centre for high resolution transmission electron microscopy 2... · · 2017-11-15centre for high...

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MID-TERM EVALUATION

CHRTEM Director: Prof Jan Neethling June 2016

CENTRE FOR HIGH RESOLUTION TRANSMISSION ELECTRON MICROSCOPY

Self-evaluation Report: October 2011 – April 2016

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Summary

The Centre for High Resolution Transmission Electron Microscopy (CHRTEM) is a facility for advanced electron microscopy situated at the Nelson Mandela Metropolitan University (NMMU) in Port Elizabeth, South Africa. The main aim of the CHRTEM is to provide a broad community of South African scientists and students with a full range of state-of-the-art instruments and expertise for materials and nanoscience research.

The urgent need for an HRTEM facility in South Africa had already been voiced in 1984 by an eleven-member committee of prominent SA scientists from the South African Institute of Physics and the Microscopy Society of Southern Africa, who were tasked by government to investigate the need for a Multi-user Advanced Electron Microscope Facility. Since the establishment of the CHRTEM in 2011, cutting edge research results has already been obtained by using the new electron microscopes at the Centre. It is widely acknowledged that the research carried out is of strategic importance to South African industries, universities and science councils. The CHRTEM has established itself as a leading international research facility with publications in high impact factor journals, successful local and international collaborations, and widespread recognition for the high quality of research outputs generated. The JEOL JEM-ARM200F at the CHRTEM is the only aberration (Cs) corrected analytical atomic resolution TEM in the country and on the African continent.

Selected research highlights include the discovery of the silver transport mechanism in the SiC layer of TRISO coated nuclear particles (this solves a 40-year old mystery of great importance), the discovery of the phase of a silver-platinum alloy (has been under investigation for more than 100 years), HRSTEM and EELS investigation of graphene (led to a joint paper with Oxford University in Nature Communications), the atomic structure of {001} platelet defects in natural diamond (has been under investigation for more than 70 years), early stage spinodal decomposition in a Fe-36Cr steel (joint paper with KTH Royal Institute of Technology in Stockholm), degradation of polycrystalline diamond compounds used in drill bits for oil and gas drilling (collaboration with Element Six) and hydrogen reduction of silica-promoted iron oxide particles using an in situ gas flow TEM specimen holder (Sasol sponsored PhD project).

An important human capital development achievement has been the training of a number of young electron microscopists who have mastered the advanced electron microscopy techniques and are able to apply it successfully to materials research. These techniques include electron backscatter diffraction (EBSD) and transmission Kikuchi diffraction (TKD) in the scanning electron microscope (SEM), Cs- corrected transmission (and scanning transmission) electron microscopy (TEM and STEM), atomic resolution imaging, electron energy loss spectroscopy (EELS), energy dispersive X-ray spectrometry (EDS) and electron tomography. Data processing includes HRTEM and HRSTEM image simulation, strain mapping of HR(S)TEM images, EBSD analysis, 3D reconstruction of FIB sections and simulation of phase transformations in metallic systems. On the electron microscope side, a high level of competency in the aligning and optimisation of the Cs-corrected HRTEM, FIB SEM and FEG SEM has been attained. The young HRTEM scientists trained are now employed at the Centre for HRTEM and they are mainly responsible for training the next generation of electron microscopists for South Africa. The challenges experienced in training students from other universities to master advanced electron microscopy theory and materials characterisation are discussed and a specialised training intervention is proposed.

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The Centre has initiated the establishment of JEOL and FEI TEM user groups in South Africa. Within South Africa numerous TEMs are in operation at different research sites. These instruments represent a significant capital investment and it is important to ensure proper utilisation of the instruments. As part of this initiative, Centre staff visits EM units across the country to train EM users at their own institutions. A total of 14 staff and students at the CSIR in Pretoria received training; and one scientist from the University of Cape Town and three from the University of Pretoria were trained.

The industry training interventions are of great importance to South Africa since Sasol and Eskom are two of the major industries in the country. In the case of Sasol, the CHRTEM is involved in on-going training and collaboration with five Sasol scientists and a PhD student. In the case of Eskom, the major energy producer in the country, the CHRTEM now plays an important role in the research and training activities of the Materials Science Specialisation Centre of the Eskom Power Plant Engineering Institute (EPPEI). Most MSc and PhD studies include detailed microstructural characterisation of several ferritic steels and stainless steels in the assessment of creep, stress corrosion cracking, oxidation behaviour and quantification of precipitates, grain structure and dislocations in the steels. More than six students employed by Eskom have been trained and the IP generated is ready to be used in the development of material properties and remaining life prediction models for Eskom coal fired power plants.

The CHRTEM is regularly involved in public engagement activities by way of school visits to the Centre, media articles, and invited public and conference/workshop talks. The Centre also has a well-established presence in the national and international microscopy community. Over the past 5 years, the Centre has leveraged its connections to facilitate national and international collaboration and capacity development through the organisation of schools, workshops and symposiums.

Although a fair amount of the Centre’s operating costs are recovered, it is not enough to grow the Centre and to provide for future maintenance contracts. The current funding of the Centre is not sustainable because the majority of academics and postgraduate students who make use of the Centre have limited research funds. This is mainly due to SA’s current low economic growth which impacts negatively on the capacity of government and industry to support academic and industrial research. In order to grow the Centre and ensure long term financial sustainability, it is proposed that the Centre should evolve into a National Facility for Advanced Electron Microscopy with a cost recovery model and charge-out-rates based on the internationally accepted models used in the UK and EU. This model would create free access for postgraduate students in the RSA to the CHRTEM facilities.

The retention of the highly skilled electron microscope scientists and the microscope engineer (all with PhDs) is an essential strategy for the long term sustainability of the CHRTEM. These scientists were all trained and developed at NMMU (and abroad) over a period of about 9 years. It is therefore important to create a career track for the highly skilled electron microscope scientists and other skilled staff in the Centre so that this strategic national asset can be retained and developed further.

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Table of Contents

1. Background ..................................................................................................................................... 9

1.1. About the CHRTEM ................................................................................................................. 9

1.1. Staff ....................................................................................................................................... 11

1.2. Establishment ........................................................................................................................ 12

1.3. Contribution to national imperatives ................................................................................... 14

1.4. Governance and management ............................................................................................. 15

1.5. Mid-term review and self-evaluation report ........................................................................ 17

2. Performance and Impact .............................................................................................................. 18

2.1. Summary of performance (October 2011 to April 2016) ...................................................... 18

2.2. Access and usage .................................................................................................................. 21

2.2.1. Institutions and collaborators accessing the CHRTEM ................................................. 21

2.2.2. Hours on equipment ..................................................................................................... 24

2.2.3. Service definition .......................................................................................................... 26

2.2.4. Access strategy .............................................................................................................. 26

2.2.5. Impact of CHRTEM on research infrastructure ............................................................. 26

2.3. Research ................................................................................................................................ 29

2.3.1. Outputs ......................................................................................................................... 29

2.3.2. Conference and seminar participation ......................................................................... 31

2.3.3. Research focus and collaborations ............................................................................... 31

2.3.4. Impact of CHRTEM on IP and knowledge generation ................................................... 31

2.4. Human capital development ................................................................................................. 39

2.4.1. Curriculum development .............................................................................................. 40

2.4.2. Training ......................................................................................................................... 40

2.4.3. Career development ..................................................................................................... 49

2.4.4. Impact of CHRTEM on human capital development ..................................................... 50

2.5. Outreach ............................................................................................................................... 53

2.5.1. Workshops and symposia ............................................................................................. 53

2.5.2. Media engagement ....................................................................................................... 54

2.5.3. Marketing and outreach strategy ................................................................................. 54

2.5.4. Impact of CHRTEM on science engagement ................................................................. 55

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2.6. Intellectual property (IP) and data management ................................................................. 57

2.6.1. Data integrity and management strategy ..................................................................... 57

2.6.2. IP strategy for persons accessing the centre ................................................................ 57

2.7. Operations and sustainability ............................................................................................... 58

2.7.1. Human capital ............................................................................................................... 58

2.7.2. Governance and management...................................................................................... 59

2.7.3. Finances ........................................................................................................................ 61

3. Addressing Challenges .................................................................................................................. 67

3.1. Facilities................................................................................................................................. 67

3.2. Human capital ....................................................................................................................... 67

3.2.1. Envisaged training interventions and researcher development plans ......................... 67

3.2.2. Additional microscope scientists .................................................................................. 68

3.2.3. Staff retention ............................................................................................................... 68

3.2.4. Revision of CHRTEM staff salaries ................................................................................. 69

3.2.5. Scientific leadership development for succession planning ......................................... 69

3.3. Finance .................................................................................................................................. 72

3.3.1. Projected financial requirements (next 5 years) ........................................................... 72

3.3.2. Cost-recovery model ..................................................................................................... 77

3.4. Long-term Strategy ............................................................................................................... 80

3.4.1. Strategy to evolve into a National Facility/Centre of Excellence .................................. 80

3.4.2. New research and collaboration initiatives .................................................................. 81

Our Sponsors

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List of Figures

Figure 1: CHRTEM facilities. .................................................................................................................. 10 Figure 2: Dr Phil Mjwara, Director General of the DST. At an Executive Committee meeting of the DST held on 27 August 2009, Prof Neethling had to present the case for the establishment of the CHRTEM. The committee was chaired by Dr Mjwara who supported the initiative. ........................... 12 Figure 3: CHRTEM finally approved at the NRF in Pretoria. Front: Prof Mohammed Jeenah (NMMU), Ms Rakeshnie Ramoutar (NRF), Ms Ntombi Ditlopo (NRF), Dr Isabel van Rooyen (PBMR), Dr Kobus Herbst, Dr Romilla Maharaj (NRF), and Prof Jan Neethling (NMMU). Back: Dr Albert van Jaarsveld (NRF), Dr Suprakas Sinha Ray (CSIR), Dr Richard Botkin (Element 6), Dr Daniel Adams (DST), Dr Robert Tshikhudo (Mintek), Dr Ettienne Snyders (Necsa), Dr Bruce Anderson (Sasol), and Dr Jorg Lalk (PBMR). ................................................................................................................................................. 13 Figure 4: The CHRTEM was officially opened on Tuesday 11 October 2011 by Minister Blade Nzimande of the DHET. ......................................................................................................................... 13 Figure 5: CHRTEM governance and management structure. ............................................................... 16 Figure 6: Students supported per instrument per stage. ..................................................................... 22 Figure 7: Capacity usage of instruments per stage. Performance targets are indicated to the right. 100% capacity refers to 7 hours per day for a total of 200 days per year. The 200 days of operation p.a. allow for estimated downtime and maintenance. ........................................................................ 25 Figure 8: Number of article contributions per instrument (October 2011 – April 2016). .................... 29 Figure 9: Students trained per instrument per stage. .......................................................................... 45 Figure 10: Demographics of students trained per stage. ..................................................................... 46 Figure 11: Students enrolled per stage. These numbers include all students who were supervised and/or co-supervised by CHRTEM staff members. ............................................................................... 47 Figure 12: Dr Innocent Shuro (right) with Dr Johan Westraadt from the CHRTEM at the JEOL 2100 TEM. Dr Shuro spent a week at the CHRTEM to receive training. Dr Shuro is the Chief Scientific Officer at the Centre for Imaging and Analysis at the University of Cape Town. ................................. 52

List of Tables

Table 1: Summary of performance deliverables for the first 5 years of operation of the CHRTEM (October 2011 to April 2016) ................................................................................................................ 18 Table 2: Summary of performance deliverables relating to access and usage (October 2011 to April 2016) ..................................................................................................................................................... 21 Table 3: Summary of institutional support and training. ...................................................................... 22 Table 4: Breakdown of Productive Hours: Stage 1 (1 Oct 2011 - 30 Sept 2013) .................................. 24 Table 5: Breakdown of Productive Hours: Stage 2 (1 Oct 2013 - 30 April 2016) .................................. 24

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Table 6: Summary of performance deliverables relating to research outputs (October 2011 to April 2016) ..................................................................................................................................................... 29 Table 7: Articles per journal (Oct 2011 – April 2016)............................................................................ 30 Table 8: Summary of performance deliverables relating to human capital development (October 2011 to April 2016) ........................................................................................................................................ 39 Table 9: Industry members, emerging researchers and operators trained on the FIBSEM, ARM or feeder-TEM per stage. .......................................................................................................................... 41 Table 10: Industry training interventions. ............................................................................................ 42 Table 11: Training workshops and schools organised or hosted by the CHRTEM. ............................... 42 Table 12: A lists of operators who have received training as part of the JEOL/FEI TEM user group. ... 43 Table 13: Training of CHRTEM staff. ..................................................................................................... 44 Table 14: Breakdown of student training – Stage 1. ............................................................................. 46 Table 15: Breakdown of student training – Stage 2. ............................................................................. 46 Table 16: CHRTEM Students: Oct 2011 – April 2016. This list includes students registered at NMMU as well as students registered at other institutions who were/are co-supervised by CHRTEM staff. . 47 Table 17: Postgraduate student enrolment and throughput (Stage 1: October 2011 to September 2013) ..................................................................................................................................................... 48 Table 18: Postgraduate student enrolment and throughput (Stage 2: October 2013 to April 2016) .. 48 Table 19: Summary of performance deliverables relating to outreach (October 2011 to April 2016) . 53 Table 20: Summary of performance deliverables relating to IP and data management (October 2011 to April 2016) ........................................................................................................................................ 57 Table 21: Summary of performance deliverables relating to operations and sustainability (October 2011 to April 2016) ............................................................................................................................... 58 Table 22: Income received .................................................................................................................... 62 Table 23: Costing table (June 2016) ...................................................................................................... 62 Table 24: Total income received for the period 2011 to 2015 ............................................................. 63 Table 25: Expenditure over the period 2011-2015, comparing the budget as per the Governance Document against actual funds spent. ................................................................................................. 64 Table 26: Expenditure over the period 2013-2015 comparing the Budget requested annually to the NRF with the actual expenses. .............................................................................................................. 65 Table 27: Operating costs of the second five years of the CHRTEM (DST contribution) ...................... 72 Table 28: Operating costs of the second five years of the CHRTEM (NMMU/ other contributions) ... 73 Table 29: Revised budget based on 80% cost recovery of maintenance contracts, two additional TEM operators and salary increases of 3 HRTEM specialists (DST contribution). ........................................ 74 Table 30: Operating expenses for according to the original Governance and Management Plan of the CHRTEM (includes projected total contributions by DST and NMMU). ............................................... 76 Table 31: Example of a cost recovery model for a Small Research Facility in the UK .......................... 79

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List of Abbreviations AB Advisory Board ALS Analytical Laboratory Solutions ARM Atomic Resolution Microscope CHRTEM Centre for High Resolution Transmission Electron Microscopy CoE Centre of Excellence Cs Spherical aberration DHET Department of Higher Education and Training DST Department of Science and Technology EBSD Electron Backscattered Diffraction EDS Energy Dispersive Spectrometry EELS Electron Energy Loss Spectroscopy EFTEM Energy Filtered Transmission Electron Microscopy EM Electron Microscopy EMU Electron Microscopy Unit FIBSEM Focused Ion Beam Scanning Electron Microscope Gatan Name of USA company supplying EM related equipment HRTEM High Resolution Transmission Electron Microscope MSSA Microscopy Society of Southern Africa Necsa Nuclear Energy Corporation of South Africa NMMU Nelson Mandela Metropolitan University NNEP/NEP National Nanotech Equipment Programme/National Equipment Programme NPEP Nanotechnology Public Engagement Programme NRF National Research Foundation NRF National Research Foundation PIPS Precision Ion Polishing System R&D Research and Development SAASTA South African Agency for Science and Technology Advancement SEM Scanning Electron Microscope SER Self-evaluation Report STEM Scanning Transmission Electron Microscopy TEM Transmission Electron Microscope THRIP Technology for Human Resources Industrial programme TKD Transmission Kikuchi diffraction UFS University of the Free State UJ University of Johannesburg UK United Kingdom UWC University of the Western Cape WDS Wavelength Dispersive Spectroscopy

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1. Background

1.1. About the CHRTEM

The Centre for High Resolution Transmission Electron Microscopy (CHRTEM) is a facility for advanced

electron microscopy situated at the Nelson Mandela Metropolitan University (NMMU) in Port Elizabeth,

South Africa. The main aim of the CHRTEM is to provide a broad community of South African scientists and

students with a full range of state-of-the-art instruments and expertise for materials research. The core

services provided by the Centre include:

• Postgraduate and postdoctoral support and training: Postgraduate and postdoctoral positions are

available at the CHRTEM. The Centre also provides advanced microscopy support and training to

postgraduate students and researchers from a wide range of disciplines that do not have the

required facilities at their host institutions.

• Operator training: In addition to training postgraduate students, the Centre also provides training

to microscope operators at electron microscope facilities across the country.

• Consultancy: The Centre provides consultancy and microscopy services to industry, R&D

institutions and academic institutions.

• Sample preparation: The Centre provides sample preparation services in instances where the

requested techniques are not available at the host institution.

