Doctoral Degrees (Centre for Research on Evaluation, Science and Technology (CREST))

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Commercialising intellectual property emanating from universities in the Western Cape, South Africa
(Stellenbosch : Stellenbosch University, 2019-04) Stofberg, Jacques Francois; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH ABSTRACT: University technology transfer and the effective commercialisation of intellectual property emanating from university campuses has become a topic of growing interest. University intellectual property assets have become products generating income streams and competitive advantages for its owners as intellectual property grows in stature in knowledge driven economies. The purpose of this study is to gain a better understanding of the concept of intellectual property and the importance of its effective commercialisation for SA universities. The research objectives were to define intellectual property, technological innovation, and technology transfer within a university setting and to develop a conceptual framework that would identify key dimensions representing the enabling environment for university technology transfer. These dimensions were then applied to multiple case studies conducted at SU, UCT, UWC and CPUT. The main research question inquires how effective these four universities have been in commercialising intellectual property assets via recognised technology transfer practices. Textual and numeric primary as well as secondary data were used in this study as part of an empirical ethnographic research design. The inquiry strategy uses a mixture of qualitative and quantitative research approaches in the four embedded case studies for describing and analysing existing data. Primary data were collected from the partaking universities by developing a qualitative survey questionnaire as research instrument which was used during in-person interviews to evaluate the effective use of employed technology transfer practices. The resultant overall research design is descriptive and evaluative in nature, using inductive reasoning. The findings reveal five major internal enablers which comprise the policy environment, institutional commitment, the legal milieu, the funding arena and human resources. Some academic interviewees as respondents in the case studies were critical in stating the support from their superiors were lacking the commitment expected from them when compared to the universities’ stated policy documents. A number of respondents to the interviews at the research intensive universities noted that TTO staff are not available to them as they are simply too busy and often overwhelmed by their workload to provide TT services to academic staff and students as inventors. Overall, respondents were satisfied with the level of service they receive from the university TTO. Although this is not a comparative study, the study discovered that the less research-intensive universities have a much shorter pipeline of new invention disclosures for novel technologies, as they have less funding available to direct to basic or applied research activities. It emerged from the literature and the study that university technology transfer is an intriguing and multi-faceted environment that requires dedicated staff with unique skills and management capabilities. The study highlights the single biggest factor affecting the rate of new invention disclosures, and ultimately the success rate of technology transfer commercialisation activities, as the total annual research and development spending at SA universities. The researcher found that without significant quality and quantity of research and development being conducted, little or no revenue streams can be expected from new inventions emanating from SA universities.
The contribution of the Water Research Fund for Southern Africa (WARFSA) to knowledge production and policy in the SADC water sector
(Stellenbosch : Stellenbosch University, 2019-04) Elema, Nico Michiel; Mouton, Johann; Cloete, Thomas Eugene; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH ABSTRACT: Integrated Water Resource Management (IWRM) has been adopted by member states in the Southern African Development Community (SADC) as the process to best manage water resources, with research as a major component in the process. Moreover, it is increasingly a requirement for universities and research institutions to indicate the benefit of their research. With various universities and research institutions (and varying levels of resources) conducting water research in the SADC region, outputs from the Water Research Fund of Southern Africa (WARFSA) provides an opportunity to analyse the impact of such research, given the regional nature of the programme. Moreover, given that the WARFSA was implemented between 1999 and 2007, the time-lag provide an opportunity to analyse the contribution to knowledge production, and specifically the scientific (citation) impact and, given its mandate from the SADC ministers, policy uptake. However, as no mechanism was put in place to attribute and monitor economic, ecological and social benefits from the WARFSA, this was excluded from the study. Applying a mixed methods approach, various aspects relating to water research knowledge production and policy uptake of research were investigated, resulting in this thesis being divided into three parts. Part A framing the research project, Part B presenting a SADC water sectoral analysis and analysis of knowledge production in the SADC region, and Part C presenting results from the analysis of knowledge production and policy aspects of the Water Research Fund for Southern Africa (WARFSA). Research methodologies comprised a literature review to determine a theoretical framework, and an analysis of previous empirical studies on the scientific contribution of water research in the SADC region, and research on knowledge produced and citation impact. In addition, scientometric techniques were used to analyse citation data from water publications in the SADC region between 1980 and 2016, and knowledge produced from research projects funded through the WARFSA. Lastly, interviews were conducted with researchers and stakeholders involved in the WARFSA programme, to ascertain policy uptake from the WARFSA. As the study has shown, researchers affiliated with South African universities and research institutions have produced 84% of water research in the region, and for this reason, bibliometric data was first analysed to include citation data from all SADC countries, then South African citation data on its own, which was followed by SADC countries were South African citation data was excluded (referred to in the study as ‘SADC-ExSA’ countries). As