centre for high resolution transmission electron microscopy response sep 2017.pdf · chrtem /...

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CHRTEM Advisory Board September 2017

CENTRE FOR HIGH RESOLUTION TRANSMISSION ELECTRON MICROSCOPY

Response to Mid-term Evaluation Report

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Table of Contents

1. Background ..................................................................................................................................... 5

1.1. About the CHRTEM ................................................................................................................. 5

1.2. Mid-term Review .................................................................................................................... 5

1.3. Response to Mid-term Evaluation Report .............................................................................. 7

2. The Need for the CHRTEM .............................................................................................................. 7

2.1. EM: A Building Block of Knowledge-based Economies ........................................................... 7

2.2. EM: A Scarce Skill .................................................................................................................. 10

3. The Impact of the CHRTEM ........................................................................................................... 11

3.1. Research Outputs and Human Capital Development ........................................................... 12

3.2. Industry Support ................................................................................................................... 12

3.3. Selection of Research Highlights ........................................................................................... 13

3.3.1. Silver transport mechanism in TRISO coated nuclear fuel particles ............................. 13

3.3.2. Phase of a silver-platinum alloy .................................................................................... 13

3.3.3. HRSTEM of Graphene .................................................................................................... 14

3.3.4. Platelets in natural diamond ......................................................................................... 14

3.3.5. Spinodal decomposition of Fe-Cr steel ......................................................................... 15

3.3.6. Degradation of polycrystalline diamond compacts used in oil & gas drilling ............... 15

3.3.7. Implantation damage in diamond ................................................................................. 15

3.3.8. Implantation by swift heavy ions (collaboration with JINR, Russia) ............................. 16

3.3.9. Nanoparticle catalysts ................................................................................................... 16

3.4. Impact on the Nelson Mandela University and the Port Elizabeth Region .......................... 16

4. The Future Role of the CHRTEM ................................................................................................... 18

5. The Future Needs of the CHRTEM ................................................................................................ 19

5.1. Facilities................................................................................................................................. 19

5.2. Human capital ....................................................................................................................... 20

5.2.1. Envisaged training interventions and researcher development plans ......................... 20

5.2.2. Additional microscope scientists .................................................................................. 20

5.2.3. Staff retention ............................................................................................................... 20

5.2.4. Revision of CHRTEM staff salaries ................................................................................. 21

5.2.5. Succession plan ............................................................................................................. 21

5.3. Finance .................................................................................................................................. 21

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5.3.1. Projected financial requirements (next 5 years) ........................................................... 21

5.3.2. Revised Budget .............................................................................................................. 24

6. Long-term Strategy ....................................................................................................................... 25

6.1.1. Current cost recovery ................................................................................................... 25

6.1.2. Cost recovery model based on Small Research Facility costing in the UK .................... 25

6.1.3. Proposed cost recovery model for the CHRTEM .......................................................... 25

6.1.4. Strategy to evolve into a National Facility/Centre of Excellence .................................. 26

List of Abbreviations

ARM Atomic Resolution Microscope CHRTEM / C-HRTEM Centre for High Resolution Transmission Electron Microscopy CME Centre for Materials Engineering at UCT CoE Centre of Excellence Cs Spherical aberration CSIR Council for Scientific and Industrial Research, South Africa DHET Department of Higher Education and Training DST Department of Science and Technology DVC Deputy Vice Chancellor EBSD Electron Backscattered Diffraction EDS / EDX Energy Dispersive X-ray Spectrometry EELS Electron Energy Loss Spectroscopy EFTEM Energy Filtered Transmission Electron Microscopy

Element Six It is a synthetic diamond supermaterials company, which is a member of the De Beers Group of Companies

EM Electron Microscopy EMU Electron Microscopy Unit eNtsa Mechanical Engineering department at Nelson Mandela University ESKOM Electricity Supply Commission, South Africa EPPEI Eskom Power Plant Engineering Institute EU European Union FEG Field Emission Gun FEI Name of company supplying electron microscopes FIBSEM Focused Ion Beam Scanning Electron Microscope HAADF High-angle Annular Dark-field HRTEM High Resolution Transmission Electron Microscope JEOL Name of company supplying electron microscopes

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JINR Joint Institute for Nuclear Research, Dubna, Russia LaB6 Lanthanum hexaboride Lonmin Lonmin PLc is a primary producer of Platinum Group Metals in SA MANCO Management Committee of the Nelson Mandela University MINTEK Council for Mineral Technology, Randburg, South Africa MSSA Microscopy Society of Southern Africa MOCVD Metal Organic Chemical Vapour Phase Deposition Necsa Nuclear Energy Corporation of South Africa NMISA National Metrology Institute of South Africa, Pretoria, South Africa NNEP/NEP National Nanotech Equipment Programme/National Equipment Programme NRF National Research Foundation ODS Oxide Dispersion Strengthened steel PBMR Pebble Bed Modular Reactor (PTY) Ltd R&D Research and Development SA South Africa SARChI South African Research Chair Initiative SARIR South African Research Infrastructure Roadmap

Sasol Sasol Ltd is an international integrated energy and chemical company based in Johannesburg, SA

SEM Scanning Electron Microscope SER Self-evaluation Report STEM Scanning Transmission Electron Microscopy TEM Transmission Electron Microscope TKD Transmission Kikuchi Diffraction TRISO Tri-isotropic coated fuel particle UCT University of Cape Town, South Africa UFS University of the Free State UJ University of Johannesburg UK United Kingdom UWC University of the Western Cape VC Vice Chancellor

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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 University in Port Elizabeth (chrtem.mandela.ac.za). The main aim of the CHRTEM is to provide a broad community of South African academic and industrial researchers with a full range of world-class instruments and expertise for materials research. The Centre houses four state-of-the-art electron microscopes, together with the enabling infrastructure for sample preparation and data processing. The Centre houses the only double aberration corrected transmission electron microscope in Africa, and is the leading facility for advanced microscopy on the African continent.

