Indonesian counterparts, and enhancing relationships through regular contact over a prolonged period.  Support Indonesian faculty in doing something similar in reverse.  Recognize graduate education as part of capacity building: including master’s and doctoral students in many activities, making curricular enhancements, developing bi-national or intra- Indonesian teams of students who work on projects together.  Develop access to and familiarity with key online databases, inviting those at institutions without them to spend some time at HEIs that do have them and offering in-person or virtual trainings conducted by librarians.  Use similar activities to provide access to and familiarity with high quality lab equipment.  Provide assistance in writing and submitting publications – including offers of co-publication.  For faculty or students new to research, provide the opportunity to do small research projects of their own or participate in larger group ones, with feedback

42

 Develop IT-facilitated global classrooms, where U.S. and Indonesian faculty and graduate students teach and learn from each other.  Support senior lecturers and professors in being released from full-time teaching responsibilities to participate in CCR activities.  Provide support in drafting or revising guidelines concerning critical issues of research integrity such as institutional review boards, ethics standards, and policies on plagiarism and citation.

As these and other activities are developed, the CCR may ask the U.S partner to review the institutional environments at the lead and affiliated Indonesian HEIs to identify areas for research capacity improvement and provide technical assistance. The U.S. partner could work with these HEIs to review policies, resources, strengths, and gaps of their Indonesian counterparts and recommend revisions that would allow Indonesian scholars to devote more time to research, such as instituting junior faculty research leaves.

D8. Use the CCRs to expand the participation of women in S&T research.

As discussed in C4, the percentage of young Indonesian women pursuing tertiary education is now higher than the percentage of young Indonesian men, but lagging in most S&T fields, as is the number of women faculty. The time is ripe for change in these proportions, however. The percentage of secondary school women in Indonesia who are thinking about careers in science and engineering is remarkably high, as is their performance on standardized math and science tests (OECD 2015). The institutions returning the questionnaire for this Assessment also indicate growing levels of female faculty and researchers in S&T.

OECD studies indicate that – worldwide - the key factors holding women back from greater engagement in S&T are interrelated: their level of self confidence in these areas, and the opportunities they have to develop this self-confidence by engaging in S&T projects.

CCRs can tackle this issue directly by committing to include women in their leadership structures and research teams. They should also reach out to women faculty as well as master’s and doctoral students at both lead and affiliated HEIs, giving them the opportunity to develop both confidence and skills. The activities that might be considered include:

 Inviting women from participating HEIs to join research teams, perhaps with a mentor assigned to guide them  Having active women researchers, from within the CCR and beyond, travel to the affiliated HEIs to give presentations and workshops on developing research skills  Inviting women from participating HEIs to be co-authors on papers resulting from CCR research  Establishing a network that enables the women involved in the CCRs to meet and talk about the issues they face, and support each other  Having female faculty and doctoral students from the U.S. partners establish mentor relationships with their Indonesian counterparts  Developing public outreach campaigns to encourage girls to think about S&T, specifically early in the pipeline (elementary, middle and high school)

D9. Ensure that U.S. partners understand and support the full scope of SHERA’s goals.

It is important to engage U.S. partners that understand the dual purposes of SHERA. Not all U.S. partners may be interested in SHERA’s capacity-building aspect. There are, however, many U.S. HEIs from which to choose, and even where partners have already been identified, others can be added. Cross-referencing the Times Higher Ed, U.S. News & World Report, and Shanghai rankings (including the Shanghai rankings in specific S&T fields) with the presence of graduate programs in

43

S&T resulted in a list of 187 U.S. HEIs that might be good SHERA partners. Not all of these institutions are well-known in Indonesia, but all are excellent, and many are looking to expand their international work and have expertise in capacity-building. This list will be made available for any CCR that wishes to think about adding more U.S. partners.

44

E. Challenges and Opportunities in Implementing SHERA

The time is clearly at hand for Indonesian HEIs to expand their research capacity, especially in S&T fields, with an eye to innovation and development. Much work by GOI as well as USAID and other aid organizations has fostered continued growth in the country’s higher education sector over the last three decades. GOI and USAID also recognize that Indonesia is poised to make great strides in its ST&I initiatives, and that its universities and institutes will lead the way.

SHERA was created to respond to this opportunity. By creating CCRs, SHERA will support collaboration between Indonesian and U.S. institutions aimed at 1) conducting cutting-edge S&T research projects and innovations on topics of great significance, and 2) using these projects and a host of other activities to increase the S&T research capacity of Indonesian higher education.

In developing the CCRs, SHERA faces the same risks faced by other programs of international partnership in terms of the difficulties of developing and maintaining meaningful, mutually beneficial collaborations across national boundaries, discussed in some detail in C5. Much has been learned about how to build better partnerships, however, and the suggestions given in this assessment should overcome many of these difficulties.

Where SHERA faces special risks is not in these normal areas of partnership development, but in its distinctive and unusual features, features that take SHERA into unexplored territory. It is these features that give SHERA its power, but that also raise risks that require special attention.

One of these features is SHERA’s decision to have Indonesian HEIs serve as the leads and budgetary managers for the CCRs. There are good reasons for making this decision. Past U.S.-Indonesian partnerships have sometimes been driven too much by the interests of their U.S. partners. If the CCRs are to continue after SHERA funding ends and contribute to Indonesian skills in organizing research, it is better for them to be embedded in Indonesian institutions from the start. Furthermore, such a move resonates with USAID’s CDCS which moves its activities with Indonesia from donor status to partner status.

The risk in transitioning the lead position to Indonesian HEIs is that they have had little, if any, experience designing and administering projects funded by the U.S. This is new territory for both sides and will require much bi-national discussion, negotiation, advising, and monitoring as the CCRs are put into action. There is also the additional risk that once SHERA funding ends, it will be difficult for CCRs to continue financially, unless they have secured other funding. Much depends on their ability to generate additional grants through the quality of their work.

A second distinctive SHERA feature is its emphasis on building a network of institutions for each CCR. Networks are inherently more complex than one-on-one partnerships and require centralized coordination and communication. There is the risk of not all HEIs feeling included, matched by the possibility of not all sharing the same level of commitment. There can be logistical difficulties in moving back and forth and coordinating schedules. There will certainly be differences in experience, resources, and status that must be acknowledged but in ways that also acknowledge what it is that those lower in these items nevertheless bring to the CCRs. Other HEI consortia or indeed consortia of other kinds of institutions, either within Indonesia or elsewhere, may be able to provide some suggestions of how to make such networks operate effectively. Faculty in business and organizational management might also be able to serve as advisors.

