UNIVERSITY POLICY ON RESEARCH ENTITIES, CENTRES OF EXCELLENCE AND CENTRAL FACILITIES
1. Introduction
The University of the Witwatersrand recognizes that the image, reputation and competitiveness of a major university depends more than anything else on the range and quality of its research performance. The University expects all academic staff to be research-active consistent with the norms and standards of their disciplines. Over and above this, the University encourages the development and, where appropriate, the formal recognition of research entities so that they can become afocal point of the University’s research effort and promotion. In addition the University seeks to provide support to work being done in specific broad fields, known as research thrusts, in which there is Institution-wide strength. And finally, the University is committed to providing central Research Facilities where appropriate.
The University supports the establishment of research entities and research thrusts in particular because they
enhance the status and research profile of the University of the Witwatersrand, both nationally and internationally;
promote multi-disciplinary research and encourage the formation of strong research teams;
recognise true excellence in research;
support research in areas that the University identifies as priority areas.
give researchers, their Heads of School, their Deans and the DVC (Research) “leverage” in finding resources for research, in times where University and Government funding represents only one component of the funding required for research to be prosecuted at the highest level
This policy is designed to encourage collaborative work and to make it possible for researchers to benefit from the intellectual stimulation generated by working in teams. This of course does not suggest that the individual researcher should be neglected. Staff members who choose to work alone or in much smaller groups will be expected to develop individual research plans and should expect to be held accountable for their research performance just as they currently are for other aspects of their responsibilities (teaching, administration and community service).
This policy pertains to all research entities recognized by the URC. Each entity will be designated as a “Group”, “Unit” or an “Institute”. Faculties may establish and recognize their own research entities, but only at the level of “Research Programmes”. Faculties should develop policies for the establishment, recognition and monitoring of such entities. All other entities require FRC and URC recognition.
The URC recognizes that not all current research initiatives will fit neatly within this policy. It is expected that this policy and associated guidelines established by the Deputy Vice-Chancellor (Research) will be appropriate to most research entities seeking formal recognition and researchers will be expected to justify why any variation is appropriate. To accommodate such situations, this policy provides for some flexibility at the discretion of the Deputy Vice-Chancellor (Research).
2. Policy Objectives
.1 The aims of this policy are to:
clarify the process for the establishment, operation and review of formally designated research entities within the University;
clarify the relationship between the research entities of different types, the URC, Faculty Research Committees and Schools.
facilitate the effective promotion of the University’s research strengths.
facilitate the establishment of entities that are recognizable and focussed for purposes of fund-raising for particular areas of research
.2 The University wishes to facilitate the development of research teams within and across disciplines at all levels and in collaboration with other institutions. It is expected that research groupings wishing to operate as readily identifiable and recognized research entities will seek approval under this policy.
.3 Research teams are not entitled to use the title “Research Programme”, “Research Unit”, “Research Group”, “Research Institute”, “Research Thrust”, “Centre of Excellence”, or “Research Facility”, unless they have sought approval to do so under this policy; or have inherited the title under the old policy and not yet been reviewed
.4 A research team may seek formal designation as a:
Research Programme (Faculty recognition only)
Research Group
Research Unit
Research Institute
(Note: The University has a separate policy for the establishment of “Centres”, which are not primarily focused on research activities, but which are intended to encourage professional, vocational and community based programmes, facilitate interdisciplinary formal teaching and/or research, facilitate non-formal teaching etc. [See S 2002/100B])
These entities are conceptualized, broadly speaking, in hierarchical terms, and as entities mature it is sometimes the case that they seek to move to a different stage of recognition. Once an entity is formally recognized, it will become the responsibility of the Faculty in which it is housed, and also, in most cases, the School which hosts it, with the URC performing a broad monitoring and oversight role.
In addition the URC may establish a “Central Research Facility”, to provide technical services to researchers, in certain circumstances
Research entities established before 2005 and recognized until that date by the URC, will not need to be re-classified. The Faculty Research Committees will recommend to the URC the status of the remaining entities during the first cycle of research planning and review.