already mentioned, one of the main findings from the study was that water research in the SADC region was mainly produced by South African researchers. However, on a per capita basis, researchers from Botswana, followed by the Seychelles and then South Africa, Namibia and Zimbabwe had produced the most water research. As most previous bibliometric studies were conducted on the South African water sector, findings from the analysis of citation data from South African researchers supported the previous bibliometric studies. The analysis of citation data from SADC-ExSA countries provided a clearer picture of the contribution the WARFSA programme has made to knowledge production in the region, especially when comparing citation data before and after the implementation period of WARFSA in the early 2000s. It was further evident that most of the 78 research projects funded through the WARFSA were implemented in SADC-ExSA countries, and benefited these countries most. If one were to consider only water research output in SADC-ExSA countries during the implementation period of WARFSA between 1999 and 2007, a significant increase is observed during this period. In addition, the study highlights the significance of the annual WaterNet/WARFSA/GWP SA symposium, which was initially presented along with WARFSA and continued after the initial two phases of the WARFSA. The study further highlighted the large contribution of external donor funding towards water research in especially SADC-ExSA countries, which some could argue borders on a dependency on external funding, when compared to more local support for water research in South Africa. In terms of the contribution of the WARFSA towards policy uptake, the study highlighted the gap between the research community and policymakers, the mixed involvement of practitioners and policymakers in the research projects and the positive role of intermediaries and knowledge brokers in the WARFSA-funded projects. Finally, the study highlighted the challenges in attributing research findings to policy relevance. In conclusion, this study recommends the potential adaptation of the HERG Payback framework to reflect ecological benefits resulting from research better. Moreover, such adaptations to the HERG Payback framework could strengthen future phases of the WARFSA to identify, monitor and report the benefits of research. In addition, such a monitoring function should be established outside research projects, to support research projects better.
Development of Indicators for the Measurement of the South African Publics’ Relationship with Science
(2017-03) Saahier, Parker; Mouton, Johann; School of Science and Technology
An evaluation of the science system in Kenya
(Stellenbosch : Stellenbosch University., 2020-03) Lutomiah, Agnes Omulyebi; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH ABSTRACT: Evaluation of science systems has been on the increase in the recent past following government calls for accountability of the public investment in research development. The government and other funders also call for the evaluation of science for decision making on the amounts to invest in research development. This study set out to conduct an evaluation of the Kenyan science system. Using a case study research design, the study combined standard research and development indicators, bibliometric data, survey data and interview data to evaluate Kenya’s research investment, research capacity and research performance – research output, research collaboration, and citation impact. The standard research and development indicators revealed minimal investment in research development in Kenya, an investment that is still below the government’s target of investing about 1-2% of GDP to research and development. The R&D indicators also show that the human resources available for research are low in relation to the government’s target and a comparison of other selected sub-Saharan countries. The government intends to increase the number of researchers by training more PhD students. It was also the objective of this study to assess and describe the trends in Kenya’s research performance. Bibliometric data on publications revealed a steady increase in scientific output over the past decade across all scientific fields. The study also found high scientific output in the agricultural and health sciences. Analyzing the co-authorship data revealed an increase in international collaboration with minimal inter-continental and national collaboration. Minimal national collaboration might imply a weak national science. The study also found that Kenya specializes in agricultural and the health sciences which is important for Kenya’s overall scientific output. Citation analysis showed that the citation impact of Kenya’s scientific output had increased steadily for the past two decades, registering a citation impact that is above the world average (i.e. above 1), which implies that it generates at least similar citation rates than other countries. Examining the factors that enable or constraint research performance, the study found no huge age differences that emerge in relation to respondent’s collaboration with different researchers. On the other end, male scientists were more likely to collaborate internationally as compared to female researchers. In relation to research output, in general, my findings show age, gender and scientific field are key predictors of reported scientific output. Statistically significant differences between age categories, although small, and research production were found as older scientists reported higher publication output in some fields and publication forms as compared to the younger scientists. Several scientific career challenges were identified in this study, which includes minimal funding support, lack of research networks, lack of mentoring, training and support in career decision and fundraising. The contribution of this study was both empirical and methodological. Using the research performance evaluation framework, this study provides a comprehensive evaluation of Kenya’s science system on the following aspects: research investment, research capacity and research performance (research output, research collaboration and citation impact). Apart from the evaluation, the study also provides information on the perceptions of scientists on research funding, research collaboration and career challenges. Methodologically, the study uses a case study research design, which allows triangulation of the standard R&D data, bibliometric data, survey data and interview data, to provide an in-depth understanding and evaluation of Kenya’s science system. Given that different methods have different limitations, the different data sources supplement each other.
