PERFORMANCE INDICATORS AND
INSTITUTIONAL CASE STUDIES
University of Ghana
8 May 2012
1
INTRODUCTION
This presentation draws on CHET’s recently published report Cross-National
Performance Indicators: a Case Study of Eight African Universities.
Eight universities selected for inclusion in the performance indicator project. Each is
regarded as the most prominent (or “flagship”) public university in the participating
country. They are:
University of Botswana
University of Cape Town
University of Dar es Salaam
Eduardo Mondlane University
University of Ghana
Makerere University
University of Mauritius
University of Nairobi
The final data sets collected from the universities enabled CHET to produce
descriptive and performance indicator profiles for the eight universities. The text of
each institutional profile appears on the CHET website.
2
The focus of the performance indicators produced is on what CHET has described
as the academic core of each university.
The academic core consists of the inputs available for the delivery of teaching and
research, and the research and teaching outputs which the university produces on
basis of these inputs.
The graphs and analyses which follow use the academic core data for four of the
eight universities. The main reason is that they are the largest of the five universities
who were able to give CHET data for years beyond the original cut-off date of 2007.
HERANA’s eight academic core goals, and their related targets, are identified in
various of the graphs which follow.
3
TOTAL STUDENT ENROLMENTS (1)
A head count enrolment is literally a “counting of heads”, because a registered
student = I unit regardless of her/his course load.
Ghana’s enrolment increased by 20 200 (or 132%) over the 9-year period.
Graph 1
Head count enrolments: thousands
40
35
30
15
10
34.1
27.6
28.5
23.7
21.3
21.8
21.2
15.4
15.7
15.5
32.7
31.9
25
20
35.0
18.4
15.3
12.3
35.5
33.1
23.8
14.7
5
0
2001/2
2003/4
Botswana
2005/6
Cape Town
2007/8
Makerere
2009/10
Ghana
4
TOTAL STUDENT ENROLMENTS (2)
Full-time equivalent (FTE) enrolments take account of course loads. One FTE
student = a student following a full curriculum for an academic year. So a part-time
student taking 50% of a curriculum = 0.5 FTE students.
Graph 2
FTE student enrolment totals: thousands
35
30
25.3
25
20
15.1
15
11.0
28.6
27.4
24.1
25.9
20.2
17.1
17.9
17.2
12.7
12.6
12.4
26.4
30.4
26.6
18.8
11.4
10
9.7
5
0
2001/2
Botswana
2003/4
Cape Town
2005/6
2007/8
Makerere
2009/10
Ghana
5
TOTAL STUDENT ENROLMENTS (3)
Average annual growth rates have been calculated from the enrolment totals in Graphs 1 and
2. Ghana had considerably higher growth rates than the other three universities.
Graph 3
Average annual increases in student enrolments:
2001/2 to 2009/10
16.0%
13.5%
14.0%
11.1%
12.0%
10.0%
8.0%
6.0%
4.0%
2.3%
3.3%
2.0%
2.8%
2.0%
0.5%
0.6%
0.0%
Botswana
Cape Town
Heads
Makerere
Ghana
FTE students
6
TOTAL STUDENT ENROLMENTS (4)
Science & technology includes agriculture, architecture, computer sciences, engineering,
health sciences, life and physical sciences, mathematical sciences
Business and management cover accounting, auditing, banking, public finance, investments
and securities, taxation, insurance, marketing, human resource management
Humanities and the social sciences includes the visual and performing arts, education,
languages and literature, psychology, philosophy, social services, sociology, political studies,
history
Graph 4 on the next slide shows that Ghana has been a predominantly humanities
and social sciences university. In 2001/2 7500 students (62% of the total) and in
2009/10 20700 (64% of all students) were registered for programmes in these fields.
Enrolments in science & technology programmes rose from 2900 (or 19% of the total)
in 2001/2 to 9400 (26%) of the total in 2009/10.
Ghana’s proportion of science and technology students was in 2009/10 well below
those of Cape Town (41%) and Makerere (40%). Makerere had changed its
proportion of humanities and social sciences from 65% in 2001/2 to 50% in 2009/10.
HERANA’s target is: 40% of student enrolments to be in science and technology
programmes.