The CHRTEM houses four state-of-the-art electron microscopes (Figure 1) including the only double

aberration (Cs) corrected transmission electron microscope (TEM) on the African continent. Other

instruments include a fully analytical TEM, a focused ion beam scanning electron microscope (FIB-SEM), an

analytical high resolution SEM, a nano-indentor and an atomic force microscope. The Centre also houses

the enabling infrastructure for sample preparation and data processing. For more information on the

CHRTEM facilities see Appendix 1.

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JEOL ARM200F double Cs corrected TEM

JEOL 7001F SEM

JEOL 2100 LaB6 TEM

Helios NanoLab 650 FIB-SEM

Figure 1: CHRTEM facilities.

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1.1. Staff

HRTEM/TEM SPECIMEN ASSISTANT

Mr N Mfuma

TEM/SEM SPECIMEN ASSISTANT Ms C Blom

FEG SEM SCIENTIST

Mr WE Goosen

MICROSCOPE ENGINEER

Dr JH O’Connell

DIRECTOR Prof JH Neethling

FEEDER TEM SCIENTIST

Dr A Janse van Vuuren

FIB-SEM SCIENTIST

Mr E Minnaar

HRTEM SCIENTIST

Dr JE Olivier

SENIOR RESEARCH FELLOW

Dr JE Westraadt

MANAGER Prof ME Lee

PROJECT COORDINATOR Ms L Westraadt

ADMIN/FINANCE OFFICER

Ms M Kolver

MSc NANOSCIENCE NODE ADMIN

Ms N Agherdien

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1.2. Establishment

The urgent need for an HRTEM facility in South Africa had already been voiced in 1984 by an eleven-

member committee of prominent SA scientists from the South African Institute of Physics and the

Microscopy Society of Southern Africa, who were tasked by government to investigate the need for a

Multi-user Advanced Electron Microscope Facility. The committee warned (in 1984) that South Africa had a

serious shortage of scientists skilled in the use of modern TEM and in the interpretation of TEM results. It

was concluded that unless this problem was rectified, technological and academic developments in South

Africa would be significantly hampered. The committee also reported that South Africa was lagging behind

developing countries such as India and China in the application of advanced TEM techniques to solve

microstructural problems in a wide range of materials. The committee suggested that the rapid progress

made in materials characterisation in India and China was due to the fact that these countries had invested

in TEM equipment and the training of enough young scientists in modern electron microscopy techniques.

At the HRTEM consultative workshop hosted by the NRF and the DST in

2008 in Cape Town, participants comprising academics, industry

stakeholders (including Sasol, Element Six and PBMR company) and

international experts unanimously supported Prof Jan Neethling from

NMMU to lead the proposed South African Centre for HRTEM. The goal to

establish an advanced electron microscopy facility in South Africa was

finally realized in 2008 when funding of R120 million (instruments - R90

million, new building - R 30 million) was finally secured for the CHRTEM. The

official opening of the Centre took place on 11 October 2011.

Since 2011, cutting edge research results have been obtained on the new

electron microscopes at the CHRTEM. The wide range of materials that are

being investigated include ceramics used in fission reactors, nanoparticle

catalysts, nanophosphors, semiconductor quantum wells, polycrystalline

diamond products, natural diamond, metal alloys, nuclear grade graphite,

oxide dispersion strengthened ferritic steels, graphene and platinum alloys.

The CHRTEM has now established itself as a leading international research

facility with publications in high impact factor journals, successful local and international collaborations,

and widespread local and international recognition for the high quality of research outputs generated.

Figure 2: Dr Phil Mjwara, Director

General of the DST. At an

Executive Committee meeting of

the DST held on 27 August 2009,

Prof Neethling had to present the

case for the establishment of the

CHRTEM. The committee was

chaired by Dr Mjwara who

supported the initiative.

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“It has catapulted NMMU to the forefront of global nano-science research and will provide South Africa with cutting-

edge capability in national priorities like clean water, energy, minerals’ beneficiation and manufacturing.”

Minister Blade Nzimande

Department of Higher Education and Training

Figure 4: The CHRTEM was officially opened on Tuesday 11 October 2011 by Minister Blade Nzimande of the DHET.

Figure 3: CHRTEM finally approved at the NRF in Pretoria. Front: Prof Mohammed Jeenah (NMMU), Ms Rakeshnie

Ramoutar (NRF), Ms Ntombi Ditlopo (NRF), Dr Isabel van Rooyen (PBMR), Dr Kobus Herbst, Dr Romilla Maharaj (NRF),

and Prof Jan Neethling (NMMU). Back: Dr Albert van Jaarsveld (NRF), Dr Suprakas Sinha Ray (CSIR), Dr Richard Botkin

(Element 6), Dr Daniel Adams (DST), Dr Robert Tshikhudo (Mintek), Dr Ettienne Snyders (Necsa), Dr Bruce Anderson

(Sasol), and Dr Jorg Lalk (PBMR).

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1.3. Contribution to national imperatives

The activities at the CHRTEM are well aligned with the following national strategies:

i. The National Research and Development Strategy which supports value-adding activities to South

Africa’s natural resources. Projects related thereto include Pt beneficiation (for Lonmin), and

advanced alloy research which focuses on South African minerals, such as PtAg, Ti-6Al-4V and

zirconium alloys.

ii. The DST Ten Year Plan on Innovation aims for the transformation towards a knowledge-based

economy in South Africa. The Centre is already making significant contributions in areas identified

as grand challenges, such as:

a. Energy security – by carrying out research on nano-crystalline accident tolerant fuel

cladding materials for water cooled nuclear reactors (PWRs); research on stress corrosion

cracking in nuclear reactor (Koeberg) stainless steel; characterization of materials that are

exposed to stress conditions in coal fired power plants; nano-particle catalyst research to

advance the coal-to-liquids technology; research on PGM catalysts for hydrogen fuel cells;

quantum dot solar cells based on GaSb imbedded in GaAs and research on the nuclear fuel

particles for Generation IV high temperature gas cooled small modular nuclear reactors.

The local industries involved are Sasol and Eskom and other collaborators include

institutions in SA and abroad.

b. Bio-economy – by assisting biochemistry, microbiology and pharmacy students and staff

with electron microscopy investigations to promote the farmer-to-pharma value chain

aimed at strengthening the bio-economy.

iii. The National Nanotechnology Strategy in which key objectives include the support of long-term

nanoscience research that will lead to a fundamental understanding of the design, synthesis,

characterisation, modeling and fabrication of nano-materials and the development of human

resources. The Centre is already contributing significantly to the achievement of the following

goals of the National Nanotechnology Strategy:

a. Nanomaterials with applications in aerospace and automotive industries, nuclear energy

and sensor technologies;

b. Nanoscale analyses used in the research and development of chemical processing,

nanoparticle catalysts, beneficiation of minerals and metals and the development of

advanced materials and manufacturing.

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The JEOL JEM-ARM200F is the only aberration corrected analytical atomic resolution TEM in the country

and on the African continent. With this HRTEM atomic columns in a specimen can be imaged and analysed.

The ARM is also fitted with the most advanced EELS and EDS analytical systems in the world and hence the

ARM with all its analytical attachments and imaging devices represents the current state-of-the-art. The

other three complementary electron microscopes, JEOL 2100 feeder TEM, FEI Helios FIB-SEM and JEOL

7001 SEM provide, together with the ARM, a world-class materials, nanomaterials and biomaterials

research facility. The research that has been carried out since the establishment of the CHRTEM in 2011 is

of crucial and strategic importance to South African industries, universities and science councils. As a result

of this, the Nelson Mandela Metropolitan University is now internationally acknowledged for high quality

research and expertise by many scientists in the microscopy and materials science communities.

Some of the current collaborators include the DST Nanophotonics Research Chair group at NMMU, NECSA,

NMISA, Sasol, DST-NRF CoE in Strong Materials (WITS), Mintek, Joint Institute for Nuclear Research in

Dubna (Russia), Element Six (UK and RSA), Mechanical Engineering Departments at NMMU and UCT,

Eskom, Physics and Metallurgy Departments at the University of the Free State, UP and UCT, DST-NRF CoE

in Catalysis at UCT, HySA CoC at North West University, Idaho National Laboratory (US), Oxford University

(UK), Max Planck Institute (Stuttgart, Germany), Westinghouse (US), CARAT (Sweden), Kyoto University

(Japan), University of São Paulo (Brazil) and the Ohio State University (US).

The CHRTEM assists postgraduate students and academics from many universities (including HDIs) with

electron microscopy research. HDIs assisted include the University of the Western Cape, Walter Sisulu

University, Tshwane University of Technology and North West University (Mafikeng Campus).

1.4. Governance and management

The CHRTEM is an official research entity within NMMU’s Faculty of Science. The Centre is governed by a

Governance and Management Plan (see Appendix 2) agreed to and signed by the National Research

Foundation and the Department of Science and Technology; and runs within the policies of the university,

including delegation of authority and financial authority.

In accordance with the CHRTEM Governance and Management Plan, the following governance structure (

Figure 5) is in place:

• A management and operations team made up of Centre staff members focuses on the day-to-day

operations and management of the Centre.

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• A management committee. The management committee is comprised of NMMU staff members

representing the Centre, the department of research management, the department of finance,

and various academic departments from the faculties of science and engineering that make use of

the Centre. The committee meets quarterly, and is responsible for the effective running of the

Centre, approval of finances and ensuring performance against set objectives.

• An advisory board committee consisting of representatives from the Centre, NMMU

management, industry, government (the DST and the NRF), users and international and local

experts meet biannually to review the management, utilisation and outputs of the Centre.

• An external proposal screening committee composed of South African experts review and make

recommendations on applications received for the use of the HRTEM and feeder TEM, and

• A user forum representing current and potential users meet annually at the Microscopy Society of

Southern Africa Conference to discuss current and future research services and support required

from the Centre.

Figure 5: CHRTEM governance and management structure.

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1.5. Mid-term review and self-evaluation report

According to the CHRTEM Governance and Management Plan (see Appendix 2), a mid-term review is to be

held after the first 5 years of operation of the Centre. The main inputs that will be used to evaluate the

performance of the Centre are:

• the Director’s Self-evaluation Report;

• Annual Progress Reports (APRs) 2011- 2016 submitted by the Director, CHRTEM;

• the Deputy Vice Chancellor’s (DVC NMMU) institutional level impact report;

• the Five-year evaluation of the Centre guided by the evaluation dimensions; and

• Site visits to the Centre by members of the evaluation panel.

This document, together with its various appendices, comprises the self-evaluation report (SER) to be

submitted by the Director of the CHRTEM as part of the mid-term evaluation. The purpose of the

evaluation is to assess:

(i) the overall performance of the CHRTEM for the period October 2011 to April 2016, against the

KPIs and deliverables agreed to in the Governance and Management Plan (see Appendix 2) of

the CHRTEM;

(ii) the medium (five years) to long-term sustainability of the CHRTEM;

(iii) the impact of the CHRTEM on research infrastructure, knowledge generation, human capital

development and science engagement; and

(iv) the scientific leadership development for succession planning.

This SER has been divided into two main parts:

1. Section 1: Performance and Impact

2. Section 2: Addressing Challenges

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2. Performance and Impact

A five-stage gate process is employed to guide the progress of the establishment and growth of the

CHRTEM. The five stages used in the stage gate model include:

• Forming (Setting the Scene) - Oct 2011 to Sept 2013;

• Storming (Bedding Down) - Oct 2013 to Sept 2015;

• Norming (Growth and Return on Investment) - Oct 2015 to Sept 2017;

• Performing (Production and Return on Investment) - Oct 2017 to Sept 2020; and

• Exiting (Winding up and Impact Assessment) - Oct 2020 to March 2021.

Key deliverables and performance indicators (KPIs) for each stage are laid out in the Governance and

Management Plan of the Centre (see Appendix 2). This SER provides feedback on progress with respect to

these deliverables for the period October 2011 to April 2016, and covers the Forming and Storming stages

of the CHRTEM:

• Stage 1: Forming (Setting the Scene) - Oct 2011 to Sept 2013;

• Stage 2: Storming (Bedding Down) - Oct 2013 to April 2016.

2.1. Summary of performance (October 2011 to April 2016)

Table 1: Summary of performance deliverables for the first 5 years of operation of the CHRTEM (October 2011 to April 2016)

KPIs and Deliverables Stage 1: Oct 2011- Sep 2013

Stage 2: Oct 2013- Apr 2016

Mid-term Total

Training Interventions Target Actual Target Actual Target Actual Succession planning (internal and external candidates with at least one from HDI)

Strategy developed

Under review

2 Internal successors identified and trained

2 2 2

Number of emerging researchers trained1 2 8 3 11 5 11* Number of industry members trained1 2 2 3 4 5 4* Number of technicians and operators trained1

1 9 2 16 3 16*

Curriculum development 2 courses Done Implement Implemented 2 Implemented Number of students trained1 by accessing CHRTEM:

10 15 13 22 23 32*

- Hons 4 2 4 4 8 6* - MSc 3 6 5 12 8 17* - PhD 3 7 4 6 7 9*

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- SA Post-doc fellows 1 1 2 1 3 2* - Non-SA Post-doc fellows 1 1 1* - Female students 20% 20% 25% 45% 25% 38%* - Black students 20% 53% 25% 73% 25% 63%* Total number of students supported2 accessing the CHRTEM:

75 111

- Hons 26 40 - MSc 20 41 - PhD 29 30 - SA Post-doc fellows 2 1 - Non-SA Post-doc fellows 4 11 - Female students 43% 46% - Black students 64% 59% Average duration of dissertations/theses: - MSc ≤ 2.5 yrs 3.7 ≤ 2.5 yrs 2.3 - PhD ≤ 3.5 yrs 4 ≤ 3.5 yrs 3.3 - PhD (MSc upgrade) ≤ 5 yrs - ≤ 5 yrs - Access and Usage Target Actual Target Actual Target Actual Number of institutions accessing CHRTEM:

- Private Sector 1 13 2 16 3 23* - Universities 3 14 5 18 8 22* - Science Councils 1 7 1 4 2 8* Hours on equipment (p.a.) 3 50%

Capacity 41% 75%

Capacity 55%

– research 1247 1405 1870 2077 – contract work 378 188 567 127 – training 420 142 630 82 – outreach 50 0 75 7 Number of collaborators accessing CHRTEM:

- National 4 12 5 15 9 16* - International 1 7 2 11 3 13* Access strategy Develop Done Review - Research Target Actual Target Actual Target Actual Number of disciplines associated with researchers accessing the CHRTEM

2 10 3 13 3 13*

Outputs Target Actual Target Actual Target Actual No. students graduating from CHRTEM: - Hons 4 2 4 4 8 6 - MSc - 3 3 3 3 6 - PhD - 2 3 3 3 5 No. internationally recognized peer reviewed publications:

5 26 8 33 13 59

- generated by CHRTEM research activities

3 8 5 14 8 22

- generated by users accessing CHRTEM 2 18 3 19 5 37 Provisional patents applications filed - - - - - - Outreach Target Actual Target Actual Target Actual No. of local workshops 1 2 2 3 3 5 No. international symposia 1 1 1 1 2 2

Media engagement Ad-hoc and ongoing

Ongoing Ad-hoc and ongoing Ongoing

Ad-hoc and ongoing

Ongoing

Schools engagement 1 2 3 14 4 16 Interactive website http://chrtem.nmmu.ac.za

Live Live, Nov 2013

Updated Ongoing Updated Ongoing

Marketing Material Printed Done Updated Ongoing Updated Ongoing Marketing and outreach strategy in partnership with SAASTA and NPEP

Approved Accepted by AB - May 2016

Roll out strategy

Ongoing

IP and Data Management Target Actual Target Actual Target Actual Data integrity and management strategy Approved Done Roll out

strategy In place

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IP strategy for persons accessing the centre

Approved Done Roll out strategy

In place

Operations and Sustainability Target Actual Target Actual Target Actual Staff employed – technicians 1 1 - - 1 1 Staff employed - operators 4 4 - - 4 4 Staff employed – co-ordinator 1 1 - - 1 1 Service definition with user community Defined Done Set up committees: Advisory Board; Management Committee; Management and Operations Team; User Forum

Set up committees

Done

Sound working relationship between the CHRTEM and its collaborators

Demonstrate Done

At least one core team member to create team spirit

One team activity per annum

Quarterly luncheons

Equipment maintenance (incl. replacement of parts) strategy for next 5 years

Recommended by Board

Done

100 % of core team members to undertake one NRF scientific review per annum

2 Available 3 Available

*Where individuals or institutions have accessed the CHRTEM over both stages the total for the reporting period does not

include duplicate records. The total will therefore not be the sum of stage 1 and stage 2 KPIs in many cases. 1 “Training” refers to the training of the identified groups as users of any of the 4 instruments (SEM, HRTEM, feeder, FIB) at the

CHRTEM. As a minimum requirement users must have operated the instrument themselves under supervision and must have a

sound theoretical knowledge of the functioning of the instrument.

2 “Students supported” refers to all students assisted by the Centre – it includes, but is not limited to, those students who were

trained. 3 100% capacity refers to 4 200 hours per annum comprised of 7 hours per day for the 3 instruments (HRTEM, feeder, FIB) for a

total of 200 days per year. The 200 days of operation p.a. allow for estimated down time and preventative maintenance.

