Partnership initiation
In some cases, a representative or representatives of the international partner approached representatives of the focus university directly to propose partnering. In other partnerships, a representative of the focus university approached a representative of the international partner. In still other cases, there was an intermediary; for example, a representative of the World Health Organization (WHO), a donor agency, a colleague or a relative who made introductions or encouraged a meeting. Other times, as in the case of Dalhousie University and MUHAS, a director of a nursing programme in an HIC met a former student now based at an LMIC university at a conference and they agreed to address a need through a joint project partnership [
13]. Each partnership had its unique history that includes a variety of actors, motivations and serendipitous events. Often the stories are long and rich [
14,
15].
Depending on the specific type of partnership [
5,
16], the importance of the contextual issues within the East African partner country varied for the international partner. For example, the stability of the country and resulting security for visiting representatives were important in all cases, although the degree of importance varied to some degree depending on whether or not students, especially undergraduate students, were likely to participate in addition to faculty. The ease of obtaining student visas, working visas/permits and/or medical licenses was important depending on the nature of the activities conducted. Some international partners that planned to have their representatives reside on-site for many months or years mentioned that the level of development of the specific locale of the university needed to be sufficient to make it desirable for potential accompanying family members. Other representatives within the same partnerships considered the quality of primary and secondary schooling available if they had children of school age.
6 A hospitable climate was mentioned by some study participants. Some international partners were interested in a specific area of medicine; for example, ophthalmology, internal medicine, or cardiology.
The role of the individual or a small group
An individual or a small group of individuals within a specific discipline are often credited with establishing partnerships. Some partnerships, through persistence, changing context or the value of activities to the portfolio of the international partner, became long-standing or institutionalized at a university and expand to other departments or faculty. Others remained largely on the periphery. Ultimately the challenge was to integrate the work into the core educational and research activities, what Clark calls the academic heartland, of the institution. This is supported by a number of statements by KIs. One North American representative stated:
We knew we'd only get one chance at this [idea of establishing a long-term partnership]. We were not experts in global health. As you know, global health wasn't even a term back then. I think we called it international health or international medicine, these sorts of things. We knew though that we would only get one chance at success here. We were kind of pushing our own school about as far as they could be pushed. Even as far as they could be pushed, even though they weren't really supporting us. These all came from the division. We thought, ‘Let’s go where we think we can be most successful initially, and then try to expand from there.’
A European representative made a similar comment about the support he received from the individual to whom he reported, stating:
I sat down with my head of department and asked, ‘what would you think if we were looking for a partner somewhere in the developing world for long term partnership with the aim of training people there?’ He said, ‘wonderful idea, I'm with you, don't expect too much input from my side in term of letters, work, travel, etc. You do all of that but I support you … .’
Benefits of partnership
Many international partners were motivated to establish and sustain partnerships with the East African universities by their desire to provide members of their academic heartland, faculty and students, with opportunities to conduct research and to provide trainees with educational opportunities of interest to them. Somewhat less common but still an important theme, however, was the desire expressed by several representatives to be socially responsible. The need to form partnerships to secure grants was also found to be a motivating factor for establishing new international partnerships.
Leadership in the Steering Core was rarely observed to be the initial driver for initiating partnerships but sometimes provided initial support to explore partnerships and/or support to help sustain or further advance them. Oversight in terms of guidance to minimize and manage risks associated with international partnerships activities was also observed by the Central Administration within the Steering Core. The examples below illustrate how these themes were articulated by respondents in recounting the histories and importance of the partnerships to their institutions, units, or programs of work.
Research motivated many universities, especially research focused universities, to partner internationally. Representatives, faculty, post-docs and trainees (PhD students) from Harvard University all conducted research at MUHAS. Harvard representatives indicated that the university tends to lead with research when it comes to partnering internationally, although training and education activities and public health practice (i.e. knowledge translation) for MUHAS, were also part of the partnership, as was service by way of HIV/AIDS treatment in partnership with MUHAS and the city of Dar es Salaam.
The London School of Hygiene and Tropical Medicine (LSHTM) is upfront when discussing the need for partnerships in LMICs in order to do its work. In its 2014 submission to the Research Excellence Framework, the LSHTM stated, “Partnerships in low- and middle-income countries are also essential for our research aims” before noting that KCMUCo was one of its five principal partnerships globally [
17]. This comment was also made by LSHTM representatives in Moshi. Although LSHTM may be principally concerned with achieving research aims through partnerships with universities in LMICs, it was also involved in capacity building activities with KCMUCo such as supporting and training Master’s and PhD students.
