institutional strategy for research and ... strategy for research and innovation 5 strategic goals...

INSTITUTIONAL STRATEGY

FOR

RESEARCH AND INNOVATION

2008 - 2010

September 2008

Institutional Strategy for Research and Innovation 1

TABLE OF CONTENTS

1. INTRODUCTION ............................................................................................................. 2

2. RESEARCH AND INNOVATION CORE ELEMENTS ..................................................... 3

3. STRATEGIC GOALS ...................................................................................................... 3

4. OBJECTIVES .................................................................................................................. 4

5. GENERAL GOALS OF THE DEPARTMENT OF RESEARCH SUPPORT ..................... 6

6. GENERAL GOALS OF THE INNOVATION OFFICE ...................................................... 6

7. MANAGEMENT STRATEGY FOR RESEARCH AND INNOVATION ............................. 7

8. RESEARCH ENTITIES MODEL .................................................................................... 10

8.1 Introduction ........................................................................................................................... 10

8.2 Structure and participation .................................................................................................... 13

8.3 Management ......................................................................................................................... 13

8.4 Reporting and Evaluation ..................................................................................................... 13

8.5 Changes and/or closure of Research Entities ...................................................................... 14

8.6 Funding for entities ............................................................................................................... 14

8.7 Division of Research output units across campuses/faculties .............................................. 15

8.8 Awards and Incentives .......................................................................................................... 16

8.9 Research development ......................................................................................................... 16

8.10 Role of the Executive Director: Research and Innovation and the Offices: Research Support and Innovation ......................................................................................................... 16


1. INTRODUCTION

The institutional strategy for research and innovation is derived from the Institutional Plan, a three-year rolling plan with provision for longer-term planning.

The institutional strategy for research and innovation presented in this document is a continuation of a long term strategy for research and innovation at the NWU. The strategy builds upon experience and planning of the institutions preceding the merger and forms the basis for an evolution of the NWU from:

I: a tuition/learning -based university where some research was performed to

II: a tuition/learning -based university with focused research to

III: a university where tuition/learning and research/innovation are balanced.

In the following figure the evolutionary development of the university in terms of its research and innovation activities is depicted. At the same time possible future growth paths are presented. The strategy and goals set in this document are intended to keep the NWU on the high-realistic scenario (III).

Fig. 1 Evolution of NWU research and innovation in terms of article equivalents, against time

(1988 to 2015).1

1 The simplistic depiction above serves only to illustrate the historic development of research at the NWU and the pre-merger institutions in terms of article output during the past 10-15 years. It is understood that


I: In 1998 the focus areas were established, a dean of research was appointed, the Research Support Commission was established and the system of internal and external reviews was established.

II: Following the establishment of the focus areas, a number of actions were introduced to support the focus area model: a time allocation target was established (the 40:40:20 ideal for tuition/learning: research: other was presented), NWU introduced a system of performance contracts, the post-Doctoral programme was established, innovation activities were strengthened, research and innovation incentives were created and executive and senior managers were appointed to focus on research and innovation (support and management). During the same period, the Mafikeng campus introduced a number of research niche areas to stimulate research.

III: Building upon its success with the Focus Area model, the NWU embarked upon a strategic plan to develop from a teaching/learning-based university with focused research into a university where teaching/learning and research are balanced.

2. RESEARCH AND INNOVATION CORE ELEMENTS

2.1 Develop and maintain high-quality, relevant and focused research, supplying innovative solutions to challenges faced by the scholarly community, the country, the continent and the world

2.2 Expand the implementation of expertise, both commercially and community-directed, for the benefit of the province, the country, the SADC region, the continent and ultimately the world.

3. STRATEGIC GOALS

The North-West University maintains a Department of Research Support and an Innovation Office to develop strategies in order to support the research and innovation mission. The following strategic goals in relation to the two research and innovation elements listed above are given:

3.1 Create an enabling environment in order to develop into a University where research and teaching-learning are balanced

3.2 Improve the research profile of the NWU to become one of the top five universities in South Africa in terms of research output, productivity and focused excellence

3.3 Further embed a relevant and dynamic research culture

3.4 Implement the research capacity development programme

3.5 Monitor the implementation of the research entities model and adjust if and where necessary: guide and support new research entities to become established research entities

3.6 Pursue multi and trans-disciplinary collaborative research programs

3.7 Pursue relevant and dynamic implementation of expertise, commercialization of research results and community engagement projects

3.8 Optmize the implementation of expertise in terms of both income and impact.

various other factors may have influenced research development in the various faculties and that the research output can be derived from other parameters as well. The above linking of research development and cause are presented as hypothesis. Understanding the cause and effect of managerial actions and careful and constant scrutiny by the research community, is considered important for future planning.


4. OBJECTIVES

Strategic goals Strategic objectives

4.1 Create an enabling environment in order to develop into a University where research and teaching-learning are balanced

4.1.1 Improve time management by adhering to the restructured academic year, and consolidating the overall time allocation for teaching learning (40%), research (40%) and implementation of expertise (20%)

4.2 Improving the research profile of the NWU to become one of the top 5 universities in SA in terms of research output, productivity and focused excellence.

4.2.1 Encourage participation in the NRF rating system by including it in the promotion criteria, performance management system and formal coaching.

4.2.2 Maintain, in terms of the Enrolment Plan, the postgraduate component to 13% of contact student headcounts (excluding Further Teacher Training Heads)

4.2.3 Increase the total number of postgraduate FTE’s by 4.5% to 3317.

4.2.4 Improve the throughput rate of contact postgraduate students to 2.0 (2006 :2.11)

4.2.5 Link publications from PhD studies in order to increase the publication to 450 units

4.2.6 Increase the number of publications iin quality journals to 500 and the subsidy generating publications per academic staff member to 0.5 (2006:0.40)

4.2.7 Compile and print a Research Annual Report and distribute to key stakeholders

4.2.8 Participate in DST/NRF Research Chairs programme

4.2.9 Increase the number of quality master’s and doctoral degrees in focused areas of expertise, with an overall growth of at least 5% in Master’s – and Ph-D degrees

4.2.10 Increase the total research output per academic staff member to 1.15 (DoE target 1.25, NWU 2005:1.08,2006,1.01)

4.2.11

Increase the number of NRF-rated staff as percentage of all academic staff to 10.5% (2007:10%)

4.2.12

Invest significantly more in research capacity development, equipment and infrastructure

4.3 Further embed a relevant and dynamic

4.3.1 Keep investing more in research staff and postgraduate students, amongst others by providing larger budgetary allocations for full-time Masters and PhD studies and post-doctoral fellowships.


