Modern-day science is under great pressure. A potent mix of increasing expectations, limited resources, tensions between competition and cooperation, and the need for evidence-based funding is creating major change in how science is conducted and perceived. Amidst this �perfect storm� is the allure of �research excellence�, a concept that drives decisions made by universities and funders, and defines scientists� research strategies and career trajectories. But what is �excellent� science? And how to recognise it? After decades of inquiry and debate there is still no satisfactory answer. Are we asking the wrong question? Is reality more complex, and �excellence in science� more elusive, than many are willing to admit? And how should excellence be defined in different parts of the world, particularly in lower-income countries of the �Global South� where science is expected to contribute to pressing development issues, despite often scarce resources? Many wonder whether the Global South is importing, with or without consenting, the flawed tools for research evaluation from North America and Europe that are not fit for purpose. This book takes a critical view of these issues, touching on conceptual issues and practical problems that inevitably emerge when �excellence� is at the center of science systems. Emerging from the capacity-building work of the Science Granting Councils Initiative in sub-Saharan Africa, it speaks to scholars, as well as to managers and funders of research around the world. Confronting sticky problems and uncomfortable truths, the chapters contain insights and recommendations that point towards new solutions � both for the Global South and the Global North.
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TRANSFORMING RESEARCH EXCELLENCE New Ideas from the Global South
Edited by Erika KraemerMbula, Robert Tijssen, Matthew L. Wallace & Robert McLean
Transforming Research Excellence
New Ideas from the Global South
Edited by Erika Kraemer-Mbula, Robert Tijssen, Matthew L. Wallace and Robert McLean
AFRICAN MINDS
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Contents
Preface and acknowledgements
01 Introduction |Erika Kraemer-Mbula, Robert Tijssen, Matthew L. Wallace and Robert McLean
Part 1 Theoretical and conceptual underpinnings 02 Redefining te concept of excellence in researc wit development in mind |Judith Sutz03 Te Republic of Science meets te Republics of Somewere: Embedding scientific excellence in subSaaran Africa | Joanna Chataway and Chux Daniels04 Revaluing researc excellence: From excellentism to responsible assessment |Robert Tijssen05 Gender diversity and te transformation of researc excellence |Erika Kraemer-Mbula06 Researc excellence is a neocolonial agenda and wat migt be done about it |Cameron Neylon
Part 2 Research excellence in practice 07 Utility over excellence: Doing researc in Indonesia | Fajri Siregar08 Supporting researc in CÔte d’Ivoire: Processes for selecting and evaluating projects |Annette Ouattara and Yaya Sangaré
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1
19
39
59
79
92
119
138
09 Sustaining researc excellence and productivity wit funding from development partners: Te case of Makerere University |Vincent A. Ssembatya10 Soutern conceptions of researc excellence | Suneeta Singh and Falak Raza11 From perception to objectivity: How tink tanks’ searc for credibility may lead to a more rigorous assessment of researc quality |Enrique Mendizabal
Part 3 Striving for solutions 12 Exploring researc evaluation from a sustainable development perspective |Diego Chavarro13 Indicators for te assessment of excellence in developing countries |Rodolfo Barrere14 Retinking scolarly publising: How new models can facilitate transparency, equity, efficiency and te impact of science |Liz Allen and Elizabeth Marincola15 Researc Quality Plus: Anoter way is possible | Jean Lebel and Robert McLean
16 Call to action:Transforming ‘excellence’ for te Global Sout and beyond |Erika Kraemer-Mbula, Robert Tijssen, Matthew L. Wallace, Robert McLean, Liz Allen, Rodolfo Barrere, Joanna Chataway, Diego Chavarro, Chux Daniels, Jean Lebel, Elizabeth Marincola, Enrique Mendizabal, Cameron Neylon, Annette Ouattara, Falak Raza, Yaya Sangaré, Suneeta Singh, Fajri Siregar, Vincent A. Ssembatya and Judith Sutz
About te autors
Index
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147
164
178
203
219
233
248
259
264
271
Preface and acknowledgements
