2014 GUIDELINES
FOR THE SENATE COMMITTEE FOR RESEARCH AND INNOVATION (SCRI) GRANTS
In line with the R&I Strategy, the priorities for 2014 continue to be:



To build capacity for research and innovation
o
Increase the number of full-time postgraduate students
o
Implement an R&I capacity development programme with emphasis on
improvement of staff qualifications
o
Recruit and support additional R&I expertise
o
Increase the number of postdoctoral fellows
o
Support the growth of institutional R&I niche areas
Increase R&I output
o
Support staff and postgraduate students to publish their articles in accredited
journals, especially those approved for subsidy by the Department of Higher
Education and Training
o
Ensure completion of qualifications in the minimum period
o
Support protection and commercialisation of TUT’s intellectual property
Increase external funding
o
Support business development and commercialisation activities
o
Support participation in partnership-type funding opportunities
o
Support participation in funding opportunities focusing on capacity
development
o
Improve the quality of proposals to external funders
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SECTION A: ALLOCATION TO FACULTIES
These funds shall be allocated and transferred to the Faculty on or before 31 January of each year.
Each faculty will be informed of the 2014 allocation for items A1 to A3, by the end of September 2013.
Each faculty is thereafter expected to present its budget based on the income for the 3 items above to the
last SCRI Meeting in 2013. If the budget is approved by CRIC, then transfers will be made on or before
31 January 2014. Expenditure reports shall be presented to SCRI twice a year, in June and October.
The Executive Dean shall be accountable for the appropriate expenditure (according to the SCRI
approved guidelines) of these funds and shall report directly to SCRI.
A1. PUBLICATION OUTPUT (JOURNALS, BOOKS, CHAPTERS, CONFERENCE PROCEEDINGS)
These funds are allocated to FRICs and authors and are to be used to stimulate and
administer research at Faculty Level.
R50 000 per unit shall be transferred to each of the FRIC’s and a portion of that to be distributed to
the TUT authors’s research cost centre. Where the author published only with students who
graduated and are no longer at the University, the student’s funds should be transferred to
the Department.
A2. ALLOCATION TO ACADEMIC DEPARTMENTS (POSTGRADUATE SUPPORT, Ms & Ds),
These funds are allocated to contributing departments to support research activities of
registered master’s and doctoral students, for example, registration fees for all TUT
st
registered doctoral students, tuition fees for TUT Doctoral Scholarship holder (only for the 1
year of Award), travel and accommodation for research purposes (including conferences),
editing and binding (maximum R5 000 once off per student and should be paid on receipt of
invoices), postgraduate teaching assistantship, and any other research activity but to
promote further studies for Master’s and Doctoral.
A formula based on past recent graduations is used to determine the allocation to each Department.
A3. FRIC’S RESEARCH DEVELOPMENT SUPPORT & NEWLY APPOINTED ACADEMICS
A3.1. Staff Development Grant
These funds can be used to support academic and conditionally appointed non-academic (list
given by HRD) staff members registered for their postgraduate studies at cluster C universities (see
the addendum 1 attached) in the same way the DHET funds will be used (refer to the attached in
Section B1). Since conditionally appointed non-academic staff members registered at Clusters A & B
cannot be funded under DHET grant, they should be assisted under this category. The below
detailed criteria can be used (excluding payment of registration fees) for guidance were needed.
 The focus of this category should be on improvement of qualifications of postgraduate
qualification registered staff members.

Staff members studying towards a Master’s or Doctoral qualification are eligible for support.

Staff members can be supported at the beginning or the middle stages of the study.

The maximum value of support is R40 000 for Master’s and R60 000 for Doctoral for the whole
study programme.

Funding can be used for research operational costs including local travel and running cost
(these excludes; stationery, ink cartridges, laptops, computers, pens, contracting of
2014 SCRI Funding Guidelines
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consultants to do data capturing or analysis or dissertation/thesis writing, or any other
contracting of services that are offered by the University, etc).