The third and final distinctive SHERA feature to be discussed here is its request that CCRs pursue both cutting-edge research and institutional capacity building. As mentioned throughout this assessment, there is a risk that not all participants will understand or embrace both goals. There is also the risk that one will come to dominate, and the other will wither. Both are necessary for the continued health of the CCRs. Much attention must be given to having these two goals intertwined

45

and support each other.

Ultimately, however, as mentioned above, it is these distinctive features, no matter their risks, that give SHERA its power. They move Indonesian HEIs into leadership positions in their partnerships with the U.S., they spread engagement broadly across Indonesia, and they align cutting-edge research with more general capacity building. They make SHERA a true partnership program.

46

F. References

American Council on Education 2012 Mapping Internationalization on U.S. Campuses: 2012 Edition. Washington D.C.: ACE. http://www.acenet.edu/news-room/Documents/Mapping- Internationalizationon-US-Campuses-2012-data.pdf.

Asian Development Bank and Ministry of Education and Culture, Indonesia 2013 University – Industry – Government Partnership for Economic Development in Indonesia. Education Sector, Analytical and Capacity Development Partnership (ACDP) Policy Brief. Jakarta. https://www.adb.org/sites/default/.../ino-uig-partnership-economic-development2.pdf.

Banks, Clare, Karin Norton, Birgit Siebe-Herbig, & Matthias Kuder, eds. 2016 Global Perspectives on Strategic International Partnerships: A Guide to Building Sustainable Linkages. New York: Institute for International Education and German Academic Exchange Service (DAAD).

Banks, Clare & Shannon Harrison 2011 Expanding U.S. Study Abroad to Indonesia: U.S. and Indonesian Perspectives and Strategies for Expansion. IIE Study Abroad White Paper Series No. 10. www.iie.org/~/.../Survey-Report-Expanding-Study-Abroad-to-Indonesia-Final.pdf.

Banks, Clare, Morgan Clark, & Shannon Harrison 2012 Models for U.S. Study Abroad to Indonesia. IIE Study Abroad White Paper Series, No. 12. www.iie.org/~/media/Files/Corporate/.../Expanding- Study-Abroad-Indonesia.pdf.

BAN-PT (National Accreditation Board of Higher Education) 2016 http://ban-pt.kemdikbud.go.id/.  Accreditation Ranking by Province. https://translate.googleusercontent.com/translate_c?depth=1&hl=en&prev=search&rurl=tran slate.google.com&sl=id&sp=nmt4&u=http://www.ban-pt-universitas.co/2015/02/peringkat- universitas-di-indonesia-per-provinsi-ban- pt.html&usg=ALkJrhj3tl3RtfV_h5l5Gvbi_lGDLebECA.  Best HEIs in Selected Subject Areas. https://translate.googleusercontent.com/translate_c?depth=1&hl=en&prev=search&rurl=tran slate.google.com&sl=id&sp=nmt4&u=http://www.ban-pt- universitas.co/search/label/teknik&usg=ALkJrhgWFDQ2BsM6rvqR7xwX8A1JJ9t57w.

BAPPENAS (National Development Planning Agency) 2005 National Long-Term Development Plan 2005-2025 (RPJPN, Rencana Pembangunan Jangka Panjang Nasional). http://www.bappenas.go.id/files/1814/2057/0437/RPJP_2005-2025.pdf.

BLU (Public Service Agency of the Ministry of Finance) 2016 List of PTN-BLU HEIs. http://www.blu.djpbn.kemenkeu.go.id/index.php?r=publication/blu/index.

Boardman, Gerald, Dwatmadji, Johan Ceelen, & Wardhani Kusuma 2014 Evaluation of the Indonesia University Partnerships Program: Phase Three – Partnerships #5-#8. Aguirre Division of JBS International for USAID.

Chou, Loke-Ming 2000 Indonesian Coastal University Network (INCUNE) Strategy. www.crc.uri.edu/download/INCUNE_Strategy.pdf. Jakarta: INCUNE & Proyek Pesisir.

Egron-Polak, Eva & Ross Hudson 2014) Internationalization of Higher Education: Growing Expectations, Fundamental Values. Paris: International Association of Universities.

47

Evans, David, Cornelia Flora, Gary Goodpastor, Peter Shepherd, & Kenneth Solo 2009 Assessment of Higher Education Institutional Capacity in Selected Geographic and Subject Areas. JBS International for USAID. pdf.usaid.gov/pdf_docs/Pnads283.pdf.

Evers, Nico & Jenneke Lokhoff 2012 Four Steps for Creating Sustainable Academic Partnerships. European Association of International Education (EAIE). http://www.eaie.org/blog/4-steps-for- creating-sustainable-academic-partnerships/

Ford, Michele 2012 Mechanisms for Building Research Capacity in Indonesia’s Knowledge Sector through Australian Universities. Commissioned by Tertiary Education and Knowledge Sector Unit, AusAID.

Gore, Jane S. & Malcolm J. Odell 2009 Higher Education Partnerships in Sub-Saharan Africa: An Impact Assessment of 12 Higher Education Partnerships. Bureau for Economic Growth, Agriculture and Trade (EGAT), USAID.

Helms, Robin Matross 2015 International Higher Education Partnerships: A Global Review of Standards and Practices. Washington DC: American Council on Education. http://www.acenet.edu/news- room/Documents/CIGE-Insights-Intl-Higher-Ed-Partnerships.pdf).

Hill, Hal & Thee Kian Wie 2013 Indonesian Universities: Rapid Growth, Major Challenges. In D. Suryadarma & G.W. Jones, eds., Education in Indonesia, pp. 160-179. Singapore: Institute of Southeast Asian Studies.

Jacobs, W. James, Yuanyuan Wang, Tracy Lynn Pelkowski, Ravik Karsidi, & Agus D. Priyanto 2012 Higher Education Reform in Indonesia: University Governance and Autonomy. In H. G. Schuetze, W. Bruneau, & G. Grosjean, eds., University Governance and Reform: Policy, Fads, and Experience in International Perspective, pp. 225-240. New York: Palgrave MacMillan.