1
3. Definitions of URC-recognized Research Entities
a.Research Unit: This is a research entity that is centred on an individual, usually an eminent researcher with a strong research track record and a well defined research programme. The individual would, should his or her group become a Research Unit, carry the title of Director and may build a research team consisting of students, junior associates and post-doctoral fellows working on projects within his or her research programme. A Director of a Research Unit should be somebody who, at least, satisfies all the criteria in the definition of “research-active” academic staff member (see the University Strategic Research Plan for the definition), and who would normally be expected to hold a personal NRF rating, unless the initial impetus for recognition came via the Medical Research Council, ie in the case of a Wits/MRC jointly-recognized Research Unit. By their nature, Research Units are not normally expected to continue should their Directors retire or leave the employ of the University, but may do so under exceptional circumstances.
b.Research Group: The University encourages the development of research teams within and across disciplines at all levels and in collaboration with other institutions. A Research Group is a formally recognized grouping of established researchers with an agreed-upon Leader, who share common and complimentary research interests and who have similar needs with respect to research infrastructure. They would be able to share technical support staff and research equipment, may submit joint applications for postdoctoral fellows, share some research support staff, etc. They will normally be people who work on research projects that fall under an identifiable research theme or set of themes who occasionally collaborate on common research projects; and who co-supervise research students. Research Groups will be hosted by Faculties/Schools and will be expected to fulfill a range of functions aimed at strengthening, extending and promoting their joint research and research training activities and linkages regionally, nationally and internationally, raising funds for common projects and initiating new intellectual ventures. The life span of a Research Group will depend on the ability of its members to sustain their collaboration and related research productivity.
c.Research Institute: The establishment of a Research Institute signifies the University’s long-term strategic commitment to a particular area of research endeavour and its intention to lend prestige and standing to this area. A Research Institute will normally be located in a Faculty, but may remain under the authority of the Deputy Vice-Chancellor (Research) in the early stages of its development, or in unusual circumstances. While the Faculty or URC will normally provide some funding for an Institute, a Research Institute will only be established if there is demonstrable potential for significant external support from funding agencies and donors.
4.Establishment and recognition of a research entity
.1 A proposal for formal recognition as a research entity (Unit, Group or Institute) may be submitted to the URC via the Faculty Research Committee at any time. The proposal should include information on:
a)the title of the proposed research entity;
b)the identity of the proposed Director (Unit or Institute) or Leader (Group) and his or her curriculum vita (in the event that the proposer is not the prospective Director or Leader, evidence of the latter’s willingness to assume the role will be required)
c)a motivation for the establishment of such an entity, which should include aims, timeframes, projected outputs, a full research protocol, including methodology to be used, and a bibliography
d)the names and contact details of at least four persons external to the University who are eminent in the field(s) and who would be able to offer an informed appraisal of the proposal
e)Curricula vitae of core researchers and summarized details of associated research workers, both inside and outside the University.
f)In the case where a proposal to form a wholly new Institute is under consideration, it is probable that the Director’s post will have to be advertised
g)a statement of the relationship between the research entity and the research plans/strategies of the host School and Faculty and of the proposed performance indicators for the subsequent evaluation of the research entity.
h)accommodation and infrastructure requirements and how they are to be met;
i)Finance: estimates of income and expenditure for the first three years of operation, indicating funding sources, known or prospective
.2 The URC will only consider the application once it has received a written appraisal from the relevant Faculty Research Committee(s) on the above motivation, with particular emphasis on:
a)the advice of at least two external assessors
b)the FRC’s view on academic merits of the proposed research projects;
c)how the research programme fits with the Research Plan/Strategy of the relevant School(s) and/or Faculty.
d)the feasibility of the work plan and capabilities of researchers involved;
e)the likelihood of the entity being able to meet its deliverable targets and any impediments which may stand in the way
f)the proposed budget, especially items that cannot be met from the Faculty’s share of the Research budget.
g)the standing, leadership qualities and experience of the proposed head of the entity
h)the available infrastructure and whether any relocation, building alterations and the like are required and if so, have been approved
.3 A Research Unit or Research Group may be recognized by the URC on consideration of the documentation submitted;
4. A Research Unit, Institute or Group will normally be recognised for a period of 5 years. Since a Research Unit will be centred on an eminent researcher, who will be the Director of the Unit, support for such a Unit will normally cease if the Leader retires or leaves the University, or withdraws as Director. However, if a succession plan is in place and a successor is agreed on by the URC, the Unit may be allowed to continue, subject to a prior review if the URC deems this necessary. In the case of a Research Group, it may be that senior researchers in the Group decide to rotate the Leader’s position periodically. This would normally be acceptable, provided the FRC and URC are given prior written notice. Should the Director of a Research Institute retire or resign before the end of the 5-year period, the Institute will undergo a review, which will include external participation, before the post is re-advertised.