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2.2. Access and usage

Table 2: Summary of performance deliverables relating to access and usage (October 2011 to April 2016)



Mid-term Total

Training Interventions Target Actual Target Actual Target Actual Total number of students supported2 accessing the CHRTEM:

75 110

- Hons 26 40 - MSc 20 40 - PhD 29 30 - SA Post-doc fellows 2 1 - Non-SA Post-doc fellows 4 11 - Female students 43% 46% - Black students 64% 59% Access and Usage Target Actual Target Actual Target Actual Number of institutions accessing CHRTEM:

- Private Sector 1 13 2 16 3 23* - Universities 3 14 5 18 8 22* - Science Councils 1 7 1 4 2 8* Hours on equipment (p.a.) 3 50%

Capacity 41% 75%

Capacity 55%

– research 1247 1405 1870 2077 – contract work 378 188 567 127 – training 420 142 630 82 – outreach 50 0 75 7 Number of collaborators accessing CHRTEM:

- National 4 12 5 15 9 16* - International 1 7 2 11 3 13* Access strategy Develop Done Review - Research Target Actual Target Actual Target Actual Number of disciplines associated with researchers accessing the CHRTEM

2 10 3 13 3 13*

Operations and Sustainability Target Actual Target Actual Target Actual Service definition with user community Defined Done

2.2.1. Institutions and collaborators accessing the CHRTEM

Table 3 provides a summary of institutional support (see Appendix 3 for a comprehensive breakdown of

institutional support and training). The number of students supported per instrument per stage is shown in

Figure 6.

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Figure 6: Students supported per instrument per stage.

Table 3: Summary of institutional support and training.

South African Universities Institution Department Stage 1 Stage 2 CUT Mechanical Engineering Support -

CHRTEM Support and Training Support and Training Physics (Collaborators) Support and Training Support and Training Botany Support Support Biochemistry & Microbiology (Collaborators) Support Support and Training

Mechanical Engineering (Collaborators) Support Support

Mechatronics Support Support Geosciences Support and Training Support Biomedical Technology - Support Zoology - Support Chemistry Support Support Pharmacy - Support InnoVenton Support Support Biochemistry, Microbiology and Biotechnology Support Support

Chemistry Support - Mechanical Engineering (Collaborators) - Support

Process Engineering Support Support Chemical Engineering (Collaborators) - Support

EMU (Collaborators) - Training Mechanical Engineering (Collaborators) Support and Training Support and Training

Physics (Collaborators) Support Support UFS Physics (Collaborators) Support and Training Support and Training UJ Physics - Support and Training UKZN EMU Support -

Chemistry Support - Material Science and Metallurgical Engineering Support Support

19 23

39

68

3526

51

104

FEI HELIOS FIB-SEM JEOL ARM JEOL JEM TEM JEOL FEG SEM

Stage 1 Stage 2

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UWC Physics (Collaborators) Support and Training Support and Training Chemical and Metallurgical Engineering (Collaborators) Support Support

Physics (Collaborators) Support Support Chemistry - Support

International Universities Institution Department Stage 1 Stage 2 University of Nairobi, Kenya Mechanical Engineering Support - University of Zimbabwe Physics - Support Chungbuk National University, South Korea

Physics (Collaborators) Support Support

Linkoping University, Sweden Physics (Collaborators) Support - Oxford University, UK Department of Materials

(Collaborators) Support Support

Universität Osnabrück, Germany

Physics (Collaborators) - Support

The Ohio State University, USA Department of Materials Science and Engineering (Collaborators)

- Support

Lund University, Sweden MAX IV Laboratory (Collaborators) - Support

Sichuan University, China Institute of Atomic and Molecular Physics (Collaborators)

- Support

University of Grenoble, France SiMaP (Collaborators) - Support Technical University Dresden, Germany

Institute of Power Engineering (Collaborators) - Support

South African Science Councils Institution Department Stage 1 Stage 2

Port Elizabeth Support - National Centre for Nano-structured Materials (Collaborators)

Support -

NESCA Support - NMISA Support Support Bayworld - Support

International Science Councils Institution Department Stage 1 Stage 2 Joint Institute for Nuclear Research, Dubna, Russia

Flerov Laboratory for Nuclear Reactions (Collaborators) Support Support

Idaho National Laboratory (Collaborators) Support Support Max Planck Institute for Intelligent Systems

Stuttgart Center for Electron Microscopy (Collaborators) Support -

South African Industry Institution Department Stage 1 Stage 2 SASOL (Collaborators) Support and Training Support and Training ESKOM (Collaborators) Support Support Michelangelo manufacturing jeweller

Support Support

Orion Engineered Carbons Support Support Aberdare Cables Support - Autocast Aluminium Support - 180 degrees Support Support Ford Support - Foskor Support - Aspen Pharmacare Support - Volkswagen Support - Elitheni Coal Support - Alpine solutions POC - Support Hulamin (Collaborators) - Support and Training Shatterprufe - Support

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Lonmin - Support Rubber Nano Products - Support Air Liquide - Support Lumotech - Support EC Demolishers CC - Support Fresabi - Support

International Industry Institution Department Stage 1 Stage 2 Material Technology Associates, California

- Support

Element Six, UK Global Innovation Centre (Collaborators) Support Support

2.2.2. Hours on equipment

A summary of instrument capacity usage is given in Figure 7. A breakdown of productive hours per stage is

given in Table 4 and Table 5.

Table 4: Breakdown of Productive Hours: Stage 1 (1 Oct 2011 - 30 Sept 2013)

Stage 1 FEI FIB-SEM JEOL ARM JEOL JEM TEM JEOL FEG SEM

Research 1248.5 531 1030 1249.5

Marketing 0 0 0 10

Contract Work 58 119 198 73

Training 73 99.5 111 57

Total 1379.5 749.5 1339 1389.5

% Capacity* Performance target: 50%**

49% 27% 48% 50%

* % Capacity = 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑝𝑝𝑝𝑝𝑇𝑇𝑝𝑝𝑝𝑝𝑝𝑝𝑇𝑇𝑝𝑝𝑝𝑝𝑝𝑝 ℎ𝑇𝑇𝑝𝑝𝑝𝑝𝑜𝑜7 ℎ𝑇𝑇𝑝𝑝𝑝𝑝𝑜𝑜 × 200 𝑝𝑝𝑇𝑇𝑑𝑑𝑜𝑜 × 2 𝑑𝑑𝑝𝑝𝑇𝑇𝑝𝑝𝑜𝑜

100% capacity refers to 7 hours per day for a total of 200 days per year. The 200 days of operation p.a. allow for estimated downtime and preventative maintenance. **Performance target: Forming stage (Oct 2011 -Sept 2013): 50% capacity Table 5: Breakdown of Productive Hours: Stage 2 (1 Oct 2013 - 30 April 2016)

Stage 2 FEI FIB-SEM JEOL ARM JEOL JEM TEM JEOL FEG SEM

Research 2167 1523 1676 2526

Marketing 10.5 0 8 9.5

Contract Work 96 161 72 283

Training 49 20 142.5 207.5

Total 2322.5 1704 1898.5 3026

% Capacity* Performance target: 75%**

64% 47% 52% 84%

* % Capacity = 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑝𝑝𝑝𝑝𝑇𝑇𝑝𝑝𝑝𝑝𝑝𝑝𝑇𝑇𝑝𝑝𝑝𝑝𝑝𝑝 ℎ𝑇𝑇𝑝𝑝𝑝𝑝𝑜𝑜7 ℎ𝑇𝑇𝑝𝑝𝑝𝑝𝑜𝑜 × 200 𝑝𝑝𝑇𝑇𝑑𝑑𝑜𝑜 × 2 7

12 𝑑𝑑𝑝𝑝𝑇𝑇𝑝𝑝𝑜𝑜

100% capacity refers to 7 hours per day for a total of 200 days per year. The 200 days of operation p.a. allow for estimated downtime and preventative maintenance. **Performance target: Storming stage (Oct 2013 -Sept 2015): 75% capacity

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Figure 7: Capacity usage of instruments per stage. Performance targets are indicated to the right. 100% capacity refers to

7 hours per day for a total of 200 days per year. The 200 days of operation p.a. allow for estimated downtime and maintenance.

CHALLENGE: INSTRUMENT HOURS At a meeting of the CHRTEM advisory board held in May 2015, it was noted that the total productive

sessions on the JEOL ARM was only 46%, whereas the target for the reporting period (2014) was 75% of

capacity. The international advisors confirmed that, considering the number of available operators, a

usage of 45% was on par internationally, and that a new staff injection would greatly improve

performance.

A significant portion of the operators’ working hours are dedicated to non-operating activities such as

post-processing of data, interpretation of data, supervision of specimen preparation, writing, literature

surveys, student supervision and training, conferences, international visits and training, assisting users at

other institutions, reviewing and editing (e.g. MSSA proceedings). There are currently four operators for

two TEMs. Two of these operators also use the FIB-SEM.

The KPIs relating to instrument hours had been estimated before the centre was established, and the

KPIs may need to be revised as part of this 5 year review. The best solution to increase TEM usage would

be to increase the number of TEM operators (see section 3.2.2).

49%

27%

48% 50% 50%

64%

47%52%

84%75%

FEI HELIOS FIB-SEM

JEOL ARM JEOL JEM TEM JEOL FEG SEM PERFORMANCETARGET

Stage 1 Stage 2

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2.2.3. Service definition

The core services provided by the CHRTEM are defined on the CHRTEM website:

http://chrtem.nmmu.ac.za/our-services

2.2.4. Access strategy

The channel for service provision is defined on the CHRTEM website:

http://chrtem.nmmu.ac.za/access

All applications for analytical work must be submitted on-line, and accompanied by a summarised project

proposal together with the standard access forms (see Appendix 4). Applications are subject to approval

by the proposal screening committee.

2.2.5. Impact of CHRTEM on research infrastructure

Since the launch of the Centre in 2011, cutting edge research results have already been obtained on the

new electron microscopes at the CHRTEM. The JEOL ARM200F is the only aberration corrected analytical

atomic resolution TEM in Africa. With this HRTEM, atomic columns in a specimen can be imaged and

analysed by using the EDS or EELS systems. Collaboration between the centre and other leading industrial

partners and universities is extensive and focuses on the application of high resolution and analytical

electron microscopy techniques to the characterisation of strategic materials. These include materials used

in nuclear fission reactors and coal fired power plants, cutting and drilling tools, opto-electronic devices,

catalysts for Sasol’s coal-to-liquids technology, platinum and titanium alloys and various nanoparticle

structures. Other materials investigated include ceramics, nanophosphors, semiconductor quantum wells

and quantum dot heterostructures, polycrystalline diamond products, natural diamond, oxide dispersion

strengthened ferritic steels and graphene. The Centre for HRTEM has established itself as a leading

international research facility with publications in high impact factor journals, successful local and

international collaborations, and widespread local and international recognition for the high quality of

research outputs generated.

http://chrtem.nmmu.ac.za/our-services

http://chrtem.nmmu.ac.za/access

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The instruments in the Centre are used for multi-disciplinary research covering aspects of physics,

nanophysics, chemistry, materials science, nuclear and mechanical engineering, geology and biochemistry.

The NMMU (specifically because of the Centre for HRTEM) is one of four universities which have been

tasked by the DST to present an MSc Nanoscience (physics, chemistry and biomedical) degree course. The

teaching and training of students for this qualification are a joint effort by the University of the Western

Cape, NMMU, and the Universities of the Free State and Johannesburg. The MSc nanophysics students in

the programme spend 3 weeks per year at the Centre for HRTEM for training in crystallography, X-ray

diffraction, SEM, TEM and EDS.

The CHRTEM created the enabling infrastructure for the establishment of Biological Electron Microscopy at

the NMMU. The specialisation of nanobiomedical science forms a part of the MSc Nanoscience degree.

This activity is supervised by the Centre for HRTEM and is well aligned with the vision of the NMMU to

establish a medical school in Port Elizabeth. Electron microscopy analyses are also performed for NMMU

pharmacy students.

The director of the CHRTEM is the developer and driver of the NMMU Institutional Research Theme with

title: “Nanoscale Materials Characterization, New Materials and Processes”. This theme has already

provided the opportunity for a number of emerging researchers from the departments of Biochemistry,

Chemistry and Physics to apply successfully for NMMU research grants.

Sasol and the DST provided R 1.7 million for a video conferencing facility at the Centre for HRTEM. This

facility is linked to the electron microscopes at the Centre to allow live remote viewing of electron

microscope images by collaborators in South Africa and abroad. It is also used for science festivals and

school outreach programmes. The video conferencing facility will be used for distance education as part of

the MSc Nanoscience programme.

The Centre HRTEM has created the enabling environment and infrastructure to support the Mechanical

Engineering department at NMMU (eNtsa) with materials science research, training and advanced electron

microscopy analyses. eNtsa developed the friction stir hydropillar process used by ESKOM to sample aging

power-plant steel for lifetime analyses. The Centre for HRTEM is assisting eNtsa with the study of the

microstructural effects of this process. Eskom has revealed that the research work performed by eNtsa

during the past few years, has already saved them R 1 billion.

The Centre HRTEM also has a collaboration agreement with the Centre for Materials Engineering (CME) at

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the University of Cape Town to do research and train postgraduate students employed by Eskom as part of

the Eskom Power Plant Engineering Institute (EPPEI) Materials Science Specialization programme. This

agreement provides funds to employ Dr Johan Westraadt (formerly with Element Six in Springs, SA) at the

Centre for HRTEM to act as bridge between NMMU physics and engineering.

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2.3. Research

Table 6: Summary of performance deliverables relating to research outputs (October 2011 to April 2016)

2.3.1. Outputs

Appendix 5 lists the articles for the reporting period together with information on article citations, journal

impact factors, and instruments used. Figure 8 shows the number of article contributions per instrument

for the reporting period. Table 7 summarises the number of articles per journal for the reporting period

together with the journal impact factor.

Figure 8: Number of article contributions per instrument (October 2011 – April 2016).

2832 30

19

FEI HELIOSFIB-SEM

JEOL ARM JEOL JEMTEM

JEOL FEGSEM



Mid-term Total

Outputs Target Actual Target Actual Target Actual No. internationally recognized peer reviewed publications:

5 26 8 33 13 59

- generated by CHRTEM research activities

3 8 5 14 8 22

- generated by users accessing CHRTEM 2 18 3 19 5 37 Provisional patents applications filed - - - - - - Operations and Sustainability Target Actual Target Actual Target Actual Sound working relationship between the CHRTEM and its collaborators

Demonstrate Done

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Table 7: Articles per journal (Oct 2011 – April 2016)

Journal Journal Impact

Factor* 2013/2014 Internal Articles

External Articles

Nano Letters 12.94 0 1 Nature Communications 10.742 0 1 ChemSusChem 7.117 0 1 Earth and Planetary Science Letters 4.724 0 1 RSC Advances 3.708 1 0 Nanotechnology 3.672 0 2 Journal of Alloys and Compounds 2.726 2 1 Applied Surface Science 2.538 0 1 Journal of Physics D: Applied Physics 2.521 0 2 Journal of Structural Geology 2.42 0 1 Journal of Luminescence 2.367 0 1 Physica Status Solidi C 2.343 0 1 Journal of the European Ceramic Society 2.307 0 1 Materials Letters 2.269 0 1 Journal of Applied Physics 2.185 0 1 Thermochimica Acta 2.105 1 0 Journal of Nuclear Materials 2.016 5 4 Materials Characterization 1.925 1 0 International Journal of Refractory Metals and Hard Materials 1.764 2 1 Microscopy and Microanalysis 1.757 0 1 Minerals Engineering 1.714 0 1 Physica B: Condensed Matter 1.605 1 7 Journal of Physics and Chemistry of Solids 1.594 0 1 Diamond and Related Materials 1.572 1 1 Infrared Physics and Technology 1.46 1 0 Nuclear Instruments and Methods in Physics Research B 1.186 3 4 Nuclear Engineering and Design 0.972 3 0 Bulletin of Materials Science 0.87 0 1 Radiation Effects and Defects in Solids 0.603 1 0 *http://www.citefactor.org/journal-impact-factor-list-2014.html

Other research outputs include:

• Dr Johan Westraadt, Senior Research Fellow, CHRTEM. EPPEI-2016/1: Power Plant Materials Characterisation Progress Report (February 9, 2016).

• Dr Johan Westraadt, Senior Research Fellow, CHRTEM. EPPEI-2015/1: Power Plant Materials Characterisation Progress Report (March 3, 2015).

• Dr Johan Westraadt, Senior Research Fellow, CHRTEM. EPPEI-2014/1: Power Plant Materials Characterisation Progress Report (May 31, 2014).

• Dr Johan Westraadt, Senior Research Fellow, CHRTEM. EPPEI-2013/1: Power Plant Materials Characterisation Progress Report (September 30, 2013).

• Westraadt J and Minnaar E, Characterisation of Ultra-high Pressured PCD, Progress Report, January 2014.

• Westraadt J, Characterisation of Ultra-high Pressured PCD, Progress Report, July 2013.

http://www.citefactor.org/journal-impact-factor-list-2014.html

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2.3.2. Conference and seminar participation

See Appendix 6.

2.3.3. Research focus and collaborations

A summary of CHRTEM research focus areas and collaborations is given in Appendix 7. For each focus

area, the following is highlighted:

• Collaborators;

• Capacity development;

• Faculty exchange; and

• Outputs.