Factors influencing the public communication behaviour of publicly visible scientists in South Africa
(Stellenbosch : Stellenbosch University, 2018-03) Joubert, Catherina Magdelena (Marina); Weingart, Peter; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH SUMMARY: Given the policy intention of the South African government to encourage and support public science engagement, this study set out to identify and understand the factors that influence scientists’ behaviours as far as public communication about their work is concerned. Based on an extensive literature review and interviews with 30 publicly visible scientists, a complex blend of factors that influence scientists’ participation in public science communication were identified and explored. Important factors included field of research, career stage, age, gender, personality and population group, as well as scientists’ attitudes towards communication platforms and the public. Furthermore, this study yielded new insight into the influence of the historical, bio-geographical, cultural and socio-political contexts on scientists’ engagement with public audiences, while also highlighting how their communication behaviour is shaped by institutional environments and national contexts. The population group to which the individual scientists belong emerged as an important factor in terms of scientists’ perceived ability to connect with multi-cultural and multi-lingual audiences in South Africa. In light of changes in the norms that govern scientists’ behaviour, and contradictory policies that scientists may encounter, the conflicted and contested nature of public science communication was highlighted, along with scientists’ resulting ambivalence about their own participation in these activities. The current study shows that visible scientists in South Africa are mostly keen to engage with public audiences, and that they are typically motivated towards public engagement by a blend of intrinsic and extrinsic rewards. Time constraints and a lack of institutional support, incentives and recognition remain key barriers which limit scientists’ participation in public communication of science. Earlier findings that visible scientists are typically highly productive leaders in the science community were validated, thereby challenging the perception that public science communication carries a stigma and is too time-intensive to accommodate in the career of a serious scientist. Based on the findings in this study, it is recommended that policymakers who seek to stimulate quality and/or quantity of public science engagement, need to focus on the contextual factors, i.e. the policies and support structures in the institutions where scientists work. Further policy implications that are outlined include the value of mobilising black scientists as role models and enabling visible scientists to act as communication mentors, as well as the need to ensure responsible use of social media and ethical science PR practices in public communication of science.
An investigation of open access citation advantage through multiple measures and across subject areas for articles published from 2005 to 2014
(Stellenbosch : Stellenbosch University, 2019-04) Basson, Isabel; Prozesky, Heidi; Mouton, Johann; Blanckenberg, Jaco; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH ABSTRACT: Advocates for open access (OA) practices proclaim it to have several benefits, for researchers, for science and for society at large. One of the proposed benefits is that the increased visibility provided by gratis access to research leads to OA publications receiving more citations than those publications of which no OA versions are available. This study investigated the veracity of this claim, by determining whether OA journal articles (defined in this study as gold OA articles) experience a citation advantage when compared to non-OA journal articles. To do so, an analysis was conducted of all articles and reviews published from 2005 to 2014 and indexed in the Clarivate Analytics Web of ScienceTM (WoS). This study included a description of the presence of OA journal articles in comparison to non-OA journal articles to provide context for the citation analysis. Three different measures of citation advantage were applied, as formulated in the following research questions: 1)Do OA journal articles attain a higher mean normalised citation score (MNCS) than non-OAjournal articles? 2)Do a higher percentage of OA journal articles than non-OA journal articles receive at least onecitation within two years after publication? 3)Is there a higher percentage of OA journal articles than non-OA journal articles among themost frequently cited 1%, 5%, and 10% of articles? These questions were explored firstly for all the articles, and then for articles published in each of the years separately. Secondly, the data were disaggregated by subject area and analysed for all the articles, and then only for those published in 2014. In addition, the percentage of articles that were published in OA journals was ascertained. Whether OA journal articles experienced a citation advantage was determined through a three-fold process. Firstly, it was determined whether OA or non-OA journal articles had a higher score or percentage in terms of the measure of the citation advantage in question. Following that, the statistical significance of the difference was tested, and, lastly, the effect size was determined as an expression of the variability in the measure that access status accounts for. This study found that the percentage of articles published in OA journals had increased considerably, from 3.3% in 2005 to 13.1% in 2014. This is likely due to the launch of new OA journals, considering the retroactive assignment of the OA tag in WoS. While the vast majority of subject areas exhibited an increase in the percentage of articles published in OA journals, seven displayed a decrease. By 2014, the majority of articles, in all but three subject areas (of 274), had been published in non-OA journals. This study determined that there is no general OA or non-OA journal citation advantage, as access status accounts for little of the variability in the number of citations articles receive. This was the case for the majority of subject areas as well. OA journal articles experienced a definite citation advantage in only a few subject areas. It is therefore misleading to claim that publishing in an OA journal will necessarily lead to a citation advantage. It is likely that other factors, such as whether the journal is established and the practices of OA journals, have a stronger effect on the number of citations articles receive.
