The use of institutional research outputs by university managers: an embedded case study of a university in South Africa

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dc.contributor.advisorBotha, Janen_ZA
dc.contributor.advisorProzesky, Heidien_ZA
dc.contributor.authorLekena, Liile Leratoen_ZA
dc.contributor.otherStellenbosch University. Faculty of Military Sciences. School of Science and Technology.en_ZA
dc.date.accessioned2024-02-16T07:07:01Z
dc.date.accessioned2024-04-27T00:07:59Z
dc.date.available2024-02-16T07:07:01Z
dc.date.available2024-04-27T00:07:59Z
dc.date.issued2024-03
dc.descriptionThesis (DPhil)--Stellenbosch University, 2024.en_ZA
dc.description.abstractENGLISH ABSTRACT: This study explores the utilisation of institutional research (IR) outputs at a South African university, with a particular focus on the key factors influencing their application in decision-making processes. The research provides fresh insights into Caplan’s Two-Communities theory, expanding our understanding of its relevance and adaptability in the distinctive context of higher education. The study was prompted by acknowledged challenges in the higher education sector, including inconsistent application of research in decision-making, an excessive emphasis on compliance reporting at the expense of continuous enhancement of institutional effectiveness, and a lack of attention to demand-side perspectives in studies on IR uptake and application. The literature review identified numerous individual and institutional factors influencing the integration and use of research in decision-making. It revealed that research findings can indirectly shape policy processes and practitioners’ actions, even without direct integration into policy or practice. The study’s theoretical framework, grounded in Caplan’s Two-Communities theory, identifies cultural aspects as potential obstacles to the application of social science research in decision-making. The theory emphasises the need for collaboration between policymakers and researchers while acknowledging a lack of consensus on strategies to overcome barriers. Hence, this study aimed to examine the circumstances and purposes of IR output use, investigate reasons for its occasional disregard, and explore potential ways to enhance its usage from decision-makers’ perspectives. The findings of this study offer valuable insights into the adaptation of the Two-Communities theory, as represented by Caplan’s Two-Communities theory, adapted to what I call the “Two-Communities theory Version 2” (2CV2) framework. The 2CV2-framework highlights the importance of context and fluid roles within academic institutions. It suggests that the barriers between researchers and decision-makers may not be as fixed as previously assumed, thereby promoting a conducive environment for collaborative and effective research use. Moreover, this study supports Dunn’s critique of the Two-Communities theory, emphasising the need for more refined theoretical models to understand research use. By employing Dunn’s models, I gained a nuanced understanding of research use amongst different university groups, extending the applicability of Dunn’s models beyond policymaking and government organisations to academic institutions. The study not only reveals a pattern of research utilisation across various institutional roles but also validates and enhances Caplan’s notion of micro- and meta-level utilisation. Within the research context, participant groups engage in both instrumental and conceptual utilisation of IR outputs, underlining the complex interplay between these two utilisation levels. This dynamic necessitates a balanced approach that upholds the fundamental principles of each community: methodological rigour and scholarly independence for researchers and pragmatic problem-solving efficiency for policymakers. Preserving these norms is crucial for nurturing an environment conducive to generating and effectively using research for decision-making. By examining the intricate relationships between researchers and policymakers within higher education, my study adds a new layer to the theoretical understanding of research utilisation in a university setting. It enhances the Two-Communities theory and provides useful insights into overcoming obstacles to effective research utilisation in decision-making.en_ZA