2.3.4. Impact of CHRTEM on IP and knowledge generation

The Centre for HRTEM can list quite a number of research highlights. These highlights include the discovery of the

silver transport mechanism in the SiC layer of TRISO coated nuclear particles (this solves a 40-year old mystery of

great importance), the discovery of the phase of a silver-platinum alloy (has been under investigation for more than

100 years), HRSTEM and EELS investigation of graphene (led to a joint paper with Oxford University in Nature

Communications), the atomic structure of {001} platelet defects in natural diamond (has been under investigation for

more than 70 years), early stage spinodal decomposition in a Fe-36Cr steel (joint paper with KTH Royal Institute of

Technology in Stockholm), degradation of polycrystalline diamond compounds used in drill bits for oil and gas drilling

(collaboration with Element Six) and hydrogen reduction of silica-promoted iron oxide particles using an in situ gas

flow TEM specimen holder (Sasol sponsored PhD project). Apart from the generation of high-quality academic

publications, the Centre has made important contributions to applied research for industry. Feedback from

collaborators about the importance of the research performed by the CHRTEM and the likely intellectual property

generated is listed below.

Marthinus Bezuidenhout

Corporate Specialist (Power Plant Materials)

ESKOM, Sustainability Group, Research Testing & Development, Plant Performance & Optimisation

[email protected]

“Limitations of conventional non-destructive testing and metallographic replication for quality control and plant life

mailto:[email protected]

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management of complex creep resistant steels is a significant driver for Eskom to develop complimentary state of the

art techniques with local capabilities to overcome these limitations. With significant growth in small sampling

capabilities as a non-destructive tool, Eskom’s Materials, NDT and Welding Study Committee identified

microstructural characterisation using the HRTEM as a critical development area for the Materials Science

Specialisation Centre of the Eskom Power Plant Engineering Institute (EPPEI).

Most MSc and PhD studies included in-depth microstructural characterisation of several ferritic steels and stainless

steels in the assessment of creep, stress corrosion cracking and oxidation behaviour. Special capabilities developed

include industrial techniques for repeatable quantification of precipitates, grain structure and dislocations in the

materials. This intellectual property is ready to be used in the development of material properties and remaining life

prediction models for Eskom power plants.

The prospect of generating significant intellectual property through these models is exciting and it is critical to ensure

maintenance of the current facilities and most importantly the retention of the CHRTEM specialists that developed

the industrial techniques for EPPEI. “

Prof Danie Hattingh

Director, eNtsa; Professor, Mechanical Engineering

Nelson Mandela Metropolitan University, Port Elizabeth

[email protected]

“From eNtsa’s point of view our work done with the CHRTEM team are primarily to assist with creating an in-depth

understanding of the deformation mechanisms active during friction processing of steels, titanium and aluminium.

This understanding enables the engineering team to critically evaluate interactions between processes variables and

weld quality. The processes under evaluation include Laser welding, Friction Stir Welding, Friction Hydro Pillar

Welding (parallel and tapered pins) and Rotary Friction Welding. There certainly is an indirect link between the

WeldCore® technology developed and work done at the CHRTEM. Although post the development of the IP, the

current work does assist in efforts to optimise welding processes.”

Prof Candace Lang

Mechanical Engineering

University of Sydney, Australia

[email protected]

“South Africa's metal resources have enormous potential for value-addition through manipulation of structure; the

development of IP in this regard offers a profitable alternative to the export of metal as raw material

commodities. The Centre for HRTEM has provided a unique facility for identification and characterisation of novel

metallic materials. We have used the Centre to develop alloys of precious metals which have superior properties to



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the standard alloys which are available. We have achieved this by identifying the atomic configuration of alloys

which exhibit outstanding properties. We have identified, for the first time, unexpected crystallographic structures in

precious metal alloys such as CuPt (L13 structure) an AgPt (L11 structure). These structures form the foundation of a

body of IP which promises to continue to grow"

Dr Isabella van Rooyen

Nuclear Materials Scientist

Fuel Design and Development Department, Idaho National Laboratory, USA

“Collaborative research between INL and Centre for HRTEM on a neutron irradiated TRISO coated

particle; average burnup of 19.38% fissions per initial metal atom; from the first INL Advanced Gas Reactor (AGR-

1) experiment led to a peer reviewed journal paper and significant new information on fission product transport

mechanisms were published. This research was possible due to the Centre's ability to work with low level irradiated

TRISO particle lamellae and the HRTEM available for such research. This research was further undertaken due to the

excellent collaborative network previously established between the INL TRISO fuel advanced microscopy leader and

the Director of the Centre of HRTEM at NMMU.

The HRTEM investigation focused on silver, palladium, and cadmium due to interest in silver transport mechanisms

and possible correlation with palladium and silver previously found. This research led to the following research

highlights as published in the Journal paper:

• First high resolution electron microscopy fission product nano-structural locations of irradiated TRISO coated

particles.

• Pd observed inside SiC grains in proximity to stacking faults.

• Ag co-exists with Pd and Cd only - suggests a Pd-assisted transport mechanism.

• First finding of neutron transmutation product P, in SiC layer of TRISO coated particles. No direct link to Ag

transport.

• This study confirmed palladium both at inter and intragranular sites. Phosphorus was identified in SiC grain

boundaries and triple points.

"Van Rooyen, I. J., E. J. Olivier and J. H Neethling, “Investigation of the Fission Products Silver, Palladium and Cadmium

in Neutron Irradiated SiC using a Cs Corrected HRTEM“, Journal of Nuclear Materials, 476 (2016) 93 – 101."”

Dr Esna du Plessis

Manager X-ray and Synchrotron, R&T, Analytics, Sasol Group Technology

[email protected]

“The research conducted by the Centre for HRTEM for Sasol forms an integral part of understanding our materials

and unravelling challenging research questions. The HTREM research results combined with in-house analytical


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results help to define the landscape for our intellectual Property opportunities. The HRTEM research facility provides

high quality microscopy results as well as the expertise to maximize the benefit from the research. The Centre for

HRTEM provides results for Sasol that helps us grow our Intellectual Portfolio continuously.”

Antionette Can

Element Six (UK)

[email protected]

“Two of our key research areas are focused on designing novel materials for Oil & Gas drilling and Precision

Machining applications. Understanding the relationship between microstructure and behaviour is very important, as

this allows us to identify critical microstructural parameters, which contribute to the success of the materials in

application. In the last 12 years that I have been working on diamond and cubic boron nitride-related research I have

seen the increasing value of filing product-focused patents. A major trend in polycrystalline cubic Boron Nitride

(PcBN) in the past 15 years has been to increase the fraction of fine particles in the ceramic (non-cBN) part of the

material, which has resulted in increasing challenges in microstructural analysis. Standard SEM analysis allows us to

identify basic distribution of cBN grains in the ceramic matrix and diamond grains in metallic matrix (in PCD), but we

have found that more detailed analysis of the ceramic and metallic matrix structures to identify microstructural

fingerprints is enhanced with the following techniques:

• Higher resolution SEM capability, possibly combined with techniques such as broad ion beam polishing and EBSD

and TEM sample preparation by ion beam milling or Focused ion beam (FIB) slicing to get a thin sample, followed

by Scanning Transmission Electron Microscopy (STEM) or TEM

• FIB SEM slicing of wear scars of PCD or PcBN has proven useful for understanding wear mechanisms.

All of the above has strengthened our understanding of materials behaviour in different applications and given us

tools to file stronger, more product/ structure based patents, which are in the end easier to police and uphold in the

intellectual property world.”

Prof Robert Knutsen

Head of Department: Mechanical Engineering; Director: Centre for Materials Engineering

[email protected]

“The UCT Materials and Mechanics specialisation, under the leadership of Professor Rob Knutsen, decided early on in

the EPPEI programme to partner with the Centre for High Resolution Transmission Electron Microscopy (CHRTEM) at

the Nelson Mandela Metropolitan University (NMMU). The CHRTEM is well known for its state-of-the-art

microscopes and infrastructure as well as availability of and expert microscope operators and analysts.

Notwithstanding the impressive capabilities of the CHRTEM, it was recognised that a challenge lay in transforming a



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traditional physics-based operation into an activity more closely aligned with physical metallurgy, and more

particularly the characterisation of multiphase steel microstructures. Dr Johan Westraadt was appointed at the

CHRTEM through the EPPEI support and the transformation journey began. By working closely with Professor

Knutsen and the UCT EPPEI students, Dr Westraadt very quickly got to grips with the different elements of the steels’

constitution and he was able to apply his sound electron microscopy knowledge to interpreting the microstructures.

But this was only the beginning. A physics graduate, Genevéve Marx, was recruited as an MSc candidate at the

CHRTEM to explore specimen preparation and microscopy techniques that would best fit the requirements to

identify the microstructural features that influence creep behaviour in steels. The result of this work is a

comprehensive description of procedures for preparing specimens and for extracting relevant microstructure

information from damaged steels. The quantitative techniques demonstrated in this study opens up the possibility to

perform accurate life assessment on weldments with inhomogeneous microstructures by following an analytical

microstructural based approach. Her dissertation, entitled “Quantitative Microstructural Evaluation of 12 Cr Creep

Aged Steels After Welding”, recently received rave reviews from the external examiners and she successfully

graduated cum laude.

Other students UCT students supported by the Centre for HRTEM are the following:

• Intergranular Oxidation Behaviour of 316L Stainless Steel in the Nuclear Primary Water Environment – Ryan

Matthews (PhD)

• Investigation of the fine grain heat affected zone of repair welded creep aged power plant steel – Trisha

Rasiawan (MSc)

• Influence of heat treatment on the stress corrosion cracking susceptibility of low pressure turbine blade steel

FV520B – Lee Naicker (MSc)

• Influence of heat treatment parameters on microstructure and mechanical properties of CSEF steels (Steel 91) –

Philip Doubell (MSc)

• Microstructural and property assessment of creep aged 12 Cr steel after welding – Teboho Molokwane (MSc)

• Effect of geometry on the microstructural ageing of a 1CrMoV turbine rotor steel – Philip van der Meer (MSc)

• Grain refinement mechanisms in titanium alloys – Velile Vilane (PhD)

• Ordering in AgPt alloys – Soraya Allies (MSc)”

Mrs Gillian Watson

Collections Manager

Port Elizabeth Museum at Bayworld

[email protected]

“The Port Elizabeth Museum fish otolith collection was initiated in 1972 and comprises >20200 otolith pairs from

>16000 species from >200 families. The majority are southern African marine forms. More than 50% of the marine

fish fauna from this region, approximately 2200 species in about 270 families, is represented in the collection.

Southern Africa has about 15% of the total number of marine fish species in the world (Smith & Heemstra 1995).


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During the past 44 years studies have accentuated the usefulness of otoliths in prey identification of marine

predatory piscivores such as marine mammals and birds. It has served to aid the identification of prey from the

stomach contents of predators, archaeological middens and palaeontological studies.

Since 1995 Dr Smale and Mrs Watson continued work on the Otolith Atlas II project. From 2014 the micrographs to

be used in the second publication have been taken using the Nelson Mandela Metropolitan University’s Electron

Microscopy Centre scanning electron microscope. These excellent images will be used to describe the new species to

be included in this publication.

This collection has been used in the production of more than 60 publications on dietary studies by staff and students

of the Museum. It has also been beneficial for numerous national and international collaborative food web research

projects.”

Mr Ryan Matthews (PhD student)

Eskom (Koeberg reactor)

“My PhD research project relates to measuring the growth, under various conditions, of oxidation on the surface of

316L stainless steel when exposed to the primary water environment of a pressurised water reactor (PWR), which

Koeberg Nuclear Power Station operates 2 units. This oxidation penetrates into the material preferentially at grain

boundaries, which, under certain conditions, could create conditions suitable for a primary water stress corrosion

cracking (PWSCC) to initiate. Therefore this research project will contribute towards a larger international effort to

predict PWSCC initiation in the primary systems of PWRs. Considering that Koeberg intends to continue operating

the units to 60 years, accurate prediction of PWSCC in austenitic stainless steels could become very important with

regards to system integrity.

The CHRTEM has made this research project possible, where all four of the centre’s microscopes have been

involved. The stainless steel samples were initially characterised by EBSD, before being exposed to primary water

conditions in autoclaves at R&D laboratories of Electricité de France (EDF). Thereafter a technique was developed for

sectioning the samples with FIB-SEM, and then measuring the oxide penetration using the TEMs. Without the

availability of the CHRTEM facilities and personnel the project could not have been envisaged.

In addition to the research outcomes for Eskom, and the wider PWR operating industry, the skills and in depth

knowledge gained by myself will be an asset for Eskom. I form part of a wider team in Nuclear Engineering which

considers the strategies to mitigate ageing mechanisms that could affect the integrity of the plant. Therefore Eskom

has invested in their people and provided the opportunity for materials research, which will be of long term benefit

to their nuclear operations.”

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Dr Tom Bornman

Elwandle Coastal Node Manager, South African Environmental Observation Network (SAEON)

[email protected]

“The CHRTEM at NMMU has been an instrumental platform in my and SAEON's (business unit of the NRF funded

primarily by the DST's Global Change Programme) research over the past five years. Eight research

projects/programmes made use of the HRTEM facilities:

1) Algoa Bay Pelagic Ecosystem Long-term Ecological Research Programme (phytoplankton identification);

2) Harmful Algal Bloom dynamics (dinoflagellate identification);

3) Microphytobenthos of tufa stromatolite ecosystems (diatom identification);

4) Microalgae of the greater St Lucia/Mfolozi estuary;

5) Phytoplankton of the Agulhas Current Large Marine Ecosystem;

5) Phytoplankton of the Mozambique Channel (completed)

6) Marine littoral diatoms of the West Coast of southern Africa;

7) Diatom biogeography of South Africa (newly funded project from 2016 to 2019)

8) Phytoplankton of the sub-Antarctic islands of the Southern Ocean.

Three students (two PhD, two MSc) with a further two Professional Development Programme PhD students from

2016 - 2019 benefitted from the data and IP generated for them by the HRTEM.

Additional IP that will be generated over the next few years include the following peer-reviewed manuscripts: 4 in

preparation; 5 planned and at least a further 10 envisaged over the next three years. The identification and

description of species new to science may take several years to complete, hence the delay in publications. In addition

to the manuscripts we, together with colleagues from NMMU and the University of Szczecin, Poland, will develop

several identification guides for marine phytoplankton and diatoms around the coast of South Africa.

I am looking forward to continue our close working relationship with your facility in the years to come and will

provide you with all our outputs that acknowledge the use of your facility.”

Prof Lesley Cornish

Director: DST-NRF Centre of Excellence in Strong Materials

University of the Witwatersrand, Johannesburg

[email protected]

“The Centre for HRTEM is invaluable to our work in that we can access techniques there which we do not have here.

We can also send our students and researchers there for them to work, and this means that better work is done,



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because they know the samples better, and know what they are trying to do better. Currently, we have not patented

anything yet, but we have done work which could have been patented, had we not already published it. In the future,

we would like to patent work, because we are still developing a range of materials, and have been presenting at

conferences and also publishing journal papers. In one part of the work, patenting is not an issue because we work

across two companies, and the aim of the work is to advertise the improvements available. However, this does not

detract from the value of the work, and our appreciation of the relationship that we have with the CHRTEM.”

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2.4. Human capital development

Table 8: Summary of performance deliverables relating to human capital development (October 2011 to April 2016)



Mid-term Total

Training Interventions Target Actual Target Actual Target Actual Number of emerging researchers trained1

2 8 3 11 5 11*

Number of industry members trained1

2 2 3 4 5 4*

Number of technicians and operators trained1

1 9 2 16 3 16*

Curriculum development 2 courses Done Implement Implemented 2 Implemented Number of students trained1 by accessing CHRTEM:

10 15 13 22 23 32*

- Hons 4 2 4 4 8 6* - MSc 3 6 5 12 8 17* - PhD 3 7 4 6 7 9* - SA Post-doc fellows 1 1 2 1 3 2* - Non-SA Post-doc fellows 1 1 1* - Female students 20% 20% 25% 45% 25% 38%* - Black students 20% 53% 25% 73% 25% 63%* Average duration of dissertations/theses:

- MSc ≤ 2.5 yrs 3.7 ≤ 2.5 yrs 2.3

- PhD ≤ 3.5 yrs 4 ≤ 3.5 yrs 3.3

- PhD (MSc upgrade) ≤ 5 yrs - ≤ 5 yrs -

Outputs Target Actual Target Actual Target Actual No. students graduating from CHRTEM:

- Hons 4 2 4 4 8 6 - MSc - 3 3 3 3 6 - PhD - 2 3 3 3 5

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2.4.1. Curriculum development

2.4.1.1. Undergraduate curriculum development

The following undergraduate courses are required for postgraduate electron microscopy specialisation.

These courses were either presented by CHRTEM staff, or moderated by CHRTEM staff:

1. Optics for 2nd years (moderated by Centre Staff)

2. Modern Physics and Nuclear Physics for 2nd years (presented by Centre Staff)

3. Crystallography and X-ray diffraction for 3rd years (presented by Centre staff)

2.4.1.2. Postgraduate and specialist courses

1. MSc Nanoscience: Experimental Nanophysics (Introductory SEM and TEM theory and practice)

2. MSc and PhD physics degrees: Advanced electron microscopy theory and practice (SEM, EBSD,

TEM, HRTEM, STEM, EELS and EDS) taught to postgraduate students by Centre Staff.