The establishment of the Centre was in response to the urgent need for an advanced electron microscopy facility in South Africa; coupled with the need to develop human capacity skilled in the use and interpretation of modern TEM. Such a facility is vital to support technology development and innovation in-line with national imperatives such as minerals beneficiation, the transformation towards a knowledge-based economy, and the support of long-term nanoscience research through the provision of equipment infrastructure and the development of human resources.

1.2. Mid-term Review

The mid-term review of the CHRTEM took place from 30 January to 03 February 2017 at the request of the National Research Foundation (NRF). The purpose of the evaluation, held after the first 5 years of operation of the Centre, was 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 (Appendix 1) 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.

The following panel members prepared the evaluation report (Appendix 3):

• Prof David C. Bell, Harvard University, United States of America (Chair) • Prof Chantélle Baker, Sefako Makgatho Health Sciences University, South Africa • Prof Wolfgang Jaeger, University of Kiel, Germany • Prof Michael Witcomb, University of the Witwatersrand, South Africa

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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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The main inputs that were used to evaluate the performance of the Centre were:

• the Director’s Self-evaluation Report (SER) (Appendix 2); • Annual Progress Reports (APRs) 2011- 2016 submitted by the Director, CHRTEM; • the Deputy Vice Chancellor’s (DVC: Research & Engagement) institutional level impact

report; • interviews with various stakeholders; and • a site visit to the Centre by members of the evaluation panel (1 February 2017).

1.3. Response to Mid-term Evaluation Report

This document constitutes the response of the CHRTEM Advisory Board to the evaluation report prepared by the external review panel. It serves to consolidate the information presented in the self-evaluation report with the findings and recommendations made in the mid-term evaluation report, and by so doing, aims to:

• Reiterate the need for an advanced electron microscopy facility in South Africa; • Reiterate the impact that has been made by this multi-million rand DST investment on

research infrastructure, knowledge generation and human capital development; • Discuss the role of the CHRTEM going forward; • Discuss the needs of the CHRTEM going forward in terms of facilities, human capital and

finances; and • Propose a long-term strategy that will ensure the sustainability and growth of the CHRTEM.

2. The Need for the CHRTEM

2.1. EM: A Building Block of Knowledge-based Economies

About sixty years ago, South Korea and Japan were two of the poorest countries in the world with little natural resources. Over three to four decades, both countries had transformed their economies from poor to world-class, high technology economies with highly skilled workforces. They were able to achieve this miraculous technological and economic growth by concentrating on the following:

• Strong focus on education and the creation of a highly skilled workforce; • Focus of research on applied commercial technologies, the development of own technologies

and manufactured products; • Formulation of long-term technology development plans; • Creation of teams consisting of large companies, universities and government departments

which collaborated to identify export products, the development of a long-term strategy and the development and manufacturing of the products.

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South Africa (SA) is currently experiencing huge challenges regarding poverty, unemployment and low economic growth. The unemployment level is the highest since 2013. SA was downgraded to sub-investment grade and has since the beginning of 2017 entered a technical recession. Inspired by the examples of Japan and South Korea, the CHRTEM is committed to contributing to the 4th industrial revolution by supporting the advancement of technology in the manufacturing sector thereby ensuring international competitiveness, economic growth, job creation, the training of highly skilled scientists (MSc and PhD graduates) and the provision of research and problem solving support to industry, universities and research institutions. It is widely recognized that to be a word leader, a company must develop its own technology. Electron microscopy techniques are powerful for materials research and development since they provide quantitative information about structure and composition on length scales down to the atomic level. This high-resolution spatial information is often not accessible by other techniques and it has become essential for materials development and nanotechnology. Electron microscopy is a key enabling technology in the development of many special materials used to make computers, cell phones, nuclear reactors, solar cells, oilrigs, wind turbines, airplanes, motor cars, tools, medical instruments and many others. In SA, the CHRTEM contributes to the international competitiveness of industries such as Sasol, Element Six, Eskom, Hulamin, Denel, Armscor, and institutions such as Necsa, the CSIR, universities and institutions involved in beneficiation (e.g. platinum, titanium, vanadium, diamond, uranium, thorium and coal). Research at the Centre is multi-disciplinary and focuses on the application of high resolution and analytical electron microscopy techniques for the characterisation of strategic materials for the benefit of South Africa. The Centre combines state-of-the-art facilities with extensive local and international networks with leading industrial partners and universities, supporting research in strategic areas such as energy materials, polycrystalline diamond compacts and other ultra-hard materials used in cutting and drilling tools; nanophosphors and semiconductor nanostructures used in optoelectronic devices; platinum and titanium alloys for minerals beneficiation; the study of novel materials and applications such as natural diamond and graphene; and biological microscopy. Nanotechnology and 3D printing is part of the next industrial revolution. 3D printing is where material in powder form is deposited layer by layer and fused by a powerful laser beam. The CHRTEM characterises materials manufactured by both techniques to make sure that it meets the requirements for the application, whether it is used in electronic devices, sensors, airplanes or biomaterials. Advanced high-resolution analytical electron microscopy techniques are also essential for the successful implementation of nanotechnology and nanoscience. Nanoscience has the potential to significantly enhance the properties of a wide range of products. If we consider only the physical sciences, then these products include solar cells, sensors, electronic devices, ultrahard materials, nanoparticle catalysts, advanced metal alloys, ceramics for improved high temperature nuclear reactors, nanofiltration membranes for the purification of water and catalysts for the production methanol from captured CO2 (green carbon neutral technology). Many other examples exist in the biomedical sciences. Nanoscience in general has made important contributions to many technologies that the wider society benefits from today. All these technologies depend on special materials which were developed and optimised by characterising it at the micro and nanoscale using electron microscopy techniques.