Duke University’s partnership with KCMUCo began when, in 1995, a Tanzanian professor at MUHAS in Dar es Salaam moved to Moshi and Kilimanjaro Christian Medical Centre (KCMC) to lead the establishment of KCMUCo. KCMUCo would be the academic arm of KCMC and opened 2 years later, in 1997. The professor asked Duke representatives based at MUHAS if they were interested in partnering with the new medical school. Following this request, a number of Duke representatives started partnering with representatives at KCMC. Duke’s initial focus was largely on experiences for US trainees at KCMC; specifically, providing clinical rotations for US medical residents through the Minority International Research Training Program (MHIRT), although research links were also established at what would be KCMUCo’s teaching hospital.
Some partnerships were driven principally by the desire to be
socially responsible. This was the case of the partnership between UoN and Ludwig-Maximilian University of Munich (LMU) in Germany, as stated by a representative of another German organisation in the partnership:
The starting point of the initiative of the training relationship between the university and hospitals was basically the relationship between Kenyatta Hospital and University of Nairobi and Munich, and it is down to personal initiative of … [one individual – a German ophthalmologist] who spent time in Africa and started with the idea that it could be a good idea to join the two [universities] together.
The German ophthalmologist had spent 2 years in Mbarara (Uganda) at an upcountry hospital between completing his medical degree and the specialising in ophthalmology at LMU. During his M. Med, he expressed to the head of his department that he wished to return to Africa and “teach so that we can multiply the number of specialists.” With the assistance of the German foreign office, LMU sent letters outlining a proposal idea to German Academic Exchange Service (DAAD) in many countries. Only DAAD representatives in Ethiopia, Kenya and Tanzania replied stating they were interested. The economy of Tanzania was facing challenging times and in Ethiopia, the
Derg was in power following the overthrow of Haile Selassie I. As a result, Kenya and the UoN were selected. The German ophthalmologist and his family lived in Kenya from 1978 to 1985 to help establish UoN’s M. Med in Ophthalmology. As the partnership matured, trainees from LMU also benefited by means of clinical placements and research.
The desire to be socially responsible by supporting the focus universities in
building their capacity was also observed at the start of other partnerships, including Dalhousie University (Canada) at MUHAS; Indiana University at MU; University of Toronto at MU; and Radboud University at KCMUCo. In the first case, the partnership implemented a $1.2 M project funded by the Canadian International Development Agency (CIDA) between 1988 and 1993. The Tanzania Nursing Education Program’s principal outputs were nine Tanzanian graduates from Dalhousie University School of Nursing - 6 with bachelors’ degrees and 3 with masters’) - and establishment of a bachelor of science in nursing program at Muhimbili [
13].
Representatives of Indiana University desired to focus on building the capacity of a specific type of LMIC institution. One member of the team commented:
Though I could have partnered anywhere, or (at least) in many different places. [Another member of the team] said, ‘No, we need to focus on partnering with another academic health centre.’
Almost 20 years later, the same IU representative would restate his conviction that North American medical schools are best placed to support the improvement of health services in SSA by partnering with academic health science centres (AHSCs). He persuaded a visiting representative of the University of Toronto to Eldoret (Kenya) to return to their university and try to convince its Department of Obstetrics and Gynaecology to partner with MU in Reproductive Health through the AMPATH Consortium, instead of partnering with a district hospital near Lake Victoria.
Other international partner study participants either stated directly or tacitly that it was important to support the development of the focus university and their teaching hospitals as AHSCs, and the tripartite mission of education, research and service that AHSCs embody [
18]. A representative of Radboud University in Nijmegen (Netherlands) mentioned how KCMC (the hospital), KCMUCo (the university) and KCRI (the research centre) are now becoming a “university medical center”.
Frequently
more than one motivating factor was at play simultaneously; for example, trainee interest at a university may drive a university to secure international placements at the same time faculty members want to conduct research and a global health leader is concerned with the whole process being socially responsible. One respondent from a US university expressed this opinion:
[These partnerships] … are really responding to demands first of students. … Overseas engagement … is led one part by researchers but the larger part … [is] student interest. It was really for us a question of how to ethically support an engagement but also how do you ethically provide and ensure that you're just not passing your students off overseas - charging them tuition and making them somebody else's responsibility and relying on their hospitality to do so.