Knowledge utilisation in the South African wine industry
(Stellenbosch : Stellenbosch University, 2012-12) Boshoff, Stephanus Cornelius; Mouton, Johann; Stellenbosch University. Centre for Research on Evaluation, Science and Technology
ENGLISH ABSTRACT: The use of knowledge that is based on scientific research plays an important role in the development and international competitiveness of a country’s wine industry. In order for South Africa to effectively compete with other wine industries in the global market, and to ensure that it produces quality wines that can satisfy consumer demands and expectations, it needs to use the best of current research knowledge available. However, it is unknown to what extent South African winemakers are using knowledge based on scientific research, as well as where and how winemakers obtain knowledge, and how new knowledge is treated against the backdrop of a winemaker’s own experience and existing practice knowledge. The study, which addressed these broad questions, included a literature overview as well as a web-based survey of 210 winemakers in South Africa. Interviews were also conducted with six winemakers and three wine consultants. On the basis of the literature the key notions of “knowledge” and “utilisation” were unpacked. Knowledge was interpreted as either factual (know-that) or practical (know-how), and utilisation as a typology consisting of instrumental, conceptual, symbolic and persuasive utilisation. Insights from a body of literature not typically associated with winemaking, namely evidence-based medicine (EBM) and knowledge translation (KT), were also incorporated in the study. The study not only examined the frequency of using knowledge sources but also the relative importance of the different knowledge sources and the underlying structure of the sources (i.e. which sources group together). The results unequivocally showed that practical knowledge (i.e. knowledge that is exhibited in practice and which finds expression as moments of “common sense”, intuition, gut feeling etc.) is considered by many winemakers as extremely important for their winemaking. Opinions of fellow-winemakers also appeared to be an important knowledge source as about 46% of winemakers said that they seek advice from colleagues at least once a month and 57% rated these as of extreme importance for winemaking. Knowledge sources that are codified and publicly available, such as Wynboer in the industry-based WineLand magazine as well as the internet and winemaking textbooks and manuals, have grouped together and were considered as relatively important by winemakers. Overall the study produced evidence of the widespread use of scientific research findings, particularly conceptual use of research. The latter refers to a better understanding of certain aspects of winemaking that is based on scientific research. In addition, the elements of practical knowledge have also been explored within the context of winemaking. Additional insights were provided with regard to the relationship between practical and factual knowledge as well as the relationship between different conceptions of knowledge use, and how knowledge sources relate to knowledge use. The findings and subsequent insights generated undoubtedly apply beyond studies of the knowledge use of winemakers. Lastly, a key output of the study was to develop a normative model of knowledge uptake for winemakers. The proposed model combines practical knowledge and research-based factual knowledge in a single knowledge product destined for uptake by winemakers, in order to close the knowledge-to-practice gap.