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The CHRTEM is doing research on a wide range of strategic materials of which some are summarised below.

• Evaluation of a number of advanced compounds to be used in nuclear reactors by simulating the environment in nuclear reactors. This is achieved by bombarding the materials with a range of ions and subatomic particles, e.g. neutrons, protons and ions. The radiation damage is then analysed at nano and atomic scale using TEM and HRTEM. The compounds investigated include zirconium nitride (evaluated as host for nuclear waste), oxide dispersion strengthened (ODS) steel and silicon carbide.

• Study of the structure and properties of nanoparticle catalysts used in the coal-to-liquids and gas-to-liquids process.

• Nanodomains and atomic ordering in platinum alloys. (Platinum beneficiation is important for SA).

• Nanocrystalline diamond that is harder than polycrystalline diamond for oil and gas drilling. • Nanosize precipitates in steel investigated to determine the remaining life of steam turbine

rotors in coal-fired power stations (Eskom project). • Nanostructure of titanium and aluminium alloys are investigated. (Titanium beneficiation is

important for SA). • ZnO nanorods as basis for thin film solar cells. • Antimony-based infrared semiconductor sensors (Collaboration with Nelson Mandela

University Physics Department, Denel Dynamics and Armscor). • Aluminium alloy characterisation for Hulamin.

Collaboration between the CHRTEM and other leading local and international 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 fission and fusion reactors, cutting and drilling tools, coal fired power plants, opto-electronic devices, photovoltaic cells, catalysts for Sasol’s coal-to-liquids technology, platinum alloys and various nanoparticle structures. Current local industry partners include Sasol, Eskom, Hulamin and Element Six (SA); while local academic collaborators include various departments at Nelson Mandela University and the universities of Cape Town, Witwatersrand, Free State, Western Cape, Stellenbosch, the DST-NRF CoE in Strong Materials at Wits University and the DST-NRF CoE in Catalysis at UCT. Internationally, collaborators include Element Six (UK), Oxford University (UK), the University of New Mexico (USA), Sichuan University (China), the Joint Institute for Nuclear Research (Russia), the University of Linköping (Sweden), University of Manchester (UK), King’s College London (UK), Idaho National Laboratory (US), Oakridge National Laboratory (US), The Max Planck Institute in Stuttgart, Germany and The Ohio State University, Columbus (US). International experience has shown that basic research has almost always paid off in the long run. Research carried out by the Centre has a good balance of basic and applied commercial components. Furthermore, a major part the research also involves the training of MSc and PhD students and collaboration, which has created extensive international knowledge networks. The DST has created an enabling environment to position universities and research institutions to conduct world-class nanoscience research. It is necessary that these institutions be given long-term

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sustainable support for SA to become internationally competitive in high-tech nanoscience and beneficiation.

2.2. EM: A Scarce Skill

The development of highly skilled scientists (specialists) in advanced electron microscopy and materials research is important for the success of any modern economy. The use of modern electron microscopy techniques for materials and nanoscience research is a much specialised field and currently still a strategic scarce skill in the country.

Since 2005, more than 23 electron microscopes have been installed in South Africa. Many of these instruments are mainly used as imaging devices and not for detailed materials characterisation. Electron microscopy provides a wide range of tools for materials characterization that extends beyond conventional TEM and SEM imaging. These techniques include imaging with advanced conventional and aberration-corrected electron microscopy using high-resolution transmission and scanning transmission electron microscopy (HRTEM and HRSTEM) modes, in-situ transmission electron microscopy, the analytical techniques of energy dispersive X-ray (EDX) spectroscopy and electron energy loss spectroscopy (EELS), electron diffraction and electron backscatter diffraction (EBSD) techniques and image simulation and processing.