Donors increasingly encourage, require and/or support SSA universities to develop the project concepts or have them initiate the partnerships. This is true for both bilateral and consortium partnerships, whether South-South, South-South-North or South-North. A Makerere University representative outlined how USAID used this approach to first bring Makerere and MUHAS together and then other Schools of Public Health in East Africa through Leadership Initiatives for Public Health in East Africa (LIPHEA):
The model by which request for proposals are structured, in such a way that the South to South universities get together to put together a proposal in capacity building that you can then offer to a funder in the Global North is the creme de la creme of capacity building. Take the case of LIPHEA, but I had to link up other universities. I brought all deans together. We all have gaps. We sat together to build a proposal. Makerere is strong in Epidemiology. MUHAS is strong in Social Science.
The SSA universities were the leads for The US National Institute of Health (NIH) Medical Education Partnership Initiative (MEPI) [
19]. The Fourth Round of the British Council Development Partnerships in Higher Education (DelPHE) required that only higher education institutions in LMICs lead the proposals and “encouraged” South-South and multilateral partnerships. MUHAS prepared the concept note for a recent grant opportunity funded by The Swedish International Development Cooperation Agency (SIDA) [
20]. In at least the first two cases, MEPI and DelPHE, some of the successful grants were considered to have been written principally by the Northern partners, albeit in consultation with their SAA partners.
Grantsmanship is, of course, an important issue in the competitive world of seeking, securing and sustaining funding. This was noted by a US study participant who was leading a project that was not focused on HIV or AIDS research but kept making reference to it. The KI stated:
We have to sort of insert HIV periodically into things. [Under a previous project administrator at the organisation it was understood that] ‘… yah, cervical cancer screening. Yes, that's important for HIV. Giving people primary care and screening them for their hypertension and diabetics, that's probably important for HIV infected people.’ Now, everything is put in these buckets … It's really complicated. I see this (the programme I lead) as a global program but I'm also realistic that to get the funding, we have to sometimes direct [our writing] towards an interest [of the donor].
In another example, a Northern university encouraged a South-South partnership. The University of Bergen, using Norwegian government funding (NORAD), contracted the University of the Western Cape (UWC) to help MUHAS develop part of the curriculum for its Globalization and Health course. The initiative for this link came from the Norwegians. MUHAS was supported with a module for its course while UWC benefited from having a module for one of its courses updated.
Reverse innovation
While many representatives stated they learned much through their partnerships with the focus universities there was only one, very limited, example of reverse innovation mentioned by a study participant from an international partner. A US professor mentioned that faculty from MUHAS organized a “teaching collaboration” session during one of their visits to the Tanzanian university. The professor stated “It was a really excellent way of getting together with the faculty and exchanging challenges that you were facing in the classrooms and stuff like that.” Faculty from the US university continued with it thereafter in the US. This leads us to the issue of who specifically at the international partner universities is involved, in whole or in part, in establishing the partnership and the perspective that each of these individuals brings based on their values, life experience and the position they hold at their university.
Six primary themes, two of them with two categories each, emerged from our thematic analysis on why partnerships started in terms of desired benefits from the international partners’ perspective. Five of the six themes fit within the first four of Clark’s elements for examining entrepreneurial universities [see Table
1 - Themes for Partnering Organized by Clark’s Elements]. The sixth theme fit with the concept of social responsibility. Illustrative examples of the themes are presented in Table
1 and discussed in the narrative below. At least one of the themes was observed within each partnership, and sometimes all of them were observed within one partnership.
Table 1
Themes identified for explaining why universities establish interuniversity global health partnerships organised by Clark’s elements and a new element
Steering/Managerial Core, includes central administration, Deans and Chairs |
Internationalisation by way of “global health”
| • Seed funding • Establish policies • Memorandum of Understandings (MOUs) • Prioritize/institutionalize specific partnerships at the department of faculty level. • Visit international partners |
Academic Heartland – research & training | Conduct research • Access to expertise (knowledge) or an opportunity that their institution or country lacks. • Essential to mandate Education – respond to trainee interest | • Towards post-graduate degrees (Master’s & PhDs), publications, expanded research network • Novel research in tropical medicine • Secure sites for trainee placements (undergraduate and Master’s) for service placements, exposure to research methods, electives, practicums). |
Development Periphery – centres and programmes engaged in outreach | Global Health Centres/Institutes explore, develop, coordinate and support activities and partnerships to achieve stated objectives set by the Steering Core | • International partnerships and networking • Provide and support opportunities of interest to Academic Heartland |
Diversified Funding Base – additional to traditional government sources and overhead from research grants |
Funding
a
• Second stream – soft money • Third stream – soft money or discretionary funds | • Grants and contracts from research councils • Local government, philanthropic, foundations, student fees |
New Element |
Global Health as equality – belief that quality health care should be available universally.b |
Social Responsibility
• Addressing the higher-burden of disease and health inequity in a manner that builds and/or strengthens health professional programmes in LMICs | • Establishment of new degree programmes • Support the use of new pedagogy institutional-wide • Fully-funded exchange opportunities for students of their international partner • Infrastructure development (help secure funding for new buildings (e.g. hospital, laboratories) • Service delivery (i.e. patient care) |
Mainstreaming or institutionalizing the activities of the partnership into the core activities of the partner university’s work, education and research, within a department or formal centre of the university, best ensured that the international partnership will be sustained. Partnerships that commenced with research being conducted by a faculty member were this type of partnership from the beginning. Dartmouth University’s relationship with MUHAS began this way in 2001, “… the partnership started because we were doing clinical research, vaccine trials, looking at TB and HIV co-infection.” Additional research work was conducted, educational placements were made possible and capacity building activities for MUHAS in Hanover, New Hampshire were established.
