The Role Of Research Strategies And Ecosystems In University Research Performance
Author(s):
Carmel M. Diezmann (presenting / submitting) James J. Watters
Conference:
ECER 2016
Format:
Paper

Session Information

22 SES 01 D, Development of Research & Teaching: Tools and Practices

Paper Session

Time:
2016-08-23
13:15-14:45
Room:
NM-J104
Chair:
Helen Avery

Contribution

High research performance influences university prestige, and attractiveness to staff and students (Norton, 2013). It is also necessary for competitive performance in world rankings and for forging links with high quality international researchers (Meek & Davies, 2009). In some countries, such as Australia, high performance also provides funding dividends for universities (e.g., Coaldrake & Stedman, 2013). Hence, internationally, many universities seek to improve research performance by implementing various research strategies to build research capacity, to improve research productivity and to attain research excellence. However, universities vary substantially in their histories of research performance and research culture. Hence, achieving high performance will be more difficult for some universities than for others. This study explores the relationships between university research performance and university research strategies.

 

Bosch and Taylor (2011) classify universities into three groups based on their phase of research development. At the Instilling Phase, there is little or no research activity in the university and research performance is low. These late-developers or newcomers to research are highly vulnerable in a competitive research environment (Hazelkorn, 2004). At the Broadening Phase, some discipline groups are performing well but others are not. At the Honing Phase, research culture is embedded in university life and research performance is relatively high across all discipline groups. Thus ideally, universities should work towards attaining the Honing Phase. In Australia, irrespective of a university’s current research performance, it is mandatory for them to document research strategies to improve research performance (e.g., Australian Government, 2013).

 

There is a substantial literature on ten university research strategies that can be effective. The strategies are ordered for convenience and no hierarchical order should be inferred:

 

  1. Setting research priority setting (e.g., Hazelkorn, 2004);
  2. Using performance indicators (e.g., Stanley & Reynolds, 1995);
  3. Investment and funding (e.g., Hazelkorn, 2004);
  4. Supporting Research Centres and Institutes (e.g., Sabharwal & Hu, 2013);
  5. Fostering research collaborations (e.g., Frenken, Holzl, & de Vor, 2005);
  6. Establishing a culture of scholarship (e.g., Kennedy, Gubbins, Luer, Reddy, & Light, 2003);
  7. Employing postdoctoral researchers  (e.g., Felisberti & Sear, 2014);
  8. Supporting early career researchers (e.g., Laudel & Gläser, 2008);
  9. Supporting women academics (e.g., Monroe & Chiu, 2010); and
  10. Supporting Indigenous researchers (e.g., Fredericks, 2009).

 

The intent of these research strategies is to improve university research performance. However, such improvement is dependent on improvements in individual and discipline group research performance. Bronfenbrenner’s (1979, 2005) Bioecological Theory provides insight into how research strategies provide development opportunities for individuals and groups. He argues that development occurs through proximal processes, namely,interactions between an organism (biology) and the environment (ecology) and that these processes impact development through the person, time period and context. Thus, the university provides a critical context for research development through the implementation of research strategies.

 

Brofenbrenner (1979, 2005) proposes that the context for development comprises five nested ecosystems. The microsystem is an individual’s immediate environment (e.g., research centre). The mesosystem is where microsystems interact (e.g., the relationship between a university department and research centre). The exosystem is the indirect influence on the individual or group, such as a national research assessment. The macrosystem is the broader sociocultural influence (e.g., national higher education policy). The chronosystem relates to specific time periods. This study examined how selected Australian universities employed research strategies within the microsystem, mesosystem, exosystem and macrosystem. (The chronosystem is excluded because all Australian universities have performance-based agreements with the Commonwealth for 2014-2016, titled “Mission-based Compacts” (e.g., Australian Government, 2013)).

 

The research question was: What are the differences in the implementation of common research strategies at the ecosystem level in universities at various phases of research development?

 

Method

This investigation was part of a larger study on university research performance exploring outcomes, goals and strategies. An overview of outcomes and goals is provided as background for the research strategies. The outcomes were the ratings of discipline groups reported in the 2012 Excellence in Research for Australia (ERA) (Australian Research Council, 2012). ERA uses a five point scale: 5 (well above world standard), 4 (above world standard), 3 (at world standard), 2 (below world standard) and 1 (well below world standard). Based on ERA 2012 results, public universities operating within one Australian state were categorised as in the Instilling, Broadening or Honing Phases of research development (Bosch & Taylor, 2011). Only one university was identified at the Honing Phase achieving the maximum number of ERA ratings at world standard or above. Two universities were each selected to represent the Broadening and Instilling Phases. Universities at the Broadening Phase had discipline groups with mixed ERA ratings predominantly ranging from above to below world standard. Universities at the Instilling Phase mostly had discipline groups with ERA ratings at below or well below world standard. The goals were the subsequent ERA performance targets the selected universities specified in their 2014-2016 Compacts (e.g., Australian Government, 2013). Outcomes and goals are not discussed further. This investigation employed document analysis (Rapley, & Jenkings, 2010) of the research strategies selected universities documented as “University strategies for research” in their 2014-2016 Compacts (e.g., Australian Government, 2013). The five universities identified some or all of the ten research strategies listed earlier. However, all selected universities had five research strategies in common: (1) Research Priorities, (2) Performance Indicators, (3) Investment and Funding, (4) Centres and Institutes, and (5) Collaborations. A content analysis (Weber, 1990) revealed that the five research strategies were only similar at the surface level and consisted of various sub-strategies. For example, the research strategy relating to Research Centres and Institutes included the sub-strategies of promoting these research entities as university flagships (the Honing university) and creating new Research Centres (an Instilling university). To investigate differences in research strategies at universities at different phases of research development, the various sub-strategies were subject to pattern matching (Yin, 1993) to establish the ecosystem in which each research sub-strategy operated (Brofenbrenner, 1979, 2005).

