INSTITUTIONAL STRATEGY
FOR
RESEARCH AND INNOVATION
2008 - 2010
September 2008
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
Institutional Strategy for Research and Innovation
1
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
Institutional Strategy for Research and Innovation
2
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.
Institutional Strategy for Research and Innovation
3
4. OBJECTIVES
Strategic goals
4.1 Create an
enabling
environment in
order to develop
into a University
where research
and teachinglearning are
balanced
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.
4.3 Further embed
a relevant and
dynamic
Strategic objectives
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%)
4.2.1
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
4.3.1
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.
Institutional Strategy for Research and Innovation
4
Strategic goals
research culture
4.4 Implement the
research
capacity
development
programme
4.5 Monitor the
implementation
of the research
entities model
4.6 Pursue transand multidisciplinarily
collaborative
research
programs
4.7 Pursue relevant
and dynamic
implementation
of expertise,
commercializati
on of research
results and
community
engagement
projects.
Strategic objectives
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.
4.4.1
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
4.5.1
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.
4.6.1
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
Agree to and implement the framework for the implementation of
expertise focusing on:
4.7.1
Forster a spirit of entrepreneurialism among academics by:
4.7.2
4.8 Optimize the
implementation
of expertise in
terms of both
income and
impact
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
4.8.1
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
Increase in patent activities and third stream income
Institutional Strategy for Research and Innovation
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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
Institutional Strategy for Research and Innovation
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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.
Institutional Strategy for Research and Innovation
7
The framework serves as a general guideline for faculties (and hence campuses) to develop its own
strategy within a coherent general strategy.
rd
In 2010, the NWU should be an above average tuition-research balanced university, with a growing 3
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
rd
3 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.
Institutional Strategy for Research and Innovation
8
2008 - 2009
2010
Mafikeng:
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.
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:
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
A good tuition based
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.
constant flow of 3rd
stream income.
Vaal Triangle:
Vaal Triangle:
A good tuition based
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.
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.
Institutional Strategy for Research and Innovation
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.
2010
NWU:
A good tuitionbased 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.
9
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:
Level 2:
Level 3:
Level 4:
Research Niche Area
Research Focus Area
Research Unit
Centre of Excellence
The criteria and development trajectory are summarised in Table 1.
Institutional Strategy for Research and Innovation
10
TABLE 1: Criteria and Development Trajectory of Research Entities
Minimum Criteria
*Level 1
Level 2
Niche Area
Focus
•
•
•
Plans,
•
Resources&
output
•
•
Leadership
•
•
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
Focus Area
•
•
Institutionally approved strategic
plan
Primarily dependent on
institutional start-up/core funding
Evidence of research output
(typically >0.5 SAE/SLE)***
•
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
•
Institutional Strategy for Research and Innovation
Level 3
•
•
•
•
•
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
Level 4
Unit
•
•
Institutionally approved strategic
plan
At least 50% of its NWU research
income** from external sources of
funding
Progress towards research output
(typically >0.75 SAE/SLE)
•
A leader who is an established
researcher with standing within and
outside NWU, as evidenced by a
valid NRF rating (or equivalent)
The leader must be a full-time staff
member of the host NWU campus
The leader will hold the title of
‘Director’
An assistant leader and succession
planning must be in place where
necessary
•
•
•
•
•
•
Centre of Excellence
A clear focus (preferably transdisciplinary) 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
•
Institutionally approved strategic
plan
At least 60% of its NWU research
income from external sources of
funding
Significant research output (typically
>1 SAE/SLE)
•
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
The leader must be a full-time staff
member of the host NWU campus
The leader will hold the title of
‘Director’
An assistant leader and succession
planning must be in place where
applicable
•
•
•
•
•
•
•
A clear focus (preferably multiand/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
Internationally recommended
strategic plan
At least 75% of its NWU research
income from external sources of
funding
Substantial research output
(typically >1.2SAE/SLE)
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
The leader will hold the title of
‘Director’
An assistant leader and
succession planning must be in
place where necessary
11
Minimum Criteria
•
Team
members
•
•
*Level 1
Level 2
Level 3
Level 4
Niche Area
Focus Area
Unit
Centre of Excellence
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
•
•
•
•
At least 8 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 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
•
•
•
•
•
•
Time
frames
•
Reporting
and review
•
•
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
Annual reporting is required
A three-year cycle of internal
review will be implemented
•
•
•
A Focus Area should be reevaluated after 5 years, after which it
should meet the criteria for the next
level
Annual reporting is required
A five year cycle of national review
will be implemented
At least 9 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 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 Postdoctoral student within the Unit
•
A Unit should be evaluated and its
status reconsidered after 10 years.