The importance of having faculty leads was emphasized by a representative of another US university:
I think what matters most in any collaboration … what I've learned over the years, is faculty. Are there faculty with similar interest? Because if there aren't faculty with similar interests, no collaboration will work.
Rooting a partnership in the academic heartland of the university allowed for the possibility that the partnership may be institutionalized at both partner universities. By combining faculty research with trainee experiences, the partnerships grew and were sustained. However, even a partnership that secures significant second- and third-stream funding, offers educational placements for its trainees and publishes numerous papers may not be valued across a research focused university. A representative of an R1
7 university in the US expressed this reality when stating, “I showed him [my boss] all the stuff, 14 million dollars worth of funding and he says, ‘Great, (but) where is the science?’” While the partnership had secured many grants worth millions of dollars, the results being published weren’t considered important by the individual’s university superior.
“None”, was frequently the initial response to the question, “What support do you get from central administration at your university for the partnership?” Upon reflection, however, many of the study participants admitted they received some support from central administration. Other representatives stated as soon as they were asked that they received support from central administration (a key component of the Steering Core), even if they would have appreciated greater support. This was expressed by a Duke representative involved with KCMUCo:
Even the president of Duke has visited KCMC which was fantastic, the dean of the school of medicine, Bart Haynes the head [of] the Duke human vaccine institute, Mike Merson [Director (2006-2017), Duke Global Health Institute (DGHI)] has been there a couple of times, so I think that in terms of university leadership, we have had quite a bit of support. Is it fully sufficient? No. I would like to have more support.
At Duke University the chancellor provided half the salary for a two-year global health residency while the surgical department paid the other half. At the time of interview, this arrangement was only guaranteed for an additional 2 years
8 Duke’s partnership with KCMUC was stated to be one of the DGHI’s primary partnerships, as was their partnership with Moi University in Eldoret (Kenya) through the AMPATH Consortium.
9
There was one notable example of a former member of central administration playing a very direct and larger than usual role in the establishment of a partnership. A former school of medicine dean and chancellor of the University of California, San Francisco (UCSF) was stated to be central to the establishment of the UCSF-MUHAS partnership when he became Executive Director of UCSF Global Health Sciences upon the conclusion of his term as dean.
10 A number of other UCSF representatives interviewed stated the individual’s participation early on, along with the participation of the vice-chancellor of MUHAS, in the development of the partnership played an important role in identifying a key need for MUHAS and mobilizing representatives across UCSF to implement the project, once a multimillion-dollar grant was secured from the Bill and Melinda Gates Foundation.
In the case of the University of Toronto, a grant from the University’s Academic Initiative Fund provided 2 years of initial funding to the Centre for International Health
11 to establish the HIV/AIDS Initiative-Africa in 2005. It was the lead of this initiative who first met the Indiana University field director at MU and coordinated approaching the Chair of the Department of Obstetrics and Gynecology to become a partner of MU as a member of the AMPATH Consortium. The department had identified
social responsibility as an objective in its recently conducted strategic planning exercise and argued that a partnership with MU, focused on capacity building of its Department of Reproductive Health, would help assist in realizing this objective. It was also likely fortunate that the chair of the department was simultaneously the chair of OBGYN at one of the University of Toronto’s teaching hospitals. This facilitated some matching funds in the initial years. Two consecutive 3-year grants from a University of Toronto donor, who had initially encouraged the Director of the HIV/AIDS Initiative-Africa to visit Eldoret, allowed the department to play a leading role in supporting reproductive health at MU.