Strategic goals Strategic objectives

research culture

4.3.2 Improve the diversification of research funding

4.3.3 Cultivate multi-disciplinarity in all modes of research

4.3.4 Aim for 50 post-doctoral fellows by the end of 2009.

4.4 Implement the research capacity development programme

4.4.1

Develop the research capacity of staff through, among others, quality improvement, training in the submission of research applications and the promotion of (preferably) external post-doctoral fellows through the implementation of the research capacity development programme.

4.4.2

Create the opportunity through the performance management system for staff to improve their academic qualifications. For the end of 2008, the targets are 38% with Masters as highest degree and 48% with PhD as highest degree

4.4.3

Provide specific training/workshops linked to the research capacity development programme within the research entities to ensure growth in research output within the research entities

4.5 Monitor the implementation of the research entities model

4.5.1

Guide the continued implementation of the research entities model and the develop of research strengths by the campuses relevant to their areas of specialization and local context and in such a way that it emphasizes multi- and trans-disciplinary research projects.

4.6 Pursue trans- and multi-disciplinarily collaborative research programs

4.6.1 Develop multi- and trans-disciplinary collaborative research networks to diversity and strenghen research, cultivate diversification of research funding, expand research networks and to gain research impact.

4.6.2

Identify new international funding opportunies for existing research entities; seek new opportunities which may be aligned with the university’s research strengths and potential within the university’s management model.

4.6.3

Support the application of inter-disciplinary collaborative research funding projects within the research entity model

4.7 Pursue relevant and dynamic implementation of expertise, commercialization of research results and community engagement projects.

4.7.1

Agree to and implement the framework for the implementation of expertise focusing on:

Commercialization of expertise, Community engagement projects, projects or engagements that can be deemed to be aimed at development, projects where staff provide expertise to national and statutory bodies

4.7.2

Forster a spirit of entrepreneurialism among academics by:

Communicating the importance of third stream income generation, and the importance of reputation enhancement based on implementation of expertise and emphasising the material benefits to academics when embarking on implementation of expertise

4.8 Optimize the implementation of expertise in terms of both income and impact

4.8.1 Increase in patent activities and third stream income


5. GENERAL GOALS OF THE INSTITUTIONAL DEPARTMENT OF RESEARCH SUPPORT

The Institutional Department of Research Support (DRS) is the address of all research administration and support and offers specialised staffs function to stimulate research and advanced academic education in symbiosis. The goals of the DRS are as follows:

5.1 Facilitate in the development and assist in the implementation of the Research policy, strategy and process documents including the coordination of the implementation of the Research Entity model, incentives and awards for researchers

5.2 Communicate and report on research-related information including performance parameters and benchmarks via the management of the RMS/InfoEd and departmental research database as well as marketing of research

5.3 Provide an effective research support service ensuring total quality management for research support including the facilitation of Research Ethics applications, NWU research equipment programme, the administration of all government subsidised research and subsidy claims and the effective evaluation of research, internally and externally

5.4 Supports the effective and optimal appropriation of NWU’s research funds, including funding opportunities, applications (pre-award) and allocation (post-award) of funds and the management, monitoring and reporting of all research funds at NWU

5.5 Facilitate the development of the research capacity of academic staff via quality improvement in submission of applications, research-related training and promotion of Post-doctorate fellows

6. GENERAL GOALS OF THE INNOVATION OFFICE

The Innovation Office (IO) is the focal point through which innovation at the university is stimulated and offers a specialised function to advance innovative research, leading to patents, innovative products and processes which culminate in an Intellectual Property portfolio, which it manages to obtain optimal returns. The return on innovation activities includes financial benefits, the creation of spin-off companies, networks with industry and new research opportunities.

The NWU identifies, protects, manages and commercialises its IP. By successfully meeting this objective, the University and its staff and students will be in a stronger position to benefit from i.a.:

• attraction of industry and government research funding;

• establishment of an international reputation for research excellence;

• establishment of linkages with other universities, industry and government;

• generation of financial returns from commercialisation;

• growth of knowledge-based industries through research and its commercialisation; and

• generation of national wealth, through new products, services and employment.

The Innovation Office of the NWU is responsible for the identification, protection and commercialisation of IP arising from NWU research according to its Intellectual Property Policy.

NWU Intellectual Property can be exploited commercially as follows, depending on the nature of the IP, the market barriers to entry, growth potential, availability of relevant local expertise, the availability of finance, the prevailing regulatory climate:

• Spinning off Companies


The University forms a new so-called spin-off company, and then transfers the IP Rights to the newly formed company either by licensing or by assigning. The University may take shares in the spin-off company. The spin-off company develops and commercialises the IP.

• Licensing

the IP directly (or less frequently, assigning it). The University transfers the IP Rights to an existing company with appropriate standing so as to exploit the IP optimally. The existing company takes the risk for developing and commercialising the IP and irrespective of whether the company succeeds in commercialising the IP the University will receive at the very least the licence fee and minimum royalties agreed in the negotiations.

The University shares with the academics that created the IP the net associated income.

The Innovation Office enhances innovation on the campuses through:

Innovation and commercialisation support

• Support researchers with the negotiation process

• Negotiate licence and other agreements

• Manage existing innovation and commercialisation agreements

• Develop performance benchmarks for the university

• Identify new innovation and commercialisation opportunities

• Protection of Intellectual Property

• Market new technologies and research output

• Develop human resources in the field of innovation and commercialisation

• Develop and maintain external networks and relationships

• Develop relevant policies and guidelines for innovation and commercialisation

• Establish and develop of spin-off companies (Incubation)

Enhancement of the culture of innovation

• Organise innovation competitions

• Establish innovation forums/ discussion groups among students and researchers

• Personal interaction with researchers

Due to the rich overlap and mutually enhancing and integrated nature of research and innovation activities, the Department of Research Support and the Innovation Office work together synergistically.