7
Graph 4
Head count enrolments by major fields of study
[Target = 40% enrolments in science & technology]
120%
100%
80%
33%
51%
52%
60%
40%
20%
65%
26%
27%
22%
41%
21%
Botswana Cape Town Cape Town
2009/102
2001/2
2009/10
Science & technology
Business & management
62%
64%
16%
10%
22%
26%
Ghana
2001/2
Ghana
2009/10
10%
19%
40%
16%
0%
Botswana
2001/2
50%
27%
41%
22%
37%
Makerere
2001/2
Makerere
2009/10
Humanities and social sciences
8
TOTAL STUDENT ENROLMENTS (5)
Masters and doctoral enrolments are central components of high level knowledge
production. Graph 5 shows what average shares masters and doctors have had of
head count enrolments.
HERANA’s target is: 15% of enrolments to be masters and doctors students.
Graph 5
Masters & doctors students as % of total head count enrolment:
averages for 2001/2 to 2009/10
[Target = 15% enrolments to be masters + doctors]
16.0%
14.4%
14.0%
11.3%
12.0%
10.0%
8.0%
6.0%
5.9%
5.8%
4.3%
4.0%
2.0%
0.2%
0.2%
0.8%
0.0%
Botswana
Cape Town
Doctorate
Makerere
Masters
Ghana
9
TOTAL STUDENT ENROLMENTS (6)
Graph 6 shows what changes occurred in head count doctoral enrolments between
2001/2 and 2009/10. Ghana’s doctoral student enrolment grew from 92 in 2001/2 to
249 in 2009/10.
Graph 6
Head count doctoral enrolments
1200
1058
1002
970
1000
800
706
783
600
400
200
249
61
10 16 32 51
92 102 110 120
31 41 54 32
0
Botswana
Cape Town
2001/2
2003/4
Makerere
2005/6
2007/8
Ghana
2009/10
10
GRADUATES (1)
Graph 7 is a productivity indicator. It shows what the annual totals of graduates
were during 2001/2 to 2009/10. Ghana’s total increased from 2900 in 2001/2 to
7200 in 2009/10.
Graph 7
Total graduates produced: thousands
14.0
12.0
10.2
10.0
9.7
8.0
6.0
4.0
2.0
11.5
8.0
4.6
4.1
3.3
2.9
3.7
5.1
6.1
5.4
6.4
5.4
7.2
5.9
3.5
3.2
2.9
3.3
0.0
2001/2
Botswana
2003/4
Cape Town
2005/6
Makerere
2007/8
2009/10
Ghana
11
GRADUATES (2)
Graph 8 is an efficiency indicator. It compares average annual increases in head
count enrolments and in total graduates.
HERANA’s target is: average annual increases in graduates should exceed
average annual increases in enrolments
Graph 8
Comparisons of average annual growth rates in head count
enrolments and graduates: 2001/2 to 2009/10
14.0%
12.1%
12.0%
11.1%
12.2%
10.0%
8.0%
6.0%
4.0%
4.6%
2.3%
3.3%
2.0%
0.5%
0.0%
-2.0%
Botswana -1.8%
Cape Town
Makerere
Ghana
-4.0%
Head count enrolments
Graduates
12
GRADUATES (3)
Graph 9 is a further efficiency indicator. It sets out standard measures of graduate
output efficiency used in the South African higher education system.
These indicators are based on the ratios between graduate qualifiers in any given
year and undergraduate student enrolments in that same year. These ratios are
converted into cohort output equivalents which indicate what proportions of groups
of undergraduate students entering a university for the first time can be expected
to finally complete their qualifications and graduate.
For example, a cohort output equivalent of 60% indicates that only 60 of every
100 undergraduate students entering a programme of studies for the first time are
likely to complete their qualifications. The remaining 40 students would drop out
without completing their qualifications.
HERANA’s target is: a cohort output equivalent of 75% in each broad field
of studies.
13
Graph 9
Undergraduate cohort output estimates for 2001/2 to 2009/10
[Target = 75% in each field]
90%
70%
76%
75%
80%
67%
65%
68%
78%
75%
73% 72%
68%
65%
60%
60%
60% 60%
60%
46%
50%
40%
30%
20%
10%
0%
Botswana
Cape Town
Science & technology
Humanities and social sciences
Makerere
Ghana
Business & management
All undergraduates
14
ACADEMIC STAFF (1)
Academic staff are employees who spend at least 50% of their official time on duty
on instruction and/or research activities.
A permanent staff member is an employee who either contributes to an institutional
retirement fund or is employed on at least a three year contract.
A full-time equivalent (FTE) staff member is an employee who is paid on a full-time
basis for 12 months. So an academic who is paid full-time for 4 months = 0.33 FTE
employees, and one who is paid 50% for 12 months = 0.5 FTE employees.