Expected Outcomes

Although the five universities employed five common research strategies, there were substantial differences in the sub-strategies employed which impacted particular ecosystems (Brofenbrenner, 1979, 2005). Examples of key differences amongst universities at different phases of development follow. Strategy 1 - Research Priorities: Only the Honing university made explicit the relationship of their defined research foci at the macrosystem level. Strategy 2 - Performance Indicators: An Instilling university used expert peers to judge performance (macrosystem), a Broadening university used external performance metrics (macrosystem), and the Honing university assessed researchers using its own internal performance measure (mesosystem). Strategy 3 - Investment and Funding: The Instilling universities appointed or replaced the senior researcher leaders (mesosystem). This strategy will only be positive if it creates the social capital needed for effective organisations (Birnbaum, 2004). Strategy 4 - Centres and Institutes: Research units were well embedded in the Honing university as university flagships (mesosystem). One Instilling university disbanded existing research entities and teams of researchers, which could be counter to improving research productivity if it leads to political alienation or inactivity of academics (Pope, 2004). Strategy 5 - Collaborations: A point of distinction between the Honing university and the Broadening and Instilling universities was the former’s attention to collaboration, partnerships and networks at the macrosystem level. (Further detail of sub-strategies and associated ecosystems will be provided at the presentation.) The investigation of research strategies across universities at Honing, Broadening and Instilling Phases of research development revealed that despite common strategy use, there were clear differences in research sub-strategies and the associated ecosystems. Thus, universities at the Instilling and Broadening Phases wanting to improve research performance need to look beyond surface research strategies to establish how universities at more advanced phases employ research sub-strategies to leverage the various ecosystems that can support individual and group research development.

References

Australian Government (2013). 2014-16 Mission-based Compact – ACU. https://docs.education.gov.au/documents/2014-16-mission-based-compact-australian-catholic-university Australian Research Council (2012). Excellence in Research for Australia 2012. http://www.arc.gov.au/era/era_2012/outcomes_2012.htm Birnbaum, R. (2004). The end of shared governance. In New Directions for Higher Education (pp. 5-22). San Francisco, C.A.: Jossey-Bass. Bosch, A. & Taylor, J. (2011). A proposed framework of institutional development phases. Journal of Higher Education Policy and Management, 33(45), 443-457. Bronfenbrenner, U. (1979). The ecology of human development: Experiments by nature and design. Cambridge, MA: University Press. Bronfenbrenner, U. (2005). Making human beings human: Bioecological perspectives on human development: Thousand Oaks, CA: Sage. Coaldrake, P., & Stedman, L. (2013). Raising the stakes: Gambling with the future of universities. St Lucia, Qld: University of Queensland Press. Felisberti, F. M., & Sear, R. (2014). Postdoctoral researchers in the UK. PLoS ONE, 9(4), 1-7. Frenken, K., Holzl, W., & de Vor, F. (2005). The citation impact of research collaborations. Journal of Engineering and Technology Management, 22(1-2), 9-30. Fredericks, B. (2009). Race and Equity in Higher Education: A Harder Path for Indigenous Academics. Frontline, 17, 14-15 Hazelkorn, E. (2004). Growing research: Challenges for late developers and newcomers. Higher Education Management and Policy, 16(1), 119-142. Kennedy, R. H., Gubbins, P. O., Luer, M., Reddy, I. K., & Light, K. E. (2003). Developing and Sustaining a Culture of Scholarship. American Journal of Pharmaceutical Education, 67(3). Laudel, G. & Gläser, J. (2008). From apprentice to colleague: The metamorphosis of early career researchers. Higher Education, 55, 387-406. Meek, V. L. & Davies, D. (2009). Policy dynamics in higher education and research: Concepts and observations. In V. L. Meek, V.L., U. Teichler, and M. Kearney (Eds.), Higher Education, Research, and Innovation: Changing Dynamics (pp. 41 - 84). UNESCO/INCHER-Kassel. Monroe, K., & Chiu, W. (2010). Gender equity in the academy: The pipeline problem. Political Science and Politics, 43, 303-308. Norton, A. (2013). Mapping Australian higher education, 2013, Grattan Institute. http://grattan.edu.au/static/files/assets/28a92f8b/184_2013_mapping_higher_education.pdf Pope, M. L. (2004). A conceptual framework of faculty trust and participation in governance. New Directions for Higher Education, 127, 75-84. Rapley, Y., & Jenkings, K. N. (2010). Document analysis. In P. Petersen, E.Baker, & B. McGaw International Encyclopedia of Education (3rd ed) (pp. 380-385. Sabharwal, M., & Hu, Q. (2013). Participation in university-based research centers. Research Policy,42(6-7), 1301-1311. Weber, R. P. (1990). Basic content analysis (2nd ed.). Newbury Park, C. A.: Sage Yin, R. K. (1993). Applications of case study research. Newbury Park, C. A.: Sage.

Author Information

Carmel M. Diezmann (presenting / submitting)
Australian Catholic University, Australia
Queensland University of Technology

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