It is questionable if the development (i.e. fundraising) representatives of Toronto’s faculty of medicine were keen to pursue funding from a key private foundation for international capacity building. It appears likely that when the HIV/AIDS Initiative-Africa was initiated many university administrators desired that the initial support would build research partnerships that would better enable securing grants from pharmaceutical companies and private foundations like the Bill and Melinda Gates Foundation [
21]. Ultimately, however, the University of Toronto’s partnership with MU has become one of the faculty’s two featured international outreach activities in “building capacity locally to meet local needs” [
22]. Both of these types of global outreach partnerships are in East Africa (the other one is the Toronto Addis Ababa Academic Collaboration or TAAAC).
12 All the other international partnerships highlighted in the 2014 Faculty of Medicine Annual Report, with Brazil, European Union, China and Australia, focused mainly on research and policy collaborations, except for those in the Middle East that include “contractual agreements”. Moreover, with time, partnerships addressing social responsibility allowed the university to compete for grants - a better fit with research consistent with the academic heartland of universities. In 2013, members of the University of Toronto partnership with MU lead a submission to a Gate’s funded grant that that would have brought together a number of leading researchers from across Toronto Academic Health Science Network.
Dalhousie University, like the University of Toronto, had partnerships in other areas of the world that were based on contractual agreements. These types of partnerships address health inequalities but do not share all the characteristics of collaborative global health partnerships. They are paid consultative or operational partnerships.
As noted a number of times above, partnership representatives looked to research grants and other government agency grants, or second-stream funding as a main source of funding for activities and some seed funding was sometimes available from within a university to explore or initiate partnership activities. However, diversified funding, specifically third-stream funding, was identified to be important to initiate new activities before government funding was available, broaden the funding base to support additional activities and sustain current work between government funded grants. Third-stream funding sources were most numerous and of larger amounts for North American universities, especially those in the United States, but there were examples of European universities raising funds from third-stream funding too.
Representatives at Indiana University partnered with Moi University have a long history of securing funding from a variety of sources to broaden and sustain the partnership. For the first eight year of the partnership all activities were self-funded by the Division of General and Internal Medicine in the Department of Medicine of Indiana University School of Medicine in Indianapolis. This was only possible because of discretionary revenue generated by the Division through service contracts with local hospitals, the Department of Corrections and others. All of these funds were deposited in an account controlled by the Chief of the Division. As Division faculty members were salaried all revenue from these service contracts went into the Division’s account. Surplus created discretionary funds for the Division. As the chief of the Division had an entrepreneurial spirt that embraced social responsibility globally and was supported by enough members of the Division, the Division was able to start the partnerships with Moi. In 1998 extramural funding, including private philanthropic support, was secured to support the partnership too. However, the IU representatives again looked internally to secure funding to initiate its anti-viral therapy (ARV) in 2000. ARV therapy for the first HIV patient in Eldoret was initiated after $US10,000 was provided by IU’s infectious disease department in 2000 [[
14], p.9].
13 The initial scaling-up at Moi Teaching and Referral Hospital (MRTH) and Mosoriot Health Centre from 2000 to 2003 was done with a “patchwork” [
23] of funding from foundations before the United States’ Presidential Plan for Emergency AIDS Relief (PEPFAR) was launched in 2004. An IU represented stated that “PEPFAR saved us. The whole thing would have come crashing down [without it].” Nevertheless, the diversification of third-stream funding continued after PEPFAR funding was secured with additional support from other private foundations and funders, including pharmaceutical companies.
While one Swedish representative stated there isn’t nearly the same level of foundation funding available in Sweden, a number of examples of third-stream funding for support partnerships were identified. One university secured grants from the Linus Pauling Institute to support reciprocal student exchanges. Another university received money from its County Council through the efforts of an entrepreneurial staff member of the County who was able to bank administration funding for international capacity strengthening partnerships from a nationally funded health program.
An additional element: social responsibility
Social responsibility was identified earlier as a reason for the University of Toronto’s Department of OBGYN to explore partnering with Moi University and LMU initiating its partnerships with the University of Nairobi in Ophthalmology. The growing importance of social responsibility to the core mission of another research university was also expressed by the department Chair in a school of medicine at an R1 university in the United States:
Now that we’ve seen the higher quality residents that are attracted to our program, even the faculty who might look a little bit askance at spending money in Kenya understand that it does recruit a different caliber of resident. … when I came [to this university] the residents were ... they wanted to be very well- trained and they wanted to go out and earn a good living. They were American ... typical American physicians, they were not globally minded. ... and now we find … they’re much more interested in local under-served and global under-served [populations], family planning … learning about methods of family planning.