Graph 10 on the next slide gives the totals of permanent academics employed by the
four universities during the period 2001/2 to 2009/10.
15
ACADEMIC STAFF (2)
Graph 10
Permanent academic staff
1400
1190 1182
1200
1000
800
1024
965
694
772 791
762
947
829
767
646
600
400
200
0
Botswana
Cape Town
2001/2
Makerere
2005/6
Ghana
2009/10
16
ACADEMIC STAFF (3)
FTE academic staff totals are better measures than permanent staff of the resources
which a university has available for teaching and research. Calculating FTE staff
totals has been a problem for most universities on the HERANA project. The data
below suggest that Ghana makes little use of part-time or temporary academics.
Graph 11
Ratios of FTE academic staff to permanent academic staff
200%
180%
160%
140%
120%
100%
80%
60%
40%
20%
0%
177%
172%
155%
123%
134% 139%
100% 101% 105%
100% 100% 100%
Botswana
Cape Town
2001/2
2005/6
Makerere
Ghana
2009/10
17
ACADEMIC STAFF (4)
Graph 12 on the next slide uses the FTE academic staff data provided by the four
universities to calculate FTE student to FTE academic staff totals within the
three broad fields of (a) science and technology, (b) business and
management, and (c) humanities and social sciences.
These ratios indicate what staffing resources each university has been able to
allocate to the teaching of students within these fields of study.
HERANA’s targets are:
(1) science and technology programmes: a maximum ratio of 16 FTE
students per FTE academic staff member
(2) business & management programmes: a maximum ratio of 30 FTE
students per FTE academic staff member
(3) humanities & social sciences programmes: a maximum ratio of 24 FTE
students per FTE academic staff member
18
Graph 12
Average FTE student to FTE academic staff ratios during
period 2001/2 to 2009/10
[Targets: science & tech = max 16, bus & man = max 30, hum & soc sc = max 24]
100
90
80
70
60
50
40
30
20
10
0
94
55
50
36
30
18
10
15
Botswana
13
12
14
Cape Town
SET
BUS
HUM
19
22
16
9
6
Makerere
Ghana
U/grad average
19
ACADEMIC STAFF (5)
A well-qualified academic staff is essential for the delivery of a university’s
teaching and research mandates. Academics with doctoral degrees are the
major producers of research outputs and the main supervisors of doctoral
students. Furthermore quality teaching at university level requires permanent
academic staff to hold at least a masters degree.
HERANA’s targets for a permanent academic staff profile are:
(1)
at least 50% with doctoral degrees
(2)
at least 90% with either a doctoral or a masters degree as their
highest formal qualification
(3)
at most 10% with neither a masters nor a doctoral degree
20
Graph 13
Highest qualifications of permanent academic staff: averages
for 2006/7 to 2009/10
[Targets: doctoral degree at least 50%; masters + doctors at least 90%
70%
60%
50%
58%
51%
52%
49%
52%
40%
40%
30%
31%
30%
20%
10%
0%
Botswana
Cape Town
Doctorate
Makerere
Ghana
Masters
21
RESEARCH OUTPUTS (1)
High level knowledge outputs are critical if a country is to participate in the global
knowledge economy. CHET has followed international bodies such as the OECD
in taking research publications and doctoral graduates to be the key outputs in this
category.
Research publications consist mainly of articles which appear in journals which
have editorial boards of experts in a field and which employ “blind” review
procedures.
Graphs 14 and 15 contain productivity indicators. They set out each university’s
numbers of doctoral graduates and research publications. No productivity targets
have been set by HERANA, but the graphs do show that output totals at three of
the four universities have been low.
Ghana produced a total of 17 doctoral graduates in 2009/10, compared to Cape
Town’s total of 178 in that year. Ghana produced 101 research publications in
2009/10, and Cape Town a total of 1085.
22
Graph 14
Doctoral graduates
200
180
160
140
120
100
80
60
40
20
0
182
178
142
103
86
55
4
6
6
3
12 16 18
6
Botswana
Cape Town
2001/2
2003/4
30
8
Makerere
2005/6
2007/8
9
20
11 17
Ghana
2009/10
23
Graph 15
Research publication totals
1200
1014
893
1000
800
1085
700
564
600
400
200
233
78 72 85 120
73 107 118
66 71 68 101
0
Botswana
2001/2
Cape Town
2003/4
2005/6
Makerere
2007/8
Ghana
2009/10
24
RESEARCH OUTPUTS (2)
Graph 16 contains research output efficiency indicators, which measure the
performance of the academic staff of each university.