KEMRISTEKDIKTI (Ministry of Research, Technology, and Higher Education)  Website http://www.dikti.go.id/.  PUIs (Centers of Research Excellence) http://pui.ristekdikti.go.id/index.php/lembaga/lembaga_view.  Annex No. 2331 Performance Rating of Higher Education Institutions August 2016. http://lppm.unud.ac.id/wp-content/uploads/Lampiran-Hasil-Penilaian-Kinerja-Penelitian- Perguruan-Tinggi-Tahun-2013-2015.pdf.  Listing of PTN-BH HEIs, 2016. http://www.kopertis12.or.id/2013/06/29/kumpulan- permendikbud-tentang-statuta-ptn.html.  Directorate General of Institutional Strengthening, December 2015, Priority Programs (Program Prioritas Ditjen Kelembagaan Iptek dan Dikti) PowerPoint presentation.  National Research Master Plan 2015-2045 (Rencana Induk Riset Nasional). PowerPoint presentation.

Logli, C. 2016 Higher Education in Indonesia: Contemporary Challenges in Governance, Access, and Quality. In D. Neubauer, J. Hawkins, M. Lee, & C. Collins, eds., Palgrave Handbook of Asian Higher Education. New York City, NY: Palgrave Macmillan.

Moeliodihardjo, Bagyo Yuwono 2013 Higher Education Sector in Indonesia. Paper prepared for International Seminar on Massification of Higher Education in Large Academic Systems. British Council. https://www.britishcouncil.in/sites/default/files/indonesian_higher_education_system.pdf.

Murnioti, Celilia Titiek 2012 Career Advancement of Women Senior Academic Administrators in Indonesia: Supports and Challenges. Ph.D. Dissertation. U of Iowa. http://ir.uiowa.edu/cgi/viewcontent.cgi?article=3416&context=etd

48

OECD 2015 The ABC of Gender Equality in Education: Aptitude, Behaviour, Confidence. Pisa, OECD Publishing. https://www.oecd.org/pisa/keyfindings/pisa-2012-results-gender.htm.

OECD 2014 Gender Equality Data. https://www.oecd.org/gender/data/populationwhoattainedtertiaryeducationbysexandagegroup.htm.

OECD/Asian Development Bank 2015 Education in Indonesia: Rising to the Challenge. Paris: OECD. http://www.oecd.org/publications/education-in-indonesia-9789264230750-en.htm.

Pennells, Linda 1998 Girls’ and Women’s Education: Policies and Implementation Mechanisms. UNESCO Regional Office, Bangkok. http://unesdoc.unesco.org/images/0011/001146/114670Eo.pdf

Priyatna, Aquarini 2013. Negotiating and Rethinking Local Culture: The Narratives of Indonesian Women Juggling Higher Education, Work, and Domestic Roles. Asian Journal of Women’s Studies, 19(4), 95-123.

Royono, Rivandra & Diastika Rahwidiati 2013 Beating the Odds: Locally Relevant Alternatives to World-Class Universities. In D. Suryadarma & G.W. Jones, eds., Education in Indonesia, pp. 180-202. Singapore: Institute of Southeast Asian Studies.

Sakamoto, Robin & David W. Chapman 2012 Cross-Border Partnerships in International Higher Education. London: Routledge.

Sandstrom, Anna Malin & Leasa Weimer 2016 The EAIE Barometer: International Strategic Partnerships. European Association of International Education (EAIE). http://www.eaie.org/eaie- resources/library/publication/E-book-series/international-strategic-partnerships.

SCImago Journal and Country Rank 2016. http://www.scimagojr.com/countryrank.php?order=h&ord=desc.

Shore, S. & Groen, J. 2009 After the Ink Dries: Doing collaborative international work in higher education. Studies in Higher Education 34: 533-546.

Stockley, David & Hans de Wit 2011 The Increasing Relevance of Institutional Networks. In H. de Wit, ed., Trends, Issues, and Challenges in Internationalization of Higher Education, pp. 45-58. Amsterdam: Center for Applied Research on Economics and Management, Hogeschool van Amsterdam.

Suryadarma, Daniel & Gavin W. Jones 2013 Meeting the Education Challenge. In D. Suryadarma & G.W. Jones, eds. Education in Indonesia, pp. 1-14. Singapore: Institute of Southeast Asian Studies.

Sutton, Susan Buck & Daniel Obst, eds. 2011 Developing Strategic International Partnerships: Models for Initiating and Sustaining Innovative Institutional Linkages. New York: Institute of International Education.

Taniguchi, Kiyoshi & Alika Tuwo 2014 New Evidence on the Gender Wage Gap in Indonesia. Asian Development Bank Economics Working Paper Series No. 404.

Tate, Sean, Dwatmadji, Mohammad Rum Ali, & Kusuma Wardani 2014 Evaluation of the Indonesia University Partnerships Program: Phase Four – Partnerships 9-11. International Business & Technical Consultants for USAID. http://pdf.usaid.gov/pdf_docs/PA00K33N.pdf.

49

Thulstrup, Erik W. & Jajah Koswara 2001. Participation of East Asian Women in Higher Education with Particular Emphasis on Science Based Fields. The International Journal of and Social Policy 21(1/2), 72-83.

Tolo, Kenneth, Frank Dall, Dwatmadji, & Dian Rachmawati 2013 Evaluation of the Indonesia University Partnerships Program: Phase Two – Partnerships #3 and #4. Aguirre Division, JBS International for USAID. http://pdf.usaid.gov/pdf_docs/pdacy092.pdf.

Tolo, Kenneth, Frank Dall, & Dwatmadji 2012 Evaluation of the Indonesia University Partnerships Program: Phase One – Partnerships #1 and #2. International Business & Technical Consultants for USAID. pdf.usaid.gov/pdf_docs/pdacu841.pdf.

Tolo, Kenneth, Frank Method, Peter French, Jill Rhodes, & Christine Allison 2011 Best Practices for USAID International Higher Education Institutional Partnerships: Asia and Middle East Regions, Vol. 1. Aguirre Division, JBS International for USAID. http://pdf.usaid.gov/pdf_docs/PA00HW3Q.pdf.