7. MANAGEMENT STRATEGY FOR RESEARCH AND INNOVATION

In Appendix 1 a framework to categorise a university from a primarily tuition-based to a balanced tuition and research university is presented. The categorisation is in the context of higher education in South Africa, with specific reference to the NWU. The framework is developed to allow a university with diverse research activities between campuses, each with vastly different faculty research output, to develop different but coherent research strategies. It remains a challenge to balance the local need for tuition of a developing society with the need to create new knowledge (research) in an international context and within a quality framework. The general strategy of the university is to develop from a tuition-based university with focused research to a balanced research & tuition university. As illustrated in the figure below, the different faculties fall in different categories, given their current tuition and research input and output.


The framework serves as a general guideline for faculties (and hence campuses) to develop its own strategy within a coherent general strategy.

In 2010, the NWU should be an above average tuition-research balanced university, with a growing 3rd

income stream from commercialisation, and making a significant impact through community engagement.

By 2015, the NWU should be a higher than average tuition-research balanced university, with a constant 3rd income stream from commercialisation, and making a significant impact through community

engagement.

By 2020, the NWU can be a high quality tuition-research balanced university, with a sustainable 3rd income stream from commercialisation, and making a significant impact through community engagement.

The following factors play a critical role in the success of NWU in attaining its research goals:

• Student profile

Outstanding postgraduate students. The improvement of the throughput rate of postgraduate students is of utmost importance.

• Staff Profile

The presence of qualified researchers as participants in the research entities. The improvement of the staff qualification profile is part of the strategy.

• Market attractiveness

The Research Entity approach assists to ensure the relevancy of the research output. This process must be maintained and refined.

• Research investment

The implementation of the national computerised research management system at NWU. To manage the University’s research in a professional way, it is imperative to finalise and utilise the research management system in full.

Sufficient funding to sponsor research. For high-level research to take place, the University must ensure that the necessary funding and equipment are available. Where the University’s own ability to fund research is inadequate, it must ensure that the necessary funds are obtained from outside sources (national and international).

• Research Output

For the University to be recognised as a research intensive institution the research output, including publications in respected and accredited journals, patents, doctoral theses and master’s dissertations should compare with the best at least in a national context.

• Application of competitive edge

The availability of a team of experienced specialists to support and manage the process of innovation and commercialisation of research output.


2008 - 2009 2010

Mafikeng:

A tuition-based campus

where teaching-learning

inputs are consolidated

to strengthen tuition

significantly; with

steady growth in

research outputs, while

investing in identified

research entities; and

focusing on the

implementation of

expertise, specifically

community projects and

emerging 3rd stream

income flows.

Mafikeng:

A good tuition based

campus with a

framework in place to

convert successful

research areas into

approved research

entities and ensure a

constant flow of 3rd

stream income, as well

as successful

community engagement projects.

Potchefstroom:


campus with steadily

growing research

outputs from a growing

number of research

entities, a constant flow

from 3rd income

stream (especially

commercialization) and

successful community

engagement projects.

Vaal Triangle:


campus with steady

growth in research

outputs and a strong

focus on the

implementation of

expertise, specifically

through community

projects and an increase of 3rd stream income.

Vaal Triangle:

A good tuition-based

campus, with a

framework in place to

select a number of

research entities for

further development

and a constant flow of

3rd stream income.

2008 -2009

NWU:

On average, a good tuition-based university, with some focused areas of research excellence and implementation of expertise resulting in growing 3rd stream income and sustainable community engagement.

Potchefstroom:

A good tuition-based

campus with a stable

number of focused

research areas,

producing steadily

growing research

outputs; effective

implementation of

expertise and a

constant flow of 3rd stream income.

2010

NWU:

A good tuition-

based university,

with a number of

focused areas of

research

excellence and

implementation of

expertise, resulting

in constantly

growing 3rd

stream income and

sustainable

community engagement.


8. RESEARCH ENTITIES MODEL

8.1 Introduction

In the late 1990’s the Potchefstroom University for CHE instigated a series of external reviews to examine the structure and focus of the institution’s postgraduate education and research activities. This resulted in the restructuring of the postgraduate education and research activities across the university into a number of Focus Areas. This restructuring proceeded to some extent and ultimately coincided with changes in government policy which has influenced and shaped the higher education sector.

At national level there are a range of demands that require universities to focus their research activities, concentrating resources on a more limited number of areas. It thus behoves the university to continue with a focused approach to research management.

Against this background the following challenges and opportunities emerge when considering the strategic management of research at NWU:

• Institutional identity and campus differentiation:

The management model used for research will create an institutional identity while still at the same time allowing for campus differentiation.

• Increased performance:

As with any university, there is a constant requirement to improve research performance at NWU. Because almost all the research output comes from only one campus there is a very critical challenge to increase the research output at other campuses. This will not only require a very precise, targeted and carefully planned research capacity development programme, but it will also require that the research management model encourages, facilitates and stimulates research on all campuses.

• Definition and categorisation of Research Entities:

Research Entities have the following characteristics:

♦ Activities fit within the strategic goals and priorities of NWU;

♦ Longer-term multidisciplinary activity focused across faculties/campuses;

♦ Significant organisational grouping and critical mass;

♦ Income obtained from a variety of sources;

♦ Support from the relevant faculties and schools;

♦ A recognised core of staff, space, equipment and facilities associated with the area;

♦ It has its own identifiable cost centre(s) and accounts.

The refinement of the current Focus Area model to a Research Entities model at NWU linked to the research mission, goals and objectives as outlined in this document is presented below.

Research Entities (or their constituent parts) will not all be at the same level and some type of trajectory is required with carefully prepared and accepted criteria. The underlying principle in the identification and development of research entities will be that the university and each campus must develop research strengths relevant to their areas of specialisation and local context. Systems of matrix management will constantly be refined to give sufficient local autonomy to allow maximum flexibility to take advantage of opportunities and respond to local needs and to retain quality control.