dc.description.abstractAFRIKAANSE OPSOMMING: Hierdie studie ondersoek die benutting van institusionele navorsing (IN) uitsette in die besluitnemingsprosesse van ’n Suid-Afrikaanse universiteit, met ’n spesifieke fokus op die sleutelfaktore wat die benutting daarvan in besluitnemingsprosesse beïnvloed. Die navorsing verskaf insigte in Caplan se Twee- Gemeenskappe -Teorie, wat ons begrip van die relevansie en aanpasbaarheid daarvan tot die spesifieke konteks van hoër onderwys uitbrei. Erkende uitdagings in die hoëronderwyssektor het aanleiding gegee tot hierdie studie, insluitende die onvoldoende benutting van navorsingsbevindings in besluitnemingsprosesse, ’n oormatige klem op rapportering ten koste van die deurlopende bevordering van institusionele doeltreffendheid, en ’n gebrek aan aandag aan IN-bevindings wat fokus op die behoeftes van gebruikers, spesifiek met die oog op die benutting van hierdie bevindings. Op grond van die literatuurstudie het die navorser verskeie faktore (op individuele en institusionele vlakke) geïdentifiseer wat die integrasie en gebruik van navorsingsbevindings in besluitneming beïnvloed. Die studie het aan die lig gebring dat navorsingsbevindings indirek beleidsprosesse en praktisyns se optrede kan beïnvloed, selfs sonder eksplisiete of doelbewuste integrasie in beleid of praktyk. Die studie se teoretiese raamwerk is gegrond op Caplan se Twee-Gemeenskappe-Teorie wat aantoon dat daar kulturele aspekte potensiële struikelblokke in die weg staan van die toepassing van sosiaal-wetenskaplike navorsing in besluitnemingsprosesse. Hierdie teorie beklemtoon die noodsaak van samewerking tussen beleidmakers en navorsers, terwyl ’n gebrek aan konsensus oor strategieë om hindernisse te oorkom, erken word. Hierdie studie het beoog om die omstandighede en doeleindes van die benutting van IN-bevindings te ondersoek, redes vir die onderbenutting of verontagsaming daarvan te probeer gee, en maniere te ondersoek om die benutting daarvan te verbeter, spesifiek soos gesien vanuit besluitnemers se perspektief. Die bevindings van hierdie studie bied waardevolle insigte wat ontwikkel is op die basis van Caplan se Twee-Gemeenskappe-Teorie soos aangepas vir die konteks en doel van hierdie studie, wat in hierdie studie genoem die “Twee-Gemeenskappe-Teorie Weergawe 2” (afgekort 2CV2). Die 2CV2-raamwerk beklemtoon die belangrikheid van konteks en vloeibare rolle in akademiese instellings. Dit maak voorsiening daarvoor dat die hindernisse tussen navorsers en besluitnemers moontlik nie so groot is nie − ’n werksomgewing kan geskep en bevorder word wat tot groter samewerking en beter benutting van navorsingsbevindinge kan lei. Verder is hierdie studie ook geïnformeer deur Dunn se kritiek op die Twee-Temeenskappe-Teorie. Dunn beklemtoon die behoefte aan meer verfynde teoretiese modelle om die benutting van navorsingsbevindings beter te kan verstaan. Deur Dunn se model te gebruik, het die navorser ’n genuanseerde begrip van navorsingsgebruik onder verskillende universiteitsgroepe gevind, wat die toepaslikheid van Dunn se model na die konteks van beleidmaking in regeringsorganisasies na akademiese instellings uitgebrei het. Die studie toon nie net ’n patroon van navorsingsbenutting oor verskeie institusionele rolle nie, maar bevestig en versterk ook Caplan se idee van mikro- en metavlakbenutting. In konteks van die hierdie studie hetr dit duidelik geword dat verskeie groepe deelnemers betrokke is by konseptualisering en die benutting van IN-uitsette, wat die komplekse wisselwerking tussen die benuttingsvlakke beklemtoon. Hierdie dinamiek maak ‘n gebalanseerde benadering nodig wat die fundamentele beginsels van elke gemeenskap handhaaf: metodologiese noukeurigheid en wetenskaplike onafhanklikheid vir navorsers, en pragmatiese probleemoplossingsdoeltreffendheid vir beleidmakers. Die behoud van hierdie norme is van kardinale belang vir die ontwikkeling van ’n omgewing wat bevorderlik is vir die effektiewe benutting van navorsingsbevindings in die prosesse van besluitneming. Deur die komplekse verhoudings tussen navorsers en beleidmakers binne hoër onderwys te ondersoek, voeg die studie ’n nuwe dimensie toe tot die teoretiese insigte in die problematiek van navorsingsbenutting in ’n universiteitsopset. Dit versterk die Twee-Gemeenskappe-Teorie en verskaf nuttige insigte om struikelblokke vir effektiewe navorsingsbenutting in besluitnemingsprosesse beter te verstaan.af_ZA
dc.description.versionDoctoralen_ZA
dc.format.extentxiv, 244 pages
dc.identifier.urihttps://scholar.sun.ac.za/handle/10019.1/130617
dc.language.isoen
dc.publisherStellenbosch : Stellenbosch Universityen_ZA
dc.rights.holderStellenbosch Universityen_ZA
dc.subject.lcshEducation, Higher -- Research -- Data processingen_ZA
dc.subject.lcshUniversities and colleges -- South Africaen_ZA
dc.subject.nameUCTD
dc.subject.otherCaplan's Two-Communities Theoryen_ZA
dc.titleThe use of institutional research outputs by university managers: an embedded case study of a university in South Africaen_ZA
dc.typeThesisen_ZA
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