UCT INPUT: Marilet Sienaert and Jane Hendry HERANA NOVEMBER 2016 UCT INPUT: Marilet Sienaert and Jane Hendry

Students: Enrolments and Graduations

2000 to 2006: annual internal enrolment planning, faculty level – aggregated up to institutional level: UG applicant pool, offers and offer take-up Physical constraints (e.g. studio space, lab. space, students per bedside on clinical platform) Funding available for research students Equity considerations – race and gender targets 2006-7: first DHET national enrolment planning exercise, combined with annual internal process: Agreed headcount (24 000 by 2010) and full-time equivalent enrolments (20 300 by 2010) Agreed shape ito discipline – 41% SET, 25% business/management, 34% broad humanities Agreed shape ito qualification level – 69% UG incl occasional, 13% PG < master’s, 18% master’s and doctoral DHET focus on efficiency, hence course success rate (85% @ UG level) and graduate output targets (28% of enrolled students should graduate)

2010: Second national DHET enrolment planning exercise (to 2013), combined with annual internal process linked to new strategic plan: Focus on growing enrolments to improve national HE participation rate Focus on growing enrolments in key scarce skills areas such as Engineering, Sciences, Health and Teacher Education Concern regarding efficiency ito course success rates & graduate outputs But recognition of limited capacity for growth in some institutions Overlaid on UCT realities/limits in relation to projected enrolment growth:

2012 UCT Size and Shape Plan (Council Approved): Concerns that actual growth was greater than laid out in Strat. Plan Task team looked at growth scenarios in relation to Strat Plan, external environment, need for physical and infrastructure development Financial viability irt Size and Shape Outcomes Set out planned enrolment to 2020 (up to ~28 000), modelled in relation to efficiency improvements; rejected possibility of a satellite campus and part-time study expansion UG intake projected to remain flat, but completion rates to be at least 75% in all qualifications Substantial growth at PG level, especially Master’s and Doctor’s, up to 39% PG Marked increase in research outputs Addressing projected needs ito physical space and infrastructure 2012/3: third DHET national enrolment planning exercise (6 years, up to 2019/20), combined with annual internal process: Key focus on expansion with goal of 23% participation by 2030 Expansion of distance education Improved research capacity and output Addressing shortage of academics Improved foundation provision All within context of available funding

Academic Staff

Academic Staff by Highest Formal Qualification and Rank: Appointment and Promotion Note data issue 2003 to 2005 In 2014, 67% of permanent academics had PhD’s, and 41% were Professors/Associate Professors Highest formal qualification level required for appointment to particular ranks is discipline specific (eg PhD for Lecturer in Physics, Master’s for Lecturer in Economics, Lecturer in Actuarial Science must be a qualified actuary), along with research track record Similarly, criteria for promotion are governed by Faculty-specific ad hominem policies, effectively discipline specific, but all require evidence of excellence in Teaching , Research, Leadership (eg university administration), Social Responsiveness and/or Industry Involvement The Performance Management System mostly identifies individuals who are ready to seek ad hominem promotion. (There is also a system of financial merit awards for strong performers) Note introduction of a “teaching track” as an academic career Also note Staff PhD Bursary scheme (award for up to 4 years, all staff) as well as research and study leave for academic staff DHET nGAP earmarked grant: R10,874 million over six (6) years allocated toward five (5) appointees either completing a PhD or Master’s degree, or were soon to pursue a PhDm

Academic Staff by Highest Formal Qualification and Rank: Appointment and Promotion There are no explicit policies that dictate student staff ratios UCT is devolved so the faculties and deans monitor appropriate staff student ratios they make applications to the Planning and Budgeting Working Group when there is a need identified (eg see Business/Management in 2009); depending on Knowledge Transfer Modes (can be more than one per faculty, so aggregated up from departmental level) additional students can sometimes be added without need for additional staff External factors can have a marked impact, eg Clinical Training Grant on ratio in SET area as from 2008

Research and Research Management

Plans to increase doctoral enrolments Increase PhD enrolments as part of goal to be research-led and internationally recognised Enrolments and cohort tracking published annually by IPD. Focus on time to graduation (funding available for 3 years, max. 4) Role of BfGS in promoting postgraduate affairs, including doctoral studies From 2000 – 2004, significantly increased internal funding specifically allocated for PhD students: introduced a variety of funding schemes and packages for PhD scholarships and support Increased number of joint/collaborative programmes, and increased international mobility through conference travel schemes Attracted international (mostly African) PhD students through international & refugee scholarships, and waiving international fees etc Careful selection of students Increased supervisory capacity