Research Entity development trajectory

Level 1: Research Niche Area Level 2: Research Focus Area Level 3: Research Unit Level 4: Centre of Excellence

The criteria and development trajectory are summarised in Table 1.

Institutional Strategy for Research and Innovation

11

TABLE 1: Criteria and Development Trajectory of Research Entities

Minimum Criteria

*Level 1

Niche Area

Level 2

Focus Area

Level 3

Unit

Level 4

Centre of Excellence

Focus • A clear focus which is identified by the campus and is part of the overall strategic plan of the university and campus with local research impact

• A Niche Area may consist of constituent sub-areas

• A clear focus which is identified by the campus and is part of the overall strategic plan of the university and campus linked to national priorities with regional research impact

• A Focus Area may consist of constituent sub-areas

• A clear focus (preferably trans- disciplinary) which is identified by the campus and is part of the overall strategic plan of the university and campus linked to national priorities with national research impact

• A Unit should consist of constituent sub-areas

• A clear focus (preferably multi- and/or trans-disciplinary) which is identified by the campus and is part of the overall strategic plan of the university and campus linked to national priorities with international research impact

• A Centre must consist of constituent sub-areas

Plans,

Resources& output

• Institutionally approved strategic plan

• Primarily dependent on institutional start-up/core funding

• Evidence of research output (typically >0.5 SAE/SLE)***


• At least 50% of its NWU research income** from external sources of funding

• Progress towards research output (typically >0.75 SAE/SLE)


• At least 60% of its NWU research income from external sources of funding

• Significant research output (typically >1 SAE/SLE)

• Internationally recommended strategic plan

• At least 75% of its NWU research income from external sources of funding

• Substantial research output (typically >1.2SAE/SLE)

Leadership

• A leader who has a minimum of PhD (or equivalent) and a research track record

• The leader must be a full-time staff member of the host NWU campus

• The leader will hold the title of ‘Coordinator’. This is not a paid position, although the coordinator could be rewarded by way of a bonus

• A leader who is an established researcher with standing within and outside NWU, as evidenced by a valid NRF rating (or equivalent)


• The leader will hold the title of ‘Director’

• An assistant leader and succession planning must be in place where necessary

• A leader who is an established researcher with standing within and outside NWU, as inter alia evidenced by, for example, a valid NRF rating at level C or higher



• An assistant leader and succession planning must be in place where applicable

• A leader with substantial recognition and standing, as inter alia evidenced by, for example, a valid NRF rating of A or B

• The leader must be a full-time staff member of NWU


• An assistant leader and succession planning must be in place where necessary

Institutional Strategy for Research and Innovation

12

Minimum Criteria

*Level 1

Niche Area

Level 2

Focus Area

Level 3

Unit

Level 4

Centre of Excellence

Team members

• At least 4 additional team members who are full-time staff members of NWU

• These team members must be active in research and will conduct individual research projects within the overall theme of the Niche Area

• The campus must offer degrees approved by DoE at a minimum of Masters’ level in the disciplines which form the primary focus of the Niche Area


• These team members must be active in research and will conduct individual research projects within the overall theme of the Focus Area

• Postgraduate (M and D) students must be trained through involvement in the Focus Area (typically 1 PGE** per participating researcher)

• The majority of participating members must have completed a doctoral qualification


• These team members must be active in research and will conduct individual research projects within the overall theme of the Unit

• Postgraduate (M and D) students must be trained through involvement in the Unit (typically 2 PGE per participating researcher)

• The majority of participating members must have completed a doctoral qualification

• At least 2 NRF-rated members leading research projects in the Unit

• Participation of at least one Post-doctoral student within the Unit

• Almost all participating team members with an NRF-rating leading research projects of the Centre

• The team members must be active in research and lead individual research projects within the theme of the Centre

• There must be a history of postgraduate student (M and D) training by individual members and collectively (typically 3 PGE per participating researcher)

• Almost all participating members have a doctoral qualification

• There must be evidence of postdoctoral student involvement (typically a ratio of 1:4 post doc: staff)

Time frames

• A Niche Area should not stay at this level for more than 5 years, after which it must meet the criteria for the next level

• A Focus Area should be re-evaluated after 5 years, after which it should meet the criteria for the next level

• A Unit should be evaluated and its status reconsidered after 10 years.

Reporting and review

• Annual reporting is required

• A three-year cycle of internal review will be implemented


• A five year cycle of national review will be implemented


• A five year cycle of international and national review will be implemented


• A five year cycle of international and national review will be implemented

* A Campus/Faculty can initiate its own “Start-up (level 0)” Niche Areas before submission of a formal Niche Area proposal (Level 1) ** NWU income only includes strategic funding from Campus, Faculty, School and/or Institutional Research Support Office *** SLE = Senior lecturer equivalent, SAE = Single article equivalent, PGE = Postgraduate Equivalent


8.2 Structure and participation

• Each campus will develop and manage its own Research Entities which is identified by the institution as strategic research priorities. The research entities must have broad thematic areas (at various levels) with constituent sub-areas. The entities must also be aligned with the national R&D Strategy. In recommending the establishment of a Research Entity the relevant Rector(s) must be satisfied that the Director and Dean(s) have a strategy for its establishment and has undertaken due diligence in terms of the finances and resources (or management of capacity building), including the impact on any staff or students associated with it. Where the relevant Rector(s) recommends the establishment of the Research Entity, IM approval will be obtained and Senate and its committees’ advice will be sought (i.a. through the Institutional Research Support Commission). In matters related to academic quality, Senate’s approval will be sought.

• Participation will primarily be limited to researchers from said campus, but not exclude collaboration with other campuses.

8.3 Management

• Each Research Entity at the Focus Area/Unit/Centre level must be headed by a Director.

• Research Entities at the Niche Area level must have a leader.

• In cases where a Research Entity spans more than one Faculty a “Primary/Host/Lead Faculty” must be identified in each case.