5.Operation
.1 The head of a research entity will be expected to develop a strategy and programme for the realisation of the objectives of the entity in consultation with other members. He/she will provide leadership and guidance to members of the entity and will be responsible for liaising with other sections of the University in relation to matters (e.g. budgets, annual reports, appointment of staff, etc) affecting the entity. He/she will represent the entity outside the University and may delegate any of these responsibilities to any member of the entity
1
.2 The URC may require that an Advisory Board or Committee be constituted for any research entity. It will assist in the planning and assessing the activities of the entity. The composition of such an Advisory Board will be individually determined, but it will be desirable that it includes at least one external expert.
.3 Academic staff members who are members of a research entity, unless appointed on the funds of that entity, will retain their academic responsibilities to their respective Head of School or other division, as appropriate, but on research entity matters they will be responsible to the head of the research entity..
.4 Research staff appointed on university funding will be accountable to the head of the research entity for their research activities. Since they will normally be appointed against a Faculty’s share of the research budget, the research posts will form part of that Faculty’s staff complement. Where such appointees are in the academic division, they will be expected to carry a one quarter to one third of the normal teaching load, to be determined by a Head of School or Dean in consultation with the head of the relevant research entity. Research staff appointed on external funding will also be expected to carry a teaching load unless this is explicitly prohibited by the external funder(s) of the post.
.5 Research entities whose members are drawn from the same Faculty will report to the URC via the respective FRC. Entities that involve staff from different Faculties will report to the URC via the Deputy Vice-Chancellor (Research) (or an ad hoc inter-faculty research committee).
.6 University funding for a research entity whose members are drawn from the same Faculty will be derived from the research budget of the appropriate Faculty. Salaries of research staff members will be met from this allocation. The URC may provide additional funding towards particular research activities.
.7 Each research entity should develop and maintain an appropriate summary of its research activities and strength and will be expected to identify those performance indicators by which it, and the University, can most appropriately evaluate its progress and achievements.
.8 All funds received by a research entity shall be deemed University funds for audit and accounting purposes. All equipment purchased from such funds is the property of the University, unless circumstances dictate otherwise, eg when such equipment is purchased by a partner institution
1
6. Reporting
Every research entity will prepare an annual report and present it to the FRC by 1 March of the following year. The report should normally include all of the following::
a)Name of the Research Programmed/Group/Unit/Institute
b)Name of the Director/Leader and his/her home School
c)List of participating academics
d)Tabulate the names, schools and percentage time spent on these research activities.
e)Provide a short resume of the projects undertaken during the period under review, and a short description of the progress made. List and give a brief indication of the nature and progress of both current and proposed future extensions or developments of each project plus names of people involved
f)A list of publications which appeared in print during the year, sorted by DE category
g)Lists those conferences attended and institutions visited, locally and abroad, during the period under review.
h)List the researchers from other centres, local and overseas, who visited and who contributed to research activities.
i)Tabulate details of MSc and PhD students who obtained their degrees in the review period and of those currently registered, as follows: Student number, name, degree registered for, month and year of first registration, month and year of completion, degree, topic and supervisor(s).
j)A complete income and expenditure report for the year, including unspent balances carried into the year and carried forward to the following year
.
Each report will be scrutinised by the appropriate FRC and forwarded to the Research Office, not later than 30 April. The FRC will be expected to highlight any issues that it particularly wishes to bring to the attention of the URC.
7. Reviews
Every research entity will be subject to periodic reviews which will normally be on a five yearly cycle. Where practical, this may be included in a quinquennial School review, even if it means resetting the recognition cycle of the entity to coincide, but the Deputy Vice-Chancellor (Research) must be consulted over how the FRC and URC’s interests are to be represented in the review process. He/she will reserve the right to involve external experts.
However, the Deputy Vice-Chancellor (Research) may, at any time, require a review of any research entity recognised under this policy e.g. when a Director resigns, the entity becomes of sub-critical size, gets into financial difficulty, appears to be unproductive, etc. An ad hoc review Committee will be constituted by the Deputy Vice-Chancellor (Research), upon which the interests of the FRC and URC will be represented.