Probably no, but trying to improve via: Adequate supervisory capacity ito current and future demands for doctoral enrolments? Probably no, but trying to improve via: Making supervisor training available (workshops, courses, seminars) Stimulating staff without PhD’s to complete their PhD (staff PhD scholarships, mobility funding) making it possible for them to supervise PhD students Focussed supervision and development training for young academics, emerging researchers Qualified to supervise PhD’s required for promotion (and appointment) Graduating students faster, so that supervisors can take on more students in a finite time period Increasing the number of Postdoctoral fellows significantly Introducing alternative models of PhD supervision such as cohort supervision, and ‘pyramid’ supervision (rather than just the traditional one-on-one supervision model Making supervisor training available (workshops, courses, seminars) Stimulating staff without PhD’s to complete their PhD (staff PhD scholarships, mobility funding) making it possible for them to supervise PhD students. Focussed supervision and development training focussed on young academics, emerging researchers. Formally recognising the requirement for PhD supervision by all appropriately qualified academics in terms of their promotability (and appointment) Focussing on getting students graduated faster, meaning supervisors can take on more students in a finite time period (but not at the risk of compromising quality) Increasing co-supervision capacity amongst junior staff and increasing the number of Postdoctoral fellows significantly Introducing alternative models of PhD supervision such as cohort supervision, and ‘pyramid’ supervision rather than holding only to the tradtational one-on-one supervision model.

Satisfaction with doctoral graduate output rate of academic staff? Yes and no: This varies across faculties and disciplines, could not enforce a one size fits all approach Making supervisor training available (workshops, courses, seminars) Stimulating staff without PhD’s to complete their PhD (staff PhD scholarships, mobility funding) making it possible for them to supervise PhD students. Focussed supervision and development training focussed on young academics, emerging researchers. Formally recognising the requirement for PhD supervision by all appropriately qualified academics in terms of their promotability (and appointment) Focussing on getting students graduated faster, meaning supervisors can take on more students in a finite time period (but not at the risk of compromising quality) Increasing co-supervision capacity amongst junior staff and increasing the number of Postdoctoral fellows significantly Introducing alternative models of PhD supervision such as cohort supervision, and ‘pyramid’ supervision rather than holding only to the tradtational one-on-one supervision model.

UCT: RESEARCH PUBLICATIONS 2010 TO 2014

Plans and Incentives to Ensure Increase in Research Publications Plans include the UCT Research Strategy (2014-2019), and the research component of the current Institutional Plan (2015 – 2025); faculty research strategies. Regular research indabas. No direct funding incentives for research, but: Funding through the URC – block grants, awards, competitive calls. Funding from central finance to faculties, to be used at Dean’s discretion or in line with faculty research plans. Creation of signature themes and research institutes. Research support departments: RO, RC&I, eResearch, Libraries, ICTS, IAPO Investment in electronic research administration system and extensive recalibration of research support services.

Research Management Structures and Functions Extensive management structure that spans across a number of administrative and professional functional areas. The following entities constitute the Research Office: Postgraduate and Researcher Development Directorate Postgraduate Funding Office Research Support Services (grant applications; NRF rating applications; annual statutory reports and statutory publication count; nominations for awards and prizes) Global Strategy and Visibility Services (research comms & marketing in the form of reports and web-based platforms), research collaboration and partnership support, including support for joint degrees at postgrad level. Office of Research Integrity In addition, as part of research management: eResearch at UCT Libraries Contracts and IP Office Research Finance International Academic Programmes Office

Research Office structure overview DVC Res ED Research Mgr RO Finance Deputy Director RO Senior Manager ORI Director PG Studies & Res Dev Manager Research Internationalisation & Visibility Manager Research Support Manager Systems Manager Researcher Development Director Post Graduate Funding Senior Data Analyst SAO Communications & Marketing Research Collaboration Specialist Support Finance HR Systems External Relations Research Internationalisa-tion & Visibility Research Support Specialised Services IP Contracts ORI Research Finance e-Research Centre Human Capital PG Studies Researcher Development PG Funding

Reports on Research Publications and Their Distribution Research outputs appear in UCT's Annual Research Report which provides an overview of the activities of the university for the year in review. provides a record of research output by faculty, as well as listings of each faculty's capacity, expertise and publications. used for benchmarking and marketing purposes. available in hardcopy and online, http://www.research.uct.ac.za/. reports are distributed in hardcopy/electronically to internal and external stakeholders, including funding agencies, collaborators, government agencies, donors, etc. Electronic research administration (eRA) system will soon allow for the capturing and harvesting of publication into the online system, for publishing through the research portal.

Satisfaction With Research Publication Output Rates of Academic Staff UCT data from Herana reflects an annual growth rate of 9.1% over a 15 year period. Ratio of research publications to permanent academic staff: 2.64 (2014/15). Note that: Herana data only considers journal publications, and excludes a host of other relevant outputs (e.g. books, conference proceedings, creative outputs). Data also reflects whole counts, rather than fractional counts, so the full impact of multi-authored papers is not taken into account.