• Research Entities report directly to the campus (Dean, Campus Vice-Rector). Campuses are advised through the relevant support structures, including the Institutional Research Support Commission, the Institutional Committee for Research and Innovation, the office of the Director: Research Support and the Office of the Director: Innovation.

• Sub-areas are managed by a leader who forms part of the Research Entity management team.

• Policies and strategic plans at appropriate levels are approved at the institutional level.

8.4 Reporting and Evaluation

Research Entities will be evaluated by the Office of the Director: Research Support, in consultation with the relevant line managers, using advice from i.a. the Institutional Research Support Commission.

The following reporting of Research Entities is required:

• All Research Entities must submit a three-year strategic plan which is updated on an annual basis at the end of February each year.

• Research Entities that are being internally evaluated must also submit an annual report with prescribed appendices.

• In the year of an external peer evaluation the report must be more extensive, in order to form the basic documentation for the review.

• The Institutional Research Office is responsible for managing the review process.

• The internal and external evaluation cycle will be determined based on the level of the Research Entity. Research Entities at a lower level of development will be reviewed on a shorter cycle as indicated in Table 1 above.

All the research performance indicators of a Research Entity will be reported at Campus- and Faculty level and separately at Research Entity level.


8.5 Changes and/or closure of Research Entities

Changes to the operation of a Research Entity (change of name, structure) must be approved by the relevant Dean, in consultation with the Campus Vice-Rector. Significant changes to the operation of a Research Entity (change of level, terms of reference) must be recommended by the relevant Campus Rector. IM approval will be obtained and the advice of Senate and its committees will be sought (i.a. through the Institutional Research Support Commission). In matters related to academic quality, Senate’s approval will be sought.

Research Entities may be closed in the following circumstances:

• The Dean or Director may recommend closure to the relevant Rector(s) on the grounds that it is no longer viable (financially and/or in terms of its academic performance) or no longer meets the strategic objectives of NWU;

• Where it is deemed by a review process that a Research Entity is no longer functioning adequately, the chair must recommend for its disestablishment to the relevant Rector(s) and/or Research Support Commission;

• Where there has been a serious breach of NWU policy, procedures or guidelines or if the Research Entity brings, or has the potential to bring, the reputation of the University into disrepute, the relevant Rector(s) or Research Support Commission may close it.

In recommending the closure of a Research Entity the relevant Rector(s) must be satisfied that the Director and Dean(s) have a strategy for its closure and has undertaken due diligence in terms of the finances and resources (or management of deficits), including the impact on any staff or students associated with it. Where the relevant Rector(s) recommends the disestablishment/closure of the Research Entity, IM approval will be obtained and the advice of Senate and its committees will be sought (i.a. through the Institutional Research Support Commission).

8.6 Funding for entities

Research Entities are expected to become largely financially self-sustaining, and this is reflected in the model for the development trajectory – at each level an area must be raising increased funding from external sources. There will be flexibility in considering those disciplines/areas where external funding is limited. Each Research Entity will have cost centres identifiable from those of schools or faculties.

The following institutional research funding could be allocated (based on applications received) to Research Entities on an annual basis:

• Postgraduate bursary programme

• Post-doctoral fellowship programme

• Institutional contributions for research agency funding (Thuthuka and IRDP)

• Expensive research equipment funding

• Seed funding for newly established Research Entities (as outlined below)

• Performance funding for Research Entities (as outlined below)

The Research Entities are a critical part of institutional identity and the commitment and support from the university is imperative. Research Entities are approved by Senate based on their strategic plans linked with the NWU Research and Innovation Policy, Strategy for Research and Innovation and the Institutional Plan.

A special NWU seed fund for the support of new research entities is available to support and stimulate NWU research activities. This fund is a strategic instrument to generate new research entities and to further develop existing research entities to the point that they are academically and financially sustainable. Similar to the review cycle, funding must also be linked to the level of development. Consequently, Research Entities have to submit budgets within the respective faculties


to support their approved strategic goals. Budgeted income will include budgeted income from all money streams based on research activities within the research entities, fourth stream income. This income is to be supplemented from the NWU strategic Seed fund as described above.

The NWU research seed fund for Research Entities will support and encourage concentration and consolidation of research to deliver enhanced research outcomes and rewards. Such funding would enable the relevant priorities of each area to be addressed according to its specific circumstances.

In summary, the underlying principles are as follows:

• To support and encourage concentration and consolidation of research to deliver enhanced research outcomes

• Funding is instrumental in encouraging increased research development within each Research Entity

• Enables Research Entity to address its own priorities according to its own circumstances

• To encourage research staff participation within the Research Entity grouping

• Create new opportunities, build on existing strengths and expand the NWU research drive.

Seed funding can be provided for

• newly established Research Entities (in this case assistance with basic operational expense will be included during the first start-up years)

• the establishment of new initiatives within existing research entities

Funding for new entities or new initiatives will be based on a business plan which has to show

• Alignment with the NWU strategies and goals

• Alignment with national imperatives

• The ability to develop into next-level research entities and to achieve scientific sustainability in terms of relevance, impact and quality of research

• Number of active research staff members within the research entity and evidence of capacity building and staff development programmes

• Accredited research outputs

• Staff NRF rating and scientific standing

• The ability to achieve financial sustainability based on

• Total external (2nd – 5

th income stream) research income received

• The annual budget submitted

• Number of research higher degree completions

• Other recognised research outputs as defined in the “NWU Research and Innovation Policy”

8.7 Division of Research output units across campuses/faculties

Research output (Research Masters degrees, Doctoral degrees and accredited publication units) generated by Research Entities that function across campuses and/or faculties should be divided in the following way:

• The division of the unit value between the supervisor and co-supervisor(s) of the various campuses/faculties of a Research Masters or Doctoral degree awarded should be negotiated before the commencement of supervision, and adjusted at the end of the year for actual contributions. The publication unit is divided according to the seat of the author(s) of the publication.


8.8 Awards and Incentives

The NWU will be implementing a formalised institutional Researcher Rewards Scheme. Such a scheme should be based solely on research performance (income and recognised research output).