Applications, including the budget are made to the FRIC’s.
Priorities will be given to applicants who were rejected by the external funding agencies (NRF,
etc) and whose proof of their well written application is co-submitted with the application
A3.2. Research Development
These funds should be used for improving R&I outputs, conferences (International and Local)
and workshops at conferences not covered by the skills levy or not offered by the Directorate
Research & Innovation, publication fees, support to postdoctoral fellows (Fund for international
conference if output is provided) and research-related operational expenses.
Preference should be given to emerging researchers who have not been with the institution long
enough to have had the opportunity of building up their research account. Non-academic staff
members who will be contributing to the research outputs of the faculty could be considered for
funding or be referred to Human Resources (skills levy).
Staff must submit reports to FRICs after attending conferences and copies of their published
articles for subsidy purposes. Researchers should also ensure that their research results are
published in the Department of Higher Education’s subsidized journals.”
A3.3. Newly appointed academics
These are start-up funds that can be used to allow these academics to obtain essential tools
required to initiate a competitive research/scholarly activity that will in return generate
research output and external funding. The primary purpose of the start-up funds therefore is
to aid newly appointed professors in getting their research efforts up and running as soon as
possible. The funds should be used in direct support of the individual's research and can
include items such as research equipment, research assistants/technical support, research
related materials/supplies, research tools, e.g. books and databases etc.

Maximum of R100 000 should be given to qualifying academics within 6 months of their
appointment at TUT. It should be noted that this will be a once off support for these
researchers.
All expenditures must be in accordance with University policies and procedures. Capital assets
purchased with faculty start-up funds are the property of the University. Any unspent balances,
capital assets, or items of value remain with the University upon the departure of the staff member.
A4. POSTGRADUATE SCHOLARSHIPS
These funds are allocated to FRICs to award applicants on a competitive basis who have
achieved 65% or higher for their previous qualification. Achievements of between 60 and 64%
may be considered on special motivation by the Head of Department and supported by the
Executive Dean. R&I in consultation with FRICs will agree on the allocation basis to each
faculty. This allocation will be transferred to the Directorate Financial Aid or Finance, for
each faculty. The faculties will inform the Directorate on the awarded students for
communication with Financial Aid or Finance to facilitate payments of all awarded
candidates.
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

Value of the scholarships:
o
Master’s degree:
R50 000 for one year only.
o
Doctoral degree:
R70 000 for one year only.
TUT scholarship will be awarded to postgraduate students for only one year. Students are
expected to apply for the external scholarship for the second, third or fourth year of their
studies. Students will only be awarded TUT scholarships for their second year of study in
exceptional cases and only if evidence is presented that they have applied for external
scholarships but were unsuccessful.
Maximum period of support is 2 years for Master’s and 3 years for Doctoral.

TUT bursary and scholarship holders may not hold other government-sourced funding,
bursaries or scholarships concurrently (except in cases where a student received an external
scholarship and is requesting a top-up from the University to the value of TUT scholarship).

Faculty/Department should support Doctoral students with tuition fees in their first year of study
only.
A5. PRESTIGIOUS B TECH GRADUATES
These funds are allocated to the five top students in each faculty. The Dean compiles a list of
the top performing final-year National Diploma students who are South African citizens.
Those students should have an average of at least 70% for the exit-level subjects of the
National Diploma. These students will automatically qualify for a scholarship for their
masters and subsequent doctoral studies at TUT, but still has to apply for the TUT PG
Scholarship following the normal procedure. Each year, faculties should separate these
students’s committed budget from the OPEN scholarship budget before making new awards.
In a case where the top performing students received external bursary, the faculty can then only pay
tuition for these students from the TUT bursary and allow them to accept the external bursary without
forfeiting any other benefit of the Prestigious BTech Dean’s List except financial during the year of
award.
o
Value of the scholarships: R35 000 for one year only
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SECTION B: ALLOCATION TO THE DIRECTORATE OF RESEARCH & INNOVATION
B1. IMPROVEMENT OF ACADEMIC STAFF QUALIFICATION [THUTHUKA AND DHET CO-FUNDING]
These are the Department of Higher Education Development Grant funds awarded to all
Universities for developing academic and research office staff members improve their
qualifications. According to DHET, our University falls under cluster C universities (those with
low research capacity, that is, average weighted research output for 2009 and 2010 of 0.5 units
or below per capita) and should only focus on:
 assisting academic staff towards attainment of Masters (R40 000), Doctoral (R60 000) and
Postdoctoral programmes (R100 000). The academic staff should be enrolled in Masters and
Doctoral programmes at cluster A or B institutions which specialise in their field of expertise.