Performance measurement of policy priorities: tracking government performance
(Stellenbosch : Stellenbosch University, 2021-03) Mouton, Charline; Wildschut, Lauren; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology (CREST)
ENGLISH ABSTRACT: There is universal consensus that governments need to execute their functions well so that the needs of citizens are met. Performance measurement enables governments to determine whether their efforts are effective.This thesis presents a focus on one approach to improving performance through rigorous attention to the delivery of public services –referred to as Deliverology by its originator, Sir Michael Barber. As head of the Prime Minister Delivery Unit (PMDU) in the Tony Blair Government in the United Kingdom(UK), Barber developed an approach that targets the implementation shortfalls in government. This thesis employs a case study approach to provide a practical example of how Deliverology was applied in the Western Cape Government (WCG) to implement and measure the performance of six strategic programmes, called Game Changers. The WC Gunder the auspices of Premier Helen Zille, established the Western Cape Delivery Support Unit (DSU) in 2015 to drive the delivery of the Game Changer programmes. In executing the Deliverology approach, some of the perceived limitations in the performance measurement related elements of the approach were addressed through the inclusion of methods and features borrowed from main stream program evaluation (specifically theory-based approaches). The overarching aim of the study is to demonstrate that a modified Deliverology approach is an effective analytical framework to assess the performance of complex social interventions as represented by the eLearning Game Changer. This study is divided into two Parts. Part 1 provides the historical roots of Deliverology, with a focus on the direct precursors as found within the performance measurement and policy implementation traditions. I utilise the three public sector regimes of the 20thcentury -Public Administration (PA), the New Public Management (NPM) and the New Public Governance (NPG) as a framework to show the theoretical and methodological advancements over time. Deliverology has roots in both the NPG and NPM and is put forward as a recent approach to solving government’s implementation challenges Part 2 covers the eLearning Game Changer case study, where I discuss how I have added to the Deliverology approach, drawing on the performance measurement and programme evaluation traditions. Deliverology’s five-step process was utilised as the analytical framework for discussing the modified approach. The gains from using an expanded approach were found to be three-fold: the explicit use of a theory-based approach elucidated the causal pathways; an additional sub step on indicator formulation contributed to greater clarity in conceptualisation and operationalisation of indicators; and finally, the introduction of a clear distinction between short and medium term outcomes mitigated the risk for an unbalanced focus on outputs only. The distinction between short and medium term outcomes also assisted in setting realistic expectations as to what could be achieved within a relatively short period of time. The study suggests that the modified approach is suitable for more complex interventions but requires the necessary technical capabilities and human resources to be put in place. In conclusion, this case study demonstrates the value of a highly structured approach to performance measurement (as exemplified in the elements and routines and strategies of a modified Deliverology framework) when augmented with lessons learnt around theory-based monitoring and evaluation. Given the many policy reform and service delivery challenges in South Africa –basic health care, food security, education, inequality and many others –many of our social programmes are in fact complex interventions. This case study has argued for a very structured approach to tracking the performance and monitoring the outcomes of such complex programmes.
The provision and influence of evidence-based policy advice : a case study of the National Advisory Council on Innovation
(Stellenbosch : Stellenbosch University., 2020-03) Bailey, Tracy Gillian; Mouton, Johann; Cloete, Nico; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH ABSTRACT: Evidence-based policy(-making) (EBP) has been adopted in many countries as knowledge and expertise are increasingly regarded as part of the core capabilities of political administrations in modern democracies. Advisory bodies which produce scientific or evidence-based advice have become an important form of support to and institutionalisation of EBP. However, empirical studies have shown that EBP remains an ideal in the context of the complexities of public policy-making and that advisory bodies seldom have much impact on the policy process. In South Africa, the National Advisory Council on Innovation (NACI) is a statutory body mandated to provide evidence-based advice to the Minister of Science and Technology. Since its establishment in 1997, there have been widespread perceptions that it is ineffective and uninfluential and therefore unable to realise its full potential and contribution to strengthening science, technology and innovation (STI) policy-making in the country. The main question this study seeks to address is: how does the nature of NACI’s institutional and organisational design, the policy context within which it operates, and the interaction and relationship between these aspects, impact on the outcomes of NACI’s advice and its influence on the policy process? Using a qualitative case study design based on documentary analysis and interviews with key informants, the study approaches this question through four empirical lenses: (1) the broader political and policy environment, with a specific focus on institutional and policy developments for the governance of science and technology; (2) NACI as an organisation – the conditions under which it emerged, its institutional design, and how it has interpreted and adjusted to its policy and institutional environments over time; (3) one of NACI’s longer-term advisory initiatives as a way of seeing ‘NACI in action’ and assessing the uptake of its advice; and (4) the factors which have played a role in shaping and constraining the provision of advice and NACI’s influence on policy. The findings reveal that while NACI looks good on paper and has produced a fairly substantial array of advice and supporting research evidence, in reality it has faced various challenges amidst complex dynamics which have limited its real and potential influence. Key among these have been inadequate internal capacity, its lack of independence from the Department of Science and Technology (DST), its low profile in the system, negative perceptions of its credibility and legitimacy, and a policy environment that is uncoordinated and beset with its own capacity challenges. Overall, the study demonstrates that there are ever-increasing degrees of dilution in the production and movement of NACI’s work, leaving the potential for its influence progressively weakened. The new White Paper on Science, Technology and Innovation (2019) proposes an expanded mandate and strengthened role for NACI in support of a new inter-ministerial structure for STI coordination. For NACI’s potential and effectiveness in this regard to be fully realised, it is argued that various issues will need to be addressed including NACI’s internal capacity; its independence, profile and credibility; role clarification between NACI and the DST; and better institutionalisation of NACI’s advisory work within the policy process.