Tere is an increasing drive to steer funding towards researc ‘excellence’ around te world. In te Global Sout, especially in low and medium income countries LMICs, emerging granting councils face te callenge of supporting science tat is bot ig quality and relevant to teir own national priorities. However, recent scolarsip as revealed tat te notion of excellence is problematic in many, if not all, contexts. It is igly associated wit subjective value judgements on disciplines, metodologies, and is closely linked to journal impact factors, Hindex scores, sources of funding and university rankings, eac of tese being igly contested. In te Global Sout, many ave explored to wic degree scant researc resources must be focused on development priorities. Given tese developments, te time is ripe to fill te knowledge gap regarding researc excellence in te developing world, providing balance to ‘Global Nortdominated’ scolarsip on tis issue. On a more practical level, initiatives suc as te Science Granting Councils Initiative SGCI in subSaaran Africa ave revealed pressures on researc organisations in LMICs to demonstrate compet itiveness in a global researc space, and demonstrate tat researc is ‘as good’ as tat wic is done elsewere. Partially driven by te same spirit of accountability and a desire to build capacity for ‘worldclass’ science, external donors are increasingly pusing for teir funds to go towards ‘excellent’ researc. In bot cases, te issue of quality and
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TR ANSFORMING RESEARCH EXCELLENCE
accountability cannot be ignored, as many governments are weiging te benefits of allocating larger budgets to scientific researc. However, tey are generally poorly equipped to evaluate researc quality and excellence, and to use tis evaluative evidence to manage te tensions between national researc capacity and capacitybuilding issues, local relevance and demand for researc, and various types of quality stand ards. Tis speaks to te need for more contextspecific quantitative and qualitative indicators to assess and measure researc quality, more robust metods for conducting researc evaluation, as well as well developed modalities and programme designs for supporting researc. Te ideas in tis book emerge from various sources. Our initial quest to learn more about ‘researc excellence in te Global Sout’ arose from te SGCI. Beginning in 2015, te SGCI is a multifunder initiative tat aims to strengten te capacities of 15 science granting councils SGCs in subSaaran Africa in order to support researc and evidencebased policies tat will contribute to economic and social development. It is funded and managed by Canada’s International Development Researc Centre IDRC, te UK’s Department for International Development DFID, te National Researc Foundation NRF Sout Africa and, since 2018, te Swedis International Development Agency SIDA. It is guided by te priorities of te 15 granting agencies wo, in 2016, sougt to explore te notion of researc excellence in greater dept, leading to a report by Erika KraemerMbula and Robert Tijssen, later publised as a researc article in a scolarly journal Tijssen and KraemerMbula 2018 and a policy brief Tijssen and KraemerMbula 2017; followed by a fulsome discussion wit SGCs, wic included experts Carlos AguirreBastos from SENACYT Panama and Robert Felstead of UK Researc and Innovation UKRI. Tis was followed by an international worksop tat took place in Joannesburg in July 2018, supported by SGCI, and coosted by te University of Joannesburg and te Centre for Researc on Evaluation, Science and Tecnology CREST at Stellenbosc University. Te work sop deliberated on te experiences and reflections of scolars and practitioners from around te world, wit a particular empasis on tose from, or working in, te Global Sout. Experts in attendance came from Asia, Latin America, Africa, Australia, Europe and te UK,
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PREFACE AND ACKNOWLEDGEMENTS