Table 1: Estimated shortfall in TEM and SEM specialists per institution

Institution TEM SEM CSIR 1 1

Mintek 1 1 Sasol 1 1

Eskom 1 Necsa 1

Hulamin 1 Element Six 1

University of Pretoria 1 1 University of Johannesburg 2 1

University of the Witwatersrand 1 1 Nelson Mandela University 4 3

University of the Western Cape 1 1 University of Stellenbosch 1 1 University of Cape Town 1 1

University of Kwa-Zulu Natal 1 1 University of Zululand 2 1

University of the Free State 1 Tshwane University of Technology 1

An indication of the general level of competency of electron microscopy users in South Africa was obtained from the reviewers of physical science abstracts submitted annually to the proceedings of

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the Microscopy Society of Southern Africa (MSSA), physical science papers submitted to international journals reviewed my MSSA members and the training of EM users in SA by the CHRTEM staff as part of the JEOL and FEI user group initiative. From the feedback received it is clear that the scientists at the majority of the TEM installations need significant training in the theoretical and practical aspects of transmission electron microscopy and related analytical techniques, EDS and EELS, crystallography and materials science and the optimisation of the TEM (alignments), image simulation and data processing. Secondly, none of the other institutions in SA has the expertise or capability to prepare thin sections for TEM analysis from bulk materials (physical science).

Successful use of modern electron microscopes requires extensive training in physics, materials and electron microscopy. This type of training is taking place at the CHRTEM and Physics Department at Nelson Mandela University. The Centre also presents short training courses at other institutions.

SA currently has a shortfall of at least 38 skilled electron microscopists. It is estimated that 17 TEM and 20 SEM specialists are required to ensure effective use of current electron microscope installations in the country. These numbers were estimated for the SA institutions shown in Table 1, and only include materials/nanomaterials microscope scientists. The estimations are likely underestimating the need, as they does not include microscope scientists specialising in biological and biomedical EM (with the exception of Nelson Mandela University).

3. The Impact of the CHRTEM

Since its launch in October 2011, the CHRTEM has established itself as a leading international research facility. The overall success of the CHRTEM was confirmed in the comments made by the international panel in the mid-term review report:

“The evaluation panel recognizes the outstanding work and achievements of the C-HRTEM in setting up the infrastructure and utilizing its resources in research, education and training,

industry support and both local and international collaborations to the benefit of the South African nation.”

“This Centre is undertaking outstanding research at the highest international standards and produces knowledge for materials and nanotechnology that is leveraged for industry needs.”

“The members of the Centre are globally recognized in the scientific community and are leading the scientific exchange with groups abroad, helping to maintain their research at the cutting

edge.”

“The Centre’s superb characterization facilities are first and unique in SA and throughout Africa, and operating on a world-class level.”

“All industry partners interviewed by the panel acknowledged the massive support and emphasize the future need of the C-HRTEM for their R&D on new materials and products.”

“The research performed by C-HRTEM is outstanding and competitive.”

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“The panel was impressed by the quality and dedication of the Centre staff.”

“The C-HRTEM has allowed South Africa to become internationally relevant in world nanoscience research.”

“The C-HRTEM is a resounding success.”

3.1. Research Outputs and Human Capital Development

To date, the Centre has contributed to the publication of over 86 peer-reviewed articles in accredited journals. The Centre has also made a significant contribution to human capital development through the provision of electron microscopy support and training to students, scientists, and operators from over 70 institutional departments including local and international universities, science councils and industry clients. Over the last 5 years, the Centre has contributed towards the degrees of over 120 postgraduate students (> 60 % black, > 40 % female), and has provided operator training to over 60 postgraduate students (60 % black, 40 % female), 11 industry members (Sasol:5, Eskom:2, Hulamin:5) and 22 operators from electron microscopy units across the country including UCT, the CSIR, UP, UKZN and Mintek. All 29 students supervised or co-supervised by CHRTEM staff are either employed by the CHRTEM, continuing studies or are employed by industry, other universities and schools. Some of the students are employed by the following companies: Anton Paar, Columbus Stainless Steel, Sasol, Element Six, Eskom and a software company in the US.

3.2. Industry Support

The industry support and 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 Sasol scientists in improving their understanding of the crystal structure and catalytic activity of Fischer-Tropsch catalysis by applying advanced electron microscopy. In the case of Eskom, the major energy producer in the country, the CHRTEM plays an important role in the research and training activities of the Materials Science Specialisation Centre of the Eskom Power Plant Engineering Institute. 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. A number of students employed by Eskom have been supported by the CHRTEM, 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 has also supported research on stress corrosion cracking for the Koeberg nuclear reactor and will support Eskom with its development of a next generation gas cooled nuclear reactor. Long standing collaboration with Element Six is ongoing with Element Six supporting two PhD projects on polycrystalline diamond projects.

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3.3. Selection of Research Highlights

The significance of the nano and atomic scale electron microscopy research carried out at the CHRTEM covers a wide range of key technologies – from identifying single iron atoms in graphene to obtaining information that could improve the safety of future nuclear reactors and extend the life of diamond drill bit inserts in oil drills. The Centre assisted Sasol funded students with investigations on hydrogen reduction of silica-promoted iron oxide particles using an in-situ gas flow TEM specimen holder. With the HRTEM it was possible to solve problems that have been mysteries to international researchers for many decades, e.g. the release mechanism of radioactive silver in pebble bed type reactors, the phase of a specific platinum-silver alloy and the thermal degradation mechanism of diamond drill bit inserts. Atomic resolution imaging has also provided important new information on nanoparticle catalysts, platelets in natural diamond, steel exposed to high temperature and stress conditions in coal fired power plants and radiation damage in oxide dispersion strengthened steel, silicon carbide and zirconium nitride. The latter three compounds are being considered as key materials for future improved nuclear reactor designs. A number of the key problems solved as well as a number of research highlights are described below:

3.3.1. Silver transport mechanism in TRISO coated nuclear fuel particles A significant achievement related to the research on Pebble Bed Modular Reactor fuel was the discovery of a transport mechanism of the fission product silver in the tri-isotropic (TRISO) coated fuel particle. The finding that an alloy consisting of palladium silicide can enhance the migration of silver (Ag) along SiC grain boundaries and dislocation cores is an extremely important result since it can explain how radioactive Ag may be released by intact coated particles at elevated temperatures. Top international scientists have been working on this problem since the 1980s, but the CHRTEM proposed the correct explanation. This breakthrough was published in a number of papers, some which are listed below:

• Neethling JH, O’Connell JH and Olivier EJ Palladium Assisted Silver Transport in Polycrystalline SiC Nuclear Engineering and Design 251, 230-234 (2012)

• Van Rooyen IJ, Olivier EJ, and Neethling JH Fission products silver, palladium and cadmium identification in neutron irradiated SiC TRISO particles using a Cs-corrected HRTEM Journal of Nuclear Materials 476, 93 – 101 (2016)

This breakthrough may now allow Eskom and other international nuclear scientists to design advanced fuel (i.e. safer) for next generation high temperature nuclear reactors. 3.3.2. Phase of a silver-platinum alloy Despite more than 100 years of international research on the silver-platinum system, it was still not well understood and its crystal structure could not be determined. After about two years of electron diffraction and Cs-corrected HAADF STEM investigations, the Centre was finally able to propose that the alloy consist of nanosized domains of two phases (fcc and L11 ). A joint paper has now been

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published with a number of international computational scientists from institutions across the world as indicated below:

• Hart GLW, Nelson LJ, Campbell BJ and Vanfleet RR (Depart of Physics and Astronomy, Brigham Young University , Utah, USA) Sluiter M (Dept of Materials Science and Engineering, Delft University of Technology, the Netherlands) Neethling JH and Olivier EJ (CHRTEM, Nelson Mandela University) Allies S (Centre for Materials Engineering, University of Cape Town) Lang C (Dept of Mechanical Engineering, Sydney Australia) Meredig B, Wolverton C (North Western University, Evaston, USA)

• Title of paper: Revisiting the revised Ag-Pt phase diagram Acta Materialia 124 (2017) 325 – 332

This breakthrough will now allow the identification of possible applications of platinum-sliver alloys. 3.3.3. HRSTEM of Graphene Cs-corrected HRSTEM investigations at the CHRTEM of graphene prepared in the UK at Oxford University (UK collaborators are Prof A Kirkland and Dr J Warner) have led to the following two papers in high impact factor journals.

• Robertson AW, Allen CS, Wu YA, He K, Olivier EJ, Neethling JH, Kirkland AI and Warner JH Spatial Control of Defect Creation in Graphene at the Nanoscale Nature Communications 3, 1144 (2012)

• Robertson AW, Allen CS, Wu YA, He K, Kim J, Olivier EJ, Neethling JH, Kirkland AI and Warner JH Dynamics of Single Fe Atoms in Graphene Vacancies Nano Letters 13, 1468 – 1475 (2013)

These papers have demonstrated the use of aberration corrected STEM to identify single impurity atoms in graphene.

3.3.4. Platelets in natural diamond The study of the nature of {001} platelet defects in natural diamond is more than 70 years old. With the new Cs-corrected HRTEM, excellent atomic resolution images of these defects were obtained and compared with simulated images of possible structural platelet models developed by international scientists since the 1980s. A paper was submitted to Nature Materials and it has just been returned by the editor for minor corrections. The main part of this work was done at the CHRTEM, but it also involves other collaborators.

• Title: Imaging the atomic structure and local chemistry of platelets in natural type Ia diamond Authors: E.J Olivier, J.H. Neethling (CHRTEM), R.E Kroon (UFS), S.R. Naidoo (WITS), CS Allen (Oxford), H. Sawada (Oxford), P.A. van Aken (MPI), A. Kirkland (Oxford)

• Submitted to Nature Materials (May 2017)

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The significance of the successful determination of the atomic structure of the platelet in diamond is due to the fact that this knowledge would enable researchers to formulate a more complete picture of the behaviour and evolution of nitrogen based defects in diamond and this would allow the determination of the geological history of type Ia diamonds.

3.3.5. Spinodal decomposition of Fe-Cr steel The CHRTEM was asked by scientists from the KTH Royal Institute of Technology, Stockholm, Sweden to assist with HRSTEM and EELS investigations of a Fe-36wt% Cr alloy for evidence of possible spinodal decomposition. The CHRTEM performed the challenging electron microscopy investigations and the following very good joint article was published.

• Westraadt JE, Olivier EJ, Neethling JH, Hedström P, Odqvist J, Xu X, Steuwer A

Early stages of spinodal decomposition in binary Fe-Cr resolved by high-resolution analytical scanning transmission electron microscopy Materials Characterization 109, 216 – 221 (2015)

3.3.6. Degradation of polycrystalline diamond compacts used in oil & gas drilling The Centre HRTEM made an important contribution to the understanding of failure mechanisms in polycrystalline diamond compounds used in oil/gas drill bit inserts. This work was performed for Element Six as part of a PhD project and the results have significant financial implications for the oil/gas drilling business. The first paper from this work is given below.