MSc Nanoscience: The NMMU is one of four universities — NMMU, UWC, UFS, UJ — tasked by the DST to

introduce the new MSc Nanoscience curriculum and degree. The two year MSc Nanoscience degree consists

of one year coursework, followed by a one year research project; and students can graduate with an MSc in

NanoChemistry, NanoPhysics or NanoBiomedical science.

2.4.2. Training

Part of the Centre’s mandate is to provide training in advanced TEM techniques at the national level. To

this end, the following key training avenues have been identified:

• Training of scientists (including MSc and PhD students) employed at South African institutions with

EM units – scientists spend a period of 1 to 4 weeks at the CHRTEM

• JEOL/FEI User groups – Centre staff train and assist EM users at their own institutions

• Training of students registered at NMMU

• MSc Nanoscience students

• Biomedical EM training

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2.4.2.1. Training levels

Training levels are defined as follows:

• O – No exposure. Student supported in their absence

• TRL1 – Student observes primary/secondary operator

• TRL2 – Student operates instrument in the presence of a primary/secondary operator

• TRL3 – Operation with limited functional access and with limited supervision of an operator

• TRL4 – Full independent operation during normal working hours

2.4.2.2. Operators trained

A summary of operators trained on the FIBSEM, ARM or feeder-TEM during the reporting period is given in

Table 9.

Table 9: Industry members, emerging researchers and operators trained on the FIBSEM, ARM or feeder-TEM per stage.

Name Current position Category Training Level Industry Emerging

Researcher Operator Stage 1 Stage 2

Dr Matthew Coombes

SASOL Past CHRTEM PhD

X X X 2 3

Willem Erasmus SASOL X X 2 2 Bongani Xaba

SASOL X X - 2

Mr Ryan Matthews ESKOM UCT PhD

X X - 3

Ms Vilile Vilane UCT PhD X X 2 2 Dr Sarah George UCT Researcher X X - 2 Dr Innocent Shuro UCT EMU X - 2 Dr Colani Masina Lecturer - UKZN

Past CHRTEM PhD and Postdoc

X X 2 Operator

Ms Nolufefe Ndzane

Programme Coordinator – TUT Current CHRTM PhD

X X - 3

Dr Jacques O’Connell

CHRTEM Engineer X X Operator Operator

Dr Jaco Olivier CHRTEM Scientist X X Operator Operator Mr William Goosen CHRTEM Scientist X - 2 Dr Arno Janse van Vuuren

CHRTEM Scientist X X Operator Operator

Dr Johan Westraadt

CHRTEM Research Fellow

X X Operator Operator

Ms Candice Blom CHRTEM Technician X - 1 Mr Etienne Minnaar

CHRTEM PhD X X 2 3

Ms Genevéve Marx CHRTEM PhD X X - 3

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2.4.2.3. Industry

Industry training interventions are listed in Table 10. These are in addition to any other training schools or

workshops attended that were organised by the CHRTEM (see 2.4.2.4).

Table 10: Industry training interventions.

Affiliation Name Intervention Willem Erasmus; Bongani Xaba; Stanley Manzini; Esna du Plessis

Visits to the Centre

Willem Erasmus and David Mitchel International Gatan Advanced EELS application training workshop hosted by the CHRTEM (5 - 9 Nov 2012)

Eskom Ryan Matthews Visits to the Centre Hulamin TM Buthelezi; PM Molasi; V Tshivhandekana; TW

Nevhutalu; BE Shingange Prof Mike Lee presented a SEM EDS training course (Hulamin: R&D, Durban, 27-29 October 2015)

2.4.2.4. General training workshops and schools

A list of training workshops and schools organised or hosted by the CHRTEM is given in Table 11.

Table 11: Training workshops and schools organised or hosted by the CHRTEM.

Workshop/School Place Date Host/Organiser MSSA 2014 pre-conference workshop: International Symposium on Electron Crystallography, Electron Energy Loss Spectroscopy, Materials Modeling and Characterization. The international speakers were Profs C Colliex, R LeSar, H Fraser and S Hovmöller.

Protea Hotel, Stellenbosch 1 Dec 2014 Organiser

Nanomegas Advanced Workshop on Electron Crystallography

CHRTEM 14 - 16 Oct 2013

Host

Introductory FEI Helios FIBSEM Workshop

CHRTEM 3 Sept 2013 Host

Advanced applications FIBSEM course

CHRTEM 4 - 6 Sept 2013

Host

ALS AKASAL Metallographic Sample Preparation Workshop

CHRTEM March 2013 Host

Gatan Intermediate EELS (theory and practice) school. Attended by researchers from UP; Element Six, SA; CHRTEM; UCT; Mintek; UWC; Brunel University, London.

CHRTEM 12 - 16 Nov 2012

Host

SA Nanoscience and Nanotechnology Summer School.

CHRTEM 27 Nov - 2 Dec 2011

Hosted and presented

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2.4.2.5. JEOL/FEI TEM User Groups

The Centre has initiated the establishment of JEOL TEM and FEI TEM user groups in South Africa. Within

South Africa numerous TEMs are in operation at different research sites. These instruments represent a

significant capital investment in research capacity, and it is important to ensure proper utilisation of the

instruments. The formation of user groups aims to facilitate the sharing of knowledge and experience in

the operation of these microscopes and the interpretation of results obtained.

As part of this initiative, Centre staff visit EM units across the country to train and assist EM users at their

own institutions. Training activity is summarized in Table 12.

Table 12: A lists of operators who have received training as part of the JEOL/FEI TEM user group.

Student Position Instrument Institution Field

Ms Rhandzu Rikhotso TEM Technician

Ms Charity Maepa SEM Technician

Mr Lindokuhle Mdletshe Technician

Ms Zamaswazi Tshabalala MSc Student

Ms Katekani Shingange MSc Student

Ms Abesach Motlatle MSc Student

Mr Amos Akande PhD Student

Dr Kaustav Bhattacharjee Post-Doc

Dr Siva Goddetti Post-Doc

Dr George Chimowa Post-Doc

Dr Phumelele Kleyi Post-Doc

Dr Ntombi Mathe Post-Doc

Dr Peter Makgwane Researcher

Dr James Wesley-Smith Manager, Characterisation Facility

Dr Innocent Shuro Chief Scientific Officer FEI F20 Technai TEM

UCT Centre for Imaging and Analysis

Ms Erna van Wilpe Staff

Ms Antoinette Buys Staff; PhD student

Ms Chantelle Venter Staff; PhD student

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2.4.2.6. Training of CHRTEM staff

A list of CHRTEM staff training activities is given in Table 13.

Table 13: Training of CHRTEM staff.

Name Training Intervention Place Date Dr Westraadt Dr Olivier Mr Minnaar Mr Ngongo Mr Mfuma

Training on Gatan PIPS II ion mill

CHRTEM 24 Nov 2015 The Centre had obtained a Gatan PIPS II ion mill on loan from Gatan UK for evaluation purposes.

Olusola Adewale, Biochem & Micro; Lukanyo Bolo, Chemistry; Candice Blom, CHRTEM; Kegomoditswe Mathobela, CHRTEM.

Training on new ultra microtome

CHRTEM 14-18 Sept 2015 New equipment installation and training

Prof Lee Applications training Bruker-Nano, Berlin, Germany

15-16 Sept 2014

Dr Westraadt MatCalc training course Vienna, Austria 5-8 Aug 2014 Mr Mfuma Struers Theoretical and

Practical Materialographic Sample Preparation Training Course

22-23 July 2014

Dr Olivier Stuttgart Center for Electron Microscopy (StEM) Workshop on "“Advanced Transmission Electron Microscopy Techniques”

Ringberg Castle, Lake Tegernsee, Bavaria, Germany

2-5 July 2014

Mr Goosen Advanced EBSD Applications Training

Oxford Instruments, London, UK

3 April 2014

Prof Lee Mr Goosen

HR-EBSD Workshop Imperial College London

2 April 2014

Centre staff and students

Workshop on Exit Wave Reconstruction

CHRTEM 5 March 2014 Presented by Prof Angus Kirkland and Dr Neil Young from Oxford University

Prof Lee X-Ray Microscopy and Mineralogic Workshop

Carl Zeiss, Johannesburg)

30 Jan 2014

Dr Westraadt Mr Goosen Prof Lee Dr George (UCT)

EBSD Applications Training

CHRTEM 9-12 Dece 2013 Presented by Oxford Instruments

Dr O’Connell Service engineer training on Gatan GIF installation and alignment

University of Oslo, Norway

3-11 Nov 2013

Dr Westraadt XRD training Bruker, Germany 17-21 June 2013 Dr O’Connell Dr Olivier

School on Advanced TEM Quantitative Techniques

St Aygulf, France 13-24 May 2013

Dr O’Connell Dr Westraadt Mr Goosen Mr Janse van Vuuren

Oxford Aztec application training (TEM and SEM)

CHRTEM 10-11 April 2013 Installation of new software

Dr O’Connell Special advanced FEI Helios FIB SEM diagnostics and service

FEI, Eindhoven March 2013

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training course Dr Olivier Dr O’Connell

International Gatan Advanced EELS application training

CHRTEM 5-9 Nov 2012

Mr Goosen CSM Advanced Course on Instrumented Indentation Testing

Peseux, Switzerland 22 Oct 2012

Mr Jansen van Vuuren (PhD student)

Operation of the Helios FIB-SEM

FEI, Eindhoven

June 2012

Dr Olivier Mr O’Connell (PhD student)

Gatan EELS and EFTEM Analysis Training School

Pleasanton, CA, USA

17-20 April 2012 This Gatan Training School is a professional Training program for electron microscopists.

2.4.2.7. Postgraduate students and post-docs

A breakdown of student training per degree per instrument per stage is given in Table 14 and Table 15.

The total number of students trained per instrument per stage is shown in Figure 9. Demographics of

students trained is shown in Figure 10.

Figure 9: Students trained per instrument per stage.

4

1

7

13

4 4

10

20

FEI HELIOS FIB-SEM JEOL ARM JEOL JEM TEM JEOL FEG SEM

Stage 1 Stage 2

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Figure 10: Demographics of students trained per stage.

Table 14: Breakdown of student training – Stage 1.

Training Stage 1

FEI HELIOS FIB-SEM

JEOL ARM

JEOL JEM TEM

JEOL FEG SEM

Hons 0 0 1 2 MSc 0 0 0 6 PhD 3 1 6 3 PD - SA 1 0 0 1 PD - Other 0 0 0 1 Total 4 1 7 13

Table 15: Breakdown of student training – Stage 2.

Training Stage 2

FEI HELIOS FIB-SEM

JEOL ARM

JEOL JEM TEM

JEOL FEG SEM

Hons 0 0 2 4 MSc 1 1 1 12 PhD 3 2 6 2 PD - SA 0 1 1 1 PD - Other 0 0 0 1 Total 4 4 10 20

2.4.2.8. CHRTEM student enrolment and throughput

Table 16 provides a full list of students supervised and/or co-supervised by CHRTEM staff since 2011. Where possible, the current position of past students has been indicated. Honours students are NMMU physics honours students and are not registered with the Centre. Figure 11 shows student enrolment per stage. Summaries of postgraduate student enrolment and throughput for Stage 1 and Stage 2 are given in Table 17 and Table 18, respectively.

20%

53%45%

73%

Female Black

Stage 1 Stage 2

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Figure 11: Students enrolled per stage. These numbers include all students who were supervised and/or co-supervised by

CHRTEM staff members.

Table 16: CHRTEM Students: Oct 2011 – April 2016. This list includes students registered at NMMU as well as students

registered at other institutions who were/are co-supervised by CHRTEM staff.

2

6

8

1

4

9 9

2

Honours MSc PhD Postdoc

Stage 1 Stage 2

Student M/F Nationality Race Degree Institution Field Start Finish Current Position

Mr Dobson M SA White Honours NMMU Physics 2011 2011 PhD NMMU Physics Ms Deyzel F SA White Honours NMMU Physics 2013 2013 PhD CHRTEM Ms Dlamini F SA Black Honours NMMU Physics 2014 2014 MSc NMMU Physics Ms Sephton F SA White Honours NMMU Physics 2015 2015 MSc NLC Ms Venter F SA White Honours NMMU Physics 2015 2015 MSc NMMU Physics Mr Dix-Peek M SA White Honours NMMU Physics 2015 2015 MSc NMMU Physics Mr Vosloo M SA White MSc NMMU Physics 2007 April 2013 Salesrep - Anton Paar Ms Dhladhla F Swazi Black MSc NMMU Biochem 2009 April 2012 Unknown

Mr Minnaar M SA Coloured MSc NMMU Physics 2010 April 2012 PhD CHRTEM Operator CHRTEM

Ms Ndzane F SA Black MSc NMMU Physics 2012 Dec 2014

Extended programme coordinator, Physics, TUT PhD CHRTEM

Mr Masilela M SA Black MSc Wits Chem & Met Eng 2012 Dec 2016 Works at SEDA

Current student

Mr Mwanza M Zim Black MSc NMMU Biochem 2013 April 2015 PhD NMMU Biochem

Ms Marx (nee Deyzel) F SA White MSc NMMU Physics 2014 April 2016 PhD CHRTEM

Mr Ngongo M SA Black MSc Nano NMMU Physics 2014 Dec 2016 PhD CHRTEM

Mr du Preez M SA White MSc NMMU Physics 2015 April 2017 Technician NMMU Mech Eng Current student

Mr Gandidzanwa M Zim Black MSc NMMU Chemistry 2015 April 2017 Current student Mr Anderson M SA White MSc Stellenbosch Mech Eng 2016 Dec 2017 Current student

Mr Nyembe M SA Black MSc Nano NMMU Physics 2016 April 2018 Current student

Mr Nshingabigwi M Rwandan Black PhD Wits DST CoE 2009 2012 Unknown Mr O’Connell M SA White PhD NMMU Physics 2009 April 2013 Engineer CHRTEM

Mr Downey M SA White PhD NMMU Physics 2009 Dec 2016 High School Teacher Current student

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Table 17: Postgraduate student enrolment and throughput (Stage 1: October 2011 to September 2013)

Stage 1 Student enrolment No. of students graduated Average duration of completion of degree (years)

Students Race Gender Total Race Gender Total Goal Actual B C I W F M B C I W F M

Honours 2 1 1 2 2 1 1 2 1 1

MSc 4 1 1 2 4 6 1 1 1 1 2 3 2 3.7

MSc upgrade to PhD

PhD 3 1 4 1 7 8 1 1 2 2 3 4

Postdocs 1 1 1 1 1 1

Table 18: Postgraduate student enrolment and throughput (Stage 2: October 2013 to April 2016)

Stage 2 Student enrolment No. of students graduated Average duration of completion of degree (years)

Students Race Gender Total Race Gender Total Goal Actual B C I W F M B C I W F M

Honours 1 3 3 1 4 1 3 3 1 4 1 1

MSc 6 3 2 7 9 2 1 2 1 3 2 2.3

MSc upgrade to PhD

PhD 3 1 1 4 4 5 9 1 2 3 3 3 3.3

Postdocs 1 1 2 2 1 1 2 2

Mr Masina M SA Black PhD NMMU Physics 2010 Dec 2014 Lecturer - UKZN Mr Janse van Vuuren M SA White PhD NMMU Physics 2011 April 2014 Operator CHRTEM

Mr Minnaar M SA Coloured PhD NMMU Physics 2012 Dec 2016 Operator CHRTEM Current student

Mr Coombes M SA White PhD NMMU Physics 2013 April 2016 Researcher SASOL Ms Vilane F Swazi Black PhD UCT Mech Eng 2013 Dec 2016 Current student

Ms Ndzane F SA Black PhD NMMU Physics 2014 April 2017

Extended programme coordinator, Physics, TUT Current student

Ms Govender F SA Indian PhD UCT Chem Eng

Nov 2014 Dec 2017 Works at SASOL

Current student Ms Marx F SA White PhD NMMU Physics 2016 April 2019 Current student Dr Heiligers F SA White Postdoc NMMU Physics 2011 2011 Immigrated to USA

Dr Kumarakuru M Sri-Lankan Asian Postdoc NMMU Physics 2014 2014 Lecturer, Northeastern University, Boston

Dr Masina M SA Black Postdoc NMMU Physics Sept 2014 2015 Lecturer - UKZN

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2.4.3. Career development

Over the past years, the Centre has provided opportunities for training and/or academic career

development (including lecturing, post-graduate supervision, funding applications) to the following career

academics:

• Dr Nobom Hashe;

• Dr Colani Masina;

• Mr Etienne Minnaar;

• Dr Jaco Olivier;

• Dr Jacques O’Connell;

• Dr Arno Janse van Vuuren;

• Dr Johan Westraadt;

• Dr Matthew Coombes;

• Ms Nolufefe Ndzane;

• Ms Vilile Vilane.