UNDP Indonesia 2015 Converging Development Agendas: ‘Nawa Cita’, ‘RPJMN’, and SDGs. Jakarta: United Nations Development Program Indonesia Office. www.id.undp.org/content/dam/indonesia/2015/doc/publication/ConvFinal-En.pdf.

UNESCO 2014 Indonesia UNESCO: Country Programming Document. Jakarta: UNESCO House. http://unesdoc.unesco.org/images/0023/002303/230310E.pdf.

UNESCO Institute for Statistics Data 2017 https://knoema.com/UNESCOISD2016Oct/unesco-institute-for-statistics-data

UN Data 2016 Gross Enrolment Ratio – Tertiary Education. http://data.un.org/Data.aspx?d=UNESCO&f=series%3AGER_56)

USAID 2013 Investing in Indonesia: A stronger Indonesia advancing national and global development – USAID Strategy for Indonesia 2014-2018. USAID Country Development Cooperation Strategy (CDCS). https://www.usaid.gov/sites/default/files/documents/1861/Indonesia%20CDCS%20FINAL%20Version. pdf.

Utomo, Ariane 2015 A Woman’s Place Inside Indonesia April 6, 2015 issue. http://www.insideindonesia.org/a-woman-s-place-3

World Bank 2015 Project Performance Assessment Report: Indonesia: Managing Higher Education for Relevance and Efficiency Project. IEG Public Sector Evaluation Group. http://documents.worldbank.org/curated/en/185401468188648046/Indonesia-Managing-Higher- Education-for-Relevance-and-Efficiency-Project.

World Economic Forum 2016 Global Competitiveness Report: Indonesia. http://reports.weforum.org/global-competitiveness-report-2015-2016/economies/#economy=IDN.

50

G. Annexes

51

Indonesian Higher Education Institutions

Higher Abbrev Higher Province Type Mandiri Utama Tier A Tier B Ph.D. Masters Linked Top S&T Previous Education Education Program Program to PUI in USAID Institution (in Institution in S&T in S&T Indonesia US

English) (in Bahasa) Partner

Gadjah Mada UGM Universitas Yogyakarta Public x X X X X X X University Gadjah Mada * University of UI Universitas Jakarta* Public x X X X X X X Indonesia Indonesia Bandung ITB Institut West Java Public x X X X X X Institute of Teknologi Technology Bandung Hasanuddin UNHAS Universitas South Public x X X X X X X University Hasanuddin Sulawesi Bogor IPB Institut West Java Public x X X X X Agricultural Pertanian University Bogor Airlangga UNAIR Universitas East Java Public x X X X X University Airlangga Diponegoro UNDIP Universitas Central Java Public x X X X X X University Diponegoro March 11th UNS Universitas Central Java Public x X X X X University Sebelas Maret Brawijaya UNIBRAW Universitas East Java Public x X X X X X University Brawijaya Padjadjaran UNPAD Universitas West Java Public x X x X University Padjadjaran November 11th ITS Institut East Java Public x X X X X Institute of Teknologi Technology Sepuluh November

52 Andalas UNAND Universitas West Public x X X X University Andalas Sumatra* Udayana UNUD Universitas Bali* Public x X X X X X X University Udayana Lampung UL Universitas Lampung* Public x X X X University Lampung National UPN Veteran Universitas Yogyakarta* Private x X x X Veteran Yogya Pembangunan University Nasional Yogyakarta Veteran Yogyakarta Muhammadiyah UMS Universitas Central Java Private x X x X X X University Muhammadiyah Surakarta Surakarta

Islamic UII Universitas Yogyakarta* Religious x X X X University Islam Indonesia Indonesia Mataram UNRAM Universitas West Nusa Public x X X X University Mataram Tenggara State UNNES Universitas Central Java Public x X X X x X X University Negeri Semarang Semarang Riau University UNRI Universitas Riau* Public x X Riau Educational UPI Universitas West Java Public x X X University of Pendidikan Indonesia Indonesia

Yogyakarta UNY Universitas Yogyakarta* Public x X State Negeri University Yogyakarta Pembangunan UPNV Jatim Universitas East Java Private x X X X National Pembangunan Veteran Nasional University Veteran Jawa Timur

53 Muhammadiyah UMM Universitas East Java Private x X University Muhammadiyah Malang Malang

Satya Wacana UKSW Universitas Central Java Private x X Christian Kristen Satya University Wacana

Bina Nusantara BINUS Universitas Jakarta* Private x X X X X X University Bina Nusantara Sriwijaya UNSRI Universitas South Public x X X X University Sriwijaya Sumatra* Parahyangan UNPAR Universitas West Java Private x X X X Catholic Katolik University Parahyangan

State UNESA Universitas East Java Public x X X X X University Negeri Surabaya Surabaya University USU Universitas North Public x X X X North Sumatra Sumatera Sumatra Utara Jenderal UNSOED Universitas Central Java Public x X X X Soedirman Jenderal University Soedirman

Pattimura UNPATTI Universitas Maluku Public x X x x x University Pattimura Mulawarman UNMUL Universitas East Public X X X X X University Mulawarman Kalimantan* Samarinda

Nusa Cendana UNDANA Universitas East Nusa Public X X X X University Nusa Cendana Tenggara* State UNJ Universitas Jakarta* Public x X X X X X University Negeri Jakarta Jakarta

54 Gunadarma UG Universitas West Java Private x X X X University Gunadarma Syiah Kuala UNSYIAH Universitas Aceh Public x X X X X University Syian Kuala Tarumanagara UNTAR Universitas Jakarta* Private x x x X University Tarumanagara Trisakti USAKTI Universitas Jakarta* Private x X X X X X University Trisakti Atma Jaya UAJY Universitas Yogyakarta* Private x X X University Atma Jaya Yogya Yogyakarta State UNP Universitas West Public x X X X University Negeri Padang Sumatra* Padang Catholic UNIKA Universitas Jakarta* Private x X x X University Katolik Indonesia Atma Indonesia Jaya Atma Jaya

Bengkulu UNIB Universitas Bengkulu* Public x X X University Bengkulu Pancasila UP Universitas Jakarta Private x X x University Pancasila State UNIMED Universitas North Public x X X X University Negeri Medan Sumatra Medan Mangkurat UNLAM Universitas South Public x X X University Lambung Kalimantan* Mangkurat

Telkom TEL-U Universitas West Java Private x X x University Telkom Sultan Agung UNISSULA Universitas Central Java Private x X x Islamic Islam Sultan University Agung