collaborative projects with institutions in Cluster A and B in a form of research projects (short and
long term) that are linked to staff development at the Cluster C institutions, or linked to academic
exchanges with Cluster A and B.
NB. These funds are not to be used for tuition (HR is responsible for this) and lecturer
replacements. Refer to the Directorate Research and Innovation for the detailed document on
this.
B2. TUT SUPPORT TO CHAIRS (SARChI & Industrial) & ESTABLISHED RESEARCHERS
The funds will be given to any Chair or Established Researcher to support their research
activities that will lead to increasing research outputs of the University during their term of office
at TUT.
 Maximum of 25% of the value of the chair OR the external research grant will be awarded to
each Chair or Established Researcher per annum. The level of co-funding will depend on the
availability of the funds.
 The funds can be used for the running costs of the projects, equipment, training in specialised
techniques, visiting research specialists, in exceptional cases support for postgraduate students and
postdoctoral fellows not given elsewhere, etc.
B3. EXTERNAL FUNDS MATCHING (IRDP, INCENTIVES FOR RATED RESEARCHERS, EQUIPMENT,
CSIR, etc)
These funds are determined by the amount of externally approved funding and are not meant to
pay for student bursaries and scholarships. The programme is structured in such a way that the
funder and the University contribute to the grant according to some ratio determined by the
sponsor.
In other cases where it is not compulsory for TUT to co-fund the grant, a maximum of R100 000 per
researcher per annum will be offered depending on the availability of the funds.
The TUT contribution should be used in the following categories: Materials and Supplies, Local
Travel, Travel Abroad, Equipment, Conference Abroad, Visiting Researcher/Scientist, Mentoring,
Sabbatical/Study Visit (excluding stationery, ink cartridges, laptops, computers, pens,
contracting of consultants to do data capturing or analysis or dissertation/thesis writing,
research books, or any other contracting of services that are offered by the University, etc).
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B3.1
B3.2
IRDP, THUTHUKA, CSIR Co-funding Ratios

IRDP
40% NRF : 60% TUT

Thuthuka
50% NRF : 50% TUT

CSIR Grants
50% CSIR : 50% TUT
Rated researchers co-funding


A once off grant to the value of R20 000 will be awarded to any researcher who
obtained an NRF:

rating for the first time

re-rating (either an upgrade or same rating, all will be incentivised)
Funds will be used to match the NRF Incentive Funding for Rated Researchers
(compulsory for institutions to fund these researchers)


B3.3
The NRF expects the institutions to commit in the co-funding of P,Y and L
rated researchers as this will be audited
Funds will also be used to match the NRF Incentive Funding for A, B and C Rated
Researchers (this is the institution’s initiative to encourage all researchers get an NRF
rating)
Equipment co-funding
Funds are meant to:

Support established and emerging researchers who are successful in the NRF
National Equipment Programme, National Nanotechnology Equipment Programme,
Strategic Research Infrastructure Grants and other equipment programmes where
matching funding is required.

Assist researchers who have already secured funding elsewhere, but at the time of
purchasing the equipment the price had changed due to cost incurred as a result of
method of transport or airport customs fees.
B3.4
TUT-CSIR Scholarship




Available for full-time BTech and master’s studies according to the current
memorandum of understanding between the University and the CSIR.
Awards are made on a competitive basis and applicants should have obtained 65%
average or higher for the previous qualification.
Value of the scholarships:

BTech degree:
R45 000 per year for one year

Master’s degree:
R70 000 per year for two years.
Scholarship holders may not receive TUT and other government funding.
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B4. EMERGING RESEARCHERS’S SUPPORT and SMALL EQUIPMENT
The emerging researchers support is meant to assist researchers who already have a Doctoral degree
to get a NRF rating. These researchers can also apply separately for equipment for the advancement of
their research.
B4.1 NRF Rating
Emerging researchers in this case are staff members of TUT who are engaged in their
academic research or own developmental research. The researchers should be supervising
students and publishing their research outputs in peer-reviewed journals with a high impact
factor, especially DoE-subsidised journals. It is an expectation that supported researchers
would apply and qualify for an NRF Y or C rating. All equipment and other items of value
purchased through this programme remain the assets of TUT and will be left at TUT, should
the funded researcher resign. Postgraduate students and postdoctoral fellows are not
eligible to apply for this funding.
For the purpose of NRF-rating funds, emerging researchers can be:
(i)
researchers normally younger than 36 years, who have held the doctorate or
equivalent qualification for less than two years at the time of application, and who
are recognised as having the potential to establish themselves as researchers within
a five-year period after evaluation, based on their performance and productivity as
researchers during their doctoral studies and/or early post-doctoral careers (target:
NRF Y rating after a maximum of three years’ support) or
(ii)
researchers normally younger than 31 years of age, who have held the doctorate or
equivalent qualification for less than two years at the time of application and who, on
the basis of exceptional potential demonstrated in their published doctoral work
and/or their research outputs in their early post-doctoral careers, are considered
likely to become future leaders in their field (target: NRF P rating after a maximum of
three years’ support) or
(iii)
researchers younger than 53 years, whose doctoral degree is younger than two
years (exceptions will be made on merit and strong motivation), have identified a
research focus in an area in which they plan to establish a research track record and
can demonstrate that they have been unable to establish themselves as researchers
due to limited research opportunities (e.g. working in an institution with limited
research infrastructure and research activity) (target: C rating after a maximum of
three years’ funding).
Funds can be used by the latter category of emerging researchers for:

Running costs while conducting research at TUT in an area in which they plan to
establish their track record (such applicants should be considered for lecturer relief).
B4.2 Equipment
Equipment is an item of tangible nonexpendable property that has a useful life of more than
one year and an acquisition cost per unit that equals or exceeds R5 000 but is less than
R200 000. This excludes laptops, cellphones, iPADs, cameras, printers, projectors,
scanners, office refrigerators, personal digital assistant devices, etc.
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Funds are meant to:

Support emerging researchers whose doctoral qualification is younger than two
years to build their areas of speciality
Unused funds available by 31 August of each year could be used to support any other
researcher for research equipment on a competitive basis.
B4.3 Running costs
These funds are meant to assist staff members of TUT who are engaged in their academic
research or own developmental research but for some reason are never successful with
securing research grants elsewhere. The researchers should have postgraduate students
registered at TUT under their full supervision and be encouraged to publish their research
outputs in the Department of Higher Education (DHET) subsidised journals. It is an
expectation that supported researchers would continuously have their postgraduate students
completing their degrees and graduating each year. This is a once funding for researchers
who need a boost to finalize their projects and ensure their students complete their studies.


The maximum value of support for these researchers is R100 000
Funds can be used for running cost of the project and not for conferences and
anyother activities that could be funded by the department and/or the faculty.
Postgraduate students and postdoctoral fellows are not eligible to apply for this
funding.
B5. POSTDOCTORAL FELLOWSHIPS

Fellowships will be awarded according to the approved policy and procedures.

The value of a fellowship for first-time applicants who have a good record of publications (at
least three papers published) acquired during the applicant’s master’s and/or doctoral
studies is:
o
o
R180 000 per annum for international candidates
R220 000 per annum for South African Nationals

The funds will be given to continuations, provided that the applicants applied for external
funding and their applications were rejected due to lack of availability of funds.

Applicants who receive fellowships from external funding will only be topped up to the
maximum amount allowed for a TUT fellowship, namely R180 000.

The Directorate Research and Innovation is the only fellowship paying office at the University
and thus departments/faculties should ensure that no additional funds other than the
approved fellowship are paid directly to the fellow’s personal bank account. This is to ensure
that we comply with the South African Revenue Services regulations. Anyother additional
financial support given to fellows should be for the research projects, conferences,
accommodation for a month, and other research activities not covered elsewhere
B6. VISITING RESEARCHER EMERGENCY SHORT-TERM ACCOMMODATION
Visiting researchers are researchers visiting TUT for the purpose of doing research with their
partners at the University. These include postdoctoral fellows and research fellows.

The funds will be used to pay reasonable bed-and-breakfast accommodation (preferably TUT’s
Cosmos Guest House, if available) where the rates are either cheaper than or similar to TUT’s
rates for a maximum period of one month.
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
If researchers plan to stay longer than a month, they should arrange their own accommodation
independently.

These funds will also be used to pay for a total of 20 single rooms for postgraduate students
and postdoctoral fellows that will be secured at West City for the period of January to December
in 2014 until Metro Skinner Flats Refurbishment project is concluded and postgraduate
students/fellows could be placed there.