A scientometric analysis of the science system in Tanzania
(Stellenbosch : Stellenbosch University, 2021-03) Maziku, Joseph; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology (CREST)
ENGLISH ABSTRACT: The main goal of the study was to conduct an assessment of the state of science in Tanzania. More specific objectives focused on the levels of research investment, human resources for S&T, and the research performance of the system. In addition we also investigated the challenges that young scientists in the country face. Our study shows that Tanzanian expenditure in R&D remains still below 1% of GDP and lags behind several African countries including Kenya the sister EAC country. In spite of the slight increase in spending in R&D from 0.38% in 2010 to 0.53% of the GDP in 2013, there is still overdependence on international funding sources. It was also found that the lack of research funding and funding for research equipment are the biggest challenges in the performance of research for young scientists. The study also found that Tanzania's human resources for S&T remains unacceptably small compared to several SADC countries, which results in relative low output per million of the population. However, it was revealed that there was a gradual increase in Tanzania scientific outputs from 339 publications in the year 2005 to 1389 publications in 2018 which is more than four times the growth of literature. In spite of the increase in the publications across all research fields,Tanzania dropped its position in world rank from position 74 in 2005 to position 80 in 2018. Tanzanian science remains strong in its traditional fields: the relative strength analysis revealed that the agricultural and health sciences, and to a lesser extent, the social sciences, are the most active fields compared to the world output across these fields. The overall top five prolific R&D institutions in the production of scientific papers are the MUHAS, UDSM, SUA, NIMR, and IHI. International co-authorship is on the increase in most fields, but these trends probably reflect the growing participation of Tanzanian scientists in global health and agricultural projects rather than any substantive growth in research collaboration. Our main recommendation is that the Tanzanian government commits to increasing its investment in R&D as aspired to by the R&D policy. In addition, the number of R&D personnel has to be increased to ensure that knowledge production continues to grow and the application of science, technology, and innovation for inclusive development is achieved.
The study of institutionalisation of a national monitoring and evaluation system in Zimbabwe and Botswana.
(Stellenbosch : Stellenbosch University, 2020-12) Makadzange, Panganai Francis; Mouton, Johann; Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology (CREST)
ENGLISH SUMMARY: The aim of the study was to assess the extent to which Zimbabwe and Botswana’s national M&E systems are institutionalised. This was done through answering the following research questions: 1) What is currently known about the development of national M&E systems in Botswana and Zimbabwe; 2) What are the existing theories and frameworks that could be applied to investigate the development and institutionalisation of national M&E systems; 3) Where are the countries at in terms of the institutionalisation of their national M&E system.These research questions were addressed by conducting a study design enshrined within the revised atlas framework of Furubo, Rist and Sandahl (2002). The International Atlas of Evaluation framework is the first of its kind to provide a systematic overview of M&E systems in various parts of the world. I adopted the atlas (with high levels of confidence in terms of its reliability and validity) as the framework of choice to implement the study. An exploratory concurrent nested mixed method (qualitative and quantitative) was employed in this study with both primary and secondary data collected and analysed.The results show that the overall score against the revised atlas for Botswana was 40% andZimbabwe 53% indicating a rather average level of institutionalisation for both countries. The main driver emerged to be public sector reforms adopted and implemented by the two countries post-independence. Major stakeholders providing technical and financial support to the development and institutionalisation process were NGOs. Though for Zimbabwe the development was mainly driven by external pressure from the donors and other multilateral organizations such as UNDP, for Botswana the pressure was internal,and the government played a greater role in terms of providing the required financial support for the system. The main findings of the study show that both countries have made progress in institutionalising their national M&E systems. However, more is yet to be realised and it requires deliberate efforts to address all those important institutional constraints highlighted in this study. The key recommendation for Botswana is that the country should develop a national M&E policy whilst for Zimbabwe is that it should create a more democratic system that promote generation and utilisation of M&E information at all levels. Lastly it is recommended that more research of similar nature be done as more work is still needed to contribute to a better understanding of the African M&E landscape.