55 College of Info STMIK Amikom STMIK Yogyakara* Private x X x X Management Amikom and Computer Science AMIKOM Pelita Harapan UPH Universitas Banten* Private x X x University Pelita Harapan Cenderawasih UNICEN Universitas Papua Public x X x X University Cenderawasih August 17th UNTAG Universitas 17 East Java Private X X University Agustus 1945 Surabaya

President UP Universitas West Java Private X X X X University Presiden Dian UDINUS Universitas Central Java Private X X X Nuswantoro Dian University Nuswantoro Christian UKI Universitas Jakarta* Private X X X University Kristen Indonesia Indonesia

Islamic UMI Universitas South Private X X University Muslim Sulawesi Makassar Indonesia Makassar Petra Christian UKP Universitas Central Java Private x X X University Kristen Petra University UNEJ Universitas East Java Public x X X Jember Jember Jambi UNJA Universitas Jambi* Public x x University Jambi Swiss German USG Universitas Banten* Private x x University Swiss German

56 Juanda UNIDA Universitas West Java Private x x University Djuanda National ITN Malang Institut East Java Private x x Insitute of Teknologi Technology Nasional Malang Malang Tadulako UNTAD Universitas Central Public x X University Tadulako Sulawesi* Tanjungpura UNTAN Universitas West Public x X University Tanjungpura Kalimantan Pasundan UNPAS Universitas West Java Private x x University Pasundan Mercu Buana UMB Universitas Jakarta* Private x x X University Mercu Buana Semarang USM Universitas Central Java Private x x x X University Semarang State UNIPA Universitas West Papua Public X X University Negeri Papua Papua Haluoleo UNHALU Universitas Southeast Public x X University Haluoleo Sulawesi State UNG Universitas Gorontalo* Public x X University Negeri Gorontalo Gorontalo State UNM Universitas South Public x X University Negeri Sulawesi Makassar Makassar Sultan UNTIRTA Universitas Banten* Public x X X Tirtayasa Sultan Ageng University Tirtayasa National UNAS Universitas Jakarta* Private x X X X University Nasional Ciputra UC Universitas East Java Private x X University Ciputra

57 Semarang POLINES Politeknik Central Java Public x X State Negeri Polytechnic Semarang Muhammadiyah UHAMKA Universitas Jakarta* Private x X University Prof Muhammadiyah Dr. Hamka Prof Dr. Hamka Widya Mandala UKWMS Universitas East Java Private x X Catholic Katolik Widya University Mandala Surabaya Sanata Dharma USD Universitas Yogyakara* Private x X University Sanata Dharma Catholic UNIKA Soegij. Universitas Central Java Private x X University Katolik Soegijapranata Soegijapranata

Muhammadiyah UMMGL Universitas Central Java Private x X University of Muhammadiyah Magelang Magelang

Perbanas STIE Perbanas Sekolah Tinggi East Java Private X Surabaya Ilmu Ekonomi School of Perbanas Economics Surabaya

Jakarta School STIP Jakarta Sekolah Tinggi Jakarta* Public X of Sailing Ilmu Pelayaran Jakarta

PPM School of PPM Sekolah Tinggi Jakarta* Private X Management Manajemen PPM Jakarta

Muhammadiyah UNISMUH Universitas South Private X University Makassar Muhammadiyah Sulawesi Makassar Makassar

58 Aisyiyah School UNISA Sekolah Tinggi Yogyakarta* Private X of Health Care Ilmu Kesehatan Sciences Aisyiyah Yogyakarta

Multimedia UMN Universitas Banten* Private X University Multimedia Nusantara

Indonesian AKMIL Akademi Central Java Public X Military Militer Academy Magelang National UPN Jakarta Universitas Jakarta* Public X Veteran Pembangunen University Veteran Jakarta Jakarta MPU Tantular UMT Universitas Jakarta* Private X University MPU Tantular Al-Azhar UAI Universitas Al- Jakarta* Private X University of Azhar Indonesia Indonesia

Institute of IPDN Institut West Java Public X Public Pemerintahan Administration Dalam Negeri

Bandung State POLBAN Politeknik West Java Public X Polytechnic Negeri Bandung Islamic State UIN SGD Universitas West Java Religious X University Islam Negeri Sunan Gunung Sunan Gunung Jati Djati Bandung UNISBA Universitas West Java Private X Islamic Islam Bandung University

59 Sarjanawiyata UST Universitas Yogyakarta* Private X Tamansiswa Sarjanawiyata University Tamansiswa

YKPN School STIE YKPN STIE YKPN Yogyakarta* Private X of Economics Narotama UNNAR Universitas East Java Private X University Narotama Muhammadiyah UMT Universitas Banten* Private X University Muhammadiyah Tangerang Tangerang

Raya Serang UNSERA Universitas Banten* Private X University Raya Serang Pamulang UNPAM Universitas Banten* Private X University Pamulang STMIK STMIK Tangerang STMIK Banten* Private X Tangerang Tangerang Ganesha UNDIKSHA Universitas Bali* Private X Educational Pendidikan University Ganesha

National UNDIKNAS Universitas Bali* Private X Educational Pendidikan University Nasional Denpasar Denpasar

STKIP STKIP STKIP West Nusa Private X Hamzanwadi Hamzanwadi Hamzanwadi Tenggara

Mahasaraswati UNMAS Universitas Bali* Private X University Mahasaraswati Warmadewa UW Universitas Bali* Private X University Warmadewa

60 Indonesian ISI Denpasar Institut Seni Bali* Public X Institute of the Indonesia Arts

Islamic State UIN Mataram Universitas West Nusa Private X Uuniversity Islam Negeri Tenggara Mataram Mataram

Kupang State POLITANIKOE Politeknik East Nusa Public X Agricultural Pertanian Tenggara* Polytechnic Negeri Kupang

Muhammadiyah UMPAR Universitas South Private X Pare University Muhammadiyah Sulawesi Pare