Postgraduate students, especially international, can be assisted for only three nights in cases
where accommodation could not be secured immediately on the day of arrival at TUT (these are
Exceptional Cases where the 20 rooms reserved are all occupied)

All these requests should be directed to the Chairperson of FRIC for recommendation and
approval and then the Directorate Research & Innovation for notification and action.
B7. RESEARCH SUPPORT FUNDS (DISCRETIONARY)
These funds will be used by the Director of Research and Innovation to assist any researchrelated activity by any University staff member (including non-academic staff members) not
covered elsewhere.
B8. NICHE AREAS SUPPORT FUND
A funding formula is in place to fund activities in niche areas, subject to the submission of a report for
the preceding year and a brief research plan and expected output for the year to be funded. Funds
are used in the following categories:

Running costs for projects

Equipment

Training in specialised techniques

Visiting research specialists

Conference attendance of postgraduate students
B9. INNOVATION SUPPORT FUND
B9.1. Seed funding

Funding to support the refinement of TUT inventions.

This fund is viewed as bridging the gap between basic laboratory experiments and near
market-ready inventions that could perhaps be further tested and refined with the involvement
of industry partners (proof of concept). Such near market-ready inventions/technologies will
include the building of prototypes.

It is envisaged that the fund will provide a platform for participation in other funding
opportunities, such as the Innovation Fund.

The potential applicability of the envisaged technology in industry or to address social
challenges will be the main criterion for support.

It is imperative that such envisaged technology is capable of being protected through statutory
IP legislation or other provisions.

Applications are made to the Directorate of Research and Innovation
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B9.2. Business Development

Funding for costs associated with the commercialisation of TUT IP, including the presentation
of inventions to relevant companies, the marketing of inventions and purchasing relevant
market intelligence reports.

Funding should be used as a tool for social and economic development.

Funding excludes technologies/inventions where private companies have already expressed
interest and have pursued non-disclosure agreements with TUT (it is the industry norm that
such companies carry the costs associated with further interactions regarding the
technology/invention).

Funding is managed by the Directorate of Research and Innovation.
B9.3. Patent Registration

Funding will cover the costs of costs associated with undertaking novelty searches and
obtaining novelty opinions.

If it is decided to protect the technology, the cost of the registration of intellectual property
such as patents and designs will be covered.

Funding is managed by the Directorate of Research and Innovation.
B10. Research Ethics Support
In South Africa, the TUT Research Ethics Committee (REC) is registered with the National Health
Research Ethics Council (REC-160509-21). This is a legal requirement (Section 73 of the National
Health Act, No 61 of 2003) for all RECs which engage in formal health research ethics review in
South Africa. As such, the REC must ensure that its members receive initial and continued
education in research ethics and are kept aware of current issues and developments in the broad
area of bioethics. Also, the National Health Research Ethics Council has resolved that RECs
should be held accountable for ethics training of their members.
The formal registration guidelines of the National Health Research Ethics Council (refer to the
th
detailed motivation as approved by CRIC at its quarterly meeting that was held on the 28 August
2013) require that an REC must include at least two lay persons who have no affiliation to the
institution and are preferably from the community in which the research is to take place.
The amount of R1000-00 per meeting is in line with what other research ethics committees in
South Africa offer as compensation to lay members.
These funds will be mainly used for Human Resource Capacity Building, Community & External
Representatives, Refreshments for REC meetings and Acquisition of official national and/or
international ethics guidelines as follows for:
(i)

Human Resource Capacity Building
Attendance of accredited ethics training courses 1-5 full day courses in South Africa for 12 Ethics
Committee members,
o
Six Research Ethics Committee (REC) members (Courses offered by University of
Stellenbosch, University of the Witwatersrand and other credible training providers)
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o
(ii)

Six Animal Research Ethics Committee (AREC) members - SARIMA is planning an
international AREC course in Cape Town in the first half of 2014
Community & External representatives
Fair compensation for preparation and attendance of meetings
o
Research Ethics Committee (two community representatives)
o
Animal Research Ethics Committee (one community representative and one independent
veterinarian registered at the Veterinary Council)
(iii)
Refreshments for REC meetings
 Teatime snacks for Ten REC meetings
(iv)
Acquisition of official national and/or international ethics guidelines
 Revised/new ethics guidelines become available from time to time. The REC Archive should keep an
official copy of such guidelines for use by members in their preparation and deliberations of
submitted proposal documents.
ACKNOWLEDGEMENTS
All recipients of any kind of SCRI support, namely students, postdoctoral fellows and staff,
should always acknowledge the source of funding whenever the opportunity arises, that is,
when presenting work at conferences, when publishing in journals or books, etc.
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