Any reward system must take various levels of development into consideration – i.e. there should be capacity development related awards available, as well as group awards. The following categories are proposed: Researcher of the Year, Junior Researcher of the Year and Research Entity of the Year.

In addition a reward is provided to NWU candidates who received an NRF rating and had the highest accredited article equivalents in the reporting year.

Research awards and prizes are allocated at an annual prestigious Research Function.

8.9 Research development

At the NWU, the goal of the NWU Staff Development Programme2 is to support the drive towards teaching, learning and research excellence embedded in its vision, and to support the institutional aspiration to become a balanced teaching, learning and research university.

Research Development is defined as the development of research skills to improve the research capacity and qualification profile of academic staff in order to ensure the sustainability of Research Entities. Research Development activities support the continuous improvement of the research skills of academic staff, the improvement in research output, NRF rating status of academic staff and funding for research.

Details regarding the Research Development programme at NWU are provided in Appendix 2.

8.10 Role of the Executive Director: Research and Innovation and the Offices: Research Support and Innovation

Any significant change to a research entity, including its establishment, closure, change of level and/or change in terms of reference, has to be recommended by the Executive Director: Research and Innovation, who shall do so in consultation with the Director: Research Support and the Director: Innovation and the relevant line managers. These offices shall offer advice to IM and the relevant line managers regarding (i.a.) the strategic intent, capacity, inter-campus collaboration potential, scientific and financial viability, alignment with the IM strategic plan, alignment with national strategic priorities, funding and innovation potential of the research entity.

2 Approved by Senate on 5 March 2008.


Appendix 1

The typical characteristics for a teaching and learning (T&L)-based university with focused research and a balanced teaching and learning and Research University is shown below:

Typical Characteristics

Towards a Balanced T&L and Research University (2006 state)

Towards a Balanced T&L and Research University (2007 state)

Balanced T&L and Research University (future state; chosen strategy)

� Tuition � 50% of time (estimated) for tuition; in many faculties tuition totally dominate activities. Throughput Rate Optimised Under-graduate: 1.34 Post Graduate: 2.11

� Graduation Rate3: Under-graduate degrees and diplomas : 24% Master’s degrees: 28%

Doctoral degrees: 14%

� 50% of time (estimated) for tuition; in many faculties tuition totally dominate activities

� Throughput Rate Optimised Under-graduate: not finalised Post Graduate: not finalised

� Graduation Rate: Under-graduate degrees and diplomas : 28% Master’s degrees: 30%


� 40/40/20 time for teaching / research / other; some bureaucratic impediments to sustain.

� Throughput Rate Optimised Under-graduate: not finalised Post Graduate: not finalised

� Graduation Rate: Under-graduate degrees and diplomas : 30% Master’s degrees: 35%


� Student Profile � 5% of students are post-graduate FTE students in research entities.

21 post-doc students (3% of academic staff) � Percentage of International

undergraduate students: 10%

� Percentage of International postgraduate students: 10%

� 5% of students are post-graduate students in research entities.

� 34 post-doc students (3% of

academic staff)

� Percentage of International

undergraduate students: 12% � Percentage of International

postgraduate students: 10%

� > 10% of post-graduate students in many research entities.

� Number of post-doctoral

students more than 10% of staff

� Percentage of International undergraduate students: 20%

� Percentage of International postgraduate students: 20%

Academic offerings

� First year intake: humanities, natural sciences and commerce: progress towards increased SET component

� First year intake: humanities, natural sciences and commerce: extensive professional education.

� General academic; humanities, natural sciences and commerce (40:30:30); extensive professional education.

Staff profile � Qualifications � NRF rating � Networks & participation

� Percentage of academic

staff with Masters degrees - 33% and with Ph.D’s - 44%

� Scientists with NRF rating:

9.8 % of staff

� Percentage of academic staff with

Masters degrees - 32% and with Ph.D’s - 45%

� Scientists with NRF rating: 10 % of

staff

� More than 55% of academic

staff with Ph. D qualifications. None without at least M- qualification

� Scientists with NRF rating >

25 % of staff.

� Subject group participation; in many areas staff are

3 Graduation rate as defined by the Department of Education as proxies for throughput rates of cohorts of students


leaders and policy makers.

Market Attractiveness � Students: � Staff: � Industry:

� Still regional market and niche attractiveness

� Research Entities attract

NRF-rated staff

� Quality of Education and Research in research entities; limited innovation output

� Still regional market and niche attractiveness

� Research Entities attract A & B

rated staff � Quality of Education and Research

in growing number of research entities; growing innovation output

� Quality of Education and Research; Large market

(national and growing international).

� Research Entities attract A

& B rated staff

� Quality of Education and Research in all research entities; good innovation output.


Towards a Balanced Tuition and Research University (2006 state)


Balanced Tuition and Research University (future state; chosen strategy)

Research Investment � Time allocation: � University funding:

� External funding:

� Privately or State funded research (associate) chairs

� DST platforms

� Privately funded Chairs

� 30% of time (estimated) for

research; many bureaucratic impediments to sustain; many faculties far behind

� Own resources available only for focused research: More than 1% of turn-over for research stimulation (excl. Bursaries, Equipment and Incentives). Few full-time researchers.

� Capacity to generate external research funding in some research entities: 7% of turn-over generated.

� 0

� 0

� 1

� 35% of time (estimated) for

research; many bureaucratic impediments to sustain; many faculties far behind. Evidence of capacity building programs, especially on Vaal triangle and Mafikeng campuses.

� Own resources available only for focused research: More than 1% of turn-over for research stimulation (excl. Bursaries and equipment). Small but growing number of full-time researchers.

� Capacity to generate external

research funding in some research entities: 9% of turn-over generated.

� 3

� 3

� 1

� 40/40/20 time for

teaching/research/other; some bureaucratic impediments to sustain. Self-sustainable research environment.

� Significant resources

apportioned for research: More than 2% of turn-over for research (excl. Bursaries and equipment). At least 10% of academic staff are full-time researchers.