•
•
Annual reporting is required
A five year cycle of international and
national review will be implemented
•
•
•
•
•
•
•
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)
Annual reporting is required
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
Institutional Strategy for Research and Innovation
12
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.
Institutional Strategy for Research and Innovation
13
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
Institutional Strategy for Research and Innovation
14
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 (2
•
The annual budget submitted
•
Number of research higher degree completions
•
Other recognised research outputs as defined in the “NWU Research and Innovation Policy”
nd
th
– 5 income stream) research income received
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.
Institutional Strategy for Research and Innovation
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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.
Institutional Strategy for Research and Innovation
16
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
Tuition
Towards a Balanced T&L and
Research University (2006
state)
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:
Towards a Balanced T&L and
Research University (2007 state)
50% of time (estimated) for tuition;
in many faculties tuition totally
dominate activities
Throughput Rate Optimised
Under-graduate: not finalised
Post Graduate: not finalised
14%
Graduation Rate:
Under-graduate degrees and
diplomas :
28%
Master’s degrees:
30%
Doctoral degrees:
Balanced T&L and Research
University (future state;
chosen strategy)
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%
17%
Doctoral degrees:
Student Profile
5% of students are postgraduate FTE students in
research entities.
21 post-doc students (3% of
academic staff)
NRF rating
34 post-doc students (3% of
academic staff)
> 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%
General academic;
humanities, natural
sciences and commerce
(40:30:30); extensive
professional education.
First year intake:
humanities, natural sciences
and commerce: progress
towards increased SET
component
First year intake: humanities,
natural sciences and commerce:
extensive professional education.
Percentage of academic
staff with Masters degrees 33% and with Ph.D’s - 44%
Percentage of academic staff with
Masters degrees - 32% and with
Ph.D’s - 45%
More than 55% of academic
staff with Ph. D
qualifications. None without
at least M- qualification
Scientists with NRF rating:
9.8 % of staff
Scientists with NRF rating: 10 % of
staff
Scientists with NRF rating >
25 % of staff.
Subject group participation;
in many areas staff are
Networks &
participation
Percentage of International
undergraduate students: 12%
Percentage of International
postgraduate students: 10%
Staff profile
Qualifications
5% of students are post-graduate
students in research entities.
Percentage of International
undergraduate students:
10%
Percentage of International
postgraduate students:
10%
Academic
offerings
20%
3 Graduation rate as defined by the Department of Education as proxies for throughput rates of cohorts of students
Institutional Strategy for Research and Innovation
17
leaders and policy makers.
Market
Attractiveness
Students:
Still regional market and
niche attractiveness
Still regional market and niche
attractiveness
Quality of Education and
Research; Large market
(national and growing
international).
Staff:
Research Entities attract
NRF-rated staff
Research Entities attract A & B
rated staff
Research Entities attract A
& B rated staff
Industry:
Quality of Education and
Research in research
entities; limited innovation
output
Quality of Education and Research
in growing number of research
entities; growing innovation output
Quality of Education and
Research in all research
entities; good innovation
output.
Typical
Characteristics
Towards a Balanced Tuition
and Research University
(2006 state)
Towards a Balanced Tuition
and Research University (2007
state)
Balanced
Tuition
and
Research University (future
state; chosen strategy)
Research
Investment
Time allocation:
30% of time (estimated) for
research; many bureaucratic
impediments to sustain;
many faculties far behind
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.
40/40/20 time for
teaching/research/other;
some bureaucratic
impediments to sustain. Selfsustainable research
environment.