University 45 BOSOWA Universitas South Private X Bosowa Sulawesi Makassar Christian UKIToraja Universitas South Private X University Kristen Toraja Sulawesi Toraja Manado State UNIMA Universitas North Public X University Negeri Madado Sulawesi* Borneo BORNEO Universitas East Public X University Borneo Kalimantan* Tarakan STMIK STMIK Pontianak STMIK West Private X Pontianak Pontianak Kalimantan Kalimantan UNISKA Universitas South Private X Islamic Islam Kalimantan* University Kalimantan Muhammad Al- Banjari Samarinda POLNES Politeknik East Public X State Negeri Kalimantan* Polytechnic Samarinda

61 State Islamic IAIN Antasari IAIN Antasari South Religious X Inst Antasari Kalimantan* Tangjongpura UNTAN Universitas West Public X University Tanjonpura Kalimantan Panca Bhakti UPB Universitas West Private X University Panca Bhakti Kalimantan Al-Raniry State UINAR IAIN Al-Raniry Aceh Religious X Islamic University State Islamic UIN SUSKA Universitas Riau* Religious X University of Sultan Syarif Sultan Syarif Kasim Riau Kasim Riau

Muhammadiyah UMP Universitas South Private X University of Muhammadiyah Sumatra* Palembang Palembang

Musamus UNMUS Universitas Papua Public X Merauke Musamus University Merauke

Khairun UNKHAIR Universitas North Private X University Khairun Maluku* Ambon State POLNAM Politeknik Maluku Public X Polytechnic Negeri Ambon State Islamic IAIN Ambon IAIN Ambon Maluku Religious X University of Ambon

Yapis Papua Universitas Papua Private X University Yapis Papua STKIP Sorong STKIP Sorong STKIP West Papua Private X Muhammadiyah Sorong

62 State UM Universitas East Java Public x X University Negeri Malang Malang Surabaya UBAYA Universitas East Java Private x X University Surabaya Muhammadiyah UMY Universitas Yogyakarta* Private x X University Muhammadiyah Yogyakarta Yogyakarta

Islamic State UIN Malang Universitas East Java Religious X University Islam Negeri Malang Maulana Malik Ibrahim Malang

Islamic State UIN Yogyakarta Universitas Yogyakara* Religious X University Islam Negeri Yogyakarta Sunan Kalijaga Yogyakarta

Islamic State UIN Jakarta Universitas Banten* Religious X University Islam Negeri Syarif Syarif Hidayatulla Hidayatullah Jakarta Jakarta Electrical PENS Politeknik East Java Public X Engineering Elektronika Polytechnic Negeri Surabaya Surabaya

Electronic PENS Politek East Java Public X Engineering Elektronika Polytechnic of Negeri Surabaya Surabaya

Sam Ratulangi UNSRAT Universitas North Public x University Sam Ratulangi Sulawesi*

63 Ma Chung UMC Universitas Ma East Java Private x University Chung Islamic UNISMA Universitas East Java Religious x University of Islam Malang Malang Islamic Universitas West Java Religious x University of Islam Bandung Bandung Merdeka UNMER Universitas East Java Private x University Merdeka Malang Malang Yarsi University YARSI Universitas Jakarta* Private x Yarsi Hang Tuah UHT Universitas East Java Private x University Hang Tuah Darma Persada UNSADA Universitas Jakarta* Private x University Darma Persada Muhammadiyah UMSIDA Universitas East Java Private x University of Muhammadiyah Sidoarjo Sidoarjo

Muhammadiyah UMJ Universitas Jakarta* Private x University of Muhammadiyah Jakarta Jakarta

Muhammadiyah UMP Universitas Central Java Private x University of Muhammadiyah Purwokerto Purwokerto

Maranatha Maranatha Universitas West Java Private x Christian Kristen University Maranatha

Cokroaminoto UNCP Universitas South Private x Palopo Cokroaminoto Sulawesi University Palopo

64 Muhammadiyah UMPO Universitas East Java Private x University of Muhammadiyah Ponorogo Ponorogo

Muhammadiyah UNMUH Jember Universitas East Java Private x University of Muhammadiyah Jember Jember

STMIK PGRI of STMIK PGRI STKIP PGRI West Private x West Sumatra Sumbar Sumatera Barat Sumatra*

Merdeka UNMERMADIUN Universitas East Java Private x Maium Merdeka University Madiun Jakarta State PNJ Politeknik West Java Pub x Polytechnic Negeri Jakarta Muhammadiyah UMSU Universitas North Private x University of Muhammadiyah Sumatra North Sumatra Sumatera Utara Trunojoyo UNIJOYO Universitas East Java Public x University Trunojoyo

65

Annex 2. Ranked Indonesian Higher Education Institutions

Indonesian HEIs with PTN-BH, PTN-BLU, Mandiri, Utama, Tier A, or Tier B Status, May 2016. HEI PTN-BH PTN-BLU Mandiri Utama Tier A Tier B November 11th Inst of X X X Technology (ITS) Hasanuddin U (UNHAS) X X X Diponegoro U (UNDIP) X X X Padjadjaran U (UNPAD) X X X Airlangga U (UNAIR) X X X U North Sumatra (USU) X X X Educational U of X X Indonesia (UPI) U Indonesia (UI) X X X Gadjah Mada U (UGM) X X X Bandung Inst Tech (ITB) X X X Bogor Agricultural Inst X X X (PB) Brawijaya U (UNIBRAW) X X X Semarang State U X X X (UNNES) Surabaya State U X X X (UNESA) Mulawarman U X X (UNMUL) March 11th U (UNS) X X X Lampung U (UL) X X X Yogyakarta State U X X X (UNY) Gorontalo State U X X X (UNG) Bengkulu U (UNIB) X X X Sriwijaya U (UNSRI) X X X Malang State U (UM) X X X Jakarta State U (UNJ) X X X Jenderal Soedirman U X X X (UNSOED) Andalas U (UNAND) X X X Haluo leo U (UNHALU) X X X Riau U (UNRI) X X X Terbuka U X Udayana U (UNUD) X X X Sultan Ageng Tirtayasa U X X X (UNTIRTA) Malang State Polytechnic X X (ITN Malang) Tadulako U (UNTAD) X X Mataram U (UNRAM) X X X Padang State U (UNP) X X X Ganesha U (UNDIKSHA) X

66

Annex 3. BAN-PT Lists of Top Indonesian Universities in Selected S&T Fields (for undergraduate programs)