� Wide capacity to generate

external research funding in most research entities: more than 20% of turn-over generated.

� >15

� >5 � >3


� Facilities and Equipment:

� Total replacement value of

equipment still less than 10% of turn-over. Investment cycle started.

� Total replacement value of

equipment still less than 10% of turn-over. Investment cycle continued.

� Extensive in many research

fields (total replacement value of equipment more than 20% of turn-over)




Balanced Tuition and Research University (future state; chosen strategy)

Research Output � Publications: � Impact Factor: � Post-Graduate

� 0.4 equivalent articles per

full time academic

� 360.85 equivalent articles � 427 articles (with any NWU

participation)

� 1074 research output units � Low in general; increasing

to high in Focus Areas. Incentives to improve instituted.

� 0.45 full time equivalent articles

per full time academic equivalent

� 420 (estimate) equivalent articles

� 500 (estimate) articles (with any NWU participation)

� 1090 (estimate) research output

units � Improving; shift towards

international journals with higher impact factor.

� High; 0.8 to 1.5 equivalent

articles per full time academic

� More than 800 equivalent articles

� More than 1000 articles (with any NWU participation)

� More than 2000 research output units

� More than 60% of all publications in upper 25% quartile of publications (in terms of impact factor).


component � 5.7% of FTE students enrolled for M & Ph-D degrees

� 7% of FTE students enrolled for M & Ph-D degrees

� More than 20% of FTE students enrolled for M & Ph-D degrees with significant research content

Application of competitive edge (Mode II) � Tuition: � Implementation of expertise

� Innovation impact

� Total Spin-Off companies

� Patent families registered (national and international)

� Royalties and tech product sales

� Community engagement

� Uncoordinated short course

practise � Innovation output becoming

sustainable in a number of research entities

� A number of individuals are recognised for their national and international work. Limited success.

� 13

• 30 (two international filed in 2006

� 5 689 7461

(1 427 496 royalties 4 262 250 tech product sales)

� Community engagement

activities coordinated

� Short course strategy, policies

developed � Innovation output becoming

sustainable in many research entities

� A growing number of individuals are recognised for their national and international work. Limited success.

� 14

� 33 (One international filed in 2007)

� 3 003 296


� Community engagement framework developed.

� Short course strategy and

policies implement; high level of high quality courses sought after by industry.

� Sustainable scientific

innovation output around large number of research entities and individuals.

� Research entities and staff are widely recognised for national and internationally impacting work.

� 15

� 35

� 1 800 000


� Community engagement framework implemented across all campuses. NWU widely recognised for its community engagement impact.


Appendix 2

RESEARCH DEVELOPMENT PROGRAMME

1. INTRODUCTION

The Research Development Programme forms part of the NWU Staff Development Programme and should be considered within that context. This programme should be read in conjunction with the following documents:

� Staff Development Policy of the NWU approved by Council in 2005. � Institutional Research and Innovation Strategy approved by Senate on 24 October 2007. � Research and Innovation Policy (dated 9 October 2007) approved by Senate on 24 October 2007. � Talent Management Programme � Staff Development Programme for NWU, approved by Senate on 5 March 2008..

2. AIMS AND OBJECTIVES

The principal aims of this initiative will be to improve staff research capability and assist individuals to become the best researchers they can be, within the context of the Research Entities model. The initiative will have the following objectives:

� To assist in the further development of current researchers; � To assist in the development of early career researchers showing clear evidence of high research

capacity; � To assist newly appointed staff without significant research experience; � To develop a new generation of researchers within the Research Entity model; � To increase the number of NRF rated researchers at NWU. � To further develop individual Research Entities.

3. CONTENT

The strategy will be aimed at increasing the capacity of individuals as well as Research Entities. Individual participants involved in the initiative will attend a series of seminars and workshops on a range of topics (identified as being necessary for them at that stage of their development), engage in discussions with experienced researchers, be exposed to opportunities for networking and collaboration, and receive individual guidance on establishing a successful research career. Individual Research Entities will benefit from the development of its individual participants. However in addition interventions will be implemented within individual Research Entities to assist in the development of the Research Entity to its next stage of development (Niche Area to Focus Area to Unit). It is proposed that three primary interventions will be implemented:


3.1 Research competency development

The NWU approach to research development assumes that there are generic competencies and capabilities which all researchers need to develop and that no matter what the level a research might have achieved, there is still an ongoing requirement for professional and career development. The training and competency development required by each individual participant within approved Research Entities will depend on their level of development and experience. These will be determined through the Research Competency Framework (see Item 4 below) which outlines the range of agreed-upon knowledge, skills and attributes required of researchers at NWU.

3.2 Targeted emerging researcher development

This strategy would be a natural outflow of the ‘research competency development’ strategy and also very closely linked with the NWU Talent Management Programme, which has as one of its aims to identify and develop younger employees with the potential to develop to be top performers. These are typical employees who need structured developmental interventions to develop their potential. The focus of this intervention will be on developing top research performers within the Research Entities; as such the leader/director of the Research Entity will play a crucial role in identifying those with high potential.

Young researchers with high potential will be identified as part of the annual assessment process (described in Item 4.1).

The strategy will operate at two levels:

Level 1: Improved academic qualification (Doctoral level)

Level 2: High potential at Postdoctoral level.

� Level 1: All full-time academic staff are encouraged to enrol for a higher qualification. This is in line with the university’s commitment to continually improve its staff profile.

Specifically as part of the Research Development Programme, staff members engaged in study towards a research-based doctoral qualification, will be considered for additional support. Applications for support must be motivated by the leader/director of the relevant Research Entity as well as the relevant Dean.

� Level 2 Through a process involving the Department of Research Support, Research Entity Leaders as well as Deans and campus Vice-Rectors, a limited number (possibly 20 per annum) of young researchers (in possession of a doctoral qualification) who exhibit exceptionally high potential will be selected for fast tracked development.