CHALLENGE: POST-DOCTORAL PROGRAMME

Proportion of South African postdoctoral researchers (percentage of all postgraduate students):

October 2011 – September 2013 = 6.3%

October 2013 – April 2016 = 4.5%

The Centre is finding the recruitment of post-doctoral candidates a challenge.

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2.4.4. Impact of CHRTEM on human capital development

An important human capital development achievement has been the training of a number of young

electron microscopists who have mastered the advanced electron microscopy techniques and are able to

apply it successfully to materials research. These techniques include electron backscatter diffraction

(EBSD) and transmission Kikuchi diffraction (TKD) in the scanning electron microscope (SEM), Cs corrected

transmission (and scanning transmission) electron microscopy (TEM and STEM), atomic resolution imaging,

electron energy loss spectroscopy (EELS), energy dispersive X-ray spectrometry (EDS) and electron

tomography. Data processing includes HRTEM and HRSTEM image simulation, strain mapping of HR(S)TEM

images, EBSD analysis, 3D reconstruction of FIB sections and simulation of phase transformations in

metallic systems. On the electron microscope side, a high level of competency in the aligning and

optimisation of the Cs-corrected HRTEM, FIB SEM and FEG SEM has been attained. The young HRTEM

scientists trained are now employed at the CHRTEM and they are mainly responsible for training the next

generation of electron microscopists for South Africa. The director was able to entice this group of four

very talented NMMU physics students to specialise in electron microscopy with the help of SANHARP

(nuclear energy) and Element Six postgraduate bursaries. The challenges experienced in training students

from other universities to master advanced electron microscopy theory and materials characterisation are

discussed in section 3.2.1. The specialised training intervention proposed is also included in section 3.2.1.

The KPIs and performance deliverables relating to human capital development (Oct 2011 to April 2016) are

summarised in Table 8. It should be mentioned that these targets and projections were estimated in 2008

when the business plan of the CHRTEM was being developed. With the exception of industry members,

honours students and postdocs, the overall impression is that the mid-term total KPIs exceed the targets.

The low number of honours students assisted is a consequence of the decrease in NMMU physics honours

students during the past few years. In spite of regular and wide advertising for post-doc fellows, the Centre

has not yet been able to attract any SA post-doc fellows from outside NMMU.

A summary of scientists trained on TEM and SEM is given in Table 9. Training was given to internal and

external scientists using CHRTEM facilities as well as training EM users at their own institutions. Industry

training interventions are listed in Table 10 and training workshops hosted or organised by the Centre are

given in Table 11.

The industry training interventions are of great importance to South Africa since Sasol and Eskom are two

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of the major industries in the country. In the case of Sasol, the CHRTEM is involved in on-going training and

collaboration with five Sasol scientists (W Erasmus, B Xaba, S Manzini, E Du Plessis and M Coombes) and a

PhD student (A Govender). In the case of Eskom, the major energy producer in the country, The CHRTEM

now plays an important role in the research and training activities of the Materials Science Specialisation

Centre of the Eskom Power Plant Engineering Institute (EPPEI). Most MSc and PhD studies include detailed

microstructural characterisation of several ferritic steels and stainless steels in the assessment of creep,

stress corrosion cracking, oxidation behaviour and quantification of precipitates, grain structure and

dislocations in the steels. More than six students employed by Eskom have been trained and the IP

generated is ready to be used in the development of material properties and remaining life prediction

models for Eskom coal fired power plants.

In order to train EM users at their host institutions, JEOL/FEI user groups were formed and the list of TEM

operators who were trained is given in Table 12. A total of 14 staff and students at the CSIR in Pretoria

received training; and one scientist from the University of Cape Town and three from the University of

Pretoria were trained. This training intervention aims to ensure proper utilization of JEOL and FEI TEMs at

other institutions in the country.

Finally Table 13 lists CHRTEM staff training activities. Figure 10 shows the demographics of students

trained. The average duration of completion of degrees during stages one and two, given in Table 17 and

Table 18, indicates that the actual time taken to complete MSc and PhD studies was longer than the goal

set.

Although the impact of human capital development by the Centre is considered to be very significant, the

number of NMMU registered physics students progressing to master’s level is still too low to support all

four research focus areas of the NMMU physics department – of which the electron microscopy focus of

the CHRTEM is but one. Apart from on-going advertising and marketing, a specialised training intervention

is proposed. This consists of a coursework (taught) master’s degree in materials characterisation using

advanced electron microscopy as discussed in section 3.2.1. It is hoped that this type of specialised

master’s degree will capture the interest of potential students.

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Figure 12: Dr Innocent Shuro (right) with Dr Johan Westraadt from the CHRTEM at the JEOL 2100 TEM. Dr Shuro spent a week at

the CHRTEM to receive training. Dr Shuro is the Chief Scientific Officer at the Centre for Imaging and Analysis at the University

of Cape Town.

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2.5. Outreach

Table 19: Summary of performance deliverables relating to outreach (October 2011 to April 2016)



Mid-term Total

Outreach Target Actual Target Actual Target Actual No. of local workshops 1 2 2 3 3 5 No. international symposia 1 1 1 1 2 2

Media engagement Ad-hoc and ongoing Ongoing Ad-hoc and

ongoing Ongoing Ad-hoc and ongoing Ongoing

Schools engagement 1 2 3 14 4 16 Interactive website http://chrtem.nmmu.ac.za

Live Live, Nov 2013

Updated Ongoing Updated Ongoing

Marketing Material Printed Done Updated Ongoing Updated Ongoing Marketing and outreach strategy in partnership with SAASTA and NPEP

Approved Accepted by AB - May 2016

Roll out strategy

Ongoing

2.5.1. Workshops and symposia

• A High Resolution Electron Microscopy Symposium to discuss the establishment of the CHRTEM was

held on 11 October 2011.

• A Hydrogen South Africa (HySA) Fuel Cell Symposium was held at the CHRTEM on 26 October 2012.

The speakers included representatives from the CHRTEM, DST, HySA Infrastructure at North West

University and CSIR, SAASTA and Tshwane University of Technology. Delegates included

representatives from NRF and SAASTA. The symposium was co-ordinated by Mr M Zamxaka from

SAASTA. The purpose of the symposium was to introduce the HySA and Nano research stake holders to

the high resolution electron microscopes at the CHRTEM with the aim of initiating future collaboration.

• IMP Scientific and Precision Company held a demonstration of the Phenom desktop SEM at the Centre

for HRTEM on 26 - 27 March 2013. Apart from NMMU staff, this demonstration/workshop was also

attended by delegates from the CSIR, TENNECO, Aberdare cables, ASPEN Pharma care and

Volkswagen. The purpose of the workshop was to demonstrate the new Phenom desktop SEM to

HRTEM Centre staff and secondly to invite delegates from local industry and institutions to the Centre

for HRTEM as a marketing initiative, which could lead to possible future collaboration.

• The CHRTEM initiated and hosted the Workshop on Advanced Electron Microscopy of Titanium Alloys

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and PGMs on 3 - 4 March 2014. The purpose of the event was to establish international collaborative

networks to enhance the application of advanced electron microscopy and modeling techniques in the

research of titanium alloys and platinum group metals (PGM).

• The Centre hosted a two-day Oil and Gas Workshop presented by FEI on 28 - 29 August 2014. The

workshop focused on the electron microscope requirements for the analysis of shale to determine

whether shale gas can be explored economically. In attendance were staff and students from the Africa

Earth Observatory Network (AEON), NMMU Geosciences, the NMMU Centre for HRTEM, and the

Geology Department at the University of Fort Hare.

• The Centre hosted an XRM workshop – From Synchrotron to Lab – presented and sponsored by Carl

Zeiss Pty (Ltd) on 25 March 2015 as part of Zeiss’ 2015 3D X-Ray Microscopy Frontier Workshop Series

hosted by various institutions across South Africa. The workshop explained X-ray microscopy (XRM)

technology, and looked at XRM applications for materials science, geologists and the life sciences.

• The Centre hosted a ZEISS Focused Ion Beam (FIB) workshop on 9 June 2015. In attendance were staff

and students from the CHRTEM, NMMU Chemistry, NMMU Geology and the Rhodes EMU. The

workshop consisted of a technology overview, and looked at FIB applications for materials and

biological sciences.

2.5.2. Media engagement

The Centre, its staff and its students feature regularly in media articles. These include mentions in

the Weekend Post (Port Elizabeth), the Herald (Port Elizabeth), Nano eNews, Die Burger (Port

Elizabeth), UD News (Uitenhage/Dispatch), Physics Comment Magazine, Quest, and NMMU

publications (e.g. NMMU Faculty of Science Newsletter and NMMU Talk). The Centre also featured on

radio, with telephone interviews on Weekend AMLIVE on SA fm, and RSG.

2.5.3. Marketing and outreach strategy

The CHRTEM marketing and outreach strategy is attached as Appendix 8. Areas where the Centre is

already active have been highlighted in yellow.

http://www.zeiss.co.za/C12569A0002CAA63?Open

http://www.zeiss.co.za/C12569A0002CAA63?Open

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The main focus of the CHRTEM marketing strategy is to increase the number of postgraduate students and

postdoctoral fellows studying at the Centre; to expand the user base of the Centre; and to showcase

Centre achievements to decision makers.

This will be achieved by:

• Working with and supporting the physics department at NMMU to attract learners into the physics

stream, and to retain undergraduate physics students with the purpose of increasing the pool of

NMMU students entering the postgraduate physics research streams;

• Creating a strong presence in the microscopy community through science advancement and

community engagement initiatives aimed at developing and attracting collaborators and

postgraduates from other universities; and

• Reporting on Centre activities and performance.

The marketing strategy employs various marketing and outreach measures aimed at strategic audiences.

The target audiences are as follows:

• Secondary school learners (predominantly qualifying grade 12 learners);

• Undergraduate physics students;

• Postgraduate students;

• Postdoctoral fellows;

• Potential collaborators;

• Policy makers, university executives and funders.

2.5.4. Impact of CHRTEM on science engagement

The CHRTEM is regularly involved in public engagement activities by way of school visits to the Centre,

media articles, and invited public and conference/workshop talks. The Centre also has a well-established

presence in the national and international microscopy community. Over the past 5 years, the Centre has

leveraged its connections to facilitate national and international collaboration and capacity development

through the organisation of schools, workshops and symposiums.

Looking ahead, the CHRTEM marketing and outreach strategy was accepted by the Advisory Board in May

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2016. This strategy will employ various marketing and outreach measures aimed at strategic audiences.

Exciting prospects for the next cycle include the development of a YouTube channel and the use of the

new telepresence system which was commissioned in August 2015. The Sasol-funded facility is linked to

the electron microscopes at the Centre to allow live remote viewing of electron microscope images by

collaborators in South Africa and abroad. It will also be used for school outreach programmes; and for

distance education as part of the DST-funded MSc Nanoscience programme that is presented jointly by the

University of Western Cape, NMMU and Universities of the Free State and Johannesburg.

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2.6. Intellectual property (IP) and data management

Table 20: Summary of performance deliverables relating to IP and data management (October 2011 to April 2016)



Mid-term Total

IP and Data Management Target Actual Target Actual Target Actual Data integrity and management strategy

Approved

Done Roll out strategy

In place

IP strategy for persons accessing the centre

Approved

Done Roll out strategy

In place

2.6.1. Data integrity and management strategy

A file management system developed by Synapsis Software is in place. The system centralises access to

and storage of project related data, and allows for secure on-line access to data. Data is backed-up daily to

two different servers at two different locations.

2.6.2. IP strategy for persons accessing the centre

IP and collaborative projects are governed by a memorandum of understanding based on NMMU policy.

Appropriate on-site and on-line security measures are also in place. See Appendix 9 for examples of

agreements. Users are notified in the CHRTEM Terms of Use (included in access forms) that IP sensitive

research needs to be governed by an appropriate confidentiality agreement (Appendix 4).

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2.7. Operations and sustainability

Table 21: Summary of performance deliverables relating to operations and sustainability (October 2011 to April 2016)



Mid-term Total

Training Interventions Target Actual Target Actual Target Actual Succession planning (internal and external candidates with at least one from HDI)

Strategy developed

Under review

2 Internal successors identified and trained

2 2 2

Operations and Sustainability Target Actual Target Actual Target Actual Staff employed – technicians 1 1 - - 1 1 Staff employed - operators 4 4 - - 4 4 Staff employed – co-ordinator 1 1 - - 1 1 Set up committees: Advisory Board; Management Committee; Management and Operations Team; User Forum

Set up committees

Done

Equipment maintenance (incl. replacement of parts) strategy for next 5 years

Recommended by Board

Done

2.7.1. Human capital

2.7.1.1. Succession plan

The three more experienced scientists (NMMU students) at the CHRTEM were trained in advanced electron microscopy, materials characterisation and modeling/simulation techniques. These scientists have also been provided the opportunity to become involved in MSc and PhD co-supervision, grant applications and report writing as well as the operational aspects of the CHRTEM. The three internal candidates are:

• Dr Johan Westraadt (PhD) • Dr Jaco Olivier (PhD, NRF Y-rating) and • Dr Jacques O’Connell (PhD, NRF Y-rating)

Both Drs Westraadt and Olivier will complete their MBA studies this year.

The CHRTEM has met the KPI for the current reporting period. However, external candidates have also been identified and their training plan is discussed in section 3.2.5.

Prof Jan Neethling will retire in December 2019 and the recruitment of a successor will commence at the beginning of 2018.

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2.7.1.2. Staffing

The CHRTEM has hired the required staff for the reporting period (see section 1.1).

2.7.2. Governance and management

2.7.2.1. Committees

All required committees have been established and are functioning effectively. The user forum is chaired

by Dr James Wesley-Smith who surveys CHRTEM users annually to gain feedback on user satisfaction.

2.7.2.2. Management

Adequacy and service of infrastructure where instruments are located

A new building that exceeds the minimum specifications for the HRTEM was constructed at a cost of

R 30.5 million. A number of issues were given careful attention when designing the new building. Some of

CHALLENGES: ADDITIONAL OPERATORS AND STAFF RETENTION

Two additional TEM operators are needed to increase the usage of the TEMs and do more research for

internal and external students/scientists. This is in line with the requirements of the Governance and

Management Plan from 2017 onwards (section 3.2.2). The Centre is fortunate to have a very promising

black MSc student (Mr Sinoyolo Ngongo) who has been identified as a likely future TEM operator. Other

external students or young scientists being developed are listed in section 0.

The main challenge for the CHRTEM to retain the highly skilled HRTEM specialists is the fact that the long

term future of the CHRTEM beyond 2021 is uncertain. All the CHRTEM staff members are therefore on

contract appointments until 2021 (see section 3.2.3 for details).

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the most important parameters considered are listed below. Solutions that will minimise disruption from

the sources have also been listed.

Mechanical vibrations:

• External factors (e.g. wind, sea, cars, trains) and Internal factors (e.g. acoustic noise, vibrations from

auxiliary equipment)

• Microscope on isolated anti-vibration block (80 000 kg)

• Auxiliary equipment in separate room

• Walls have acoustic cavities and acoustic material tiles

• Microscope has built in anti-vibration facilities

Magnetic fields:

• Alternating Current (AC) and Direct Current (DC) fields; AC fields from external sources and internal

sources; External power cables; Internal – lights, cables and the microscope

• Design includes magnetic field cancellation

• Microscope has magnetic field shielding

Environment:

• Heat generated by equipment and operators (ambient temperature control required to be better than

0.1°C), Air flow – ventilation noise from conduits, pressure pulses from the ventilation system,

Particulate matter – dust and sea air

• Airlocks

• High specification ventilation and filtration systems

Maintenance of equipment

Two service engineers for the electron microscopes in the Centre have already been trained. Mr James

Troup (electronic engineer) is employed by the local agent (Analytical Laboratory Solutions) and stationed

in Port Elizabeth. The second microscope engineer, Dr Jacques O’Connell (PhD in physics and electron

microscopy) who is employed by the Centre, was trained the United Kingdom during 2010. These two

microscope engineers together have the technical and scientific expertise required to maintain the wide

range of instruments in the Centre and to interact with the service engineers in the JEOL and FEI factories

overseas.

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The four electron microscopes were purchased with comprehensive five year service (extended warranty,

parts and labour) contracts. These contracts must be renewed by the end of 2016.

Safety and security

All entrance doors to the administrative/preparation area of the building are secured by security card

access locks. Intercoms are placed at these entrances. All visitors entering and leaving via the main

entrance are controlled by a receptionist and escorted through the building. The door between the

administrative/preparation area and the microscope area also has security card access locks. There is a

security alarm system which is activated after working hours.

The normal security services as provided by NMMU are also available.

Capability of staff to operate equipment

The scientists employed by the CHRTEM are highly skilled and competent. The research group consists of

the Director and twelve staff members. Five staff scientists (electron microscopists) have PhD degrees and

two have MSc degrees. There are two laboratory technicians, one science administrator and one

academic/financial administrator. The Centre has three collaborating honorary professors from Oxford

University in the UK, Max-Planck Institute in Stuttgart, Germany and The Ohio State University in the USA.

2.7.3. Finances

2.7.3.1. Rigor and accountability

The Centre’s financial accounts were externally audited by KPMG in March 2014, October 2015 and March

2016. The Centre’s records were verified.

2.7.3.2. Income generation

The income generated from instrument usage, training as well as an Eskom/UCT contract for the salary of

a scientist (included under industry contracts from 2013) is shown in Table 22.