A study of the doctoral pipeline: Time-to-degree in selected disciplines at South African Universities
(Stellenbosch : Stellenbosch University, 2019-04) Van Lill, Milandre Heidi; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH ABSTRACT: Over the past decade, there has been a clearly articulated interest, both on a national and institutional level, to identify strategies that would increase the number of doctorate graduates in South Africa. Currently, however, the pipeline leading up to the attainment of a doctoral degree is a long and leaky one. The study set out to explore whether doctoral time-to-degree differs across five academic disciplines at South African public higher education institutions. Using a mixed-methods design, a secondary analysis of the HEMIS student data showed that doctoral graduates in education record the shortest average time-to-degree. Descriptive indicators, such as growth rates of doctoral enrolments and graduates, the pile-up effect and completion rates aided in focusing the hypothesis that the nature of academic disciplines is associated with doctoral completion times. It was also this study’s objective to identify factors which are correlated with a shorter timeto- degree. Using Cross’ chain of response model, I investigated the role of selected student demographics and contextual institutional, situational and dispositional factors in doctoral time-todegree. Using a multiple linear regression model, I found that younger age is a predictor of shorter completion times, although it is more pertinent in disciplines such as physics and electrical engineering. Students’ mode of enrolment was found to be a predictor of completion times with parttime students recording a statistically significantly longer time-to-degree when compared to full-time students. A student’s nationality was also identified as a statistically significant predictor of time-todegree with international students recording shorter completion times than domestic students. Lastly, I found that the academic discipline is a significant predictor of doctoral time-to-degree. Examining the role of institutional factors in time-to-degree reported a negative correlation between higher institutional throughput rates and shorter time-to-degree of academic institutions in electrical engineering, but a positive correlation was found for institutions in education, the clinical health sciences, physics and sociology. A survey showed that the immediate degree progression from a master’s to a doctoral degree is associated with a shorter time-to-degree. Respondents who were employed full-time during their doctoral studies estimated a longer completion time than those who were not employed, while students who considered discontinuing their studies similarly predicted longer candidacy times. Survey respondents’ satisfaction with their doctoral supervision was found to have a correlation with shorter completion times. Although shorter time-to-degree can be considered an indicator of efficiency, it is imperative to consider wider contextual factors in thinking about the efficiency of doctoral students. It is the recommendation of this study that institutional efforts towards combating student attrition and prolonged candidacy times be tailored for academic disciplines. Additionally, students should be enabled and encouraged to pursue doctoral studies full-time. A novel contribution of this study is a model predicting factors that explain differences in doctoral time-to-degree which has been widely neglected in the South African context. Through the integrative use of quantitative and qualitative data, this study is one of the most comprehensive studies of doctoral time-to-degree in the South African context.
Understanding the societal impact of research through productive interactions and realist theory-based evaluation: Select cases of agricultural research in South Africa
(Stellenbosch : Stellenbosch University, 2019-12) Esterhuyse, Harrie Willie; Boshoff, Nelius; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Dept. of Geography & Environmental Studies.