• Westraadt JE, Sigalas I, JH Neethling

Characterization of Thermally Degraded Polycrystalline Diamond International Journal of Refractory Metals and Hard Materials, 48, 286 – 292 (2015)

3.3.7. Implantation damage in diamond The CHRTEM has carried out cutting edge HRTEM and EELS research on ion implantation damage in diamond in collaboration with the Centre of Excellence in Strong Materials at WITS. This work also formed part of the PhD project of Dr EK Nshingabigwi, who is now employed at the University of Rwanda. This research resulted in a better understanding of the types of defects produced during implantation doping of diamond which is essential for the optimisation of high-temperature, high-power electric devices based on diamond. Two outputs are given below:

• Neethling JH, Olivier EJ, Nshingabigwi EK, Naidoo SR, Derry TE and O’Connell JH High Resolution Transmission Electron Microscopy Investigation of Implantation Damage in Carbon Implanted and Annealed Diamond Proceedings of the 15th European Microscopy Congress 1 & 2 575-576 (2012) 15th European Microscopy Congress, Manchester, UK

• E.K. Nshingabigwi, T.E. Derry, S.R. Naidoo, J.H. Neethling, E.J. Olivier, J.H. O’Connell and C.M. Levitt Electron microscopy profiling of ion implantation damage in diamond: dependence on fluence and annealing Diamond and Related Materials 49, 1 - 8 (2014)

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3.3.8. Implantation by swift heavy ions (collaboration with JINR, Russia) The CHRTEM is investigating the effects of swift heavy ion impact on Oxide Dispersion Strengthened (ODS) steel alloys, zirconium nitride (ZrN) and zirconium titanium nitride (ZrTiN) as part of a close collaboration with the Joint Institute for Nuclear Research (JINR), Dubna, Russia. ODS steel is a very promising nuclear reactor fuel cladding material, ZrN is a promising ceramic that is being considered for an inert matrix fuel host for fast reactors and ZrTiN has potential as accident tolerant coating on zircaloy. The collaboration on ODS steel includes the Institute for Advanced Energy, Kyoto University, Japan.

This successful collaboration has produced over 20 joint journal articles since 2011. A typical paper is shown below.

• Skuratov VA, Sohatsky, AS, O'Connell JH, Kornieieva K, Nikitina AA, Neethling JH, Ageev VS Swift heavy ion tracks in Y2Ti2O7 nanoparticles in EP450 ODS steel Journal of Nuclear Materials, 456, 111 – 114 (2015)

3.3.9. Nanoparticle catalysts The core business of Sasol is the conversion of syngas (derived from coal or natural gas) into a range of energy and chemical products, including transport fuels, base oils and waxes. The catalytic properties of a catalyst are influenced by its composition and structure at the atomic scale. Researchers at the CHRTEM assist Sasol in improving their understanding of the crystal structure and catalytic activity of Fischer-Tropsch catalysis by applying advanced electron microscopy. To study catalysts at the atomic scale requires the use of an aberration corrected high resolution transmission electron microscope (HRTEM) and these investigations can only be performed at the CHRTEM at Nelson Mandela University as it houses the only Cs- corrected HRTEM in Africa. The collaboration with Sasol involved 3 PhD projects support by Sasol. Two papers are given below.

• C.J. Masina, J.H. Neethling, E. Ferg, S. Manzini, L. Lodya, P. Mohlala and M.W. Ngobeni Mechanism of Reduction in Hydrogen Atmosphere and Thermal Transformation of Synthetic Ferrihydrite Nanoparticles Thermochimica Acta 599, 73 – 83 (2015)

• Govender, Alisa; Barnard, Werner; Olivier, Ezra; Forbes, Roy; Van Steen, Eric; Neethling, Jan The synthesis and characterization of NiFe2O4@Co3O4 core-shell nanoparticles Materials Characterization 121, 93-102 (2016)

3.4. Impact on the Nelson Mandela University and the Port Elizabeth Region

The impact of the CHRTEM on the Nelson Mandela University research and training programmes as well as other Port Elizabeth based institutions is significant. The impact on different programmes is summarised below.

The physics department at Nelson Mandela University has developed expertise in the epitaxial growth of compound semiconductors by Metal Organic Chemical Vapour Phase Deposition (MOCVD) over the

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past three decades. In 2007, the physics department secured funding from the NRF and the university to purchase a new MOCVD system, designed for antimony-based III-V compound semiconductors, which are suitable for infrared detection. Infrared detection is used in systems probing for atmospheric pollution and for military applications such as sensors for heat seeking missiles. The physics department is developing a new type of device structure offering miniaturization of infrared staring array modules for heat seeking missile applications. The Nelson Mandela University physics department is the only institution in South Africa with the equipment and expertise to develop and manufacture this device. The successful development of this device would ensure continued funding of the project by Denel Dynamics and Armscor and the HRTEM is required for the development of this device. The CHRTEM is providing strong support for this project, which could lead to the manufacturing of the devices locally for the SA industry.

The CHRTEM created the enabling infrastructure for the establishment of Biological Electron Microscopy at the Nelson Mandela University. The specialisation of nanobiomedical science forms a part of the MSc Nanoscience degree. This activity is supervised by the CHRTEM and is well aligned with the vision of the Nelson Mandela University to establish a medical school in Port Elizabeth. Electron microscopy analyses are also performed for Nelson Mandela University pharmacy students.