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Table 22: Income received

Note: The funds received for a video conferencing facility were not included in the table of income (Table

22). Funding for a video conferencing system amounted to R1.37 million from Sasol in 2013 and R326 000

from the DST in 2014 via UWC as part of the MSc Nanoscience programme.

It is clear from Table 22, that the income generated from 2011 to 2015 by charging for instrument usage,

training and an industry contract, exceeds the amounts projected in the Governance and Management

Plan for this period and the CHRTEM has therefore been successful in leveraging additional funds in spite

of the current economic crisis in South Africa (see section 3.3.2).

The costs for accessing the CHRTEM is summarised in Table 23.

Table 23: Costing table (June 2016)

Per Hour Per Sample

Feeder TEM ARM FIBSEM

SEM, EDS, EBSD

Post Processing Ion

Milling Mechanical Polishing

Cross Polishing

AFM Nano-Indentor

Commercial *1400 *3000 *1400 *1300 300 200 400 400 1300 External non-commercial (incl universities)

350 600 600 350 200: 100 200 200 350

Internal 300 600 450 300 200 80 200 100 300 * Totals consist of operator cost (R 500) and machine time

Sources of income Year Year Year Year Year

2011 2012 2013 2014 2015

Microscope usage and trainingInternal R 6 000 R 14 000 R 19 865 R 38 302 R 54 428Universities R 8 050 R 25 350 R 19 475 R 92 272 R 72 637Research Institutions R 35 400 R 32 266 R 17 100 R 15 150 R 51 930Industry R 468 034 R 358 491 R 228 800 R 265 843 R 74 838

R 517 484 R 430 107 R 285 240 R 411 567 R 253 834Contracts

Industry R 340 000 R 698 246 R 1 493 045 R 1 331 590 R 1 416 684TOTAL R 857 484 R 1 128 353 R 1 778 285 R 1 743 157 R 1 670 518

Income projected in 2008 R 201 750 R 424 188 R 626 869 R 1 009 085 R 1 421 835

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The total income received for the reporting period is summarised in Table 24.

Table 24: Total income received for the period 2011 to 2015

2011-2015 (1)

Source or revenue Anticipated as per Governance Document

Actual Amount Collected

Over/Under collection

Industry R 2 701 630 R 1 396 006 -R 1 305 624

Universities And Research Institutions R 232 096 R 502 226 R 270 130

International Collaboration R 750 000 -R 750 000

Industry Contracts R 5,279,565 R 5,279,565

NRF Grants (2) R 1 329 682 R 1 329 682

Total Income Received R 3 683 726 R 8 507 479 R 4 823 753

Note: (1) Accurate financial information cannot be supplied for the 2016 budget as it is still on-going.

(2) Does not include NEP/NNEP equipment grants.

The total over collection for the period 2011 to 2015 amounts to R 4 823 753. This is again a very good

indication of success of the Centre in leveraging additional funds in spite of the loss of potential grants

from PBMR Company, Element Six, Sasol and associated THRIP as discussed in the section on the cost-

recovery model.

The CHRTEM is disappointed that a number of joint research applications submitted under RSA bilateral

agreements with China, Russia, Japan and Sweden were not successful. In all cases a lack of funds were

given as the reason for the unsuccessful outcomes.

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2.7.3.3. Expenditure

It should be noted that, of the 2011 DST grant, R 2 million was only released in October 2011 while the remaining R 3 million was released in January 2012. The

2012 grant was received in December 2012 as has been the case every year since then. The final grant is expected in December 2020. Thus the Governance

budget shows an extra R 5 million the Centre did not have access to.

Table 25: Expenditure for the period 2011-2015; comparison of the budget as per the Governance Document against actual funds spent.

2011-2015 (1)

Initial budget as per Governance document 2011-

2015

Actual Expenditure 2011-2015

Comments on Variance Expenses from DST grant

Variance Expenses from

other accounts (6) Total spent

Variance incorporating both

DST and Other Accounts

Staff Costs (2) R 19 208 291 R 11 830 551 R 7 377 741 R 3 266 021 R 15 096 571 R 4 111 721

Running Costs R 9 506 948 R 3 857 198 R 5 649 751 R 1 285 656 R 5 142 854 R 4 364 095

Other Costs (3) R 2 415 551 R 55 571 R 2 359 981 R 55 364 R 110 934 R 2 304 618

Support costs (4) R 2 490 700

R 2 490 700

R 0 R 2 490 700

IT Equipment and Licences

R 948 872 R 390 284 R 558 589 R 191 937 R 582 220 R 366 653

Travel and training costs (5)

R 5 027 574 R 3 629 665 R 1 397 910 R 1 573 268 R 5 202 933 -R 175 359

International travel has become more expensive due to the weak Rand. In 2014, an IMC international conference held in Prague was attended by multiple staff and students.

(1) Accurate financial information cannot be supplied for the 2016 budget as it is still on-going. (2) The Governance Budget takes the Director’s salary into account. However the director is paid by the NMMU. (3) Other Costs consists of Entertainment, Marketing, and Teambuilding. (4) Support costs were never made use of and never requested. (5) Travel and training costs include: Local and international travel; Advisory Board Meetings; Succession, staff and student development; Hosted and attended conferences, workshops and events. (6) Salary expenses from other accounts include the salary of a senior researcher as well as the salaries of Centre staff in 2011, before the DST grant was released.

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Table 26: Expenditure for the period 2013-2015; comparison of the Budget requested annually from the NRF with the actual expenses.

2013-2015 (1)

Initial budget as per Governance document 2013-

2015

Requested Budget as approved 2013-2015

Actual Expenditure 2013-2015

Comments on Variance Expenses from DST grant

Variance Expenses from other accounts

Total Spent

Variance to Budget requested

incorporating both DST and

Other Accounts Staff Costs (2) R 12 759 556 R 10 310 679 R 9 873 254 R 437 426 R 1 487 572 R 11 360 825 -R 1 050 146

Running Costs R 5 505 794 R 4 125 011 R 2 803 116 R 1 321 896 R 808 962 R 3 612 078 R 512 934

Other Costs (3) R 1 498 061 R 867 577 R 49 305 R 818 273 R 23 614 R 72 918 R 794 660

Support costs (4) R 1 691 800

R 0

IT Equipment and Licences

R 607 322 R 598 123 R 374 456 R 223 668 R 59 237 R 433 693 R 164 431

Travel and training costs (5)

R 3 182 588 R 2 099 949 R 2 786 579 -R 686 630 R 1 259 057 R 4 045 636 -R 1 945 687

International travel has become more expensive due to the weak Rand. In 2014, an IMC international conference held in Prague was attended by multiple staff and students.

(1) The Centre started submitting approved (advisory board) budget requests to NRF from 2013. (2) The Governance Budget takes the Director’s salary into account which is paid by the NMMU. As a result, this was removed from the Governance Budget. (3) Other Costs consist of Entertainment, Marketing, and Teambuilding. (4) Support costs are covered by the university and were therefore not included in the budget requests. (5) Travel and training costs include: Local and international travel; Advisory Board Meetings; Succession, staff and student development; Hosted and attended conferences, workshops and events

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2.7.3.4. Equipment maintenance for next five years

The three JEOL and one FEI electron microscopes at the CHRTEM were purchased with extended five year service contracts/warranties (spares and service). These service contracts have to be renewed by September 2016 (FEI) and November 2016 (JEOL). During August 2015 an application was submitted to the NRF for R10 million, with the balance to be contributed as follows: R 5 million from NMMU and the balance of R 2.53 million to be provided by the CHRTEM. In August 2015, the quotation for the service contracts was R17.63 million for JEOL (2 TEMs and 1 SEM, 5 year coverage) and FEI (1 FIB-SEM, 3 year coverage). As a result of the dramatic devaluation of the SA rand, the current quote for 3 year warranties for JEOL (2 TEMs and 1 SEM) and FEI (1 FIB-SEM) is a total of R16.7 million. The NRF/DST has agreed to provide R 10 million on condition that NMMU and CHRTEM make a 1:1 contribution.

CHALLENGE: FULL-COST RECOVERY

In order to ensure the long term sustainability of the CHRTEM, it is necessary to adopt a full-cost

recovery model for the Centre so that at least the cost of future maintenance contacts for the

instruments may be recovered. Such a model, based on a UK example, is proposed in section 3.3.2.

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3. Addressing Challenges

This section of the SER looks at addressing the challenges identified in section 2, as well other

challenges brought to the Director’s attention by the CHRTEM advisory board.

3.1. Facilities

The utilisation of the FIB-SEM is currently at 64% of capacity; however, this is the main instrument

where a bottleneck is experienced. This is due to the fact that a FIB-SEM has become a vital

instrument for the preparation of TEM and HRTEM specimens. In addition, the Helios FIB-SEM in the

CHRTEM is also used for slice and view experiments (takes 1 day per sample), HR SEM imaging and

low energy backscatter electron imaging.

A second FIB-SEM for the CHRTEM is therefore the first priority. A second feeder TEM (with FEG) is

the second priority, however, a second feeder TEM can only be considered after two additional TEM

operators have been trained and appointed. The CHRTEM has enough space to accommodate the

additional instruments and staff.

3.2. Human capital

3.2.1. Envisaged training interventions and researcher development plans

While the NMMU physics students are exposed to a well-planned undergraduate curriculum

covering the introductory subjects (optics, modern physics, quantum mechanics, crystallography,

solid state physics, etc.) required for specialisation in advanced electron microscopy during master’s

and doctoral studies, the majority of students from other universities lack this background and

therefore find it very difficult to master the theory of materials characterisation using conventional

and advanced TEM techniques.

So while the training of external candidates accessing the Centre or attending special training

workshops will continue as before, the following specialised training intervention is proposed.

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3.2.1.1. Coursework (taught) masters in materials characterization using advanced

electron microscopy

The introduction of a 2-year coursework (taught) masters with mini-dissertation focusing on courses

in materials (e.g. for energy systems) and a wide range of electron microscopy theories (SEM, EBSD,

EDS, TEM, STEM, HRTEM, EELS and image simulation) and practical aspects is proposed. All these

courses will be presented by scientists from the Centre for HRTEM as well as one or more visiting

professors from abroad. We believe that such a focused intensive coursework masters is the best

way to train skilled electron microscopists for SA. International students would also be welcome to

register for his MSc course.

The above suggestion is in line with a number of UK universities which are offering 12-month

Master’s courses. E.g., the University of York is offering a 12-month taught MSc (physics) in Fusion

Energy.

3.2.2. Additional microscope scientists

According to the Management and Governance plan of the Centre, during Stage 3 (Oct 2015 – Sep

2017), the total instrument usage should increase from 75% to 100% capacity and two additional

HRTEM scientists should be appointed. The current utilisation of the two HRTEMs is about 50% and

this can only be increased with additional operators. The 50% utilisation is an acceptable value and is

related to the number of current TEM operators, which is four (three paid by the Centre and one

paid by UCT/Eskom). One microscope session requires about two sessions of post processing and

analysis. Additional funds will be required to appoint two additional TEM scientists.

3.2.3. Staff retention

The retention of the highly skilled electron microscope scientists and the microscope engineer (all

with PhDs) is an essential strategy for the long term sustainability of the CHRTEM. These scientists

were all trained and developed at NMMU (and abroad) over a period of about 9 years. The fact that

the financial support of the DST for the CHRTEM will stop at the end of 2021 (first phase of the Ten

Year Plan) creates uncertainty among the young Centre staff and, since these highly skilled electron

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microscope scientists would easily find jobs abroad, the lack of long term security that the Centre

offers presents a real risk that the these scientists will leave resulting in disastrous consequences for

the Centre, its collaborators and stake holders. It is therefore important to create a career track for

the highly skilled electron microscope scientists and other skilled staff at the Centre so that the

future of this strategic national asset can be secured.

3.2.4. Revision of CHRTEM staff salaries

The Ten Year budget for the Centre was drawn up during 2008 before the Centre was launched in

2011. It is therefore necessary to review the salaries and compare it with pay scales of a typical

government funded research institution in SA. The comparison of Centre for HRTEM pay scales (cost-

to-company) with that of a Government funded Research Institution in Gauteng, revealed that the

payment of administrative personal in the Centre for HRTEM is competitive. However, the Centre

pay scale for specialist high resolution TEM microscope scientist is about 14% lower than the pay

scale (mid-point) of a specialist at the research institution in Gauteng. An upward salary adjustment

for the specialist microscope scientists would therefore be necessary in future Centre budgets.

3.2.5. Scientific leadership development for succession planning

3.2.5.1. Job description of the Director of the CHRTEM

The future director of the Centre should ideally be an established scientist/academic with an NRF

rating, if South African.

The following core competencies are required for the position of director of the Centre for HRTEM:

• In-depth electron microscopy and materials knowledge

• Track record of MSc & PhD student supervision

• Problem solving skills in a range of materials and technologies relevant to SA

• Experience with curriculum development

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• Able to give research direction to the Centre on a range of topics (such as energy materials,

catalysis, nanoscience) of relevance to SA

• Skilled in the negotiation of industry contracts

• Grant applications

• Financial management

• Collaboration and networking with international scientists and institutions

3.2.5.2. Challenges

During the first phase of the Centre, the expectations and demands on the Director and Centre have

increased significantly. These include ever-increasing administrative loads and reports, marketing

and outreach activities, fund raising and grant applications for bursaries, equipment and research.

The Centre holds four management meetings per year, two advisory board meetings; in addition, the

director has to attend four physics department, four facility board and four senate meetings per

year. Other responsibilities of the director include being the president of the Microscopy Society of

Southern Africa plus ad hoc meetings with industry partners, collaborators as well as undergraduate

and postgraduate lectures. It remains a challenge to find enough time to focus on the core business

of the Centre which is research and training. The current situation will present serious challenges to

any successor of the current director. Although the current director is paid by the NMMU, he

receives no extra compensation for being the director of the CHRTEM. His normal physics lecture

load is shared by CHRTEM staff and includes Modern Physics and Nuclear Physics for 2nd years,

Crystallography and X-ray diffraction for 3rd years, MSc Nanoscience: Experimental Nanophysics,

Properties of Matter for 1st years, Physics for Pharmacy students and Physics for Dietitians.

3.2.5.3. Succession plan

The four most experienced scientists with PhDs in the Centre have been trained and developed as

possible successors. Two have NRF Y ratings and all four are involved in postgraduate student co-

supervision. These scientists also assist with grant applications and preparation of research reports.

In order to increase the national pool of potential successors, a serious intervention is needed. The

DST favours a funding strategy to support short research visits (about 4 weeks) by emerging

scientists to the Centre for HRTEM. However, a funding instrument is needed to pay the costs (travel

and accommodation) of these short visits.

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It is strongly recommended that broader pool of national successors be developed using the

following two approaches:

1. Emerging researchers busy with PhD studies spend time at the Centre for further training in

electron microscopy and materials.

2. Established scientists spend time at the Centre to be exposed to the operation of the Centre

and the responsibilities and skills of the director.

Funding streams for these development programmes will have to be found or created. A number of

young black scientists who were trained, or who had contact with the Centre before, have been

earmarked for further training, mentoring and exposure to the operation of the Centre. These

candidates are Dr Ntombi Mathe (CSIR), Mr Sinoyolo Ngongo (NMMU), Ms Vilile Vilane (UCT)

Dr Nobom Hashe (NMMU), Dr Colani Masina (UKZN), Mr Etienne Minnaar (NMMU) and Ms Nolufefe

Ndzane (TUT).

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3.3. Finance

3.3.1. Projected financial requirements (next 5 years)

Table 27: Operating costs of the second five years of the CHRTEM (DST contribution)

Note: (1) Salary costs of the 10 staff members (excluding the director) as defined in the budget from the

original Governance and Management plan (see Table 30)

Y6 Y7 Y8 Y9 Y102016 2017 2018 2019 2020

Staff costs (1)10 staff members 4 036 648 4 319 214 4 621 560 4 945 068 5 291 223 Total Staff Costs 4 036 648 4 319 214 4 621 560 4 945 068 5 291 223 5 661 608

Running costsResearch consumables 100 000 107 000 114 490 122 504 131 080 140 255 Maintenance 360 000 385 200 412 164 441 015 471 887 504 919 Liquid nitrogen 70 000 74 900 80 143 85 753 91 756 98 179 Total running costs 530 000 567 100 606 797 649 273 694 722 743 352

Other costsExternal auditors 30 000 32 100 34 347 36 751 39 324 42 077 Marketing 15 000 16 050 17 174 18 376 19 662 21 038 Office expenses 47 000 50 290 53 810 57 577 61 607 65 920 Proposal screening honoraria 10 000 10 700 11 449 12 250 13 108 14 026 Team building 12 000 12 840 13 739 14 701 15 730 16 831 Entertainment 10 000 10 700 11 449 12 250 13 108 14 026 Total other costs 124 000 132 680 141 968 151 905 162 539 173 916

IT equipment and licensesComputors and peripherals 80 000 85 600 91 592 98 003 104 864 112 204 Software licenses 25 000 26 750 28 623 30 626 32 770 35 064 Total IT equipment and licences 105 000 112 350 120 215 128 630 137 634 147 268

Travel costs/accomAdvisory board meetings 170 000 181 900 194 633 208 257 222 835 238 434 Conferences 100 000 107 000 114 490 122 504 131 080 140 255 International travel 550 000 588 500 629 695 673 774 720 938 771 403 Local travel 120 000 128 400 137 388 147 005 157 296 168 306 Total Travel costs 940 000 1 005 800 1 076 206 1 151 540 1 232 148 1 318 399

Training costsInternational courses 30 000 32 100 34 347 36 751 39 324 42 077 Training other institutions 50 000 53 500 57 245 61 252 65 540 70 128 International workshop 90 000 96 300 103 041 110 254 117 972 126 230 Succession training 20 000 21 400 22 898 24 501 26 216 28 051 Total training costs 190 000 203 300 217 531 232 758 249 051 266 485

Total expenses R 5 925 648 R 6 340 444 R 6 784 276 R 7 259 174 R 7 767 317 R 8 311 028

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Table 28: Operating costs of the second five years of the CHRTEM (NMMU/ other contributions)

Note: (1) Salary costs of director paid by NMMU together with the salaries of a research fellow and MSc

nanoscience node administrator paid by external funds.