ENGLISH ABSTRACT: The study explored the concept of societal impact of research (SoIR) in four agricultural research projects in South Africa, as well as in a survey of the two commodity companies that funded those projects. Three objectives guided the study: (1) to investigate the SoIR by focussing on the productive interactions and effects as identified through the SIAMPI approach; (2) to use the logic of realist evaluation to assign value to productive interactions by using them to build theories of change, impact pathways and indirectly context-mechanism-outcome (CMO) configurations; and (3) to view the productive interactions and effects through the lens of research impact literacy. The study relied on four conceptual underpinnings, namely the SIAMPI approach, realist evaluation, theories of change and impact literacy. The SIAMPI approach uses productive interactions to understand the effecting of research impact. Realist evaluation is concerned with understanding social programmes through CMO configurations. Theories of change are instruments that visualise the logic of how a programme builds impact. Lastly impact literacy looks at how impact works through the combination of ‘what’ is being aimed for (final impact), ‘how’ it is to be achieved, and ‘who’ will be engaging in activities to achieve ‘what’. The research followed an exploratory sequential mixed methods design, comprising three phases. In the first phase, four agricultural research projects, funded by the two commodity companies, were selected as case studies. As part of the case study execution, semi-structured interviews were conducted with case study participants. Project-specific documents were also collected and analysed. From these productive interactions were identified. The second phase involved the development of a theory of change for each of the four case studies, built from the productive interactions. From the theories of change, research impact pathways were identified. Follow-up semi-structured interviews with the primary investigators were used to validate the accuracy of the theories of change and to explore the impact pathways further. The third phase of the research made use of the theories of change, coupled with the concept of impact literacy, to explore the understanding of SoIR among research funders. A survey was used to assess research funders’ views on SoIR. The findings were used to develop a Classification framework for research impact and to show the viability of building CMO configurations from the data produced through SIAMPI. It was found that productive interactions can be used to develop coherent visualisations of research processes through theories of change. This showed that it is possible to make use of SIAMPI as a method within realist evaluation, though it is not recommended due to the myriad of possible different productive interactions that would need to be tested. Arguably most importantly the research showed that CMO configurations applicable to research can be constructed based on information gathered through the SIAMPI method. Productive interactions can be used to build an understanding of the context in which research impact is effected (along with the outcomes and impacts) allowing for the development of CMO configurations. Finally, the research produced the Classification framework for research impact. It provides a novel way of ‘defining’ research impact. The research recommends that, based on the value of productive interactions demonstrated in the dissertation, funders of research should consider including instruments in research reporting that are able to capture research interactions.
The uptake of doctoral thesis research in Ghana
(Stellenbosch : Stellenbosch University, 2017-03) Andoh, Harris Francis; Mouton, Johann; Stellenbosch University. Faculty of Arts and Social Sciences. Centre for Research on Evaluation, Science and Technology.
ENGLISH SUMMARY: Doctoral studies are a big resource to contribute to knowledge which by extension assists in creating new product development, new professional practice and the development of new technologies. Across selected countries in Africa, the number of PhD holders has increased immensely over the last decade with no sign of it decreasing yet not much of the findings from these researches have been implemented. This study is concerned with the uptake of doctoral research findings in the Environmental and Natural Resource sciences at universities in Ghana. The overarching aim of the study was to determine the uptake of PhD research conducted in Ghana amongst PhD holders in Ghana in the field of ENRS, during and after PhD studies. This is a descriptive study which integrated different methods including content analysis of completed theses, a CV-analysis of the authors, bibliometric studies of publications that ensued from the doctoral theses and finally in-depth interviews with the authors of the theses. Twenty PhD authors were interviewed for the study. The results of the study found that most students who undertook doctoral studies had two main motives why they undertook PhD studies: improving their horizon and employment motives. Their motivation was not to add new knowledge. Interviewees who believed they had produced new knowledge from their studies pushed for the uptake of their findings and recommendations. Interviewees published a reasonable number of journal articles but fewer book chapters and policy briefs. The study found that some interviewees were motivated to publish by their supervisors, others because by the practices and requirement of their university they were required to publish. Interviewees who are in academe and research jobs published because they believed it was a requirement for their evaluation for promotion in their career. However, whilst it is good for supervisors and universities to encourage their PhD students and staff respectively to publish not all these publications were good. We discovered that a significant proportion of the journal articles actually appeared in predatory journals. The results of the interviews did find that research uptake can effectively be optimized through co-operation and collaboration with stakeholders. The major factor that warranted the above was by interviewee working in the same field as he or she did during the PhD and continuous collaboration with institutions that he or she collaborated with during PhD and afterwards. The results discussed in this chapter show amongst others that there is no systematic attempt on the part of researchers to monitor the uptake and citation impact of their research findings. The study concludes that there is little awareness and appreciation of the need for uptake of research findings to policy and practice. There also seems to be the view that researchers must produce new knowledge but not necessarily be the ones that should attempt to optimize the uptake of their findings beyond the expectation of proper communication of results through presentations and publications. The study recommends that Universities should not pay lip service to the importance doctoral education play in their research system. Doctoral education should be well defined including creating appropriate platform and well defined mechanisms for the communicating and possible uptake of their findings. Systems should be put in place in universities and research institutions to engage stakeholders constantly on research findings. Research accountability should be a concern for all universities to ensure possible uptake of research findings and recommendations.

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