Medicine (only listing universities with overall A or B rating that were also rated A in medicine) UNS – Central Java - A UI – Jakarta – Autonomous UNAND – West Sumatra - A UGM – Yogyakarta – Autonomous Udayana – Bali – B UNIBRAW – East Java – A UNPAD – West Java – A Airlangga – East Java – Autonomous UNDIP – Central Java – A UII – Yogyakarta – A UNHAS – South Sulawesi – A Atma Jaya – Jakarta – B UNSRI – South Sumatra – B

Biological Sciences (only listing universities with overall A or B rating that were also rated A in biology) Semarang Unnes – Central Java – B IPB – West Java – Autonomous State U of Malang – East Java – A UNJ – Jakarta – A Airlangga – East Java – Autonomous UI – Jakarta – Autonomous UnSoed – Central Java – B ITB – West Java – Autonomous UIN Malang – East Java – A UNIBRAW – East Java – A Bengkulu – SW Sumatra – B UNDIP – Central Java – A Mangkurat – South Kalimantan – B UGM – Yogyakarta – Autonomous UPI – West Java – Autonomous Surabaya-Unesa – East Java – B UNPAD – West Java – A Makassar State – South Sulawesi – B UNHAS – South Sulawesi – A UNS – Central Java - A UNAND – West Sumatra - A UIN Jakarta – Jakarta – A ITS – East Java – A Atma Jaya – Jakarta – B UNSRI – South Sumatra – B National University – Jakarta – B

Environmental Engineering (only listing universities with overall A or B rating that are also rated A in Env. Eng.) UNDIP – Central Java – A ITS – East Java – A ITB – West Java – Autonomous UII – Yogyakarta – A

Geological Engineering (only listing universities with overall A or B rating that are also rated A in Geo. Eng.) UNPAD – West Java – A ITB – West Java – Autonomous UGM – Yogyakarta – Autonomous

Chemical Engineering (only listing universities with overall A or B rating that are also rated A in Chem. Eng.) UI – Jakarta – Autonomous ITS – East Java – A UNSRI – South Sumatra – B UGM – Yogyakarta – Autonomous UNDIP – Central Java – A UNSYIAH – Aceh – A ITB – West Java – Autonomous Ubaya – East Java – A Parahyangan – West Java - B

67

Annex 4. Assessment Questionnaire

Sustainable Higher Education Research Alliances (SHERA) Assessment Questionnaire

August 2016

This survey is part of the Sustainable Higher Education Research Alliances (SHERA) initiative, sponsored by USAID/Indonesia and directed by the Institute for International Education (IIE). SHERA aims to increase the capacity of Indonesian faculty, staff, doctoral students, and postdoctoral researchers to conduct world-class research in science and technology. SHERA also aims to strengthen the institutional environment for research in Indonesia and to foster research linkages between U.S. and Indonesian universities.

In pursuit of these goals, SHERA will support five interdisciplinary Collaborative Centers of Research, each focusing on a specific research issue. Each Center will be based at a mandiri university, but also include a U.S. partner university plus faculty, staff, and students from at least three other Indonesian universities.

Over the next few months, SHERA will design the process by which Indonesian institutions will apply for the funding to host one of these five research Centers. This questionnaire plays an important role in designing the process. It is being administered only to a small number of other top Indonesian universities.

We would be very grateful for your assistance in collecting this information. The purposes of this data collection are to assess and identify: 1) the existing capacity of Indonesia’s top universities for developing, managing, and/or participating in collaborative research centers focused on critical issues in science and technology 2) what supports and resources might enhance that capacity

3) how partnerships with U.S. universities might best assist with the development of such centers

4) the specific research topics for which there is the greatest capacity

5) the level to which women are now engaged in science and technology research in Indonesia and how this level might be raised in the future

We understand that not all this information may be readily available, but will be very appreciative for what you are able to share with us. Also, if you would rather not answer a particular question or section, please skip that topic.

If you have any questions or thoughts concerning the SHERA project or this questionnaire, please contact:

Prima Setiawan, SHERA Program Director

68

USAID is the lead U.S. Government agency that works to end extreme global poverty and enable resilient, democratic societies to realize their potential. USAID/Indonesia partners with the government and people of Indonesia on matters of development, infrastructure, and meeting global challenges. An independent not-for-profit founded in 1919, IIE is among the world's largest and most experienced international education and training organizations, with a strong record of collaborations in Indonesia.

Research Environment at Your University

1.a. Over the last five years, has the amount of research at your university been: Increasing Staying at the same level Decreasing

1.b. Please explain why.

2. How many of your university’s science and technology faculty and staff are actively doing research? Less than 30% 30% to 60% Over 60%

3. What support do you offer your faculty to do research? Check all that apply. University grants to support their research Travel to conferences domestic Travel to conferences international Assistance in preparing external grant applications Assistance in preparing manuscripts Workshops or trainings on various aspects of the research process

4. What additional assistance and support would be most helpful in increasing the research productivity of your faculty? 5.a. In terms of preparing students to do research: Are there courses teaching research methods for undergraduates (in science and technology programs)?

5.b. In terms of preparing students to do research: Are there courses teaching research methods for graduate students (in science and technology programs)?

5.c. In terms of preparing students to do research: Are science and technology graduate students involved in faculty research projects and laboratory work?

6. What is most needed to enhance the overall research capacity of your university?

Research Strengths in Science and Technology

7.a. Has your university undertaken any major new research initiatives in science and technology in the last five years? Yes No 7.b. If your response to Q7 is YES, please describe:

8. In what science and technology disciplines does your university have the greatest concentrations of research faculty and programs?

69

9. Do you have research faculty or programs with a focus on any of the following topics (check all that apply)?

Infectious disease control Herbal and traditional medicine Biodiversity preservation – both land and marine Climate change mitigation Clean energy development Land reclamation and sustainable Primatology Food security Agriculture – tropical horticulture, suboptimal land, or particular crops such as rubber, palm oil, etc. Fisheries and aquaculture Biotechnology Earthquake and disaster management Veterinary science and practice Information technology and wireless access Hydrodynamics

Other topics not on this list? Specify.

10.a. Do you have any interdisciplinary research centers? If so, please describe.

10.b. If your response to Q10 is YES, please describe:

11a. Do you have a university journal or journals in science and technology?

11.b. If your response to Q11.a is YES, were you aware if any of the content in your journals publications were ever quoted by Indonesian or non-Indonesian academics/universities?