The Centre HRTEM has created the enabling environment and infrastructure to support the Mechanical Engineering department at Nelson Mandela University (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 CHRTEM 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 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 Specialisation programme. This agreement provides funds to employ Dr Johan Westraadt at the CHRTEM to act as bridge between Nelson Mandela University physics and engineering. Dr Westraadt’s contract has just been renewed for another 5 years from 2018 onwards. Eskom has also agreed to pay an amount of R 3 million as contribution towards new service contracts for the electron microscopes at the CHRTEM. This payment will be for research carried out on the refurbishing of old coal power stations.

The Department of Biochemistry and Microbiology at Nelson Mandela University is doing novel research on metabolic syndrome. Metabolic syndrome is now recognised as the world’s biggest health problem, resulting in diseases that are growing much faster than what is predicted. Diseases brought on by metabolic syndrome include diabetes, obesity, cardiovascular illnesses and certain types of cancer, including colon cancer. The research also includes the use of gold nanoparticles for early detection of colon cancer and the effects of diet on gut bacteria, which protect the gut against inflammation and cancer. Collaborators involved in the biomedical and cancer research include a local practising gastroenterologist, the University of Western Cape, Kings College, London and the CHRTEM at Nelson Mandela University.

The CHRTEM supports the development of an antibacterial titanium-copper alloy for biomedical applications. This is a collaboration with Uppsala University in Sweden, Physics Department at Nelson

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Mandela University and CoE in Strong Materials at WITS. This project is well aligned with programmes of the Medical School that is being established at Nelson Mandela University.

The CHRTEM has provided high quality support for the following local departments/institutes:

• Biochemistry & Microbiology (includes MSc Nanoscience & Honours course) • Botany (Bornman atlas) • Chemistry • Engineering • Environmental Sciences • Geosciences • Histology • InnoVenton • Port Elizabeth Museum (Fish atlas) • Pharmacy • DST supported MSc Nanoscience programme It is envisaged that electron microscopy services will be provided in future for the Ocean Economy and Maritime programmes of the Nelson Mandela University.

4. The Future Role of the CHRTEM The recommendation of the panel is to continue and maintain the C-HRTEM in all research areas compatible with tertiary education facilities, government departments, parastatals and SA industry.

It is imperative that the C-HRTEM should be considered as a National Facility since it is widely acknowledged that the research performed is of strategic importance to the South African universities, industries and science councils. It is evident that the C-HRTEM has already established itself as a leader in the scientific community both locally and abroad.

As a national facility, consistent funding would be enabled to allow for return on investment and facilitate future research. In a nutshell: ‘the Centre is indispensable’ - this facility is important in not only retaining intellectual property, but also in retaining intellectual expertise for the country.

A definition of the structure and role of the CHRTEM may be found in the Governance and Management Plan (Appendix 1) of the CHRTEM given below:

“The National Research and Development Strategy identifies the need to create centres and networks of excellence in science and technology as a key component of the human capital and transformation dimensions of government policy. This university-based centre will emulate aspects of the Specialised Facilities category of the Research, Development and Innovation Infrastructure funding framework that has been developed by the NRF-DST and it is envisaged or anticipated that it will grow to the extent where it will subsequently be declared a DST-NRF Centre of Excellence. The Centre for HRTEM (C-HRTEM) will be an infrastructure intensive centre, which aims to concentrate existing capacity in terms of high-end research infrastructure and skills as well as resources to enable researchers to

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collaborate across disciplines on long-term projects that are locally relevant and internationally competitive in order to enhance the pursuit of research excellence and capacity development.”

The Centre was established to focus on advanced materials characterisation using HRTEM and related techniques, covering the range from micron to nano to atomic scale. The Centre also offers comprehensive materials research which includes STEM-EDS and STEM-EELS, FIB, SEM, EBSD, TKD, image analysis, data processing, image simulation and modeling. The training of postgrads and emerging scientists across SA remains a key requirement for the development of a larger skills base. The DST/NRF has made significant investments in EM at other institutions and the training of more scientists in advanced materials and EM characterisation is an important requirement for performing research on international level.

The key activities of the CHRTEM includes those activities associated with a Centre of Excellence (research and student training) as well as those associated with a National Research Facility (service provision). The CHRTEM does academic research, contract research, training and supervision of postgraduate students registered at Nelson Mandela University, co-supervision of postgraduate students registered at other universities, networking, outreach activities, national and international collaboration. The Centre provides reliable advice to government, business and civil society. The Centre also provides research support to postgraduate students and scientists from other universities, industries and research institutions. Centre staff participate in bilateral research programmes and multidisciplinary research projects.

Collaboration with industry includes basic research when it involves a postgraduate student employed or funded by industry or contract research, feasibility and/or problem solving investigations. Industry collaboration usually starts with a problem identified by industry. After solving the problem, the Centre might suggest new methods/techniques that could lead to more fundamental research in order to provide a deeper understanding of the science/technology of the problem. This is often followed by joint papers and transfer of knowledge to industry.

5. The Future Needs of the CHRTEM

5.1. 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 an essential 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

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operators have been trained and appointed. The CHRTEM has enough space to accommodate the additional instruments and staff.

5.2. Human capital

5.2.1. Envisaged training interventions and researcher development plans

While the Nelson Mandela University 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, specialised training interventions for external students are necessary.