Y6 Y7 Y8 Y9 Y102016 2017 2018 2019 2020

Staff costs (1)3 staff members 1 672 800 1 773 168 1 879 558 1 992 332 2 111 871

Total Staff Costs 1 672 800 1 773 168 1 879 558 1 992 332 2 111 871

Running costsConsumables 100 000 107 000 114 490 122 504 131 080 Maintenance (equipment) 551 000 589 570 630 840 674 999 722 249 Liquid nitrogen 110 000 117 700 125 939 134 755 144 188 Electricity and water 483 880 517 752 553 994 592 774 634 268 Insurance 101 000 106 050 111 353 116 920 122 766 Key man insurance 28 051 29 454 30 926 32 473 34 096 Maintenance, cleaning, security 1 683 062 1 767 215 1 855 576 1 948 355 2 045 772 Telephone, internet 77 421 82 840 88 639 94 844 101 483 Photocopier rental 7 600 8 132 8 701 9 310 9 962 Total running costs 3 142 014 3 325 713 3 520 458 3 726 933 3 945 864

Other costsInternal auditors 22 000 23 540 25 188 26 951 28 838 Marketing 35 000 37 450 40 072 42 877 45 878 Office stationary 12 000 12 840 13 739 14 701 15 730 Team building 7 000 7 490 8 014 8 575 9 176 Entertainment (visitors) 18 000 19 260 20 608 22 051 23 594 Total other costs 94 000 100 580 107 621 115 154 123 215

IT equipment and licensesData processing computers 16 000 17 120 18 318 19 601 20 973 Computer and printer upgrades 25 000 26 750 28 623 30 626 32 770 Software and licences 35 000 37 450 40 072 42 877 45 878 Total IT equipment and licences 76 000 81 320 87 012 93 103 99 620

Travel costs/accomInternational/national visitors 40 000 42 800 45 796 49 002 52 432 Conferences 60 000 64 200 68 694 73 503 78 648 International travel 360 000 385 200 412 164 441 015 471 887 Local travel 108 000 115 560 123 649 132 305 141 566 Total Travel costs 568 000 607 760 650 303 695 824 744 532

Training costsInternational courses 30 000 32 100 34 347 36 751 39 324 Training other institutions 8 000 8 560 9 159 9 800 10 486 International workshop 30 000 32 100 34 347 36 751 39 324 Succession training 15 000 16 050 17 174 18 376 19 662 Total training costs 83 000 88 810 95 027 101 679 108 796

Total expenses R 5 635 814 R 5 977 351 R 6 339 979 R 6 725 025 R 7 133 899

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Table 29: Revised budget based on 80% cost recovery of maintenance contracts, two additional TEM operators and

salary increases of 3 HRTEM specialists (DST contribution).

Notes:

1. Salary costs of two additional operators of the TEMs to increase current usage levels (section 3.2.2).

2. See section 3.2.4 for motivation.

3. Cost recovery (80%) of future maintenance; free instrument usage for postgraduate students (section 3.3.2).

4. Current budget totals from Table 27.

3.3.1.1. Discussion

The budget (projected financial requirements) of the CHRTEM for the next five years has been split

into the operating costs to be covered by the DST baseline grant (Table 27) and that to be covered

by the NMMU and other CHTEM funds (Table 28). These budgets are based on current costs and are

therefore more realistic than the original projections in the Governance and Management Plan

made in 2009 (Table 30) .

It should also be noted that although the first year of the 10 year business plan was 2011, the first

DST baseline grant was only released in October 2011 (R 2 million) and January 2012 (R3 million).

The last year of initial DST support period is therefore 2021.

From Table 27, it is clear that the staff costs (salaries) will exceed the R 5 million baseline grant in

2020 and the total expenses will exceed the baseline grant in 2017. Without an increase in DST

support from 2017 onwards, the Centre will increasingly experience financial difficulties.

Table 28 lists the contributions by the NMMU and CHRTEM (industry grants and CHRTEM income

generated) towards the operating costs of the Centre. The director and Centre Staff are actively

pursuing every possible grant/research funding opportunity (see section 3.4 for details) to increase

the income generated by the Centre. However, it is clear that without DST support, a National

Centre for advanced HRTEM is not sustainable in the current economic climate and with the small

number of high tech industries in the RSA.

Y6 Y7 Y8 Y9 Y102016 2017 2018 2019 2020 2021

Revised budget - cost recovery(1) Two additional TEM operators 967 280 1 034 990 1 107 439 1 184 960 1 267 907 (2) 14% salary increase: 3 specialists 206 338 220 782 236 236 252 773 270 467 (3) 80% cost recovery 4 488 000 4 802 160 5 138 311 5 497 993 5 882 852 (4) Current budget 5 925 648 6 340 444 6 784 276 7 259 174 7 767 317 8 311 028 Total revised budget R 5 925 648 R 12 002 062 R 12 842 207 R 13 741 160 R 14 703 042 R 15 732 254

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In order for the CHRTEM to grow, recover the costs of future service contracts, and continue to

provide a service of strategic importance to the academia and industry in the RSA, a revised budget

is proposed in Table 29. This revised budget is based on a 80% cost recovery of maintenance

contracts (see section 3.3.2), two additional TEM operators (see section 3.2.2) and salary increases

of three HRTEM specialists (see section 3.2.4) employed in the CHRTEM. The basis of the revised

budget in Table 29 is that Government (DST) provide additional funds to allow a 80% cost recovery

per annum for future maintenance contracts (see Table 29) on condition that postgraduate students

get free access to the electron microscopes (and training) in the CHRTEM subject to the approval of

their research project applications by the independent project proposal screening committee.

The international scientific members on the advisory board of the CHRTEM believe that the current

funding and cost recovering model of the Centre is not sustainable and they strongly advise the

Centre and DST/NRF to adopt the cost recovery model of small research facilities in the UK or EU.

This proposal is discussed in more detail in section 3.3.2.

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Table 30: Operating expenses for according to the original Governance and Management Plan of the CHRTEM (include

projected total contributions by DST and NMMU).

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3.3.2. Cost-recovery model

3.3.2.1. State of economy and consequences

At the HRTEM consultative workshop hosted by the NRF and the Department of Science and

Technology (DST) in 2008 in Cape Town, participants comprising academics, industry stakeholders

(including Sasol, Element Six and PBMR company) and international experts unanimously supported

the proposed establishment South African Centre for HRTEM at NMMU. During the period when the

microscopes were ordered, the rand remained stable. However soon after this, the effects of the

global economic crisis had a widespread negative impact in South Africa. The global economic crisis

hit SA in 2009, the Pebble Bed Modular Reactor (PBMR) project was terminated in 2010, Element Six

moved its diamond research labs to UK in 2012 and Sasol cut its university funding for 2014 by close

to 50%.

The rand lost 41% of its value from 2009, the SA economy is currently on the brink of junk status and

the zero % increase in student fees in 2016 resulted in a shortfall of millions of rand for universities.

This has created serious financial constraints for universities to fund research. The challenges

mentioned above have led to a loss in potential external funding for the Centre. In addition, the

current weak rand has significantly increased the cost of new service contracts/extended warranties

to be purchased by the end of 2016.

3.3.2.2. Current cost recovery

Although a fair amount of the Centre’s operating cost is recovered, it is not enough to grow the

Centre and to provide for future maintenance contracts. The current funding of the Centre is not

sustainable because the majority of academics and postgraduate students who make use of the

Centre have limited research funds. This is mainly due to SA’s current low economic growth which

impacts negatively on the ability of government and industry to support academic and industrial

research. This together, with the fact that current NRF mobility grants are too small to cover

microscope rates adequately, has led to a reduced utilisation of the Centre by academics and

postgraduate students which contributes towards a reduced cost recovery.

In order to ensure that the Centre remains affordable to students and academics while at the same

time generating enough income to pay for maintenance contracts, it is important to reconsider the

viability of the current funding model. The international scientific members on the advisory board of

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the Centre for HRTEM believe that the current funding and cost recovering model of the Centre is

not sustainable and they strongly advise the Centre and DST/NRF to adopt the cost recovery model

of small research facilities in the UK or EU.

3.3.2.3. Cost recovery model based on Small Research Facility costing in the UK

In this model, the charge-out rates of a specific instrument (e.g. HRTEM, FIBSEM, SEM, etc.) will

generally include the running costs of the facility, full costs of academics/scientists and research

assistants involved, instrument maintenance contract costs, university levies, payroll costs of other

staff, staff training and travel and consumables.

(Some EU/UK institutions include equipment depreciation in the charge-out-rates in order to

generate funds for eventual replacement of the instruments).

The following differentiated charge-out-rate scheme is used:

• Internal (host university) and external students are not charged

• Academics apply to UK Research Council for funds to pay the full academic rates for

instrument usage

• Industry pays commercial (IP) rates which amounts to £ 2671 per day (R57 105) for the

Cs- corrected HRTEM.

• Industry members who publish joint papers with SRF (EM unit) pay academic rates

• Research institutions (such as CSIR or Mintek in RSA) pay academic rates if they publish

joint papers with SRF and pay industry rates if they do not publish a joint paper.

A typical HRTEM centre in the UK works on 50% cost recovery. An example of a sustainable cost

recovery model for a Small Research Facility in the UK is provided in Table 31.

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Table 31: Example of a cost recovery model for a Small Research Facility in the UK

Costs to be included in calculations

Department Physics

Facility Name EM facility Cost Centre Number#Space Sqm 250Category HRTEMSub-category

Direct costs FTE £Staff costs- Admin 1Staff costs- Academic 1Staff costs- Premises related 1Staff costs - technicians 1Staff- other 0TOTAL - PAY 4

Consumables 1Equipment maintenance and service contracts 1Equipment replacement (depreciation) 0Miscellaneous 1Utilities (rate /m2) or £0 0Utilities 1TOTAL- NON-PAY 4

Infrastructure and Capital charges £Non-premises related- academic staff /FTE 1Non-premises related other staff/FTE 0University space charge/m2 1TOTAL CHARGES 2

TOTAL COSTS 10

% Usage of facility by research 100Costs for research 10

Unit of outpute.g. per day/hour/sample 365

100% utilisation 100Expected utilisation 220SRF Charge-out rate per day 2 700.00

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3.3.2.4. Proposed cost recovery model for the CHRTEM

If this model is adopted for the RSA and applied to the Centre for HRTEM, academics and scientists

(including their students) could apply to a “National Research Council” for funds to pay the full cost

recovery rates for the usage of the electron microscopes in the Centre. In SA there are only two calls

per year for NRF Mobility Grants and these grants cover the travel and accommodation costs of the

postgraduate student or scientist, but it is not enough to pay for the instrument usage to allow cost

recovery. The adoption of the UK/EU model would enable many more scientists/students to use the

instruments (i.e. increased access and instrument usage) and it would greatly increase cost recovery

and provide funds for future renewal of service contracts.

During the interim phase (from 2017 onwards), the DST could provide additional funds to allow a

80% cost recovery per annum for future maintenance contracts (see Table 29) on condition that

postgraduate students get free access to the electron microscopes (and training) in the CHRTEM

subject to the approval of their research project applications by the independent project proposal

screening committee. It should be noted that since 2011, no external requests for time on the TEMs

have been turned down. The only requests that were not approved were in cases where the

specimens to be analysed were not suitable for TEM investigations. In these cases, alternative and

more suitable analysis methods were suggested.

3.4. Long-term Strategy

3.4.1. Strategy to evolve into a National Facility/Centre of Excellence

The Centre for HRTEM was established under the NRF strategic platform programme. It is expected

to operate as a National Centre in advanced Electron Microscopy. According to the 10-year business

plan accepted by the DST/NRF, the Centre will receive a baseline grant of R5 million per year for 10

years ending 2021 (the first DST baseline grant was only released in October 2011 (R 2million) and

January 2012 (R3 million).

It is quite obvious from the high quality research outputs and extensive collaborations that the

Centre is of strategic importance to the academia and R&D of number of industries in the RSA. In

order to grow the Centre and ensure long term financial sustainability, the Centre should evolve into

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a National Facility for Advanced Electron Microscopy with a cost recovery charge-out-rates based on

the internationally accepted models used in the UK and EU. Ultimately the best model for the Centre

for HRTEM, whether it becomes a National Facility or Centre of Excellence, should be developed in

co-operation with the DST, NRF and other stake holders as a matter of urgency.

The Centre for HRTEM is already part of the Materials Characterisation Research Infrastructure

which is a component of the South African Research Infrastructure Roadmap (SARIR). The SARIR is a

DST initiative.

3.4.2. New research and collaboration initiatives

3.4.2.1. Strategies to overcome constraints

In spite of the all the economic challenges facing South Africa we have succeeded in initiating the

following new, or expand current, collaborations which involve high quality research projects and

funding opportunities.

Sasol – research on nanoparticle catalysts, core-shell catalysts and in situ reduction/oxidation of

catalysts using an in situ gas cell TEM specimen holder. Other collaborators include the DST-NRF

Centre of Excellence in Catalysis at UCT and the Universities of Manchester and Oxford. The Centre

has submitted a 2016 THRIP application based on a 2016 Sasol grant.

Eskom (coal power) – new contacts for the characterization of coal fired power plant steels have

been negotiated. Eskom has approved the renewal of four of its oldest coal power stations and has

indicated that it wants to grow the expertise in steel research and analysis at the Centre for HRTEM.

Other collaborators include Prof Bernhard Sonderegger, Dept. of Materials Science and Welding,

Graz University of Technology, Graz, Austria

Eskom (nuclear power) – Eskom has expressed interest in the development of a small modular

nuclear reactor and the Centre for HRTEM has been asked to assist with the nuclear fuel design and

characterization.

Element Six – The CHRTEM has close contact with Element Six in the UK and a new cutting edge

research project has been proposed.

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Titanium Centre of Competence (TiCoC) – After recent discussions with the manager of the Light

Metals division at the CSIR, it was agreed that the Centre for HRTEM becomes part of the TiCoC.

Other collaborators include the Center for Accelerated Maturation of Materials at The Ohio State

University, USA (Prof Hamish Fraser) and Dr Muriel Veron, Grenoble Institute of Technology, France .

South African Research Infrastructure Roadmap (DST initiated) - The Centre for HRTEM is part of

the Materials Characterization Research Infrastructure component of the DST initiated South African

Research Infrastructure Roadmap which will in future contribute research and maintenance funds.

Hulamin – A MoU with Hulamin for aluminium alloy research has been agreed on.

BRICS multilateral projects – an application for a joint research project on functional materials for

nuclear energy will be submitted shortly with partners the JINR, Dubna (Russia), C HRTEM (NMMU)

and Amity University, Noida, India.

Horizon 2020 - The Centre HRTEM is busy with an EU Research and Innovation Staff Exchange (RISE)

grant application with EU partners Oxford University (UK) and the Max Planck Institute (Stuttgart).

SAN-NEST – The director of the Centre HRTEM is a founder member of the South African Network

for Nuclear Education, Science and Technology (SAN-NEST). This network has started to prepare for

the envisaged Nuclear Build in SA.

Flanders-RSA bilateral grant: A joint application is being prepared to enable the Dept. of Physics at

University of Antwerp and the Centre for HRTEM to collaborate on electron tomography. The focus

will be on “novel image reconstruction and analysis methodology to allow quantitative

interpretation of electron tomography data”. At the C HRTEM, the technique will mainly be applied

to the study of precipitates in new and creep aged steel used in Eskom coal power plants.

Flanders – RSA bilateral grant: The Centre for HRTEM is included in a joint Flanders application by

the DST-NRF CoE in Catalysis at UCT on supported nanoparticle catalysts.

IAMNano 2016 – The international organisers of IAMNano, an annual workshop on Advanced and

In-situ Microscopies, have asked the Centre for HRTEM to host the November 2016 workshop in Port

Elizabeth. The international keynote speakers represent the top electron microscopists in the world

and this event will be a highlight for microscopy in South Africa and will also present excellent

networking opportunities for South African scientists and students. Please visit the IAMnano 2016

website: http://chrtem.nmmu.ac.za/iamnano-2016.

http://chrtem.nmmu.ac.za/iamnano-2016

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