11.c. If your response to Q11.b. is YES, please describe which journal(s) and what year(s):

Partnership and Collaboration

12.a. Over the last five years, has your university engaged in any cooperative research initiatives with (check all that apply): Other universities within Indonesia Other universities outside Indonesia Governmental agencies Industry Local communities International development organizations

12.a. If Yes to any of above, please describe some major examples

13.Do you have any institutional MOUs with U.S. universities or colleges?

13.b. If your response to Q13.a is YES, please give the name of the institution(s)

13.c. If your response to Q13.a is YES, what are the purpose of the MoU(s)?

13.d. If your response to Q13.a is YES, what are the outcomes?

70

13.e. What worked well during that partnership(s)?

13.f. What did not work well during that partnership(s)?

14.a. Do you think there would be interest in applying for SHERA funding to have a collaborative research center at your university (either creating a new center or building on an existing center)? 14.b. If your response to Q14.a is YES, what focus might this center have?

14.c. What benefits might this center bring to your university?

14.d. What would be the challenges in developing such a center?

15.a. What do you see as the challenges in working with faculty from other Indonesian universities who might participate in a center at your university? 15.b. In past collaborations with faculties from other universities, what has worked well?

15.c. In past collaborations with faculties from other universities, what has not worked well?

16.a. What do you see as the challenges in working with faculty from US universities who might participate in a center at your university?

16.b. In past collaborations with faculty from other universities, what has worked well?

16.c. In past collaborations with faculty from other universities, what has not worked well?

17.a. Do you think your faculty might be interested in participating in a collaborative research center at another top Indonesian university?

17.b. What kind of activities or programs would be most attractive to them at such a center?

17.c. What might be some challenges for them in doing this?

18.a. Estimated, what percentage of your science and technology faculty are able to speak with international partners in English?

18.b. What percentage of your science and technology graduate students are able to speak with international partners in English?

18.c. What percentage of your science and technology faculty are able to write reports and publications in English?

18.d. Does your university have programs for faculty to learn or enhance their English skills?

18.e. If Yes, please describe.

19.Is there an administrative office or person at your university that assists or manages partnerships with other institutions? 20.a. Do you have any experience in managing US/overseas grant?

20.b. If yes, please describe what grant(s) and what year(s):

21. Do you have the experience in developing Project Operation Manual and Grant Manual for your institution, and for your sub-grantee?

71

22. What is your IT capacity for conferencing with international partners or producing/participating in shared web platforms? Is there any dedicated personnel to manage the platforms?

Women in ST&I Research

23.a What is the percentage of women in total faculty?

23.b. What is the percentage of women in Faculty in science and technology?

23.c. What is the percentage of women in Faculty active in research in science and technology?

24. Which science and technology departments have the most women faculty?

25. What suggestions do you have for increasing the number of women who are active researchers in science and technology?

See Google Form: https://docs.google.com/forms/d/e/1FAIpQLSeK1NqKHMe5mC9Tl_EYwJ_uxQ7viiFmdDSczXLjU6U ewCx2aw/viewform?c=0&w=1

72

SUSTAINABLE HIGHER EDUCATION RESEARCH ALLIANCES (SHERA) EXPRESSION OF INTEREST FORM

Section 1: The Applicant Note: Expression of Interest (EOI) must be signed and submitted by the head of the department or research unit, or vice-rector at the higher education institution Name of Higher Education Institution (HEI) Name of Department/Research Unit

Address

Department/Research Unit Telephone Number

Department/Research Unit E-mail Address

Contact Person, Name (Last Name, First Name)

Contact Person, Title

Contact Person, E-mail address

Contact Person, Phone number

Badan Akreditasi Nasional Perguruan Tinggi (BAN-PT) score

Department/Research Unit that will house Center for Collaborative Research (CCR) (if different than above)

Relevant doctoral program in science, technology and innovation (ST&I)

We/I hereby certify that the information contained herein and attached hereto is complete and accurate to the best of our/my knowledge.

______Head of Research Unit or HEI Signature Date

Section 2 – Expression of Interest Submitting an Expression of Interest (EOI) is the first phase in the grant selection process. The EOI should clearly and concisely explain the proposed partnership research activity; partnership research activity’s relevance to the USAID SHERA objectives; goals, objectives and illustrative activities of the partnership research activity; capacity building elements that will be integrated into the CCR and partnership research; and host institutions’ ability to manage overseas grants and monitor sub-awards in response to the USAID SHERA pre-solicitation. After an initial evaluation, USAID SHERA will invite successful HEIs to submit a full application based on the concepts and technical approaches proposed in the EOI. All EOIs must not exceed 5 pages. Annexes should be submitted as separate attachments.

1. PROPOSED GRANT ACTIVITY DETAILS Proposed Partnership Research Activity:

Proposed HEI Partners (at least one U.S. HEI and three Indonesian university/research institution affiliates):

Proposed Grant Duration (up to 48 months): Estimated funds requested (in IDR):

2. PARTNERSHIP RESEARCH GOAL, OBJECTIVES AND PROPOSED ACTIVITIES Please state the overall goal of the proposed partnership research activity, as well as the specific objectives that must be met in order to achieve the overall goal. Please also list and briefly describe the illustrative activities that your institution proposes to undertake through the CCR.

3. RELEVANCE OF THE PARTNERSHIP RESEARCH ACTIVITY TO THE OBJECTIVES OF THE USAID SHERA PROGRAM Please explain how your proposed partnership research activity is aligned with the objectives of the USAID SHERA program as set forth in the pre-solicitation.

4. CAPACITY BUILDING ELEMENTS AND ACTIVITIES Please briefly describe how your institution will incorporate capacity building and sustainable research production into the proposed CCR, as well as the partnership activities with other CCRs and affiliate universities.

5. INSTITUTIONAL CAPACITY Please describe your institutions capacity to successfully manage an overseas grant, including any relevant institutional processes, policies and systems that will ensure the appropriate use of funds and successful monitoring of sub-awards to the U.S. partner HEIs and the Indonesian university/research institution affiliates.

6. PAST EXPERIENCE Please list your institutions past experience implementing partnership activities with U.S. and/ or overseas HEIs.

7. ANNEXES Please attach a copy of your institutions annual report, the latest BAN-PT score, S&T research publication samples, and any relevant material created from past partnership work with U.S. and/or overseas HEIs.