5.2.2. 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 to three sessions of post processing and analysis. Additional funds will be required to appoint two additional TEM scientists. Staff scientists are unable to utilise the equipment to full capacity due to other functions such as data processing, publication compilation and lecturing requirements.

5.2.3. 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 Nelson Mandela University (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 at the Centre so that the future of this strategic national asset can be secured. It is thus recommended that the key people, in particular, be given a defined career path and should be made permanent staff members. All the C-HRTEM staff are only on contract appointments until 2021 when the first phase of the Ten Year financial support plan from the DST will end.

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5.2.4. 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 CHRTEM pay scales (cost-to-company) with that of a Government funded Research Institution in Gauteng, revealed that the payment of administrative personal in the CHRTEM 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.

5.2.5. 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 funding strategy to support short research visits (about 4 weeks) by emerging scientists to the CHRTEM is needed.

5.3. Finance

5.3.1. Projected financial requirements (next 5 years)

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 2) and that to be covered by the Nelson Mandela University and other CHRTEM funds (Table 3). 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 (Appendix 1).

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 2, 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 3 lists the contributions by the Nelson Mandela University 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 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 SA.

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Table 2: 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

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

Running costsResearch consumables 100 000 107 000 114 490 122 504 131 080 Maintenance 360 000 385 200 412 164 441 015 471 887 Liquid nitrogen 70 000 74 900 80 143 85 753 91 756 Total running costs 530 000 567 100 606 797 649 273 694 722

Other costsExternal auditors 30 000 32 100 34 347 36 751 39 324 Marketing 15 000 16 050 17 174 18 376 19 662 Office expenses 47 000 50 290 53 810 57 577 61 607 Proposal screening honoraria 10 000 10 700 11 449 12 250 13 108 Team building 12 000 12 840 13 739 14 701 15 730 Entertainment 10 000 10 700 11 449 12 250 13 108 Total other costs 124 000 132 680 141 968 151 905 162 539

IT equipment and licensesComputors and peripherals 80 000 85 600 91 592 98 003 104 864 Software licenses 25 000 26 750 28 623 30 626 32 770 Total IT equipment and licences 105 000 112 350 120 215 128 630 137 634

Travel costs/accomAdvisory board meetings 170 000 181 900 194 633 208 257 222 835 Conferences 100 000 107 000 114 490 122 504 131 080 International travel 550 000 588 500 629 695 673 774 720 938 Local travel 120 000 128 400 137 388 147 005 157 296 Total Travel costs 940 000 1 005 800 1 076 206 1 151 540 1 232 148

Training costsInternational courses 30 000 32 100 34 347 36 751 39 324 Training other institutions 50 000 53 500 57 245 61 252 65 540 International workshop 90 000 96 300 103 041 110 254 117 972 Succession training 20 000 21 400 22 898 24 501 26 216 Total training costs 190 000 203 300 217 531 232 758 249 051

Total expenses R 5 925 648 R 6 340 444 R 6 784 276 R 7 259 174 R 7 767 317

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Table 3: Operating costs of the second five years of the CHRTEM (Nelson Mandela University/ other contributions)

Note: (1) Salary costs of director paid by Nelson Mandela University 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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5.3.2. Revised Budget Table 4: 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 (see section 5.2.2). 2. See section 5.2.4 for motivation. 3. Cost recovery (80%) of future maintenance; free instrument usage for postgraduate students (see section 5.3.2). 4. Current budget totals from Table 2.

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 SA, a revised budget is proposed in Table 4. This revised budget is based on a 80% cost recovery of maintenance contracts, two additional TEM operators (see section 5.2.2) and salary increases of three HRTEM specialists (see section 5.2.4) employed in the CHRTEM. The basis of the revised budget in Table 4 is that Government (DST) provide additional funds to allow a 80% cost recovery per annum for future maintenance contracts 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 a small research facilities in the UK or EU. This proposal is discussed in more detail in section 6.

It is strongly recommended that the revised budget in Table 4 be approved as soon as possible to ensure the interim sustainability of the CHRTEM while a stable long-term funding scheme is being developed.

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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6. Long-term Strategy

Before long-term career paths can be created and funding for new instruments can be applied for, a long-term stable funding scheme must first be established for the CHRTEM.

6.1.1. 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 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.

6.1.2. 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.

6.1.3. Proposed cost recovery model for the CHRTEM

If this model is adopted for the RSA and applied to the CHRTEM, 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

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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 2018 onwards), the DST could provide additional funds to allow a 80% cost recovery per annum for future maintenance contracts (see Table 4) on condition that postgraduate students gain free access to the electron microscopes (and training) at the CHRTEM subject to the approval of their research project applications by the independent project proposal screening committee.

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

The CHRTEM 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 a National Centre 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 CHRTEM, should be developed in co-operation with the DST, NRF, Nelson Mandela University and other stake holders.

The CHRTEM is already part of the Materials Characterisation Research Infrastructure which is a component of the South African Research Infrastructure Roadmap (SARIR).

The Management Committee (MANCO) of the Nelson Mandela University recognises the strategic importance of the CHRTEM for research and training at the University and nationally. MANCO has recommended that a university committee be created to assist the director of the CHRTEM, NRF and DST with a strategy for the development of a long-term stable funding scheme for the Centre.

LW/JHN Sept 2017

centre for high resolution transmission electron microscopy response sep 2017.pdf · chrtem /...

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