and included representatives of funding organisations suc as te NRF Sout Africa, NRF Kenya, Wellcome Trust UK, UKRI and DFID, as well as key stakeolders suc as te African Academy of Sciences AAS and some of teir researc partners across te continent. Tis worksop provided a fruitful platform to discuss early drafts of te capters in tis book, as well as collectively sape ideas for a future agenda of researc excellence tat includes te realities of te Global Sout. Te meeting notably included several panels wit invited researcers and funders operating across Africa, wic infused our discussions wit new perspectives and debates tat significantly informed te capters of tis volume. We wis to acknowledge te above organisations for teir leader sip, participation, support and insigt during tis event, wit special tanks to te University of Joannesburg for osting and supporting te organisation of te event particularly to te Executive Dean of te College of Business and Economics, Prof. Daneel van Lill, as well as AAS for coordinating to ave tis event take place alongside te annual DELTAS meeting in te same location. We also wis to tank te following presenters and discussants, in addition to te contributors to tis book, wo were responsible for te ric feedback and discus sions during tese tree days in July 2018: Dr Mark ClaydonSmit UKRI, Dr Robert Felstead UKRI, Allen Mukwana AAS, Dr Eunice Mutengi DFID, Dr Simon Kay Wellcome Trust, Dr Sam Kinyanjui KEMRI, Tirop Kosgei NRF, Kenya, Dr Glenda Kruss HRSC, Prof. Rasigan Maaraj Tswane University of Tecnology, Prof. Joann Mouton Stellenbosc University, Doroty Ngila NRF, Sout Africa, Dr Alponsus Neba AAS, Pfungwa Nyamukaci The Conversation Africa, Dr Gansen Pillay NRF, Sout Africa, Dr Justin Pulford LSTM and Prof. Nelson Sewankambo Makerere University. Tese efforts took place in parallel to te IDRC’s dedicated work to advance ow researc for development is defined, monitored, managed and assessed. Many of tese efforts ave materialised in te Researc Quality Plus RQ+ approac as a tool tat contextualises researc quality and researc evaluation for developing country contexts. Overall, tis book sets out to take a different approac from a standard collection of academic essays. It brings togeter people from
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a variety of settings and disciplines, and includes bot practitioners and scolars. Many of te contributions are tus reflections on practical experiences, eiter from an individual or an organisational perspec tive. Editors and organisers of te 2018 worksop in Joannesburg from wic most of te material is drawn sougt to be ‘reflexive’ in te knowledge tat is produced ere. As we seek to broaden notions of scolarsip, and argue for more pluralism, relevance and diversity, rater tan decontextualised notions of excellence, we also apply tis lens to our own work. We sougt out outstanding contributions tat bring new ideas tat are relevant to te teme, but we cose not to ‘standardise’ te style or perspective taken by participants, preferring instead to ave te contributions reflect discussions, debates and a collective searc for solutions.
References
Tijssen R and KraemerMbula E 2017 Perspectives on researc excellence in te Global Sout: Assessment, monitoring and evaluation in developing country contexts.SGCI Policy Brief No. 1, December. ttps://sgciafrica.org/enza/resources/Resources/SGCI%20Researc%20 Excellence%20Discussion%20Paper.pdf Tijssen R and KraemerMbula E 2018 Researc excellence in Africa: Policies, perceptions, and performance.Science and Public Policy453: 392–403
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CHAPTER 1
Introduction
Erika KraemerMbula, Robert Tijssen, Matthew L. Wallace and Robert McLean
Research excellence under scrutiny
Perceptions of wat constitutes ‘good science’ sape te progress of knowledge creation and knowledgebased innovation. Globally, ‘good science’ affects decisions about wat is funded, and wat is not. It dictates wo is rewarded and encouraged to pursue researc. It promotes certain disciplinary traditions, but likewise discounts and discourages oters. However, in te evercompetitive world of science and researc, ‘good’ may not be good enoug anymore. ‘Excellent’ science and associated prestige is increasingly seen as more valuable – someting one sould strive for. Not surprisingly, ‘excellence’ as become a buzzword, more popular tan te underlying core notion of ‘quality’. Tose wo are seen to be producing ‘scientific excellence’ are elevated to te igest paid jobs in te most prestigious institutions, granted greater degrees of academic leeway and expression, lauded as ‘tougt leaders’ by peers, and turned to for policy and practice insigts in te nonscientific realm. Wat gets called excellent, steers and influences te beaviour of individual researcers and teams, researc organisations and researc funders, and affects society at large. Tis would all be elpful and good if we ad a widely endorsed view, and