The interventions will include:

� Two year mentoring programme. Allied to this will be training, selection and incentives for appropriate mentors

� Generic expertise development (writing for publication, funding proposals etc) – as part of Research competency development Programme

� Specific training in analytical tools and techniques (as required for discipline) � Networking (mini-study leave; conference attendance) � Research seminars

3.3 Development of Research Entities


The leader/director of a Research Entity, the relevant Campus Vice-Rector, the Executive Director Research and Innovation and involved Dean(s), together with the Director of Research Support will together decide upon the most suitable interventions for the further development of a specific Research Entity. They will also be guided by the reports emanating from the review cycle and the Institutional Research Support Commission.

Over and above the benefit derived to Research Entities from the development of individuals (as outlined in 3.1 and 3.2 above), the following interventions can be considered:

� Recruitment of experts � Secondment of staff � Targeted appointment of Research Chairs (possibly using the DST/NRF SARChI Programme) � Visiting scientists of high caliber � Contract appointment of newly retired experts � International exchange agreements.

4. DELIVERY

These interventions will be implemented within the Research Entities, with the facilitation and support of the Department of Research Support. The interventions will complement any other activities which might be implemented by individual Research Entities to address their specific needs.

Both these interventions link into the Talent Management Programme in terms of assessment of competencies and identification of competency gaps; in particular it will dovetail with the strategies employed by that programme to identify emerging researchers who are potential ‘high flyers’.

4.1 Research Competency Framework

As part of normal NWU performance management process, at the end of the year) academic staff members complete their task agreement for the summative performance discussion with their line manager. This discussion is primarily aimed at assessment of performance, but also addresses development requirements by identifying gaps between the required and current competency levels. Gaps are addressed in the personal development plan of the individual.

It is proposed that the Research Competency Framework will form part of this process, specifically involving the leader/director of the relevant Research Entity for each researcher.

The Research Competency Framework will be an agreed-upon set of competencies that is agreed-upon within NWU. These will be considered as an expansion of the competencies listed in the Talent Management Programme listed as ‘Knowledge of research process and system’ which forms part of the Competency Assessment.

As a starting point the following specific research competencies are proposed for inclusion in the Research Competency Framework:

i. Research Skills and Techniques – including:

• the ability to recognise and validate problems

• original, independent and critical thinking

• develop theoretical concepts

• recent advances within one's field and in related areas

• relevant research methodologies and techniques and their appropriate application

ii. Research Environment: including

• the context, at the institutional, national and international levels


• issues relating to the rights of other researchers, of research subjects, and of others who may be affected by the research, e.g. confidentiality, ethical issues, attribution, copyright, malpractice, ownership of data and various legal requirements

• standards of good research practice in the university and/or discipline

• relevant health and safety issues

• processes for funding and evaluation of research

iii. Research Management – including:

• project management

• acquisition and collation of information through the effective use of appropriate resources and equipment

• use of information technology

iv. Exploitability of research results – including:

• types of innovation which determine the applicable exploitation process

• elements of the industrialisation process

• elements of the commercialisation process

• negotiating skills

• negotiating intellectual property and rights

• types of agreements and developing Terms of Reference

v. Personal Effectiveness - including:

• creativity, innovativeness, originality

• flexibility and open-mindedness

• logic and reasoning

• time-management

• teamwork

vi. Communication Skills - including:

• write clearly and in a style appropriate to purpose, e.g. progress reports, published documents, thesis

• constructively defend research outcomes

• promote public understanding of research field

• effectively support the learning of others when involved in teaching, mentoring or demonstrating activities

vii. Networking and Teamwork - including:

• develop and maintain co-operative networks

• formal and informal teams

viii. Career Management

4.2 Suggested Workshops

Courses will address each of these competencies and will be designed to address various levels of development of individual researchers and/or groups. They could include the following:


Competency

Introduction to Research at NWU

� NWU systems and processes ii

� Academic honesty and research ethics ii

� Critical thinking and problem solving i

� Applying for NRF rating viii

� Supervising and examining postgraduate research students i

Project Management

� Research and project plans and proposals iii

� Research funding ii

� Manage research budgets iii

� Project management in the research context iii

Research Management

� Building and managing research teams iii

� Fostering research collaboration iii

� Managing change in the research environment ii

� Mentorship training ii

Presenting/Publishing/Communicating

Publishing in Science and Engineering vi

Publishing in the Social Sciences and Humanities vi

Presenting your research vi

Communicating your research to non-specialists vi

Copyright and plagiarism ii

Research skills

Discipline specific research techniques i

Advanced research computing i

General statistical training i

Quantitative research methodologies i

Qualitative research methodologies i

Interdisciplinary teaching and research i

Commercialization

Business Plans iv

Commercialization – identify and develop opportunities iv

Intellectual property in the research context iv

Liaise with industry groups vi

Patent searching iii

Prepare work for patent application iv

Consultancy iv

Entrepreneurship iv

Contract negotiation iv

Personal effectiveness

Time management in the research context v

Career and professional development for researchers v

Networking and building collaboration v


Working in teams v

CV writing vi

Flexible modes of delivery will be used, including lunchtime seminars, on-line modules as well as workshop/lecture type courses.

Courses will be developed and presented in-house, or development and delivery will be outsourced where internal expertise does not currently exist. In addition, opportunities offered by other institutions (e.g. SARIMA, NRF, other universities) will be utilized.

4. FINANCIAL IMPLICATIONS

The importance of research development in the context of NWU’s overall vision cannot be underestimated, and it is therefore essential that a ring-fenced budget is allocated for this purpose.

To supplement internal NWU funding, additional sources of funding must be accessed. In this regard partnership programmes with the NRF (Thuthuka and IRDP) will be of major importance. In addition other international sources of funding (e.g. DfID, Welcome Trust, Carnegie Foundation etc) will be sought.

In terms of the proposed strategy, the financial implications associated with the following initiatives need to be taken into account:

� Development of in-house workshops

� Out-sourcing of delivery of courses where necessary

� Lecture relief for Level 1 participants

� Incentives for Mentors.

� Recruitment of experts

� Secondment of staff

� Targeted appointment of Research Chairs (possibly using the DST/NRF SARChI Programme)

� Visiting scientists of high caliber

� Contract appointment of newly retired experts

� International exchange agreements

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