University
funding:
Own resources available
only for focused research:
More than 1% of turn-over
for research stimulation
(excl. Bursaries, Equipment
and Incentives). Few fulltime researchers.
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.
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.
External
funding:
Capacity to generate
external research funding in
some research entities: 7%
of turn-over generated.
Capacity to generate external
research funding in some
research entities: 9% of turnover generated.
Wide capacity to generate
external research funding in
most research entities: more
than 20% of turn-over
generated.
0
3
>15
DST platforms
0
3
>5
Privately funded
Chairs
1
1
>3
Privately or
State funded
research
(associate)
chairs
Institutional Strategy for Research and Innovation
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Facilities and
Equipment:
Typical
Characteristics
Research Output
Publications:
Impact Factor:
Total replacement value of
equipment still less than
10% of turn-over.
Investment cycle started.
Towards a Balanced Tuition
and Research University
(2006 state)
Total replacement value of
equipment still less than 10%
of turn-over. Investment cycle
continued.
Towards a Balanced Tuition and
Research University (2007 state)
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)
0.4 equivalent articles per
full time academic
0.45 full time equivalent articles
per full time academic equivalent
High; 0.8 to 1.5 equivalent
articles per full time academic
360.85 equivalent articles
420 (estimate) equivalent articles
More than 800 equivalent
articles
427 articles (with any NWU
participation)
500 (estimate) articles (with any
NWU participation)
More than 1000 articles (with
any NWU participation)
1074 research output units
1090 (estimate) research output
units
More than 2000 research
output units
Low in general; increasing
to high in Focus Areas.
Incentives to improve
instituted.
Improving; shift towards
international journals with higher
impact factor.
More than 60% of all
publications in upper 25%
quartile of publications (in
terms of impact factor).
Post-Graduate
Institutional Strategy for Research and Innovation
19
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 & PhD degrees with significant
research content
Application of
competitive edge
(Mode II)
Tuition:
Uncoordinated short course
practise
Short course strategy, policies
developed
Short course strategy and
policies implement; high level
of high quality courses sought
after by industry.
Innovation output becoming
sustainable in a number of
research entities
A number of individuals are
recognised for their national
and international work.
Limited success.
Innovation output becoming
sustainable in many research
entities
A growing number of individuals
are recognised for their national
and international work. Limited
success.
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.
13
14
15
33 (One international filed in
2007)
35
3 003 296
(1 362 995 royalties
3 003 296 tech product sales)
1 800 000
(1 600 000 royalties
4 000 000 tech product sales)
Community engagement
framework implemented
across all campuses. NWU
widely recognised for its
community engagement
impact.
Implementation
of expertise
Innovation
impact
Total Spin-Off
companies
Patent families
registered
(national and
international)
Royalties and
tech product
sales
Community
engagement
•
30 (two international filed in
2006
5 689 7461
(1 427 496 royalties
4 262 250 tech product
sales)
Community engagement
activities coordinated
Institutional Strategy for Research and Innovation
Community engagement
framework developed.
20
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:
Institutional Strategy for Research and Innovation
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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
Institutional Strategy for Research and Innovation
22
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:
4.
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.
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.
ii.
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
Research Environment: including
•
the context, at the institutional, national and international levels
Institutional Strategy for Research and Innovation
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iii.
iv.
v.
vi.
vii.
viii.
4.2
•
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
Research Management – including:
•
project management
•
acquisition and collation of information through the effective use of appropriate resources and
equipment
•
use of information technology
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
Personal Effectiveness - including:
•
creativity, innovativeness, originality
•
flexibility and open-mindedness
•
logic and reasoning
•
time-management
•
teamwork
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
Networking and Teamwork - including:
•
develop and maintain co-operative networks
•
formal and informal teams
Career Management
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:
Institutional Strategy for Research and Innovation
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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
Institutional Strategy for Research and Innovation
25
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
P:\My documents\2. Beheer en Bestuur_\Strategic Plan_Research and Innovation\Strategic Plan for Research and Innovation march-08_4.doc
Institutional Strategy for Research and Innovation
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