HERANA’s targets for the output performance of permanent academics are:
(1)
(2)
0.15 for doctoral graduates
0.50 for research publications
A ratio of 0.15 doctoral graduates per permanent academic implies that each
academic should produce on average 1 doctoral graduate every 7 years.
A ratio of 0.50 for research publications implies that permanent academic staff
should publish one research paper every two years.
25
Graph 16
Ratios of high level research outputs to permanent academics:
averages for 2000/1 to 2007/8
[Target ratios per permanent academic: doctoral graduates 0.15, research publications 0.50]
1.20
1.14
1.00
0.80
0.60
0.40
0.20
0.12
0.15
0.11
0.02
0.01
0.09
0.02
0.00
Botswana
Cape Town
Doctoral graduates
Makerere
Ghana
Research publications
26
FUNDING (1)
Graph 17 shows what the main sources have been of the income of the four
universities over the seven year period 2000/1 to 2006/7. The categories used are
these:
• government funds which include all subsidy amounts plus earmarked funds for
special purposes;
• student fees which include tuition and all class fees, as well as accommodation
or residence fees;
• private income which includes donations, non-government grants, investment
income, and income from non-government research contracts.
27
Graph 17
Sources of income: averages for 2001/2 to 2007/8
80%
72%
70%
60%
60%
49% 51%
50%
40%
27%
24%
30%
20%
40%
36%
18%
13%
10%
10%
0%
0%
Botswana
Cape Town
Government
Makerere
Student fees
Ghana
Private
28
FUNDING (2)
Graph 18 gives a summary of the total income of the four university in 2007, in terms
of US dollars. Two different figures are used:
(1) Market rate dollars which convert total income in local currency into US$,
using average exchange rates quoted by the central banking authorities of each
country.
(2) Purchasing power parity dollars which rely on indicators in the World Bank’s
2008 World Development Indicators. These indicators give for each country a
ratio between the PPP conversion factor and the market exchange rate.
Graph 19 uses the totals in Graph 18 and the FTE enrolled student totals in Graph 2
to show what each university’s income per FTE student was in 2007.
29
Graph 18
Total income in 2007 in market related and purchasing power
parity dollars: millions
600
567
500
364
400
300
182
200
146
105
100
57
49
58
0
Botswana
Cape Town
Market
Makerere
Ghana
PPP$
30
Graph 19
Total income in 2007 per FTE students in market related and
purchasing power parity dollars: thousands
35.0
33.0
30.0
25.0
20.6
20.0
15.0
9.7
10.0
5.0
3.9
2.3
4.4
3.4
5.7
0.0
Botswana
Cape Town
Market
Makerere
Ghana
PPP$
31
FUNDING (3)
The delivery of high level research products depends on a university having a
well-qualified and well-funded academic staff. One input measure of the ability of
a university to deliver research outputs is the amount of research funding it has
available per permanent academic staff member.
Graph 20 compares the funds available to the four universities in 2007 in terms of
purchasing power parity dollars per academic. The research funding data of three
of the universities was obtained at the time at which their student and staff data
were collected.
Ghana did not provide specific information on research funding. In the graph
which follows, it is assumed that their research income equals 3% of their total
income. This proportion has still be confirmed by the university.
HERANA’s target (which requires further analyses when better quality
information is available): PPP$20 000 per permanent academic
32
Graph 20
Research income per permanent academic in market related
and purchasing power parity dollars: thousands
[Target = PPP$ 20 000 per permanent academic]
60.0
47.7
50.0
40.0
30.0
20.0
10.0
2.0
4.1
3.4
Makerere
Ghana
0.0
Botswana
Cape Town
33
CONCLUSION
CHET stresses in Cross-National Performance Indicators: a Case Study of Eight
African Universities that an essential ingredient of any performance measurement
system is a conceptually consistent and common set of data from which
quantitative indicators can be extracted.
During HERANA 2 major co-operative efforts will be made with the eight
participating universities (a) to rectify data problems referred to in this report, and
(b) to broaden the scope of the performance indicators to be used in academic
core analyses. These will include:
(1) preparing manuals on the definitions and applications of the data elements
required for performance measurements and institutional planning;
(2) working with together on the practical application of the data concepts in
institutional contexts;
(3) analysing data and preparing institutional case studies for planning purposes.
34
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